HomeMy WebLinkAboutAGENDA PACKET_2021-11-02
Community Development Agency
santa-ana.org/cd
Item # 7
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Quarterly Report for Housing Division Projects and Activities
AGENDA TITLE:
Quarterly Report for Housing Division Projects and Activities for the period of July 2021
– September 2021
RECOMMENDED ACTION
Receive and file the Quarterly Report for Housing Division Projects and Activities for the
period of July 2021 – September 2021.
DISCUSSION
This report for the quarter ending on September 30, 2021 provides statistics for all of the
affordable housing projects and activities for the Housing Division. The report is divided
into four sections: Loan Activity, Loan Portfolio Management and Monitoring, Affordable
Housing Funds and Commitments, and Development Projects.
Loan Activity
Applications
The Housing Division offers several different programs including down payment
assistance for first-time homebuyers and rehabilitation grants for mobile homes and
single-family homes. Inquiries are received from the public and applications are mailed
out, received and approved for these programs on a continual basis. Table 1 shows the
number of inquiries, applications sent out, received and approved by type for the quarter
and for the total fiscal year:
Table 1: Applications Sent Out, Received & Approved
Applications Applications Applications
Inquiries
Sent OutReceivedApproved
Program
Total Total Total Total
Q1Q1Q1Q1
FYFYFYFY
Home Repair Grant 262620
26262000
Program
Homeownership / DPAP161616162222
Loan Subordinations11111111
Quarterly Report for Housing Division Projects and Activities
November 2, 2021
Page 2
The number of applications received is typically lower than the number of applications
sent out in any given period due to the stringent program guidelines for eligibility
regulated by the federal government, which makes it difficult for most applicants to
qualify.
The City of Santa Ana’s Home Repair Program is designed to increase, improve, and
preserve affordable housing through the use of federal Community Development Block
Grant (CDBG) funds. The program is administered by Habitat for Humanity of Orange
County on behalf of the City. The program provides grants of up to $25,000 for eligible
home repairs to include eligible roof replacement to low- and moderate-income
homeowners at or below 80% of the Area Median Income (AMI) as defined by the
Department of Housing and Urban Development (HUD). Eligible activities include the
repair, replacement, and/or installation of major systems including plumbing, heating,
electrical, windows, roof, paint, and handicap accessibility.
Down Payment Assistance Loan Program (DPAP) Progress
For the Down Payment Assistance Loan Program, staff evaluates applicant eligibility and
oversees underwriting to ensure compliance with program guidelines and requirements
established by the U.S. Department of Housing and Urban Development (HUD). During
this quarter, staff conducted one down payment assistance virtual workshop via Zoom
with 12 attendees. One down payment assistance loan closed escrow. One Inclusionary
Housing Buyer was approved and closed escrow.
Loan Portfolio Management & Monitoring
The Housing Division is responsible for managing the residential loan portfolio, which
includes all of the loans entered into by the City and Housing Authority acting as the
Housing Successor Agency. As of the end of the first quarter, the principal balance was
$138,539,857.67. This is composed of 368 loans, of which 344 are deferred or residual
receipt payment loans. As shown in Table 2, the loan portfolio generated $408,498.02 in
payments of principal and interest during the first quarter. The amount of residual receipts
payments changes every quarter.
Table 2: Portfolio Revenue
Funding Source
HOMECDBGRedevelopmentNSPCalHOME
Loan Payoffs$0$0$125,200$13,785.58$5,000
Residual Receipts
$59,275.31$0$96,633.70$68,830.02$0
Payments
Amortized Loan
$2,905.55$6,478.93$19,388.93$0$11,000
Payments
Total for Q1$62,180.86$6,478.93$241,222.63$82,615.60$16,000
Monitoring
As part of the requirements for these funds, staff must monitor the owner-occupancy of
single-family homes that have received loans, and the building code compliance of units
in rental projects with long-term affordability covenants. During this quarter, 36 owner-
Quarterly Report for Housing Division Projects and Activities
November 2, 2021
Page 3
occupancy recertification letters were mailed and 32 were returned and processed. This
number includes letters sent from previous months.
On-site compliance monitoring of the tenant files was not conducted this quarter due to
COVID-19. HUD has temporarily waived the requirement for ongoing periodic inspections
of HOME-assisted rental housing through September 30, 2021. Staff is in the process of
hiring for a Residential Construction Specialist to conduct these ongoing periodic
inspections.
Available Funds and Land Assets for Affordable Housing Development Projects
The City of Santa Ana and the Housing Authority acting as the Housing Successor
Agency manages multiple sources of local, state and federal funds to promote and
facilitate the development of affordable housing as well as land assets held by the
Housing Authority. Exhibit 1 provides a summary of the funds available as of September
30, 2021. Exhibit 2 provides a summary of available land assets.
Housing Opportunity Ordinance
On-Site Development:
Since 2011, a total of 33 units have been developed on-site as a result of the Ordinance,
including 23 ownership units for-sale and 10 rental units:
Units Built On-Site
OwnershipRentalTotal
231033
In-Lieu Fees Generated:
All in-lieu fees, penalties and other monies collected pursuant to the Housing Opportunity
Ordinance, including interest, are deposited into the Inclusionary Housing Fund. Since
inception, the Inclusionary Housing Fund has generated $21,510,127 to be used for the
development of housing affordable to low- and moderate-income households, with a
reasonable amount spent on administrative or related expenses associated with the
administration of the Housing Opportunity Ordinance. In-lieu fees generated have been
used to develop new affordable housing opportunities, provide emergency shelter, and
create homeownership opportunities. Below is a summary of how in-lieu fees have been
used by the City:
Inclusionary Housing
Project# of UnitsAddress
Funds SPENT
Santa Ana Arts Collective$4,775,000571666 N Main Street
Tiny Tim Plaza$1,300,000502239 W 5th Street
The Link Interim Emergency
$4,140,295N/A2320 S Red Hill Avenue
Shelter
TOTAL$10,215,295 107
Quarterly Report for Housing Division Projects and Activities
November 2, 2021
Page 4
Inclusionary Housing
Project# of UnitsAddress
Funds COMMITTED
Habitat for Humanity “Lacy & 416 Vance Street & 826
$565,2712
Vance”N. Lacy Street
2530 and 2534
Westview House$1,514,11384
Westminster Avenue
WISE Place Steps to
Independence Public Service $90,000N/AN/A
Program
Down Payment Assistance$210,000N/AN/A
TOTAL$2,379,384 86
Affordable Housing Development Projects
There are two affordable housing projects under construction, and four affordable
housing projects in pre-development. Below is a brief summary and status-update for
each project. Exhibit 3 provides a development timeline for each project.
Projects under Construction
Legacy Square (609 N Spurgeon Street)
DeveloperNational Community Renaissance with Mercy House as the service provider
New construction of a 100% affordable multifamily apartment complex
consisting of 92 units of rental housing and one (1) manager’s unit. All units
Description
will be affordable to households earning less than 60% AMI of which 33 units
will be set-aside for permanent supportive housing.
Authority FundsEight Project-Based Vouchers (PBVs)
Construction is fully underway, including the completion of sewer and water
Updatein the street. The Groundbreaking Ceremony was celebrated on July 8,
2021. The estimated completion date is February 2023.
North Harbor Village (1108 N Harbor Boulevard)
DeveloperJamboree Housing Corporation
Acquisition and rehabilitation of a former motel yielding 89 units of
Description
permanent supportive housing.
City / Authority CDBG ($1,687,047); Eight-nine PBVs consisting of 34 HUD-VASH PBVs
Fundsand 55 non HUD-VASH PBVs.
Construction is currently underway including the completion of the demolition
Update
of the units. The estimated completion date is October 2022.
Projects in Pre-Development
Crossroads at Washington (1126 and 1146 E Washington Avenue)
Related Companies of California with A Community of Friends (ACOF) as
Developer
co-developer and lead service provider
Quarterly Report for Housing Division Projects and Activities
November 2, 2021
Page 5
New construction of a 100% affordable multifamily apartment complex
consisting of 85 units of rental housing and one manager’s unit. All units will
Description
be affordable to households earning less than 30% AMI of which 43 units
will be set aside for permanent supportive housing.
HOME Investment Partnerships Program ($3,007,489), Neighborhood
City / Authority Stabilization Program ($1,297,693), sixty-five-year ground lease agreement
Fundsfor 1126 and 1146 E Washington Avenue (Appraised Value as of September
22, 2019: $4,108,136) Seven (7) Project-Based Vouchers (PBV’s).
The Developer was successfully awarded Orange County Housing Finance
Trust funds in May 2021. The Developer continues to work with the City,
County, and the California Department of Toxic Substances Control
(DTSC) on supplemental environmental investigations. The City, County,
Update
and DTSC entered into a Standard Voluntary Agreement for further
agency oversight. DTSC is preparing the Cleanup Plan for the project.
Once the Cleanup Plan is made available, environmental cleanup can
begin.
FX Residences (801, 809, 809 ½ East Santa Ana Boulevard)
DeveloperHomeAid Orange County, Inc. with Mercy House as the service provider
New construction of an affordable multifamily apartment complex consisting
Description
of 16 units of permanent supportive housing, and one (1) manager’s unit.
Housing Successor Agency ($1,069,947), three (3) PBVs, 99-year ground
City / Authority
lease agreement for 801 E. Santa Ana Blvd. (Appraised Value as of Oct 25,
Funds
2018: $788,000)
HomeAid Orange County applied for $300,000 from Federal Home Loan
Bank of San Francisco through their Affordable Housing Program (AHP)
Loan Program at the beginning of March but the project was not awarded
Updatethe AHP funds. Following this project setback, HomeAid Orange County is
requesting additional financial support from the City of Santa Ana to close
the financial gap of the project. HomeAid will be submitting the first set of
Building permit drawings in early/mid October.
Habitat for Humanity (416 Vance Street & 826 N Lacy Street)
DeveloperHabitat for Humanity of Orange County
New construction of two single-family detached homes for homeownership
Description
serving households up to 120% AMI.
Inclusionary Housing ($565,271) and a 99-year ground lease agreement for
City / Authority
416 Vance Street and 826 N. Lacy Street (Appraised Value as of Oct 25,
Funds
2018: $578,000)
On April 6, 2021, City Council approved a First Amendment to the
Conditional Grant Agreement with Habitat for Humanity of Orange County
Updatefor an additional $333,777 in Inclusionary Housing Funds for a total
Inclusionary Grant amount of $565,271 for the development of the project.
The Developer’s Site Plan Review application was submitted in April 2021.
Quarterly Report for Housing Division Projects and Activities
November 2, 2021
Page 6
The Developer is working through Site Plan Review prior to issuance of their
building permit to start construction.
Westview House (2530 Westminster Avenue)
DeveloperCommunity Development Partners
New construction of an affordable multifamily apartment development
consisting of 85 units of both large family and PSH with one manager’s unit.
Description
Twenty-six of the units will be funded by PBV and MHSA funds through the
NPLH program.
Inclusionary Housing ($1,514,113), HOME Investment Partnerships
City / Authority
Program ($2,003,705), Rental Rehabilitation Program ($386,523), and
Funds
twenty-six (26) Mainstream Program PBVs
The developer will applies for 4% tax credits and bonds on September 9,
Update2021. The formal CTCAC hearing is on December 8th. The developer is
expecting to close on their financing before June 2022.
Regional Housing Needs Assessment
Housing projects that have been approved, permitted, or received a certificate of
occupancy after June 30, 2021 may be counted towards the 6th Regional Housing Needs
Assessment (RHNA) Cycle (October 2021 to October 2029). Below is a summary of our
progress to meet our sixth RHNA Cycle requirements for affordable housing:
Very Low IncomeLow IncomeModerate Income
RHNA Allocation 606362545
Pipeline Projects 414*5292
Remaining RHNA 192-167543
* 281 units are for extremely low income households (0 – 30% AMI)
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1. Available Funds for Affordable Housing Development Projects
2. Available Land Assets for Affordable Housing Development
3. Project Timelines
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
EXHIBIT 2
AVAILABLE LAND ASSETS FOR AFFORDABLE HOUSING DEVELOPMENT
(1) 302 E. Twenty-Second Street
a. APN: 003-122-25
b. Lot Size: 27,817sf
c. Current Zoning: R1 Single-Family Residence, which allows one house per lot.
d. Parcel was acquired 10/30/2002 using Low and Moderate Income Housing Asset
Fund - 20% Set Aside.
e. Previous Use: Purchased from Cal Trans. It was a remnant parcel from the freeway
widening project. The site was vacant and undeveloped at the time it was acquired.
f. General Plan: Low Density Residential, which allows single-family residences and
ancillary uses.
g. Maximum du/ac: Seven units per acre.
h. Site Condition / Environmental Conditions: Property is irregular in shape, is below
the minimum lot size for a residential lot, and will most likely require the approval of
several variances from the zoning code in order to facilitate a residential unit.
EXHIBIT 3
Current Affordable Housing Development Project Timelines
Projects Under Construction
Legacy Square – 609 North Spurgeon Street
Aug 18 Santa Ana CDA Funding Application
Dec 18Applied for NPLH and SNHP Funds
Jan 19Santa Ana funding award
Feb 19 Planning entitlements approved
Feb 19 Applied for Round 4 AHSC Funding
May 19 Award of SNHP funds
Jul 19 Applied for Round 1 MHP
Nov 19 Applied for State 4% tax credits
Jan 20 Construction drawings (8-12 weeks)
Feb 20 Apply for Round 5 AHSC funding
May 20 Apply for 4% tax credits
May 20 Plan check (12-16 weeks)
Jun 20 Award of AHSC funds
July 20 Award of 4% Tax Credits
July 20 Award of Tax-Exempt Bonds
May 20 Plan Check (12-16 weeks)
Jan 21 Building permit issuance
Feb 21 Construction closing/syndication
Feb 21 Begin construction (24 months)
Jul 21 Groundbreaking Ceremony
Feb 23 Construction complete
June 23 100% fully leased (4 months)
North Harbor Village –1108 N. Harbor
Mar 19 Start of design development
Mar 19 Applied to FHLBSF for AHP Financing ($890,000)
Mar 19 Award of VASH Vouchers & City Loan by City Council (89 Vouchers and
$1,687,047)
Mar 19 Start environmental approval process with City of Santa Ana (CEQA/NEPA)
Mar 19 Applied for Home Depot Grant ($500,000)
Jun 19 CEQA / NEPA Approval – City of Santa Ana
Jun 19 AHP Award Date ($890,000)
st
Aug 20 Applied to HCD for MHP 1 Round Funding ($13,316,412)
st
Dec 19Notified project did not receive 1Round MHP funding
Feb 20 Applied to HCD for VHHP Funding ($10,000,000)
Mar 20 Applied to HCD for MHP 2nd round funding
Mar 20Applied to OCHFT Financing ($2,292,920)
Page 1 of 4
EXHIBIT 3
st
May 20Notified project did not receive 2Round MHP funding
May 20 Received OCHFT funding award ($2,292,920)
Jun 20 Received VHHP funding award ($10,000,000)
Jun 20Submitted Plans for Ministerial Design Approval
Jun 20 Applied for CDLAC tax exempt bond allocation ($24,000,000)
Jul 20 Applied for TCAC 4% competitive state and federal tax credits ($9,896,911)
Sept 20 CDLAC Allocation
Nov 20 Ministerial Design Approval (upon completion of community meeting on
11/4/2020)
Oct 20 TCAC Allocation
Oct 20 Start construction documents for rehab
Nov 20 Submit first plan check
Dec 20 Awarded Home Depot Grant
Jan 21 Receipt of first plan check comments
Jan 21 Submit second plan check
Feb 21 Receipt of second plan check comments
Feb 21 Submit third plan check
Mar 21 Received permit ready
Apr 21 Construction loan closing
Apr 21 Pull Permits and start construction
Oct 22 Construction complete
Oct 22 Start of lease up
Apr 23 Full occupancy
Projects in Pre-Development
Crossroads at Washington –1126 and 1146 E. Washington Avenue
Aug 19 Submitted PSH application to County
Oct 19 Submitted for Planning entitlements
Oct 19Community meeting
Nov 19 Approval of Joint Powers Agreement, Option to Ground Lease, Voucher
Resolution and Cooperation Agreement, and Regional Housing Needs
Assessment (RHNA) Agreement and Density Bonus
Dec 19 NEPA EA City Approval – City of Santa Ana submits NEPA EA to HUD
Feb 20 PSH Funds and Voucher approval from County Board of Supervisors
Feb 20 Planning entitlements approved
st
Mar 20 TCAC 9% Application – 1 Round 2020
nd
Jul 20 TCAC FCAA/9% Application – 2 Round 2020
nd
Oct 20TCAC FCAA/9% Award –2Round 2020
Mar 21 Submitted OCHFT PSH NOFA Application
May 21 OCHFT PSH NOFAAward
Jan22Submit for 1st plan check
Jun 22 City issues permit ready letter
Jun 22 Start construction
Aug 23 Construction complete
Page 2 of 4
EXHIBIT 3
Dec 23 Full occupancy
FX Residences – 801, 809, 809 ½ E. Santa Ana Boulevard
Jan 19 Council approval for land lease and project funding
Jan 19 Submittal of application for NPLH funding
Feb 19 Confirm with City staff that project site can yield additional units under
existing zoning
Mar 19 Revise conceptual drawings for additional 5 units (17 total units, up from the
original 12 units)
Mar 19 SNHP funding application submitted to County
Apr 19 City staff to review revised conceptual design
Apr 19 Begin development agreement
May 19 Board of Supervisors meeting for SNHP funding
Jul 19 Execute Development Agreement
Jul 19 Formal awards letters for NPLH funding to be issued
Aug 19 Initial planning submittal
Sept 19 Sunshine Ordinance Meeting
Mar 21 Planning Commission Meeting (ministerial approval of density bonus)
Oct 21 Submit for first plan check
Nov 21 City Council Meeting (ministerial approval of density bonus)
Mar 22 Building Permit
Apr 22 Begin construction (grading, weather permitting)
Apr 23 Completion of construction
Habitat for Humanity –416 Vance Street & 826 N. Lacy Street
May 20 DDA signed
June 20 Prepare grading plans
Oct20 Prepare architectural plans
Oct 20 Submit Neighborhood Review Application
Feb 21 Final Approval from Historic French Park Committee
Apr 21 Submit Site Review Application
Nov 21 Submit grading/improvements
Nov 21 Submit architectural plans
Jan 22 Grading permit issued
Jan 22 Commence Grading
Feb 22 Building Permits issued
Mar 22Begin construction
Feb 23 Anticipated construction completion
Feb 23 Certificate of Occupancy / Closings
Westview House – 2530 Westminster Avenue
Oct 19 City of Santa Ana RFP submittal
May 20 OC 2020 Supportive Housing NOFA Submittal
Dec 20 OC 2020 Supportive Housing NOFA award
Page 3 of 4
EXHIBIT 3
Jan 21 City of Santa Ana PBV Award
Jan 21 Construction/permanent debt commitments
Jan 21 Receive Entitlements
Jan 21 No Place Like Home application
Mar 21 OCHFT application
May 21 OCHFT Award
Jun 21 No Place Like Home commitment
Sep 21 CDLAC/TCAC 4% application
Dec 21 CDLAC/TCAC 4% award
Jun 22 Close on construction financing
Jun 22 Construction permits issued
Jun 22 Construction start
Dec 23 Construction complete
Mar 24 All units Leased
Aug 24 Perm Debt Conversion
Page 4 of 4
Community Development Agency
santa-ana.org/cd
Item # 8
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Nonprofit CDBG Application for Fiscal Years 2022-2024
AGENDA TITLE:
Nonprofit Community Development Block Grant Application Process for Fiscal Years
2022-2024
RECOMMENDED ACTION
Approve the nonprofit Community Development Block Grant application and scoring
criteria for Fiscal Years 2022-2024.
COMMUNITY DEVELOPMENT COMMISSION ACTION
At its regular meeting on October 27, 2021, the Community Development Commission
recommended that the City Council approve the nonprofit Community Development Block
Grant application and scoring criteria for Fiscal Years 2022 – 2024.
DISCUSSION
As an entitlement jurisdiction, the City receives an annual allocation of Community
Development Block Grant (CDBG) funds from the United States Department of Housing
and Urban Development (HUD) to improve low- to moderate-income neighborhoods,
eliminate blight, and encourage economic development. These funds are used for a
diverse range of programs as outlined in the City’s Consolidated Plan, including
affordable housing, street improvements, park and public facilities improvements, small
business start-up grants, code enforcement, and public services. The City may use a
maximum of 15 percent of each annual allocation to fund public service programs, such
as those concerned with employment, crime prevention, childcare, health, drug abuse,
education, fair housing counseling, energy conservation, welfare, homebuyer down
payment assistance, and recreational needs. The City of Santa Ana’s Community
Development Agency allocates these CDBG grant funds to nonprofit organizations
through a transparent, competitive process for projects and programs that most effectively
serve our residents.
The City’s CDBG allocation for Fiscal Year (FY) 2022-2023 and 2023-2024 is estimated
to be $5,640,635 each year, assuming the City receives the same allocation as FY 2021-
Nonprofit CDBG Application for Fiscal Years 2022 – 2024
November 2, 2021
Page 2
2023. The City may use a maximum of fifteen percent of this allocation (or $846,095)
each year for public service programs provided by nonprofit organizations.
On November 3, 2021, staff will seek to release the application for nonprofits to apply for
the estimated $1,692,190 in nonprofit CDBG funding for a two-year period for Fiscal
Years 2022-2024. This amount includes $846,095 in CDBG funding for FY 2022-2023
and $846,095 for FY 2023-2024. This amount is subject to adjustment based upon the
actual CDBG allocation from HUD following approval of the federal budget.
Funding will be available to experienced nonprofit organizations for the provision of public
services that include a priority on crime prevention, crisis-intervention, and/or suppression
efforts for children, youth and/or families.
Priority funding will be awarded to programs that encompass any of the following:
Develop crime prevention and suppression programs that assist in the
development of suitable living environments by targeting specific Santa Ana
neighborhoods that have a long-standing history of crime involving children, youth
and families. For example, crime prevention education programs or community-
oriented policing programs such as establishing a neighborhood watch program.
Develop programs that target victims of domestic violence, dating violence, sexual
assault or stalking.
Services that will benefit children (generally under age 13), including parenting
skills classes.
Health services – services addressing the physical health needs of residents.
Mental health services – services addressing the mental health needs of
residents.
Youth services – services during and after school programs that target teens
(ages 13 to 19) that include recreational programs with a counseling/mentorship
program that addresses healthy lifestyles, substance abuse prevention, crime
prevention, dating violence and anti-bullying. Programs with current
Memorandum of Understandings with Santa Ana Unified School District will have
priority over other youth service programs.
Legal services that provide legal aid to low- and moderate-income residents.
Senior services for the elderly 62+ years.
Proposed programs are required to meet the National Objective of an activity that
provides a benefit to low- and moderate-income persons. Nonprofit organizations will
have the option of submitting a joint application with other nonprofit organizations to
encourage collaboration and nonduplication of public services in our community.
Organizations will be able to apply individually for a minimum of $60,000 or a maximum
of $150,000 per program for the two-year period. Organizations that submit a joint
application may request a maximum of $300,000. Applications will be made available
online through the City’s Community Development Agency webpage and the PlanetBids
grant management system. Staff will be available to assist nonprofits with technical
support throughout the application process.
Nonprofit CDBG Application for Fiscal Years 2022 – 2024
November 2, 2021
Page 3
The review of applications and recommendations for funding will be performed by an Ad
Hoc Committee composed of three Community Development Commissioners and a staff
representative from the Community Development Agency. The recommendations from
the Ad Hoc Committee will first go to the Community Development Commission for review
and approval. The Commission will then recommend the nonprofit funding to the full City
Council for final review and approval. The following is the timeline for this year’s nonprofit
CDBG application process:
Nonprofit CDBG Application for Fiscal Years 2022 – 2024
November 2, 2021
Page 4
Fiscal Years 2022 - 2024 CDBG Public Service Application
Dates Actions
Community Development Commission - Application
Wednesday, October 27, 2021
Review and Formation of Ad Hoc Committee
Tuesday, November 2, 2021 City Council - Application Review and Approval
Application released for 45 days
*All potential subrecipients from contact lists will be
Wednesday, November 3, 2021
notified via email and Constant Contact. A press
release will be issued.
Thursday, November 18, 2021 Mandatory CDBG Application Training
Monday, December 20, 2021Applications due at 5:00 PM
Tuesday, December 21, 2021 to Staff review of applications for CDBG eligibility/National
Thursday, December 23, 2021 Objective compliance
1st review of applications by the Community
Wednesday, January 5, 2022
Development Commission Ad Hoc Committee
Community Development Commission Special
Tuesday, January 25, 2022 and
Meetings/Nonprofit Presentations of Public Service
Thursday, January 27, 2022
Programs
2nd review of applications by the Community
Thursday, February 3, 2022
Development Commission Ad Hoc Committee
Community Development Commission funding
Wednesday February 23, 2022
recommendations
CDBG Public Hearing at City Council with
Tuesday, March 15, 2022 recommendation for approval of CDBG nonprofit
funding.
FISCAL IMPACT
There is no fiscal impact associated with this item.
EXHIBIT(S)
1. 2022 – 2024 CDBG Public Service Application
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
City of Santa Ana
Community Development Block Grant
Biennial Public Service Nonprofit Application
DESCRIPTION OF COMMUNITY DEVELOPMENT BLOCK GRANT
The Community Development Block Grant (CDBG) is a U.S. Department of Housing and
Urban Development (HUD) entitlement grant that the City receives on an annual basis to
develop viable urban communities by providing decent housing and a suitable living
environment, and by expanding economic opportunities, principally for low- and moderate-
income persons. No more than CDBG grant funds may be used for the
provision of public services (including labor, supplies, and materials) including but not limited
to those concerned with employment, crime prevention, child care, health, drug abuse,
education, fair housing counseling, energy conservation, welfare (but excluding the provision
of income payments), homebuyer down payment assistance, or recreational needs. To be
eligible for CDBG assistance, a public service must be either a new service or a quantifiable
increase in the level of an existing service above that which has been provided by or on behalf
of the City in the previous 12 calendar months. The City of Santa Ana Community
Development Agency allocates these CDBG grant funds to nonprofit organizations through a
transparent, competitive process for projects and programs that most effectively serve the
residents of the City. Interested and eligible organizations can apply on a biennial basis for
this funding via the CDBG Biennial Public Service Nonprofit Application.
CDBG Biennial NOFA
Funding will be available to experienced nonprofit organizations for the provision of public
services that include a priority on crime prevention, crisis-intervention, and/or suppression
efforts for children, youth and/or families.
Priority funding will be awarded to programs that:
Develop crime prevention and suppression programs that assist in the development of
suitable living environments by targeting specific Santa Ana neighborhoods that have a
long-standing history of crime involving children, youth and families. For example, crime
prevention education programs or community-oriented policing programs such as
establishing a neighborhood watch program.
Develop programs that target victims of domestic violence, dating violence, sexual
assault or stalking;
Services that will benefit children (generally under age 13), including parenting skills
classes;
Health services services addressing the physical health needs of residents;
Mental health services services addressing the mental health needs of residents;
Youth services services during and after school programs that target teens (ages 13 to
19)that include recreational programs with a counseling/mentorship program that
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
1
EXHIBIT 1
addresses healthy lifestyles, substance abuse prevention, crime prevention, dating
violence and anti-bullying. Programs with current Memorandum of Understandings with
Santa Ana Unified School District will have priority over other youth service programs;
Legal services that provide legal aid to low and moderate income residents;
Senior services for the elderly 62+ years.
Programs will be funded for a two-year period from July 1, 2022 through June 30, 2024.
The minimum funding amount is $60,000 per program to ensure that CDBG
programs make the greatest impact in our community.
The maximum funding amount is $150,000 per program. However, organizations
that submit a joint application may request a maximum of $200,000 per program.
Set-Aside Funding
One percent (1%) CDBG public service allocation may be set-aside to fund
qualified non-profits who apply for funding to screen and test for lead poisoning in our
community.
Organization Requirement
The purpose of this NOFA is to review, compare and evaluate organizations that want to
partner with the City to implement CDBG-funded projects, activities, and programs. The City
will review your application together with a panel of appointed officials on the Community
Development Commission to determine if your organization:
Has the programmatic capacity to successfully design, implement, and report on a
CDBG-funded project per the requirements of the United States Department of Housing
and Urban Development (HUD) and the City;
Has the fiscal capacity to accept, manage, and report on CDBG funds on a
reimbursement basis in accordance with HUD and City requirements;
Demonstrates a solid track record and past experience in implementing similar activities
and projects that are indicative of potential future success;
Implements proper controls and best management practices to ensure fair and ethical
dealings in the areas of finance and accounting, procurement, and client and vendor
grievances;
Implements eligible activities and projects that may be funded by CDBG;
Has adopted a mission statement, goals, and objectives that closely align with those of
the City (as expressed in its Consolidated Plan) and of HUD;
Nonprofit organizations must be in good standing and have no outstanding monitoring
findings prior to a FY 2022-2024 CDBG award.
All nonprofit applicants must be able to document 501(c)(3) status. Applicants whose
status is pending at the time of application will not be considered for funding.
Nonprofit Organization Collaboration
Nonprofit organizations may submit a joint application with other nonprofit organizations.
Collaborating nonprofit organizations must meet all the application requirements.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
2
EXHIBIT 1
Faith-Based Organizations
Organizations that are religious or faith-based are eligible, on the same basis as any other
organization, to participate in the CDBG program. Organizations may not engage in inherently
religious activities, such as worship, religious instruction, or proselytization, as a part of the
programs or services funded with CDBG funds. If the organization conducts such activities, the
activities must be offered separately, in time or location, from the programs or services funded
with CDBG funds, and participation must be voluntary for the beneficiaries of the CDBG-funded
programs or services. Faith-based organizations may use space in their facilities to provide
CDBG-funded services without removing religious art, icons, scriptures or other religious
symbols. An organization that participates in the CDBG program shall not, in providing program
assistance, discriminate against a program beneficiary or prospective program beneficiary on
the basis of religion or religious belief. A religious organizations exemption from the federal
prohibition on employment discrimination based on religion, set forth in section 702(a) of the
Civil Rights Act of 1964 is not forfeited when the organization participates in the CDBG
program. Notwithstanding the foregoing, nondiscrimination requirements imposed by statute
on all CDBG grantees shall apply to religious and faith-based organizations
Cost Reimbursement Agreement
Grants are provided through a Cost Reimbursement Subrecipient Agreement. Reimbursement
requests are allowed on a quarterly basis. Therefore, organizations must have enough
working capital to continue services until a reimbursement request can be processed by the
City. Only allowable and allocable CDBG expenses will be reimbursed. The term of the
agreement will be July 1, 2022 through June 30, 2024.
Insurance Requirement
Organizations approved for CDBG funding will be required to obtain a minimum of $1,000,000
general liability insurance, automobile Insurance not less than $1,000,000 per occurrence, and
worke compensation insurance not less than $1,000,000 per occurrence, for the term of the
agreement. In addition, the City must be listed as additionally insured via an endorsement
with the endorsement stating that the insurance is primary and noncontributory.
Eligible Activities Requirement
Public service activities which are directed toward the improvement of the quantity and quality
of community services principally benefiting persons of low- and moderate-income are eligible
for funding. These activities include, but are not limited to, services concerned with
employment, crime prevention, childcare, health, substance abuse counseling and treatment,
education, fair housing counseling, energy conservation, welfare (excluding income payments)
and recreational needs. Emergency grant payments for food, clothing, and shelter (rent,
mortgage, utilities) needs are eligible activities as long as the payments do not exceed three
months and the payments are made directly to the provider of such services on behalf of an
individual or family.
The services funded must be either a new service or a quantifiable increase in the level of
service above that which has been provided by or on behalf of the City in the previous 12
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
3
EXHIBIT 1
calendar months. Services that were originally funded as a new or increased level of service are
eligible for continued funding.
Eligible costs include labor, materials, supplies, some operating and maintenance costs for the
portion of the facility in which the public service is located, and equipment necessary for the
provision of the public service.
Ineligible costs include income payments, assistance for buildings used for the general conduct
of government, general local government expenses, political and religious activities, and the
purchase of equipment except equipment that constitutes all or part of a public service. Income
payments are payments made to an individual or family to provide basic levels of food, shelter,
or clothing but do not include emergency grant payments referenced above under eligible
activities.
National Objective Requirement
The proposed program must meet the National Objective of activities that provide a benefit to
low- and moderate-income persons. At a minimum, the program must serve 51% low- and
moderate- income persons. Low- and moderate-income is defined as having an income equal
to or less than 80 percent of the area median income, adjusted for household size. The specific
household income limits are based on U.S. Census Bureau estimates, updated and issued by
HUD annually http://www.huduser.org/portal/datasets/il.html. In general, to document
compliance with the national objective requirement, funded programs will require the
collection, calculation, and documentation of the participant family size and income.
Limited Clientele activity: This is the category most often used for public service activities.
Limited clientele activities are activities limited to a specific group of persons. At least 51
percent of those served must be low- and moderate-income persons. Services qualifying under
this category serve a specific clientele, rather than providing service to all persons in a
geographic area. Limited clientele activities may qualify as either a presumed benefit activity or
a direct benefit activity. A presumed benefit activity is one that exclusively serves a specific
group of people that HUD categorically considers low and moderate-income persons. These
categories include: abused children, battered spouses, elderly persons, homeless persons,
illiterate adults, persons living with AIDS, migrant farm workers, and severely disabled adults
as defined by the Bureau of Census. The project sponsor must document that the activity is
designed to be used exclusively by a category of persons presumed by HUD to be low- and
moderate-income.
If the clientele served does not fall under one of the presumed benefit category of persons, it
may qualify as a direct benefit activity which serves low- and moderate-income persons. The
project sponsor must verify and maintain documentation regarding the family size and income
of each person served. At least 51 percent of the clientele served must be low- and moderate-
income persons or the activity funded must be limited exclusively to low- and moderate-income
persons. The nature and location of the activity may also support a conclusion that primarily
low- and moderate-income persons are served. To qualify under this definition, the service
provided must be both of such nature and in such location that it may reasonably be concluded
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
4
EXHIBIT 1
that the activitys clientele will primarily be low- and moderate-income persons.
City of Santa Ana Consolidated Plan Priority Need Requirement
Applications for fiscal year 2022-2024 must meet a FY 2020-2024 Consolidated Plan priority
need. The Consolidated plan is available for review HERE.
Federal Requirements Resource Links
If funded, organizations will also need to comply with several federal requirements. For more
information on these requirements, organizations may view the following websites.
Playing by the Rules - A Handbook for CDBG Subrecipients on Administrative Systems: HERE
Guide to National Objectives and Eligible Activities for CDBG Entitlement Communities: HERE
To view Uniform Administrative Requirement, Cost Principles, and Audit Requirements for
Federal Awards, 2 CFR 200, visit: HERE
Additional Requirements
This application will be available for public display. Therefore, do not include any
information that is subject to state or federal confidentiality regulations (i.e. an address to a
domestic violence shelter).
The attached application contains several questions regarding city residents. Residency
of participants is determined by the last permanent address. The City will hold
organizations accountable for the information included, such as expected service level.
Review of Applications
City staff will conduct a minimum threshold review of all applications received for completeness
and to determine the eligibility of the proposed program. The Community Development
Commission (CDC) will review and recommend public service funding levels to City Council. City
Council will review the recommendations provided by the CDC for funding to determine which
activities will be in the best interest of the community.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
5
EXHIBIT 1
CDBG CRITERIA FOR ALLOCATING POINTS
2022 - 2024 CDBG Application Guidelines
COMMUNITY NEEDS
1. Did organization identify
Applicant identifies the nature of the program and
nature of the program and demonstrates need for the target population. = 10 Pts.
Applicant does not identify the nature of the program and did
demonstrate community
not demonstrate need for the target population. = 5 Pts.
need for the target
Applicant only identifies State or National data = 0 Pts.
population group (i.e. youth,
seniors, disabled)
10 Points
2. Did applicant meet a specific Applicant met a specific Consolidated Plan goal and priority
City Consolidated Plan goal and and correlation to proposed program was clear= 10 Pts
priority and stated correlation Applicant met a specific Consolidated Plan goal and priority
to proposed program? but did not clearly state the correlation to proposed
10 Points program= 5 Pts
Applicant did not meet any plan goal or priority= 0 Pts.
CAPACITY TO PROVIDE PUBLIC SERVICES
3. Did the organization provide Organization provided summary and staff listing of all admin
a summary and listing of the and program to fully execute proposed program=20 Pts
admin and program staff? Organization did not provide both summary and staff listing of
20 Points all admin and program staff =10 Pts
Organization provided summary and staff listing of all admin
and program staff but does not have the capacity to fully
execute proposed program=5 Pts
Organization did not provide summary and staff listing of all
Admin and program=0 Pts
EXPERIENCE
4. Years of experience providing
5 or more years of experience providing proposed program=10
the proposed program? Pts
2-4 years of experience providing proposed program=5 Pts
10 Points
1 year of experience providing proposed program=3 Pts
0 years of experience providing proposed program=0 Pts
5. Does the applicant have Applicant has experience administering CDBG and other Federal
experience administering Grant programs=10 Pts.
Applicant only has experience administering CDBG
CDBG and/or any other
programs=5Pts.
Federal Grants?
Applicant has no experience administering CDBG and/or Federal
10 Points
Grant programs=0 Pts.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
6
EXHIBIT 1
6.Did organization meet
Applicant met 90% annual goals and/or expended all grant
funds =10 Pts.
prior year's performance
Applicant met 75% annual goals and/or expended all grant
and/or expenditure
funds =5Pts.
goals.
Applicant met 50% annual goals and/or expended all grant
10 Points
funds for 1 of 3 years = 3 Pts.
Applicant did not meet annual goal and/or expended all grant
funds = 0 Pts.
EFFECTIVE & EFFICIENT USE OF FUNDS
7.Are the majority of 100% to 80% of program participants are City residents = 10 Pts.
unduplicated participants from 79.9% to 60% of program participants are City residents = 5 Pts.
Santa Ana? (Q1a/Q1=___%)59.9% to 30% of program participants are City residents = 0 Pts.
10 Points
Measurable performance outcomes with qualitatively and
8.Did the organization describe
quantitatively tracking = 10 Pts.
the measurable performance
Measurable performance outcomes but no qualitatively and
outcomes and how outcomes
quantitatively tracking = 5 Pts.
will be qualitatively and
No measurable performance outcomes and qualitatively and
quantitatively tracked?
10 Points quantitatively tracking = 0 Pts
9.Does the organization have
Organization partners and/or collaborates with 3 or more
active partnerships and/or
community organizations = 10 Pts.
collaborations in order to Organization partners and/or collaborates with 2 community
effectively and efficiently carry organizations = 5 Pts.
out proposed program?Organization partners and/or collaborates with 1 community
organization = 1 Pts.
10 Points
Organization partners and/or collaborates with 0 community
organization = 0 Pts.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
7
EXHIBIT 1
Anticipated Timeline
2022- 2024 CDBG Public Service Application
DatesActions
Community Development Commission -
Wednesday, October 27, 2021
Application Review/ AdHoc Committee
Tuesday, November 2, 2021City Council -Application Review and Approval
Application Released for 45 days
Wednesday,November 3, 2021*Notify all potential subrecipients from contact
lists via email/Nixle/Constant Contact.
,November 1,2021Mandatory CDBG Application Training
Monday, December 20, 2021Applications due at 5:00 PM
Tuesday, December 21, 2021 to Staff review of applications for CDBG
Thursday, December 23, 2021eligibility/National Objective compliance
1streview of applications by the CDC AdHoc
Wednesday, January 5, 2022
Committee
Tuesday, January 25, 2022 and CDC Special Meeting/Non-Profit Presentations
Thursday, January 27, 2022of Public Service Programs
2ndreview of applications by the CDC AdHoc
Thursday, February 3, 2022
Committee
Wednesday February 23, 2022CDC funding recommendations
CDBG Public Hearingat City Council,
Tuesday, March 15, 2022approval of HUD funded programs and
services.
If there is a question about any part of the application, please
contact us at dflores@santa-ana.org or 714-647-6561.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
8
EXHIBIT 1
APPLICATION FOR SUBRECIPIENT PROPOSALS
DUE DATE: Monday, December 20, 2021 at 5:00PM
Hard Copy Applications must be submitted by mail or hand delivered to:
City of Santa Ana
Attention: David Flores, Sr. Community Development Analyst
th
20 Civic Center Plaza 6 Floor
Santa Ana, CA 92701
NO LATER THAN 5 P.M., Monday, December 20, 2021.
ABSOLUTELY NO LATE APPLICATIONS WILL BE ACCEPTED.
Submit one complete application for each proposed program.
A complete application will include the following:
1.Organizational Cover Letter
2.Application Form
3.2022-2023 Proposed Program Budget (Attachment 1)
4.2023-2024 Proposed Program Budget (Attachment 2)
5.Certifications (Attachment 3)
6.Staff Listing (Attachment 4)
7.Organization Chart
8.Board of Directors, By-laws and Articles of Incorporation
9.Financial Statements & Single Audit, Form 990 (Single Audit required if organization
expended more than $750,000 of federal funds within a program year)
10.IRS Nonprofit Designation Letter
11.Logic Model
NOTES:
Failure to provide all required information will cause this application to become invalid and
will not be considered for funding. The City reserves the right to withdraw consideration of
this application if evidence of compliance is not provided or if compliance status changes
during the application process. The City reserves the right to waive a requirement if it is
determined to be in the best interest of the City.
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
9
EXHIBIT 1
PUBLIC SERVICE APPLICATION
DUE DATE: 5:00 p.m., Monday, December 20, 2021.
Legal Name of Organization*
DUNS umber*
A DUNS number is a unique nine-character number used to identify your organization. The City
uses the DUNS number to report how federal grant money is allocated. DUNS number lookup
or registration.
Name of second organization if doing a collaboration
DUNS number of second organization if doing a collaboration
A DUNS number is a unique nine-character number used to identify your organization. The City
uses the DUNS number to report how federal grant money is allocations. DUNS number lookup
or registration.
Date Organization Founded*
Date of Nonprofit Incorporation*
SERVICE AND FUNDING
Q1. Total number of unduplicated individuals to be served during FY2022-
2023 and FY 2023-2024 by program*
2022-2023 _______________ 2023-2024 _______________
a.Percentage that are estimated to be low-income*
2022-2023 _______________ 2023-2024 _______________
Q2. Estimated yearly units of service*
(number of unduplicated individuals multiplied by service visits i.e. 200 youth X 25 tutoring
sessions = 5,000 units of service)
2022-2023 _______________ 2023-2024 _______________
Q3. Total CDBG funds requested for FY 2022-2023 and FY 2023-2024*
($30,000 minimum)
2022-2023 _______________ 2023-2024 _______________
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
10
EXHIBIT 1
a. Minimum Willing to Accept to Administer Your Program*
($30,000 minimum)
2022-2023 _______________ 2023-2024 _______________
Q4. Cost per participant*
(Total CDBG funds requested divided by Total to be served)
Q5. Program History
a.Total number of Santa Ana residents actually served in 2020-2021
and 2021-2022 *
2020-2021 _______________ 2021-2022 _______________
b.Total years the program has been in existence
Q6. Name of Program*
Q7. Provide a concise description of the proposed program*
(300 character maximum)
Q8. Provide a detailed description of the proposed program. Include the
following in order*
a.Detailed description of services provided
b.Frequency of service delivery (i.e. daily, weekly, monthly);
c.How the service is provided (i.e. one-on-one, classroom settings, home visits, phone
referrals); and
d.Target population groups (i.e. youth in specific
neighborhoods)
(5,000 character maximum)
Q9. Describe your experience in providing the proposed program or similar
programs*
Highlight accomplishments
(5,000 character maximum)
Q10. Will this program result in new service or increase the level on an existing
service*
Yes
No
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
11
EXHIBIT 1
If yes, describe how the direct service proposed:
a.Is not a duplication of existing services available; or
b.Demonstrates a quantifiable increase in access and/or the level of an existing
service provided to the target population.
(5,000 character maximum)
Q11. Similar Services*
List similar services that are currently provided in the community and describe how the
proposed program complements or fills an existing gap in services
(2,000 character maximum)
Q12. Neighborhood Initiative Area*
An area that that has been adversely affected by disinvestment and decline is considered a
Neighborhood Initiative area. arget areas for this period are the
Townsend/Myrtle Neighborhoods at Jerome Center and Cedar-Evergreen Neighborhood at
Madison Elementary School. Does the program serve residents of a Neighborhood Initiative
area?
Choices
Yes
No
If yes, please describe below
If yes, please describe the area boundaries and reasons the area fits Neighborhood
Initiative criteria.
(5,000 character maximum)
Q13. Describe the unmet need that the proposed program will address*
(5,000 character maximum)
Q14. Will the program be conducted within the City of Santa Ana boundaries*
Choices
Yes
No
If no, explain how Santa Ana residents will be served
(5,000 character maximum)
Q15. Organization Participation*
List Santa Ana neighborhood associations, local community organizations and/or civic groups
the organization participates in and to what extent.
(5,000 character maximum)
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
12
EXHIBIT 1
Q16. List the benchmarks the organization will use to determine success of the
program*
Provide intended outcomes.
(5,000 character maximum)
Q17. Track and Measure Performance*
Describe how the organization will track and measure performance outcomes qualitatively
and quantitatively.
(5,000 character maximum)
Q18. List federal grants that the organization has received within the last 5
years*
Include grant amounts, services provided, and outcomes.
(5,000 character maximum)
Q19. Summarize the qualifications of the organiza staff*
(Program & Administrative) that would allow the organization to provide the services
stated and comply with regulatory requirements.
(5,000 character maximum)
ATTACHMENTS
Please download all forms to your desktop and then fill out. If you try to fill out the form
from the download screen, the information will not be saved when you try to upload it.
2022-2023 Proposed Program Budget (Attachment 1)
2023-2024 Proposed Program Budget (Attachment 2)
Staff Listing (Attachment 3)
Certifications (Attachment 4)
Logic Model
Using the template provided below by the University of Wisconsin, please attach a logic
model that will summarize your proposed program on one page including the situation
(community need) that you are going to address, the inputs you will use to address that
need, your outputs of activities that you will undertake in your program, and the
outcomes (short - 3 months, medium - 6 months and long - 12 months), that you will
achieve. Please ensure you are as detailed as possible to provide your logic of how you
will achieve your stated outcomes.
Logic Model from University of Wisconsin:
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
13
EXHIBIT 1
https://fyi.extension.wisc.edu/programdevelopment/logic-models/bibliography/
Copy of City of Santa Ana Community
Development Block Grant FY 2022- 2024 (Nonprofit Application)
14
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
Staff Listing
(Include Admin and Program Staff working on the proposed program)
CDBG
Name and TitleDuties/Activities PerformedQualification for Duties/Activities
Funded
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
Yes
No
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
EXHIBIT 1
Library
www.santa-ana.org/library
Item # 9
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Purchase of Robots, STEM Labs and Virtual Reality Units for the Library
AGENDA TITLE:
Approve a Sole Source Purchase Order to RobotLAB for the Purchase of Two Robots
and Software Licenses, Three STEM Labs and 10 Virtual Reality Units (Revive Santa
Ana Program)
RECOMMENDED ACTION
Approve a sole source purchase order to RobotLAB for the purchase of two robots and
software licenses for $48,089.97, three STEM labs for $49,470 and 10 virtual reality units
for $9,015 for a total amount of $106,574.97, subject to non-substantive changes
approved by the City Manager and City Attorney.
DISCUSSION
A Revive Santa Ana funded program in alignment with American Rescue Plan Act (ARPA)
guidelines supporting Educational Assistance, the K-12 Robots in Residence and the
AStounD Program for youth on the Autism Spectrum will address the critical need to
improve digital literacy, support positive educational outcomes, build social-emotional
skills and prepare underserved youth for a future AI (artificial intelligence)-driven
workforce.
The K-12 Robots in Residence program will provide access to future edge technologies
and AI assisted learning in both active and passive program settings. The Santa Ana
Public Library proposes to purchase a variety of equipment that will allow youth
participants to interact with, build, and program robots. Through the Robo-Digi Buddies
Initiative, volunteers known as "Big Buddies" (4th-12th grade) help “Little Buddies” (Pre-
K-3rd grade) discover and explore robots. Robot kits will be available for checkout and
accompanied by hands-on, interactive programs delivered at the Library and in
underserved communities via the Library’s upcoming bookmobile, known as the
“Knowledge Mobile.”
The AStounD program provides access via services, support and socialization for youth
with Autism Spectrum Disorder (ASD). The Santa Ana Public Library proposes to
Purchase of Robots, STEM Labs and Virtual Reality Units for the Library
November 2, 2021
Page 2
purchase a range of specialized Robot-Mediated Behavior Intervention (RMBI) robots and
other AI devices that will provide youth and their families with increased access to future
edge technology for assistive learning and behavioral support. The AStounD program
includes in-house robot checkout, workshops with ASD experts, and hands-on, interactive
programs delivered at the Library and throughout underserved communities via the
Knowledge Mobile.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds are budgeted and made available in the following account for the specified year.
Fiscal Accounting Fund Accounting Unit, Amount
YearUnit-Account #DescriptionAccount Description
FY 21-2218111013-63001American ARPA-Library, $106,574.97
Rescue Plan Miscellaneous
Act (ARPA)Operating Expenses
EXHIBIT(S)
1. Quote
Submitted By: Brian Sternberg, Executive Director of Library Services
Approved By: Kristine Ridge, City Manager
Exhibit 1
http://www.RobotLAB.com
Dear Customer,
We are happy to send you the following price quote. If you have any question, feel free to email us:
For sales related questions - Sales@RobotLAB.com
For Purchase Orders - PO@RobotLAB.com
We will be happy to work with you and serve your needs.
RobotLAB Inc., 75 Broadway St., Suite 202 San Francisco, California, USA, 94111
Phone: +1 (415) 702-3033 Fax: +1 (415) 276-9057 EIN: 99-0369415
Exhibit 1
http://www.RobotLAB.com
RobotLAB Inc., 75 Broadway St., Suite 202 San Francisco, California, USA, 94111
Phone: +1 (415) 702-3033 Fax: +1 (415) 276-9057 EIN: 99-0369415
Exhibit 1
http://www.RobotLAB.com
Prices do not include any state or government issued taxes. All amounts are in US Dollars.
Our General Terms and Conditions are available at the following link: http://www.robotlab.com/terms-and-conditions
Our General Terms and Conditions will govern and prevail on any clients documents and general and/or specific terms and conditions.
Thank you for this opportunity to serve you.
RobotsLAB Team
RobotLAB Inc., 75 Broadway St., Suite 202 San Francisco, California, USA, 94111
Phone: +1 (415) 702-3033 Fax: +1 (415) 276-9057 EIN: 99-0369415
Community Development Agency
santa-ana.org/cd
Item # 10
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Workforce Innovation and Opportunity Act Funds
AGENDA TITLE:
Approve Appropriation adjustment to Program Year 2021-22 Budget for the Workforce
Innovation and Opportunity Act Programs (Non-General Fund)
RECOMMENDED ACTION
Approve an appropriation adjustment to the Title I Workforce Innovation and Opportunity
Act for Program Year 2021-22 to reduce the budget in revenue account (12318002-
52001) by $10,083 and increase the budget in expenditure accounts (12318756-various)
by $9,307 to match the grant award total amount allocated by the State Employment and
Development Department. (Requires five affirmative votes)
DISCUSSION
The State Employment and Development Department (EDD) issued Workforce Services
Information WSIN21-06 on July 26, 2021, announcing the Rapid Response fund
allocations for each Local Workforce Development Area for the period of July 1, 2021
through June 30, 2022 (Exhibit 1). Santa Ana will receive $114,076 more than what was
approved in the FY 2021-22 City-adopted budget. At the time the FY 2021-22 City budget
was adopted, final award amounts were still unknown and staff used best estimates
based on prior-year award amounts. As a result, the Workforce Innovation and
Opportunity Act (WIOA) revenue and expenditure budgets adopted do not reflect the
actual award amounts. Therefore, an appropriation adjustment is needed to align the
budget to match the actual award, reducing the revenue and increasing the expenditure
budgets as follows:
Workforce Innovation and Opportunity Act Funds
November 2, 2021
Page 2
Revenues
Projected Grant Actual Grant Award
WIOA ProgramsDifference
Award AllocationAllocation
Adult$ 773,000$ 726,100($ 46,900)
Dislocated Worker 424,090 481,757 57,667
Youth 886,720 751,794 (134,926)
Rapid Response 261,070 375,146 114,076
Totals$2,344,880$2,334,797($ 10,083)
Expenditures
WIOA Program AdoptedActualDifference
Totals$2,325,490$2,334,797 $9,307
Use of the Rapid Response and Layoff Aversion funds are to be used to defray the cost
of required and allowable Rapid Response activities in response to layoffs, business
closures, and natural disasters. Rapid Response funds will be released to the City through
a unilateral modification to the Program Year 2021-22 subgrant agreement with EDD.
FISCAL IMPACT
Approval of the appropriation adjustment will reduce the revenue budget in the WIOA
revenue account (no. 12318002-52001) by $10,083 and increase the Rapid Response
budget by $9,307 in account (no. 12318756-various) for expenditure during FY 21-22.
Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director – Finance and
Management Services Agency
EXHIBIT(S)
1. Information Notice WSIN21-06
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
Community Development Agency
santa-ana.org/cd
Item # 11
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: HUD-VASH and FYI Special Fees Agreement with the Orange County United
Way
AGENDA TITLE:
Approve Appropriation Adjustments to Recognize Special Fees from the U.S. Department
of Housing and Urban Development for the Veterans Affairs Support Housing (HUD-
VASH) and Foster Youth to Independence (FYI) Programs (Contingent upon approval of
Housing Authority Item #3)
RECOMMENDED ACTION
1. Approve an appropriation adjustment recognizing the HUD-VASH Special Fees award
in the amount of $84,017 in revenue account and appropriating the same amount to
expenditure account. (Requires five affirmative votes)
2. Approve an appropriation adjustment recognizing the FYI Special Fees award in the
amount of $84,017 in revenue account and appropriating the same amount to expenditure
account. (Requires five affirmative votes)
DISCUSSION
On March 24, 2021, HUD issued PIH Notice 2021-10 announcing Federal Fiscal Year
(FFY) 2021 Funding Provision for the Housing Choice Voucher. This notice also included
an application opportunity for the HUD’s Special Fee Applications for the HUD-Veterans
Affairs Support Housing Program (HUD-VASH) and Foster Youth to Independence (FYI)
Program. The Housing Authority administers 280 HUD-VASH vouchers for homeless
veterans and 46 FYI vouchers for foster youth. On May 7, 2021, the Housing Authority
submitted an application for the HUD-VASH and FYI Special Fees, and on September 9
the Housing Authority received an award of $84,017 in HUD-VASH Special Fees and
$84,017 in FYI Special Fees to provide housing stabilization services and supportive
services (Exhibit 1).
The purpose of the HUD-VASH Special Fees is to support additional or extraordinary
related administrative expenses incurred to increase lease-up success rates or decrease
the time it takes for a homeless veteran to locate and move-in to a unit, such as landlord
incentives, housing search assistance, unit holding fee, security deposit fee and
application fee. This $84,017 in administrative fee funding may be used by the Housing
Appropriation Adjustments for HUD-VASH and FYI Special Fees
November 2, 2021
Page 2
Authority for administrative expenses and other eligible activities/expenses related to
housing stabilization.
The purpose of the FYI Special Fees is to support necessary additional or extraordinary
related administrative expenses incurred to achieve either of the following activities:
1) Full (100%) FYI voucher utilization; and
2) Increase access to the program for eligible youth.
With these one-time funds, staff is recommending approval of two agreements with the
Orange County United Way’s WelcomeHomeOC program to administer these funds on
behalf of the Housing Authority (Exhibit 2 and 3). The WelcomeHomeOC program
conducts extensive landlord outreach in the private market and provides landlord
incentives to increase the availability of rental units and decrease the time involved in the
search for an eligible and affordable unit for voucher holders. Their housing navigators
connect landlords to clients through housing navigation services, and facilitates the lease-
up process while ensuring wrap-around service case management services are in place
afterwards for the tenants. The WelcomeHome OC program works with many homeless
and nonprofit service providers to ensure clients have the case management and
supportive services they need to keep them in their home.
In 2019, the Housing Authority entered into a similar partnership with the Orange County
United Way to assist 25 foster youth find and lease-up affordable permanent housing with
their FYI vouchers. The WelcomeHomeOC team leased up all 25 FYI individuals and
families within a very short period of time. This success made our Housing Authority one
of the first in the nation to reach 100% utilization with HUD’s first allocation of FYI
vouchers. The results were recognized by HUD’s Los Angeles Field Office and staff were
invited to share our results with other housing authorities across the State of California.
FISCAL IMPACT
Approval of the appropriation adjustments will recognize $168,034 in the Housing Authority
Vouchers Admin revenue account (nos. 14018002-52006 and 14018002-52007) for
estimated expenditure as follows:
Fiscal Accounting Fund Accounting Unit, Account
Amount
YearUnit-AccountDescriptionDescription
Housing Authority Voucher Admin,
FY 21-22
14018760-62300Housing Authority$ 97,268
(Nov.-June)
Contract Services-Professional
Housing Authority Voucher Admin,
FY 22-23
14018760-62300Housing Authority$ 70,766
(July-June)
Contract Services-Professional
Total Expenditure$168,034
EXHIBIT(S)
1.HUD Award Letter dated September 20, 2021
Appropriation Adjustments for HUD-VASH and FYI Special Fees
November 2, 2021
Page 3
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Financial Management Center
2380 McGee, Suite 400
Kansas City, MO 64108-2605
OFFICE OF PUBLIC AND INDIAN HOUSING
September 20, 2021
CA093
CITY OF SANTA ANA HSG AUTH
20 CIVIC CENTER PLAZA
P.O. BOX 22030
SANTA ANA, CA 92701
Dear Executive Director:
SUBJECT: Calendar Year (CY) 2021 Housing Choice Voucher (HCV) Program Special Fees
This letter is to notify you that funds have been obligated for CY 21 HCV Program Special
Fees per the award letter dated September 15, 2021. This is a one-time award and has been
automatically disbursed in a lump sum. No action is required by your PHA to receive the
disbursement.
The specific information concerning the obligation(s) for your public housing agency (PHA)
is identified below.
Funding Increment Budget Effective Date Term Category
NumberAuthority(months)
CA093AF0144$84,0179/1/20211Special Fees-FUP
CA093AF0145 $84,017 9/1/2021 1 Special Fees-HUD-VASH
Attached is your Notice to Amend the Consolidated Annual Contributions Contract (CACC)
with revised funding exhibits reflecting the change(s) described above. The amendment notice and
revised funding exhibits should be filed with your most recent CACC. No execution by HUD or
your PHA is required.
Public housing agencies receiving an increment in excess of $100,000 in Budget Authority
(BA) are required to submit Form HUD-50071, Certification of Payments to Influence Federal
Transactions, and if applicable, Form SF-LLL, Disclosure of Lobbying Activities. If this letter
notifies you of a renewal in excess of $100,000, and your PHA has not submitted the Form(s)
HUD-50071 (and SF-LLL where applicable) for your current fiscal year; the documents must be
submitted to your Financial Analyst at the Financial Management Center (FMC) within 30 days of
the date of this letter. These forms are located on the Internet at the following addresses:
Form HUD-50071
https://www.hud.gov/sites/documents/50071.pdf
www.hud.gov espanol.hud.gov
EXHIBIT 1
Form SF-LLL
https://files.hudexchange.info/resources/documents/HUD-Form-Sflll.pdf
If you have any questions about the matters discussed in this letter, please contact your Financial
Analyst (FA) at the Financial Management Center (FMC).
Sincerely,
Jennifer Marshall
Division Director
Attachment
EXHIBIT 1
Consolidated U.S. Department of Housing and Urban Development
Annual Contributions Contract Office of Public and Indian Housing
Housing Choice Voucher Program Section 8
HUD NOTICE TO HOUSING AGENCY AMENDING
CONSOLIDATED ANNUAL CONTRIBUTIONS CONTRACT
Housing Agency: City of Santa Ana Housing Authority, CA093
(Type or print name of housing agency.)
In accordance with Paragraph 2.c. of the Consolidated Annual Contributions Contract between
HUD and the HA, you are notified that the funding exhibit of the Consolidated Annual
Contributions Contract is hereby revised to add a new funding increment as provided in the
attached revised funding exhibit. (This notice adds one or more funding increments listed on
the attached funding exhibit.)
The revised funding exhibit is attached to this HUD notice. This revised funding exhibit
replaces and revises the prior funding exhibit.
In accordance with Paragraph 2.d. of the Consolidated Annual Contributions Contract, this
HUD notice and the attached funding exhibit constitutes an amendment to the Consolidated
Annual Contributions Contract.
United States of America: Secretary of Housing and Urban Development Date of Document:
Authorized Representative
Robert H. Boepple, Director /2021
Financial Management Center
Form HUD-52520A (12/97)
EXHIBIT 1
V/T/!Efqbsunfou!pg!Ipvtjoh!boe!Vscbo!Efwfmpqnfou
QJI!Tfdujpo!9!.!Gvoejoh!Fyijcju
Qsphsbn.Cbtfe
BDD!OVNCFS;!!!DB1:4BG
GJFME!PGGJDF;!!:EQI
MPTGP-!QJI
IB!OVNCFS;!!!!!DB1:4
DJUZ!PG!TBOUB!BOB!ITH!BVUI
31!DJWJD!DFOUFS!QMB\[B
Q/P/!CPY!33141
TBOUB!BOB-!DB:3812
IB!GJTDBM!ZFBS!FOE;!!!17041
QSPHSBN!UZQF;!!!BENJO!GFF
GJ!OvncfsGjstu!Ebuf!pg!UfsnMbtu!Ebuf!pg!UfsnDpousbdu!UfsnCvehfu!BvuipsjuzVojut!Dpvou
DB1:4BG124417.12.31311:.41.31315%:9:-759/11O0B
DB1:4BG124521.12.313121.42.31312%358-523/11O0B
DB1:4BG124822.12.313123.42.31313%5:9-9:5/11O0B
DB1:4BG124912.12.313213.39.31323%5:9-9:5/11O0B
DB1:4BG124:23.12.313123.42.31312%39-554/11O0B
DB1:4BG125114.12.313214.42.31322%487-98:/11O0B
DB1:4BG125215.12.313216.42.31323%626-179/11O0B
DB1:4BG125317.12.31321:.41.31325%2-147-1:3/11O0B
DB1:4BG125421.12.313221.42.31322%36:-134/11O0B
DB1:4BG12551:.12.31321:.41.31322%95-128/11O0B
DB1:4BG12561:.12.31321:.41.31322%95-128/11O0B
DB1:4BGS3311:.12.31311:.41.31312%47-4:2/11O0B
DB1:4BGS3321:.12.31321:.41.31322%58-462/11O0B
DB1:4BGS43123.12.313123.42.31312%2-95:/11O0B
DB1:4BGS53115.12.313215.41.31322%75-681/11O0B
Qsjou!Ebuf;!Npoebz-!Tfqufncfs!31-!3132-!!21;65;66!BNGjobodjbm!Ebub!Nbsu!)B86S*Qbhf!2!pg!2
Sfqpsu!Qbui;!0dpoufou0gpmefs\\Aobnf>(B86S.TVC!Tvctjejbsz!Efubjm!
B86S.TVC.133b!Qsphsbn!Cbtfe!Gvoejoh!.!QB12Sfqpsut(^0gpmefs\\Aobnf>(B86S.TVC!IVEDBQT!Tfdujpo!9!Sfqpsut(^0sfqpsu\\Aobnf>(B86S.
TVC.133b!Qsphsbn!Cbtfe!Gvoejoh!.!QB12(^
)Tubuvt!Dpef!jo!)(d(-(v(-(q(-(e(-(f(**!boe!)Mjof!Ovncfs!>!(112(*!boe!)Ipvtjoh!Bvuipsjuz!Ovncfs!tubsut!xjui!DB1:4*!boe!)Qsphsbn!Uzqf!jo!)!BG**!boe!
Gjmufs;!
)Dpousbdu!Fyqjsbujpo!Ebuf!?!)Dvssfou!Ebuf!.!476!ebzt**
Sfoefsfe!cz!Dphopt
Public Works and Parks Recreation & Community Services Agencies
www.santa-ana.org/pw
Item # 12
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Santa Ana Zoo Giant River Otter and Primate Trails
AGENDA TITLE
Approve Appropriation Adjustment and Award a Construction Contract to HYM
Engineering in the Amount of $5,289,238 for the Santa Ana Zoo Giant River Otter and
Primate Trails FY 2021-22 Project with an Estimated Project Delivery Cost of $6,600,000
(Project No. 16-2658) (Non-General Fund)
RECOMMENDED ACTION
1.Award a contract and authorize the City Manager to execute a construction contract
with HYM Engineering, the lowest responsible bidder, in accordance with the base
bid in the amount of $5,289,238, for the term beginning upon execution of the contract
and ending upon project completion, for construction of the Santa Ana Zoo Giant
River Otter and Primate Trails project, subject to non-substantive changes approved
by the City Manager and the City Attorney.
2.Approve an appropriation adjustment to recognize $600,000 in donations from
Friends of the Santa Ana Zoo into the PRCSA Fee & Donation, Gifts & Donations
revenue account and appropriate the same amount into the PRCSA Fee & Donation,
Improvements Other than Building expenditure account for the Santa Ana Zoo Giant
River Otter and Primate Trails project. (Requires five affirmative votes)
3.Approve an appropriation adjustment to recognize $3,108,060.79 from prior-year
fund balance in the Residential Development District 3, Acquisition & Development,
Prior-Year Carry Forward revenue account and appropriate the same amount into the
Residential Development District 3, Acquisition & Development expenditure account
for the Santa Ana Zoo Giant River Otter and Primate Trails project. (Requires five
affirmative votes)
4.Approve an amendment to the Fiscal Year 2021-22 Capital Improvement Program to
include in construction funds, $600,000 from the PRCSA Fees & Donation Fund, and
$3,108,060.79 from the Residential Development District 3, Acquisition &
Development Fund, for the Santa Ana Zoo Giant River Otter and Primate Trails
project (No. 16-2658), for and total project budget increase of $3,708,060.79.
Award Construction Contract to HYM Engineering
November 2, 2021
Page 2
DISCUSSION
The existing “Amazon’s Edge” exhibit, built in 1990, needs a complete renovation of its
water filtration system, moat, and visitor observation area. In addition, the Association of
Zoos and Aquariums (AZA) indicated the Santa Ana Zoo needs to modernize primate
habitats to regain accreditations. The Santa Ana Zoo Giant River Otter and Primate Trails
project will respond to all of these needs by encompassing an extensive transformation
that will include redesign and reconstruction of existing facilities, installation of an
underwater viewing area, and incorporation of an elevated primate trail system that opens
up to large mesh habitats. Once completed, the exhibit will be a multi-species habitat that
is home to Giant River Otters and large primates. The location of this project can be
found on the attached location map (Exhibit 1).
Public Outreach and Contractor Participation
To provide an opportunity for local vendors to submit bids, the City notified a total of
three regional vendors via PlanetBids, none of which are Santa Ana-based. Three
vendors requested bidding documents, and a total of three bids were received. Bids were
not received from any Santa Ana contractors.
As legally required, a Notice Inviting Bids was advertised in the Orange County Register
newspaper on May 11 and May 18, 2021. The project was also advertised in PlanetBids
from July 19, 2021, through August 17, 2021. All Bids were received electronically via
PlanetBids on August 17, 2021.
Bid Results Summary
RANK BIDDER’S NAMELOCATIONBASE BID
1HYM Engineering Inc.Fullerton$5,289,238.00
2Kazoni ConstructionCosta Mesa$5,828,567.00
Metro Builders & Engineers
3Newport Beach$6,756,206.00
Group
A total of three bids were received, and all were deemed responsive. HYM Engineering
submitted the lowest responsive base bid, in the amount of $5,289,238 (Exhibit 2). As
specified in the bid documents, the lowest bid shall be determined on the basis of the
Base Bid. Based on the bid analysis and a contractor’s reference check, staff
recommends awarding the construction contract to HYM Engineering in the amount of
the base bid totaling $5,289,238 (Exhibit 3).
Project Delivery
To deliver a complete project, in addition to the construction contract, the estimated total
project delivery cost includes construction administration, inspection, and testing, along
with an allowance for contingencies to account for unexpected or unforeseen conditions.
Award Construction Contract to HYM Engineering
November 2, 2021
Page 3
Construction administration and inspection includes construction management;
implementation of the City’s Community Workforce Agreement requirements; inspection
of the Contractor’s work to ensure contract compliance, workmanship, and quality; and
materials testing. As indicated in the Cost Analysis (Exhibit 4) and as summarized in the
table below, the estimated total construction delivery cost of the project is $6,600,000.
Project ItemTotal
Construction Contract$5,289,238.00
Construction Administration, Inspection, Testing$781,838.20
Contingencies$528,923.80
TOTAL CONSTRUCTION DELIVERY COST$6,600,000.00
ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the proposed project is
exempt from future review. Categorical Exemption Environmental Review No. 2018-18
was for the project. In addition, a Certification of Categorical Exclusion and Statutory
Worksheet have been prepared in accordance with the National Environmental Policy
Act.
FISCAL IMPACT
As indicated in the Cost Analysis, the estimated total construction delivery cost of the
project is $6,600,000, which includes construction, contract administration, inspection,
testing, and an authorized contingency.
Approval of the requested Appropriation Adjustments will provide the following funding:
1.Recognize $600,000 in donations from FOSAZ into the PRCSA Fee & Donation,
Gifts & Donations revenue account (No. 02213002-57081) and appropriate the
same amount into the PRCSA Fee & Donation, Improvements Other than Building
expenditure account (No. 02213200-66220).
2.Recognize $3,108,060.79 from prior year fund balance in the Residential
Development District 3, Acquisition & Development, Prior Year Carry Forward
revenue account (No. 31313002-50001) and appropriate the same amount into the
Residential Development District 3, Acquisition & Development expenditure
account (No. 31313260-66220).
With the approval of the $3,708,060.79 amendment to the Fiscal Year 2021-22 Capital
Improvement Program (Exhibit 5) and corresponding appropriation adjustments, the
additional funding for this project will be available for expenditure in Fiscal Year 2021-22.
The following table summarizes the funds budgeted and available for expenditure to
deliver construction of this project. Any remaining balances not expended at the end of
the fiscal year will be carried forward into FY 2022-23 for expenditure.
Award Construction Contract to HYM Engineering
November 2, 2021
Page 4
Accounting Unit,
Fiscal Accounting Fund
Account Amount
YearUnit-Account #Description
Description
APROPRIATION ADJUSTMENTS
PRCSA Fee &
PRCSA Fees Donation,
2021-2202213200-66220$600,000.00
& DonationImprovements Other
Than Building
PRCSA-Acquisition &
Residential
Development,
2021-2231313260-66220Development $3,108,060.79
Improvements Other
District 3
Than Building
EXISTING PROJECT BUDGET
PRCSA-Acquisition &
Residential
31313261-66220Development In Lieu,
2021-22Development $1,044,223.00
(Proj. 16-2658)Improvements Other
District 3
Than Building
PRCSA-Acquisition &
Residential
31313260-66220Development,
2021-22Development $1,847,716.21
(Proj. 16-2658)Improvements Other
District 3
Than Building
Total$6,600,000.00
EXHIBIT(S)
1.Location Map
2.Bid Results
3.Construction Contract
4.Cost Analysis
5.CIP worksheet
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency and Lisa
Rudloff, Executive Director, Parks, Recreation & Community Services Agency
Approved By: Kristine Ridge, City Manager
TBOUB!BOB
Qspkfdu!Op/!27.3769;
TB!\[pp!Hjbou!Sjwfs!Puufs!
Ibcjubu!
EXHIBIT 2
EXHIBIT 3
-----
DATE:24.Pdu.3132
FY 27/28FY 27/28
-----
FY 26/27FY 26/27
-----
FY 25/26FY 25/26
-----
FY 24/25FY 24/25
PROJECT NEED:Uif!fyjtujoh!Bnb{po!Fehf!Fyijcju!offet!dpnqmfuf!sfopwbujpo!up!jut!xbufs!djsdvmbujpo!boe!qvnqjoh!tztufn/!Jo!beejujpo-!B\[B!joejdbufe!uif!TB!\[pp!offet!vqebufe!fyijcjut!up!sfhbjo!bddsfejub
ujpot/!Uif!pme!Bnb{po!Fehf!Fyijcju!xjmm!cf!dpnqmfufmz!sfeftjhofe!joup!b!ofx!Hjbou!Sjwfs!Puufs!Ibcjubu!xjui!bo!voefsxbufs!wjfxjoh!bsfb/!Uif!jnqspwfnfout!xjmm!bmtp!jodmvef!b!npolfz!ijhixbz!uispvhi!uif!
usfft!boe!mboetdbqf!up!csjoh!uif!bojnbmt!dmptfs!up!uif!wjfxfs/
-----
FY 23/24FY 23/24
CIP
CONTACT:Spo!Pop-!Benjojtusbujwf!Tfswjdft!Nbobhfs
-----
21/22
FY 22/23FY 22/23
600,000
FY 21/22FY 21/22
3,708,0613,708,0613,108,0613,708,061
TOTALTOTAL
CITY OF SANTA ANA FY
CAPITAL IMPROVEMENT PROJECT WORKSHEET
DIVISION:Benjojtusbujpo
PROJECT DESCRIPTION:Sfopwbuf!uif!fyjtujoh!Bnb{po!Fehf!Fyijcju!joup!b!ofx!Hjbou!Sjwfs!Puufs!Fyijcju/
ConstructionA & D District 3PRCSA F&D
PROJECT COSTSSOURCE OF FUNDS
PROJECT TITLE:Tboub!Bob!\[pp!Hjbou!Sjwfs!Puufs!Ibcjubu PROJECT CATEGORY:Qbsl!Gbdjmjuz!JnqspwfnfoutQbsl!Gbdjmjuz
LOCATION MAP
AGENCY:Qbslt-!Sfd/!'!Dpnnvojuz!Tfswjdft
Public Works Agency
https://www.santa-ana.org/pw
Item # 13
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: SR-55/Ritchey Street Water Improvements
AGENDA TITLE
Approve Appropriation Adjustment to Provide Construction Engineering Services funding
for the SR-55/Ritchey Street Water Improvement Projects in the Amount of $1,000,000
and Approve an Agreement with Berg & Associates, Inc. to Provide Construction
Engineering Services for the SR-55/Ritchey Street Water Improvements Projects in an
Amount Not to Exceed $1,000,000 for a Three-Year Term (Project Nos. 19-6438, 19-
6439, 19-6440) (Non-General Fund)
RECOMMENDED ACTION
1.Approve an appropriation adjustment to recognize $1,000,000 in reimbursement
obligation funds from OCTA, as stipulated in the three Utility Reimbursement
Agreements for the State Route 55 Improvement Project, into the Acquisition &
Construction, Water Utility Capital Projects, Expense Reimbursement-OCTA revenue
account and appropriate the same amount into the Acquisition & Construction, Water
Utility Capital Projects, Water Capital Project expenditure account. (Requires five
affirmative votes)
2.Authorize the City Manager to execute an agreement with Berg & Associates, Inc. to
provide Construction Engineering Services for the SR-55/Ritchey Street Water
Improvements Project, for a three-year term beginning November 2, 2021, and
expiring on November 1, 2024, with provisions for two, one-year extensions
exercisable by the City Manager and City Attorney, in the amount of $885,279.92, with
an approximate 13-percent contingency of $114,720.08, for a total amount not to
exceed $1,000,000.00, subject to non-substantive changes approved by the City
Manager and City Attorney.
DISCUSSION
On July 27, 2021, the Public Works Agency released Request for Proposal (RFP) No. 21-
066, by which it sought a qualified firm to provide construction engineering services for
the SR-55/Ritchey Street Water Improvements Project (Exhibit 1). The scope of work
includes engineering staff support and assistance with the overall delivery of the project,
SR-55/Ritchey Street Water Improvements
November 2, 2021
Page 2
including pre-construction tasks, construction management, contract compliance, and
project closeout.
The RFP was advertised on the City’s online procurement management and publication
system, with proposals due on August 17, 2021. Four proposals were received and
evaluated by a selection committee. Based on criteria outlined in the RFP, the following
summarizes the responding firms and their ranking:
FirmCityRank
Berg & Associates, Inc.San Pedro1
Cannon CorporationIrvine2
Willdan EngineeringAnaheim3
Fountainhead Consulting CorporationAnaheim4
Staff recommends awarding an agreement (Exhibit 2) to Berg & Associates, Inc. to
provide construction engineering services based upon the scope of work and selection
criteria outlined in RFP 21-066. Their proposal demonstrated the firm has the necessary
capacity and expertise to complete the required services.
On May 5, 2020, the City Council authorized execution of three utility reimbursement
agreements (Exhibits 3, 4 and 5) with Orange County Transportation Authority (OCTA)
for water relocation costs related to the State Route 55 widening project. Estimated
reimbursement for the agreements total $6,600,000. Staff recommends appropriating
$1,000,000 of these reimbursement obligation funds from OCTA to complete the funding
for the agreement with Berg & Associates Inc.
ENVIRONMENTAL IMPACT
In accordance with the California Environmental Quality Act, the recommended actions
are exempt from further review.
FISCAL IMPACT
Approval of the requested Appropriation Adjustments will recognize $1,000,000 in
reimbursement obligation funds from OCTA, as outlined in the Cooperative Agreement
No. C-0-2201 and three Utility Reimbursement Agreements for the State Route 55
Improvement Project, into the Acquisition & Construction, Water Utility Capital Projects,
Expense Reimbursement-OCTA revenue account (No. 06617647-57004) and
appropriate the same amount into the Acquisition & Construction, Water Utility Capital
Projects, Water Capital Project expenditure account (No. 06617647-66301).
All funds expended for the water relocation project costs are anticipated to be reimbursed
by the Orange County Transportation Authority (OCTA). Funds will be budgeted and
available for expenditure in Account No. 06617647-66301 in the following water relocation
SR-55/Ritchey Street Water Improvements
November 2, 2021
Page 3
projects: $230,000 for Project No. 19-6438, $470,000 for Project No. 19-6439, and
$300,000 for Project No. 19-6440.
The table below indicates the estimated expenditures by fiscal year. Any remaining
balances not expended at the end of the agreement term will be carried forward for
expenditure in the event the optional extension periods are exercised.
Accounting Unit –
Fiscal Accounting Unit – Fund
Account No. Amount
YearAccount No.Description
Description
Water Utility Capital
2021-22 Acquisition &
06617647-66301Projects, Water $300,000
(Nov-June)Construction
Capital Project
Water Utility Capital
2022-23Acquisition &
06617647-66301Projects, Water $400,000
(July-June)Construction
Capital Project
Water Utility Capital
2023-24Acquisition &
06617647-66301Projects, Water $250,000
(July-June)Construction
Capital Project
Water Utility Capital
2024-25Acquisition &
06617647-66301Projects, Water 50,000
(July-Nov)Construction
Capital Project
TOTAL:$1,000,000
EXHIBIT(S)
1.Location Map
2.Agreement with Berg and Associates, Inc.
3.Utility Reimbursement Agreement No. COSA-1101/1103
4.Utility Reimbursement Agreement No. COSA-1115
5.Utility Reimbursement Agreement No. COSA-1117
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
PWA
PUBLIC WORKS AGENCY
2nd day of November, 2021 by and between
November
1st, 2024
for at leastfive(5) years after completion
of thecontract of work.
with another claims-madepolicy form with a Retroactive
Date prior to
five (5)
City of Santa Ana RFP 21-066
PageA1-1
City of Santa Ana RFP 21-066
PageA1-2
City of Santa Ana RFP 21-066
PageA1-3
City of Santa Ana RFP 21-066
PageA1-4
City of Santa Ana RFP 21-066
PageA1-5
City of Santa Ana RFP 21-066
PageA1-6
City of Santa Ana RFP 21-066
PageA1-7
City of Santa Ana RFP 21-066
PageA1-8
City of Santa Ana RFP 21-066
PageA1-9
City of Santa Ana RFP 21-066
PageA1-10
City of Santa Ana RFP 21-066
PageA1-11
WesternExterminatorCompany:
City of Santa Ana RFP 21-066
PageA1-12
RICOHCompany:
OCTAand theFreewayWidening Construction Contractor
City of Santa Ana RFP 21-066
PageA1-13
o
o
o
o
o
o
o
o
o
City of Santa Ana RFP 21-066
PageA1-14
Please reference Caltrans Local Assistance Procedure Manual, Consultant Selection, Chapter
10, for further instructions and guidelines pertaining to the completion of these
forms:
To independently download any of the Caltrans Exhibits required per this RFP, visit:
City of Santa Ana RFP 21-066
PageA1-15
TS.660Sjudifz!Xbufs!
Jnqspwfnfou!Qspkfdu
Dpotusvdujpo!Nbobhfnfou
'!Jotqfdujpo!Tfswjdft
SGQ!Op/!32.177
Bvhvtu!28-!3132
Ubcmf!pg!Dpoufout
!!2!
A. Cover Letter01
B. Contract Agreement Statement02
C. Firm & Team Experience02
D. Understanding of Need03
E. Relevant Project Experience04
F. References05
A. Schedule of Activities and Resources19
B. Scope Tasks with Deliverables20
Seperately Submitted
Caltrans Forms
Resumes
Tubufnfou!pg!
2
B/!Dpwfs!Mfuufs
August 17, 2021
City of Santa Ana
Public Works Agency
20 Civic Center Plaza, M-36
Santa Ana, CA 92701
Attn: Kenny Nguyen, Project Manager
Reference:
Dear Mr. Nguyen:
Berg & Associates, Inc. (Berg) is pleased to submit our proposal to provide Professional Construction
Management and Inspection Services for the SR-55/Ritchey Water Improvement Project. We have
decades of experience managing water infrastructure, street improvement, and highway projects for local
cities and agencies and understand the challenge of completing projects on time and on budget while
ensuring that the public is safe, and inconveniences are minimized. Since 1980, Berg has successfully
completed projects similar to the City of Santa Ana’s that involve water mains, pipelines, pressure reducing
completed major water pipeline projects for the cities of El Segundo, Santa Monica, and Torrance. Visit
for more about our company.
To assist the City with its planned water improvement project, we have proposed Project Manager, Dave
Smith, PE, QSD, who brings 30 years of public works management experience. Supporting him as Main
project for the City of Santa Monica. Brenda Ramirez will serve as Contract Administrator, a role she is
exceling at on several projects.
Bvuipsj{fe!SfqsftfoubujwfQspkfdu!NbobhfsQspqptbm!Dpoubdu
Alicia M. BergDave Smith, PE, QSDJenelle Saunders
VP/Director of Research and Resident EngineerDirector of Communications
Development(310) 548-9292and Marketing
(310) 548-9292dave@bergcm.com(310) 548-9292
alicia@bergcm.comjenelle@bergcm.com
I, Alicia Berg, am authorized to bind Berg & Associates, Inc. (Berg) to the contractual terms and conditions
stated in the RFP. By submitting this proposal, Berg acknowledges that we have read and understand the
contents of this RFP and agree to comply with the requirements and conditions contained in the RFP and
all of the applicable Exhibits/Attachments. We acknowledge reciept questions and answers.
hard and are dedicated to serving you, to complete your project within budget and on schedule, and to
represent your City to the public in the best possible light.
Sincerely,
Alicia M. Berg, VP/Director of Research and Development
P: (310) 548-9292 | E: Alicia@bergcm.com
302 W. 5th Street| Suite 210 |San Pedro, CA 90731 |P: (310) 548-9292 | F: (310) 548-9195
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
C/!Dpousbdu!Bhsffnfou!Tubufnfou
Berg & Associates, Inc. takes no exception to any and all provisions contained in the Agreement,
Attachment 2, found in the RFP Appendix.
D/!Gjsn!'!Ufbn!Fyqfsjfodf
D/2/!Gjsn!Fyqfsjfodf
Berg & Associates, Inc. (Berg), is a Woman-Owned (WBE), Disadvantaged
(DBE), Small Business Enterprise (SBE), providing management and
inspection of underground and overhead utilities, water pipelines, storm
drains, and pump stations since 1980. From grade separations to park
projects, nearly all of our projects involve utility relocations. We managed
storm drain projects for the Alameda Corridor Transportation Authority
including the Anaheim Street Storm Drain which consisted of large
diameter, 84-inch, 72-inch, and 48-inch storm drainpipe. The drain was
constructed within the City of Los Angeles using micro-tunneling methods
and access to adjacent properties and ground water management and
removal of contaminated soil and water was required.
We’ve also constructed numerous pump stations including the New Dock
and Henry Ford Pump Station for the Port of Los Angeles. The four-pump
facility, with two operational and two standby Flyght pumps, serves as a wet
of electrical components and the below-grade concrete structure required
substantial excavation and shoring.
Recently, Berg has installed thousands of feet of waterlines for cities
Project Management
like Santa Monica, Torrance, and El Segundo. These project locations
Resident Engineering
Quality Assurance Inspection
restaurants, requiring minimized noise interference, continued public
Project Controls
Compliance Documentation
We have an impressive track record of successful coordination and
Constructability & Bidability
experience working with permitting and regulatory agencies such as the Site & Permit Review
Schedule Review
US Army Corps of Engineers, the California Regional Water Quality Control
PS&E Review
Board (RWQCB), State Water Resources Control Board, the Orange
Federal, State, Labor and
County Flood Control District, and the US Environmental Protection
Environmental Compliance
Utility Coordination
Railroad Coordination
Federally-funded Projects
Caltrans Oversight Projects
Local Assistance Projects
Zfbs!Gpvoefe
Hsfbu
Mpdbm
1980
Gjobodjbm
Ufbn
Dpoejujpo
Nfncfst of Industry, Long Beach, La
Quinta, San Pedro, CA
Xf!ibwf!mpdbm-!dsptt.usbjofe!
Op!cbolsvqudz-!mjujhbujpot-!!
Fnqmpzfft
tubgg!sfbez!up!qspwjef!b!sbohf!pg!
41
tfswjdft!gps!uif!Djuz/
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
!!Fyqfsjfodf!xjui!Gfefsbm!Gvoejoh
CFSH!GFEFSBMMZ!GVOEFE!'!
Berg routinely manages public works projects that utilize
MPDBM!BTTJTUBODF!QSPKFDUT!
Federal Aid, and we understand the requirements and
regulations that apply in order to govern construction.
We are very familiar with the Caltrans Local Assistance
Hsffo!Qpsu!Hbufxbz!Qspkfdu!)Usbdl!Sfbmjhonfou!
bu!Pdfbo!Cmwe/!boe!Qjfs!G!Tvqqpsu!Zbse*-!QPMC
process and the Construction (RE) Manual, which we
utilize on the majority of our projects.
Ibssz!Csjehft!Tusffu!Jnqspwfnfout-!QPMB!
Berg has an outstanding track record and long history of
Bwfojeb!Cboefsbt!Pwfsdspttjoh-!Djuz!pg!Sbodip!
working with cities and regional transportation agencies
Tboub!Nbshbsjub
to administer and manage federally funded Caltrans
Fm!Upsp!Dsffl!Dspttjoh-!Dpvouz!pg!Psbohf
Local Assistance projects. Caltrans has recognized us as
Mjodpmo!Bwf!Pwfsdspttjoh-!Djuz!pg!Dpspob
for bridges and roadway construction and reconstruction
for federally funded projects. We have provided these
Mblftipsf!Esjwf-!Mblf!Fmtjopsf
services for cities throughout Southern California from La
Tfbtjef!Bwfovf0Pdfbo!Cmwe/-!QPMC
Quinta to Simi Valley.
Nbefsb!Se/!Pwfsdspttjoh-!Djuz!pg!Tjnj!Wbmmfz
In our ten years as a Prime Consultant on the Alameda
Corridor, we facilitated the completion of nine different
construction projects, all federally funded. The bridges
J021!Sjwfstjef!Bwfovf!Joufsdibohf-!TCDUB
and grade separations were administered under the
Caltrans Local Assistance Procedures, and these same
procedures were applied to each project. On each of these
Xjefojoht!pg!6!joufsdibohft-!SDUD
projects Berg was the Prime Construction Management
Qpsupmb!Csjehf-!Djuz!pg!Qbmn!Eftfsu
Consultant and we provided Resident Engineering,
Xbtijohupo!Tusffu!Csjehf!Xjefojoh!pwfs!
Administration, Compliance and Documentation, Project
Xijufxbufs!Xbti-!Djuz!pg!Mb!Rvjoub
Controls, and Quality Assurance.
Hjmcfsu!Bwfovf!Voefsdspttjoh-!Djuz!pg!Gvmmfsupo
Recently, Berg managed two grade separations that
were federally funded; one for the City of Fullerton in
)BDUB*!qspkfdut;
conjunction with the Orange County Transportation
Epnjohvf{!Diboofm!Pwfsdspttjoh
Authority (OCTA), and one for the San Gabriel Valley
Dpnqupo!Dsffl!Csjehf
Council of Governments (SGVCG), formerly Alameda
Bmbnfeb!Dpssjeps!Pwfsdspttjoh
Corridor East (ACE) Construction Authority in the City of
Epnjohvf{!Diboofm!Gjmmfs!Csjehf
Industry. For each of these, we provided all staff to oversee
MBOJ!Qbslt!boe!Qpdlfu!Qbslt-!Mpt!Bohfmft
compile project documentation and monitor compliance
Boufmpqf!Se/!Tbgfuz!Nfejbo-!Djuz!pg!Nfojgff
with funding sources.
For each of these projects, Berg was responsible for compliance with federal regulations as prescribed
in the Caltrans Local Assistance Manual. For our entire existence as a company, we have adhered to
Caltrans procedures and standards, even when not required to do so.
Some of our standard operating procedures for administration of federally funded projects include:
•
Authorization to proceed.
•Review approvals from CTC and permit agencies are in place.
•
•Compliance with Prevailing Wage requirements as determined by the DIR.
•Utilization of Caltrans payment forms for the construction contractor and compilation of back up
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
•Working to meet milestones for phasing as approved and to achieve project completion within the
approved performance end date.
•Working to make sure the contractor complies with federal submittal requirements.
•Scoping, estimating, negotiating and implementing written changes, when necessary,
•within program eligibility.
•Full compliance with Chapter 16 of the Caltrans Local Assistance Procedure Manual to include
Weekly Statement of Working Days, Daily Reports by the Resident Engineer and Inspection staff,
EEO Reports, tracking all submittals, changes and potential claims.
•Filing of the Monthly Program Payments and Progress Reports.
•Making sure all documentation is accurate, complete and current for maximum funding reimbursement
All of our inspectors are able to conduct labor compliance interviews on site and some are bilingual in
English and Spanish. Our Assistant Project Manager is also a resource for on-site interviews, she is also
bilingual and well versed in all labor compliance standards, as needed.
The contractor will need to be registered with Department of Industrial Relations (DIR) and to submit to
monitor the changing labor compliance regulations. We will review and ensure compliance with CWA
requirements.
!!Fyqfsjfodf!xjui!Dbmusbot
Berg has been involved with Caltrans projects since the company was founded. We have held On-Call
contracts with Caltrans District 7, managed projects in the Caltrans ROW, and coordinated with Caltrans
for numerous projects that use LAPM and require Caltrans oversight. Our proposed Project Manager,
Dave Smith, PE, QSD, started his career in the Caltrans Bridge department and, more recently, he
completed the Raymond Avenue Grade Separation which required coordination with Caltrans District
12. Our proposed Contract Administrator, Brenda Ramirez, MPA, is currently working on projects with
Caltrans oversight, utilizing LAPM and providing quality assurance for the team’s project documentation
for Caltrans auditing in the City of Menifee (D8) and the City of Torrance (D7). Both of these team members
have extensive knowledge of Caltrans requirements and procedures. Our whole team is familiar with the
!!Fyqfsjfodf!xjui!PDUB
We have a successful history of project experience with OCTA including providing services for the Metrolink
Service Expansion Program, the Raymond Avenue Grade Separation Project, and two recent Metrolink
Stations with OCTA as the lead agency. Our team members are very familiar with their procedures and
methodologies. Currently, we are providing CM and Inspection services to OCTA for the Anaheim Canyon
Metrolink Station project. Our proposed Contract Administrator, Brenda Ramirez, MPA, currently provides
quality assurance for project documentation, monthly reports, and contract compliance. Our proposed
Project Manager, Dave Smith, PE, QSD, served as Resident Engineer on the Raymond Avenue Grade
Separation for the City of Fullerton with OCTA oversight. He worked closely with OCTA representatives
quality assurance for apy applications.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
D/3/!Pshboj{bujpo!Dibsu
We have provided a devoted team that will ensure a timely delivery of construction management and
inspection services for the SR-55/Ritchey Water Improvement Project. Below is the organizational chart
of our proposed team.
Core Staff
Support Staff
Project Manager
CFSH
Contracts Administrator
Main Inspector/CM
CFSH
CFSH
Bt.Offefe
Peak/Alt. Inspector
Utility Coordinator
CFSH
CFSH
Inspector/OE
Special Inspections
PO.TJUF!Ufdiojdbm
CFSH
Uijt!ufbn!gfbuvsft;
•Project Manager with extensive experience managing large highway and water infrastructure
projects that involve coordination with OCTA, Caltrans, and various regulatory agencies.
•Main Inspector/CM who has 30 years of experience inspecting and managing water main
replacement projects with extensive knowledge of best practices for various pipe removals and
installations.
•
documentation and management communication with the City and third-parties.
•
Caltrans experience.
•Peak/Alternate Inspector who brings over 40 years of water expertise.
•Utilities Coordinator with a background as an electrical contractor and inspector making him
invaluable as a utility coordinator. He has experience managing projects and is available to the
project for submittal reviews and an alternate Main Inspector/CM, as determined by the schedule.
•As-needed only, special inspection can be provided by ON-SITE Technical for commissioning of the
pump station and welding inspection.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
Ebwf!Tnjui-!QF-!RTE!}!Qspkfdu!Nbobhfs
Dave has more than 30 years of experience as Project Manager, Resident
Engineer, and Structures Representative on large, multi-staged, multi-
phased public works projects. Dave has a strong background in Public
Works standards and procedures and delivers superior service in a
complex management role. His career began at the Caltrans District 8
Bridge Department. With Berg since 1997, he has successfully managed
highway interchanges, roadway improvements, pump stations, bridges,
grade separations, and rail projects. Dave brings previous experience with
OCTA, Caltrans, and third-parties, andh is attention to detail and thorough
knowledge of construction practices means that the City will have a well-
Zfbst!pg!Fyqfsjfodf
run job with a quality end product.
30 Years
Zfbst!xjui!Cfsh
23 Years
•RE, Fullerton Road Grade Separation, SGVCOG/ACE
Tpguxbsf
•RE, Raymond Avenue Grade Separation, City of Fullerton/OCTA
Procore, Bluebeam,
•RE, I-10/Riverside Avenue Interchange, SBCTA
Airtable, P6, Microsoft
•Project Mngr., SR-101, SR - 118, & SR-23 Widenings, Caltrans
Registered Professional Engineer, Civil,
Fevdbujpo
BS Civil Engineering,
Roadway Worker Protection Training | Metrolink Third-Party Contractors
CalState Polytechnic
Safety Training | BNSF Roadway Worker Protection Training|Caltrans:
University Pomona
Foundations and Shoring | AC Pavement and Quality Control Professional
Csfoeb!Sbnjsf{-!NQB!}!Dpousbdut!Benjojtusbups
Brenda has 16 years of experience in program management, program
evaluation, and administrative services at a corporate, federal, state, local,
University of Southern California with a concentration in city and county
management. Brenda has extensive experience in report preparation and
excels at data compilation and cost forecasting. She is responsible for critical
project administration functions, including contract management, document
control, project communications, deliverables, and payment applications.
Brenda takes a proactive approach to making sure her projects meet
contract requirements and owner objectives.
Zfbst!pg!Fyqfsjfodf
16 Years
Zfbst!xjui!Cfsh
•
8 Years
Intersection Improvement, City of Torrance
Tpguxbsf
•Contract Admin., Antelope Road Raised Safety Median
Procore, Bluebeam,
Improvements, City of Menifee
•Contract Admin./Labor Compliance, Frisbie Park Sewer Lift Station,
Fevdbujpo
City of Rialto
Master of Public
•
Administration, University
Separation, SGVCOG/ACE
of Southern California
BS Anthropology/Law &
| Roadway Worker – PHL | Lone Worker – PHL | Superuser in Procore,
Society, UC Riverside
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
Njlf!Nbtfohbmf!}!Nbjo!Jotqfdups0Dpotusvdujpo!Nbobhfs
Mike Masengale has 36 years of water systems experience in which he
has served 4 years with Berg as a Construction Manager, 10 years as
Superintendent, 18 years as Foreman, and 6 years as a laborer, making
involving water, sewer, storm drains, emergency repairs, grading, paving,
and concrete work ranging from $1,500 to $20M in value. He regularly and
excellent project leader. He also communicates effectively and cooperates
well with owner representatives for the successful completion of projects.
His understanding of the process, the materials, costs, and how contractors
Zfbst!pg!Fyqfsjfodf
approach the work, brings the City an outstanding advocate for achieving a
36 Years
high quality project with minimal disruption to its community.
Zfbst!xjui!Cfsh
5 Years
•CM/Insp., On-Call CM Services, City of Santa Monica
Tpguxbsf
GZ2:031!Boovbm!Xbufs!Nbjo!Sfqmbdfnfou
Procore, Bluebeam,
GZ2902:!Boovbm!Xbufs!Nbjo!Sfqmbdfnfou
GZ26027!Boovbm!Xbufs!Nbjo!Sfqmbdfnfou
Fevdbujpo
•Lead Insp., Water Main Improvements on Cedar, City of El Segundo
Business Administration
•Lead Insp., N. Santa Monica Blvd. Reconstruction, City of Beverly
Coursework, Golden West
Hills
College
OSHA Compliance & Workplace Safety |
Primary Non-Commission
Szbo!Nppsf!}!Jotqfdups0PF
Ryan has over 10 years of experience in construction inspection, construction
requests, supports with contract change orders, tracks weekly statements
of working days, prepares service contract documents, keeps logs for
submittals, RFIs, RFCs, and RFQs, reviews extra work bills submitted by
contractors. He routinely inspects street improvement projects and has a
proven track record of maintaining meticulous project documents.
•Inspector/OE, Antelope Roade Safety Median, City of Menifee
Zfbst!pg!Fyqfsjfodf
•Lead Inspector, Street Enhancement Project CIP, City of Huntington
14 Years
Park
Zfbst!xjui!Cfsh
•OE/Lead Inspector, Alder Avenue & Randall Ave. Street
3 Years
Improvements, City of Rialto
Tpguxbsf
•OE/Inspector, Fullerton Road Grade Separation, SGVCOG/ACE
Procore, Airtable,
Caltrans Water Pollution Control on
Bluebeam, Microsoft
Fevdbujpo
BA Chaffey College
Inspector General Principles Review Course (CESSWI) - 6 Professional
Development Hours | 30-Hour OSHA Construction
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
E/!Voefstuboejoh!pg!Offe
the proposed SA-7 Pressure Reducing Station.
E/2/!Qspkfdu!Voefstuboejoh
The jack and bore operation under SR-55 will
commence at a later date in coordination with
It is our understanding City of Santa Ana requires
OCTA ROW agreements. Once the City contractor
a consultant to provide construction management
has completed jack and bore, the SA-7 PRS
and inspection services to oversee three
construction can begin; however, cannot be fully
interconnected projects within the SR-55/Ritchey
completed until the Caltrans contractor completes
Water Improvement Project with the goal to relocate
a water main, a pressure reducing station, and the
months.
water pipes crossing under the SR-55 in advance
Although it is important to get the contractor
of the highly anticipated SR-55 widening between
mobilized to complete the Ritchey St work, critical
the I-405 and I-5. The Berg team values working
on projects that enhance connectivity, safety, and
the bore and jack operation and the SA-7 PRS
infrastructure upgrades within communities.
construction dependent upon the initial right of way
waiting period for RICOH. This affects the easterly
and knowledge that Berg has specialized in for
pit and the waiting period for the Caltrans RCB,
40 years in the Southern California region. The
which affects completion of some minor aspects
main construction elements include excavation/
of the PRS. A suggestion would be to have 2
interim milestones: one for the completion and
installation (PVC, DIP, welded steel), water
activation of the Ritchey St main and a second for
monitoring/control systems, water systems
the activation of the SA-7 PRS. This would ensure
the primary objectives of the Project are met as
quickly as possible. Final completion of the wall
block wall, landscaping, paving, striping, utility
and energy dissipator drain are not critical and can
coordination and agency coordination.
await Caltrans completion of the RCB.
We understand a major element of the project
The Ritchey St. Water Main Relocation has 4
TCE work; on the west side of the SR-55,
Western Exterminator, and on the east side of
main (PVC and DIP), 2) Installation of new FH’s,
the SR-55, RICOH. OCTA is currently in the
services, FDC’s or connect to existing, 3) Test/
process of obtaining right of way access through
cutover and, 4) AC overlay/stripe. The new main is
construction easements and property acquisitions.
Of importance is the assumption that the City
contractor cannot gain access to these properties
PVC. The Southwest 300-ft to 400-ft cross over
until July 2022. This schedule hold becomes the
critical path for the project, of special concern, if
work as shown on Sht C106 (Sht 10 of 39) SA-7
the project construction commences with Ritchey
YARD PIPING PLAN.
St main replacement and there are subsequent
The southerly end of Ritchey St. requires detailed
delays with the easements from either Western
Exterminating or RICOH, impacting the duration of
pipe crosses over the street median. At each angle
the project. The CM team will work with the City
to ensure OCTA is aware of potential negative
a short section of concrete encased DIP which
impacts if the ROW is not available, and possible
requires crews to slightly switch operations to plan
positive impacts if the ROW were to become
for construction and curing of the concrete. All parts
available sooner.
Of the three interrelated projects, the Ritchey
Street main, a stand-alone project, will commence
at angle points, extensive, complete, and detailed
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
points do not change or that additional angle points installation of transmission mains. Both casings
tunnel per Cal-OSHA and, therefore, shall meet
the requirements of Cal-OSHA. The casings/
On the south end of Ritchey St., there is an existing
tunnels are constructed within the Caltrans ROW
valve just beyond the limits of construction. This
and must meet Caltrans requirements. The project
schedule must include time for Caltrans review of all
it can be closed to allow for the cutover process;
layouts, calculations, and work plans. The Caltrans
otherwise, repair or replacement of the valve is
Encroachment Permits Manual, Guidelines and
necessary, to avoid a 2nd line stop valve.
On the north end of Ritchey St., the City is adding
is to be adhered to, including fulltime inspection
a valve to the existing mainline via the line stop
by the project owner’s designated representative
method, that is, installing a valve while maintaining
during tunnelling (bore and jack) operations.
In addition to the bore and jack Work Plan, the
the limits of the waterline shutdown required.
contractor will be required to monitor the SR-55
The contractor will pothole this location prior to
surface to ensure no heaving or settlement occurs.
submitting shop drawings of the pipe. This is to
Installation and testing the pipe will occur during
ensure the condition and outside diameter of the
sized line stop/valve is procured. Sheet 26 of 39 of
The SR-55 widening will relocate an 8’ x 4’ RCB
the plans has a line stop plan identifying k-rail to
currently on the east side of the SA-7 Facility. Due
to its proximity to the SR-55, the City and Caltrans
water barrier be added on the south side work area
are requiring the majority of the SA-7 Facility be
to protect from blunt end exposure as currently
built (excluding a portion of the east block wall and
shown on the plans.
discharge structure), commissioned and activated,
including partial demolition, prior to construction of
the RCB. Of note, the existing block wall contains
water main is activated, and the SA-7 Facility
lead paint with elevated levels that will require the
is activated. Although this sounds like an easy
material to be handled as Non-RCRA Hazardous
process, due to the length of the pipe runs, there
Waste which will require a lead workplan and
will be many setups and pumping operations.
disposal plan prior to demolition of the existing
wall.
The City contractor is required to overlay the entire
width of Ritchey St. for the length of the project.
PRS construction will commence after the bore &
Once the main is relocated in Ritchey St., MCI
jack operation is complete and the pipe placement
/testing is completed. Our inspectors are highly
the City contractor is to wait until MCI is complete
experienced with pipe and valve installations, and
before beginning the overlay work. Coordination
our lead inspector has extensive electrical and pump
with MCI will be important to avoid delays to the
station experience Our specialty subconsultant
City contractor’s schedule.
(ON-SITE) will verify Special Provisions Section
17100 Field Testing requirements are completed
and ensure a smooth commissioning/ activation of
Construction of the jack and bore casings for the
water crossing cannot commence until OCTA has the SA-7 PRS.
completed ROW agreements with the RICOH
Once the new PRS is operational and accepted,
property owners. The RFP has indicated a four-
the existing PRS can be removed. Coordination
month timeline. Both of our proposed inspectors
with Caltrans will be required to verify length of
Asbestos Cement (AC) pipe to be abandoned. An
operations, as does our Project Manager, Dave
AC Pipe Handling plan to ensure the AC pipe is not
Smith.
friable will be required prior to removal.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
!!Dppsejobujpo!xjui!PDUB
OCTA is procuring easements on both sides of the SR-55 with Western Exterminator and RICOH. The
affects the start of the two casing crossings. Coordinating with OCTA to determine the earliest start date
OCTA is coordinating with Caltrans for the SR-55 Widening Project; with OCTA procuring the CM and
Caltrans procuring the construction contractor. The SR-55 project is to be completed between the two
phases of work on the City’s SA-7 Pressure Reducing Facility. Per the RFP, we are to assume a 12-month
construction period. It is important to closely coordinate with OCTA and their CM team to ensure the
Caltrans contractor is aware when the area will be ready for them to begin relocation of the 8’ x 4’ RCB
and for us to be aware, well in advance, of when the Caltrans contractor will have completed their work
before turning over the area and when receiving it back. Photos and videos will be taken in both instances
to document the condition. Both events would be required to be included on the City contractor’s CPM
schedule.
!!Bewbodf!Opujdf!pg!Tivuepxot!
Sjudifz!Tusffu!Xbufs!Nbjo;!The line in Ritchey St. is a large water main which provides water service and
to the City (SA-7 Facility) and local businesses are critical to good relationships with 3rd parties and
contractor’s CPM schedule. Personal contact with each business by the CM team is imperative. City
TB.8!Gbdjmjuz;!Critical to the City of Santa Ana’s water operations and per City requirements, this facility
can only be shut down for 7 consecutive calendar days. The CPM schedule would include pipe/electrical
installation, testing/commissioning, and would be monitored closely to ensure no time slippage. To ensure
the shutdown is completed within the required 7-day period, the contractor would be required to submit a
Testing/Commissioning Procedures submittal and a 7-Day Shutdown Activity submittal.
!!Vujmjuz!Dppsejobujpo!
As noted in the discussion regarding concrete encasement for pipe angle points, potholing of the known
potholing the known utilities, the CM team will ensure the contractor contacts DigAlert to mark utilities in
the entire footprint of the Project to ensure the designer did not miss any or that none were added after
design. The contractor will pothole the various tie-in points to ensure the horizontal/vertical alignment is
!!!UDF!Nbobhfnfou
TCE usage activities. Once the Project has commenced and schedules are known, the CM team will
ensure that both OCTA and the TCE owners (Western Exterminating and RICOH) were aware of the dates
and the work activities that will be occurring. These dates will be checked each month for discussions
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
E/3/!Pvs!Ufbnt!Bqqspbdi!
As your CM team, we are your front line on the project, coordinating contractor activities and representing
you to the public. We strive to make a good impression and make certain that the public sees this project
as a good use of public funds and excellent City management. Establishing a professional working
relationship with the contractor so that we work as a team to identify potential problems and solutions as
the work is planned is as powerful a quality assurance tool as continually inspecting all work.
234
dpnnvojdbujpoepdvnfoubujpofwbmvbujpo
DpotjtufouEfubjmfe!Ebjmz!SfqpsutRvbmjuz!Bttvsbodf
Nfujdvmpvt!Gjmf!NbobhfnfouNpouimz!Qsphsftt!Sfqpsut
Vujmj{f!Dibjo!pg!DpnnboeUsbdljoh!MphtJoufsobm!Bvejut
Our QA/QC program is rooted in three fundamentals that we practice in every aspect of the project:
communication, documentation, and evaluation. As illustrated in the graphic above, we use these basic
Our Contract Adminstrator will provide quality control by evaluating progress through schedule and
budget assessment. We will also confer frequently with the City of Santa Ana to dialogue regarding
quality delivery of services.
Berg’s approach to project management promotes teamwork and cooperation, understanding that a
project’s success depends on the success of each party. We have seen proof that continuous and
effective communication is vital to the success of all projects, and we promote this by:
•Establishing clear lines of communication.
•Timely responses to RFIs and submittals.
•Being positive and cooperative.
•Managing schedule and quality through communication and coordination.
•Ensuring impeccable accountability utilizing the latest management tools.
•Building stakeholder and community support through open communications.
We will provide exceptional construction management and technical inspection services complete with
pre-construction and post-construction, to deliver a successful project. Our goal as CM is to make certain
that the project moves forward consistent with all applicable administrative requirements while focusing
on the nuts and bolts of safety, quality, schedule, and cost.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
Qsf.Dpotusvdujpo!Qibtf
During the pre-construction meeting, we will review preliminary schedules, discuss procedures, and
begin to build a collaborative stakeholder team between the contractor, the City, the designer, Berg, and
opportunity to work with the contractor to establish a mutual understanding of the project goals:
•The schedule is a team effort
•Communications with team members is important
•
A key item of discussion during the Pre-Construction Meeting will be the communications process for the
CM staff that clearly lays out communications protocols. This is a communications tool that can help the
contractor understand who he will be dealing with for any particular issue. Other agenda items include
Together with the City, Berg will assist the City to implement an approved
strategy to mitigate construction impacts, respond to public inquiries, and
keep the local residences and businesses informed. Regularly scheduled
dissemination of construction activity information. The key to keeping
commuters and residents tolerant of project construction is frequent and
community. We will make sure that there is plenty of advance notice to all
schools, residents, and businesses that may be affected.
Establishing an agreed-upon schedule of values to break down lump
sum bid items will facilitate an accurate assessment of work progress
and streamline subsequent payment to the contractor. Our management
team is diligent to make sure that the amount paid to the contractor never
Contractor schedules are important tools in the schedule management
effort. These submittals demonstrate whether the contractor has an
understanding of what needs to be done to complete the work and
material and equipment procurement including the time for shop drawing
approval. Our team will review the contractor’s baseline schedule, analyze the critical path, and establish
a clear understanding of project milestones.
The contractor is responsible to submit a CPM schedule for the project, which is the base tool used to
monitor Project progress, plan the work and keep 3rd Party entities aware of work activities that affect
them or work windows they will be using.
We will ensure the following are included in the contractor’s CPM schedule:
1.All work activities
2.
3.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
compliance with City regulations. We monitor all
Dpotusvdujpo!Qibtf
permits that the contractor is required to obtain for
the project, which will include the following:
Berg staff are thoroughly familiar with Greenbook
•OSHA excavation and shoring permits
and Caltrans procedures and standards and will
•SWPPP (NPDES)
perform construction inspection services, as well as
•Building, electrical, and sewer permits
the construction of the project in conformance with
•Grading permits
these standards.
•Caltrans permits
We bring experienced staff that can identify
•
potential issue areas before a problem arises.
However, if corrective work is required, we are
•Disposal Permit
sure to have a thorough understanding of what
•Construction Water Permit
needs to be done and can quickly inform you of
the options available. Corrections or adjustments •State Division of Industrial Safety Permit
will be executed before work is completed, saving
•Right-of-Ways and TCEs
time and cost of redoing work.
The contractor would stake the TCE limits to ensure
We identify any non-conforming items prior to their
that work activities, equipment and workers do not
incorporation into the work and immediately notify
extend beyond the allowable TCE limits. This may
the contractor to start corrective action to prevent
sound trivial but even minor extensions on the
etc.) outside the limits can escalate to negative
communication with the property owner and even
recommendations for appropriate curative actions.
claims for additional usage. And at all times during
the project both properties will be secured with
It is the Construction Manager’s responsibility fencing by the contractor.
to quickly turn around routine submittals that do
Once the work is complete, the CM team completes
a TCE site review with pictures and video to
certain that submittals that need to be reviewed
by the designer are complete and to be cost
owner is invited and encouraged to attend this so
effectively reviewed. To ensure that submittals
that all parties are on the same page.
are complete prior to processing, we review each
Lfz!Tvcnjuubmt
before forwarding them for review.
The Testing/Commissioning Procedures submittal
An approach we have successfully used requires
would be reviewed by the Berg’s Lead Inspector
the contractor to assemble a list of submittals
and water specialist, Mike Masengale, would also
be forwarded to the City for comment. This would
provide a schedule of when the submittals will be
available for review. This completed list is then
SA-7 Facility cutover is accomplished the system
distributed to all interested parties for managing
will be up and running with no issues.
their efforts and identifying the submittals that are
The 7-Day Shutdown Activity submittal will also
of particular interest to them.
be reviewed by Mike Masengale and Project
Manager, Dave Smith. It would also be forwarded
We check that the contractor has applied for all of
to the City for comment. This will be a very high
the appropriate permits and will work closely with
detailed activity plan to include required work
the City and contractor to coordinate submittals,
activities, testing requirements, contingency plans,
approvals. We ensure that the contractor is in
day) to allow for minor issues.
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
workers, staff, and the public from the transmission
Our team will prepare the agenda, chair all of COVID-19 and variants.
meetings, and issue subsequent meeting notes.
In addition to weekly progress meetings where
A crucial task for our Inspector is to verify quantities
safety, anticipated work, schedule, and submittals
for recommended payment of the contractor’s
are discussed, there may be internal meetings
monthly pay application. Spreadsheets are used
with the City or issue resolution meetings.
to track bid items such as the amount of concrete
Tailgate, weekly and monthly safety meetings
used for each concrete mix design, the amount
and third-party coordination meetings will also be
of asphalt placed per mix and day, the amount of
held. For time-critical materials, we encourage
aggregate base placed, etc. This is also used to
and conduct readiness meetings between the
ensure quality assurance testing frequencies are
designer, contractor, and supplier, as-needed, to
met in a timely manner.
expedite the approval process and avoid multiple
Our Contracts Administrator will receive and review
re-submittals and the associated loss of time.
While we do not want to interfere with the
payroll submissions to our inspector’s daily reports
contractor’s means and methods of performing
to verify consistency. They will generate a list of
their work, there are several things that we can
all contractors that worked each week and will
do to promote a positive attitude towards best
practices:
or a ‘no work performed’ statement provided.
•Remind the contractor of the requirement
Our Project Manager will receive, review, and
to implement an approved safety program
recommend to the City for payment the construction
•Participate with the contractor in safety
reward lunches
quantities and pertinent supporting documentation.
•Report unsafe acts or conditions
All pay items are documented on Quantity Sheets
•Promote the tracking and posting of project
(Q Sheets) per Caltrans procedures. Timely
safety statistics
processing of progress payments represents a
We conduct a review of the site to verify all safety
measures are in place, and we look beyond
the immediate limits of the project to see if an we calculate and forecast to asses if a bid item
unintended consequence is a result of the project will exceed 5% of the original bid quantity. If we
trained and promote safe practices by pointing City with enough advance notice to take corrective
out equipment or situations that are not safe and action or facilitate a change order. It is important
praising a safe work approach. Berg will ensure to encourage the contractor to submit timely billing
that the contractor is made aware of and follows
the most current City, cunty, and CDC Health to avoid delay claims.
mandates, such as those designed to protect
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
Typically, we encourage the contractor to meet are very important for monitoring the contractor’s
with us prior to formal submission of the progress schedule and having a detailed look into each
payment request to make certain that there are no week of the project including:
miscommunications that might delay review and
•Total work days, weather and manpower
statistics
ensure that the contractor is not being overpaid,
•Status of potential changes and change
the review includes:
orders
•Review of as-built documentation to make •Representative progress photos
certain that it is up to date.
!
•Review of on-site materials advance
!vduj
!!Qspkfdu!Dmptfpvu
payments (if allowed under contract) to
make certain that materials previously
paid for remain properly stored and, if
Once substantial completion occurs, a punch list
incorporated into the work, are deducted
is developed of items requiring the contractor’s
from the advance installed price.
attention to be completed. Our team will schedule
•Review of amounts withheld to correct
so that discrepancy lists are completed in a timely
manner. Qptu.
Consistent and complete recording of project
progress is important to keep City staff informed
of what is happening, to provide a comprehensive
Our team will maintain redline as-built plans
record of work performed and the quality of that
throughout construction. As RFIs and design
work, and to have accurate documentation in the
event that there is a change or claim. Daily reports
changes into the redline as-built plans. Any
are one tool to make certain that all pertinent
additional contractor as-built deviations from the
information is gathered, including:
design documents are included in the redline as-
•Climate conditions and their effect, if any,
built plans. At the conclusion of the construction
on work activities
phase, we forward the redline as-built plan to
•Number of workers by trades, including
shift work
plans.
•Material and equipment
•Construction activities by trade and
location
All claims and payment items must be negotiated
•Special inspections
•
retention will not be released until acceptance of
•Observations of work completed
the project by appropriate authorities.
•Interesting or unusual occurrences
As construction work approaches completion, we
•Any work-related, off-site activity
work with the contractor to coordinate the collection
•Work-related discussions,
correspondence, or visitors to the siteof warranties, guarantees, lien releases, spare
parts, operation and maintenance manuals, and
Our monthly reports will contain a construction
record documentation. We review documentation
progress status update to provide you with a
management level overview of construction to make certain that it is in the proper format and
contains the information required by contract.
progress and issues. In each case, we address
We compile this information to verify that all
how we are proceeding to resolve issues. Weekly
documentation is complete prior to issuing a
meetings, a summary of work activities, and
schedule updates from the week. These reports
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
F/!Sfmfwbou!Qspkfdu!Fyqfsjfodf
| City of
Santa Monica
Berg currently holds an on-call contract for various CIP
projects that began in January of 2016.
This $1.4 million
project constructed along Ocean Avenue included
upgrades to the City’s waterline distribution system,
and restored asphalt roadway paving and striping.
After approximately 2,000 ft. of existing water main was
replaced, 110,000 square feet of Ocean Avenue roadway
On-Call Capital Improvement
was ground and capped with rubberized hot mix asphalt.
Program
The work began next to the highly congested entrance to
Santa Monica, CA
the Santa Monica Pier and included consistent outreach
2023
to the business and residential communities.
City of Santa Monica
This $4.9 million
project had similar elements to the FY 15/16 project but on
Carlos Rosales, PE
a larger, more complex scale. The replacement of 7,000
CIP Project Manager, City of Santa Monica
ft. of water mains were scattered throughout the city at
P: (310) 458-8721 x 2620
10 different locations. Some locations were residential,
E: carlos.rosales@smgov.net
and some were commercial, and some were both. The
projects biggest challenge of keeping all stakeholders informed was successfully met by the CM team.
City of Rialto
Berg provided construction management, inspection, and
gravity lines within a park in Rialto.
Work that contained roadway improvements required
cold-milling, construction of ADA ramps, double adjusted
Frisbie Park Sewer Lift Station
Rialto, CA
of new 4-inch diameter PVC pipe and 8-inch diameter
2020
clay pipe. Much emphasis was placed on coordination
City of Rialto
with the utility companies for the project. The Berg Team
encountered several utility companies delays but was able
Thomas Crowley, PE
to coordinate with utility executives to resolve the issues
Utilities Manager, City of Rialto
and to move the project faster towards completion.
P: (909) 820-8056
E: TJCrowley@rialto.ca.gov
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
| City of El Segundo
Berg served as primary construction manager for this Bid-
Build project. Approximately 950 feet of existing old water
mains, located primarily on two residential streets, were
hydrants, meters, air relief valves and associated laterals
Water Pipeline Replacement
as well as connections to existing systems, chlorination,
Improvement
El Segundo, CA
2019
were removed and replaced at the request of the water
City of El Segundo
department. This extra work was tracked and paid on a
Lifan Xu, PE
T&M basis.
City Engineer, City of El Segundo
Mike served as lead inspector, overseeing the contractor’s
P: (310) 524-2368
daily activities, monitoring contractor schedule and
E: lxu@elsegundo.org
City of Torrance
water main at the intersection of Hawthorne Boulevard
construction would not impede on access to businesses.
Other project services included trench excavation, pipe
laying, sidewalk reconstruction, cold milling, HMA paving
operations, pavement striping, and curb making. The
The second phase of this project has just kicked off and
Coast Highway Water Main Replacement
will widen the intersection at Hawthorne Boulevard and
Torrance, CA
2022
turn lanes and right-turn pockets at all four approaches.
City of Torrance
New PCC pavement sections will generally consist of
Jointed Plain Concrete Pavement (JPCP) over Lean
Steven Finton, PE
Engineering Manager, City of Torrance
Concrete Base (LCB) over Class 3 Aggregate Base.
P: (310) 618-6260
E: SFinton@torranceCA.gov
installation, relocation of catch basins, a small retaining
wall, new landscape, and irrigation.
discovered that the contractor had a defunct message board that would stop working, so he documented
Cfsh!'!Bttpdjbuft-!Jod/!
TS.660Sjudifz!Xbufs!Jnqspwfnfou!Qspkfdu!
Dpotusvdujpo!Nbobhfnfou!'!Jotqfdujpo!Tfswjdft
City of
Fullerton
Berg served as Prime construction manager providing a
full service 9 person CM team for the City of Fullerton’s
Raymond Avenue Grade Separation. The project
which is one of seven grade separations within the OC
Bridges Program, included the construction of a vehicle
undercrossing rail bridge, a pump station, and the
relocation of multiple wet and dry utilities including the
owned by the Metropolitan Water District.
Raymond Avenue Grade Separation
Berg provided resident engineering, complete construction
Fullerton, CA
management and quality assurance services for the
2019
project. Pump station work included fabrication and
City of Fullerton
installing piping, catwalks, and handrails with features
Ross Lew, PE
such as electrical systems, control systems, gas detection
Program Manager - Highway Programs, OCTA
systems, fall protection systems, and an intrusion detection
P: (714) 560-5775
system.
E: rlew@octa.net
The Berg Team worked closely with third-party utilities –
the Metropolitan Water District (MWD), Southern California
Edison (SCE), AT&T, Time Warner Cable and SoCal Gas – to coordinate utility relocation sequencing. One
in order to perform bacteriological tests. It also required coordination with other projects occurring along
Staging of utility work so that existing utilities remained in service while installing new utilities became an
issue. To solve this, the Berg Team carefully modeled a work sequence that would ensure minimal impact
to businesses and residents during construction while maintaining the construction schedule. The hour-
by-hour schedule for connections was approved two weeks in advance and readiness reviews were held
the week prior to shut down.
G/!Sfgfsfodft
Station
Carlos Rosales, PEThomas Crowley, PELifan Xu, PE
CIP Project ManagerUtilities ManagerCity Engineer
City of Santa MonicaCity of RialtoCity of El Segundo
P: (310) 458-8721 x 2620P: (909) 820-8056P: (310) 524-2368
E: carlos.rosales@smgov.nettE: TJCrowley@rialto.ca.govE: lxu@elsegundo.org
Darrin Lambrigger, PE
Ross Lew, PE
Director, Construction
Program Manager, Highway
Management
Programs
Port of Long Beach
OCTA
P: (563) 283-7200 x 7205
P: (714) 560-5775
E: darrin.labrigger@polb.comt
E: rlew@octa.nett
Cfsh!'!Bttpdjbuft-!Jod/!
Tdpqf!pg!Tfswjdft
3
'!Tdifevmf
Gff!Qspqptbm
4
5
Bqqfoejy
6
Will Bosboom, CWI, ACI, ICC
Senior Inspector
Professional Summary
EDUCATION
Graduate Gary Larsen Special
Experienced with IBC, ICC, & ACI Codes for Steel construction and Concrete Construction.
Inspector Courses;
This inspector is highly qualified in all aspects of structural steel and concrete fabrication and
Welding/Structural Steel
erection, including high strength bolting, concrete to building plans, drawings, reviews welding
A.W.S. / C.W.I. Course
procedures and welder certifications. AWS CWI and ICC Certified welding inspector, and ICC
certified for structural bolting and lot testing. Witnesses NDE and reviews test records.
Valley Community College,
San Bernardino. Construction
Qualified and experienced in the inspection all phases of shop and field fabrication, and
Blueprint Reading Course,
construction of ASME pressure vessels, heat exchangers, petroleum chemical
Orange Coast College, Costa
piping/pipelines, and storage tanks with extensive experience with all the AWS Welding
Mesa
Codes, including D1.1 Structural Steel Welding Code, and the ASME Pressure Vessel Code.
CERTIFICATIONS
Hands on experience with all aspects of Large Diameter Pipe Fabrication ranging from 24” to
AWS Certified Welding
120” diameter and Construction Site inspection, NDE witnessing, weld repair, dimensional
Inspector 05040491
inspection, and cement mortar lining operations, tape wrapping/coating operations
inspecting all aspects construction during installation verifying quality/quantity of materials
HDPE Fusion and PVC
for compliance with specifications requirements. Has extensive experience providing
Training
fabrication inspection and installation of HDPE-PVC pipe and fittings ranging in size from 18”
NACE Training
to 54” in diameter
Performs inspections for all aspects of structural steel and concrete fabrication and
ICC Structural Steel & Bolting
Inspector, Cert # 5104561 construction, including high strength bolting, concrete placement, drawing review and
interpretation. Inspects subbase preparation, rebar placement, form placement, and casting
ICC Structural Welding
on concrete construction. ICC Certified concrete inspector and ACI Technician. Experienced
Inspector, Cert # 5104561
with all aspects of Reinforced Concrete Pipe (RCP); including witness of manufacturing, D-
Load Testing and Visual Inspection of sizes ranging from 12” through 72” diameter.
ICC Reinforced Concrete
Inspector ACI Technician
Experienced in other aspects Heavy Civil construction projects including storm water and
Grade 1
sewer installation as well as water line installation. Proficient in verifying quantities during
construction and compliance with specifications requirements.
L.A. Certified Welder, Manual
and Semi Automatic
Has a Strong oral and interpersonal skill for communicating with the contractor’s
representatives Coordinating inspections with other trades, and project team member’s.
YEARS EXPERIENCE
Proficient reading and comprehending contract specifications, detailed drawings,
20 Years
construction blueprints and problem solving related to construction inspection practices.
YEARS WITH FIRM
16 Years Project Experience
Los Angles World Airport
As fabrication inspector performed Quality Assurance inspection during fabrication of large
diameter steel pipe 8”-64” diameter, mechanical equipment, structural steel, stairs, railings,
ductile iron pipe, concrete reinforced pipe, valves, roof joists, transformers, switchgear, HVAC,
VFD, PLC, electric circuits, mechanical systems, hydraulics and cast iron floor hatches, glass
supported railing, modular air handling units, fixed walk ways.
Witnessed Factory Acceptance testing of Air Handling Units for LAX Delta T-5 to ASHRAE, ARI,
and AMCA standards for (2) 23,500 CFM units. Monitored and verified air flow, pressure
drop, sound levels and various electrical parameters of the VFD’s.
• Tom Bradley International Terminal (TBIT)
• Bradley West Project
• The Southside Runway Improvements Project
• Runway 6L-24R Rehabilitation Project
• West Aircraft Maintenance Area Project
Calleguas Municipal Water District
steel pipe ranging in size from 8” to 49” diameter. Performed construction welding
inspection/NACE during the installation of steel pipe and fittings ranging in size from 8”
Will Bosboom, CWI, ACI, ICC
Senior Inspector
to 49” diameter. Duties include the verification of fit up and laying pipe in trench, a visual
weld inspection, witness NDE, coating inspections and is called upon to offer technical
assistance with difficult welding problems.
• Wellfield Emergency Generators-shop and construction site specialty pipe fittings
OTAY MWD-As Needed Inspection Services—
As Senior Inspector provides in plant fabrication welding inspection of Large Diameter
pipe, specialty fittings and related NACE coating inspection for the following Projects;
duties included welding inspection, hydro testing, and welder qualification testing:
• Otay Crossings Commerce Park Tract 5405-1
Independent Contractor -As Needed Inspection Services—
Certified Structural Steel & Welding Inspector.Performed CWI, ICC and ACI inspections on
the following projects:
Augustine Ramirez Intermediate School, Eastvale, CA, DSA app. 04-106717, Shop
and field welding inspection, $350 million dollar project
Riverside Community College Nursing and Science buildings, Riverside, CA, DSA app.
04-109948, Shop and field welding inspection, $52 million dollar project
Moreno Valley College Student Resources building, Moreno Valley, CA, DSA app. 04-
111892, Shop and field welding inspection, $30 million dollar project
Orange Coast College Learning Resource Center, Shop and field welding inspection,
$30 million project
Valley College Chem. Science Bldg., San Bernardino, CA, DSA app. 04-109148, Shop
and field welding inspection, $25 million project
Orange Coast College Arts Pavillion, Costa Mesa, CA, Field welding inspection, $10
million project
Distribution Center for Pro Logis Corp. in Rialto, CA, 1.2 million square foot Welding,
bolting, and concrete inspection
Steel Framed Three Story office building at Fashion Island, Newport Beach, CA, Field
welding and high strength bolting inspection
Steel Framed Five Story Office Building in Murrietta, CA. Field welding and high
strength bolting inspection
!Sbmqi!Dpjm-!DXJ-!OBDF-!BDJ!
Tfojps!Jotqfdups!!
Qspgfttjpobm!Tvnnbsz!
FEVDBUJPO!
Pwfs!31!zfbst!fyqfsjfodf!jo!uif!dpotusvdujpo!joevtusz!jo!uif!gjfme!pg!xfmejoh!fohjoffsjoh-!
Qipfojy!Tdippm!pg!Xfmejoh!
!opo.eftusvdujwf!uftujoh-!OBDF!boe!xfmejoh!jotqfdujpo!fyqfsjfodf!xjui!mbshf!ejbnfufs!
OBDF!Usbjojoh!DJQ!J!
xbufs!usbotnjttjpo!qjqf!jo!fydftt!pg!2:7Ç!jo!ejbnfufs/!Qpttfttft!fydfmmfou!xsjuufo!boe!
!
psbm!dpnnvojdbujpo!tljmmt!epdvnfoujoh!jotqfdujpo!bdujwjujft!uispvhi!ebjmz!jotqfdujpo!
DFSUJGJDBUJPOT!
sfqpsut!boe!jt!dbqbcmf!pg!voefstuboejoh!dpotusvdujpo!epdvnfout!xjui!uif!bcjmjuz!up!sfbe!
BXT!Dfsujgjfe!Xfmejoh!
boe!joufsqsfu!fohjoffsjoh!eftjho!boe!tipq!esbxjoht/!!!!
Jotqfdups!2:162912!!
!
!
Rvbmjgjfe!jo!uif!jotqfdujpo!boe!fyqfejujoh!pg!bmm!qibtft!pg!tipq!boe!gjfme!gbcsjdbujpo!pg!
BDJ!Hsbef!2!
tuffm!tusvduvsft-!tubjomftt!tuffm!qjqjoh-!FSX!qjqf-!Mbshf!Ejbnfufs!Xfmefe!Tuffm!Qjqf!
!
sbohjoh!jo!tj{f!gspn!35Ç!up!231Ç!ejbnfufs/!Hfpnfncsbof!jotubmmbujpo!gps!xbufs!boe!
OBDF!Mfwfm!J!Jotqfdups.
xbtufxbufs!mbhppot/!Ibwf!xpsljoh!lopxmfehf!pg!BTNF-!BXXB-!BXT-!BQJ-!BTOU!dpeft!
Usbjojoh!
!boe!tqfdjgjdbujpot/!Iboet!po!fyqfsjfodf!xjui!bmm!btqfdut!pg!qjqf!gbcsjdbujpo!boe!
Dbscpo!Gjcfs!Jotqfdujpo!
jotubmmbujpo-!OEF!xjuofttjoh-!xfme!sfqbjs-!ejnfotjpobm!jotqfdujpo-!dfnfou!npsubs!mjojoh!
Usbjojoh!!
pqfsbujpot-!ubqf!xsbqqjoh0dpbujoh!pqfsbujpot!boe!tijqqjoh/!!!
!
Dbqbcmf!pg!gvodujpojoh!bu!b!tfojps!mfwfm!jotqfdujoh!bmm!btqfdut!dpotusvdujpo!evsjoh!
TOU.UD.2b!Mfwfm!JJ!Ä!
Qsfwjpvtmz!Dfsujgjfe!VU-!NU-!jotubmmbujpo!wfsjgzjoh!rvbmjuz0rvboujuz!pg!nbufsjbmt!gps!dpnqmjbodf!xjui!tqfdjgjdbujpot!
QU-!SU!
sfrvjsfnfout/!!Ibt!Tuspoh!psbm!boe!joufsqfstpobm!tljmmt!gps!dpnnvojdbujoh!xjui!uif!
!
dpousbdupsÉt!sfqsftfoubujwft!Dppsejobujoh!jotqfdujpot!xjui!puifs!usbeft-!boe!qspkfdu!ufbn!
ZFBST!FYQFSJFODF!
nfncfsÉt/!Qspgjdjfou!sfbejoh!boe!dpnqsfifoejoh!dpousbdu!tqfdjgjdbujpot-!efubjmfe!
29!Zfbst!
esbxjoht-!dpotusvdujpo!cmvfqsjout!boe!qspcmfn!tpmwjoh!sfmbufe!up!dpotusvdujpo!jotqfdujpo!
!
qsbdujdft!
ZFBST!XJUI!GJSN!
Ibt!fyufotjwf!fyqfsjfodf!qspwjejoh!dpotusvdujpo!jotqfdujpo!tfswjdft-!evujft!ibwf!
27!Zfbst!
!
jodmvefe!xfmejoh!jotqfdujpo-!OEF!xjuoftt!boe!qfsgpsnbodf-!sfcbs!qmbdfnfou-!dfnfou!
!
boe!tusvduvsbm!tuffm!jotqfdujpo!evsjoh!bmm!qibtft!pg!dpotusvdujpo!gps!uif!tusvduvsbm!tuffm!
!
boe!xbufs!usbotnjttjpo!joevtusz!xpsljoh!bt!bo!pxofsÉt!sfqsftfoubujwf!boe!gps!
!
dpotusvdujpo!nbobhfnfou!ufbnt!evsjoh!uif!dpotusvdujpo!pg!ijhi!qspgjmf!Dbqjupm!
Jnqspwfnfou!Qspkfdut/!!!
Fyqfsjfodfe!dpbujoh!jotqfdups!dpnqmfujoh!jotqfdujpot!pg!dpbujoht!bqqmjfe!up!tusvduvsbm!
tuffm!jodmvejoh!tvsgbdf!qsfqbsbujpo-!boe!dpbujoh!uijdloftt/!!Sfwjfxt!boe!vq.ebuft!
dpotusvdujpo!tdifevmft-!efwfmpqt!boe!vq.ebuft!qvodi!mjtu!jufnt-!xpslt!xjui!fohjoffsjoh!
up!sftpmwf!pqfo!jttvft/!
!
Fyqfsjfodfe!jo!bmm!btqfdut!pg!OBDF!dpbujoh!jotqfdujpo!vujmj{joh!TTQD-!OBDF-!BXXB-!BTUN!
E4387-!JDJ-!BDJ!dpeft!boe!tuboebset!bttvsjoh!uibu!uibu!bmm!btqfdut!gspn!bncjfou!
dpoejujpot!boe!tvsgbdf!qsfqbsbujpo-!uispvhi!gjobm!dpbujoh!esz!gjmn!uijdloftt!boe!dvsjoh!
bsf!dpssfdu!boe!jo!bddpsebodf!xjui!uif!tqfdjgjdbujpo!uif!nbovgbduvsfs(t!bqqmjdbujpo!
sfdpnnfoebujpot!boe!joevtusz!tuboebset/!Frvjqqfe!boe!usbjofe!po!uif!ofdfttbsz!
jotusvnfoubujpo!up!qspwjef!uipspvhi!tvswfjmmbodf/!Qspwjeft!Dpnqsfifotjwf!
epdvnfoubujpo!jt!qsfqbsfe!ebjmz!efubjmjoh!kpc!rvbmjuz!boe!qsphsftt/!!
!
Fyufotjwf!Fyqfsjfodf!qspwjejoh!jotqfdujpo!pg!xjef!wbsjfuz!pg!qspufdujwf!dpbujoh!tztufnt!up!
tuffm!sftfswpjst!vq!up!6!NH-!Dpodsfuf!wbvmut-!mbshf!ejbnfufs!qjqf!boe!tusvduvsbm!tuffm!
gspn!Qpmzvsfuibof-!Dpbm!Ubs!Fqpyz-!Gvtjpo!Cpoefe!Fqpyz-!Ijhi!Tpmje!Fqpyz!dpssptjpo!
qspufdujpo!tztufnt/!!
!
Qspkfdu!Fyqfsjfodf!
Jomboe!Fnqjsf!Vujmjujft!Bhfodz.Cvujfs!Fohjoffsjoh!
RB!dpotusvdujpo!xfmejoh!jotqfdujpo!boe!tipq!gbcsjdbujpo!tfswjdft!pg!pwfs!2:-111!pg!47Ç!
ejbnfufs!tuffm!qjqf!boe!dpnqmfy!gjuujoht/!!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!boe!
mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!dbmmfe!
vqpo!up!pggfs!ufdiojdbm!bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!Evujft!jodmvef!uif!
wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!
dpbujoh!jotqfdujpot/!
¦!Xjofwjmmf!fyufotjpo!sfdzdmfe!xbufs!qjqfmjof!Tfhnfou.B!Qjqf!
!
!Sbmqi!Dpjm-!DXJ-!OBDF-!BDJ!
Tfojps!Jotqfdups!!
Dbmmfhvbt!Nvojdjqbm!Xbufs!Ejtusjdu!
Bt!gbcsjdbujpo!jotqfdups!qfsgpsnfe!Rvbmjuz!Bttvsbodf!jotqfdujpo!evsjoh!gbcsjdbujpo!pg!
mbshf!ejbnfufs!tuffm!qjqf!sbohjoh!jo!tj{f!gspn!9Ç!up!5:Ç!ejbnfufs-!QWD!Qjqf!vq!up!59Ç!
ejbnfufs!boe!IEQF!vq!up!65Ç!ejbnfufs/!Qfsgpsnfe!dpotusvdujpo!xfmejoh!
jotqfdujpo0OBDF!evsjoh!uif!jotubmmbujpo!pg!tuffm!qjqf!boe!gjuujoht!sbohjoh!jo!tj{f!gspn!9Ç!
up!5:Ç!ejbnfufs/!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!b!wjtvbm!
xfme!jotqfdujpo-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!jt!dbmmfe!vqpo!up!pggfs!ufdiojdbm!
bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!
¦!Pyobse!Qmbjo!Csjof!Mjof!Qjqfmjof!Qibtf!2C.65Ç!IEQF059ÇQWD!
¦!Tbmjojuz!Nbobhfnfou!Qjqfmjof!Qibtf!2F.5:Ç!Tuffm!qjqf!
¦!Xftumblf!Sftfswpjs!Sfqmbdfnfou!qspkfdu!
¦!Pbl!Qbsl0Opsui!Sbodi!Sfdzdmfe!Qjqf.29Ç!IEQF!Tjuf!
¦!TNQ!3C.43Ç!IEQF!!
¦!TNQ3E.23Ç-!27Ç-!31Ç!IEQF!
¦!Mblf!Tifsxppe!Tuffm!Sftfswpjs.OBDF!
¦!TNQ3B.41Ç!Tuffm!Qjqf!
!
Dbmjgpsojb!Efqbsunfou!pg!Xbufs!Sftpvsdft.Wbmj!Dppqfs Å!
RB!dpotusvdujpo!xfmejoh!jotqfdujpo!boe!tipq!gbcsjdbujpo!tfswjdft!pg!pwfs!9!njmft!pg!65Ç!
up!96Ç!ejbnfufs!tuffm!qjqf!boe!dpnqmfy!gjuujoht/!!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!
boe!mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!
dbmmfe!vqpo!up!pggfs!ufdiojdbm!bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!Evujft!jodmvef!
uif!wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!
dpbujoh!jotqfdujpot/!!!
¦!Nfoupof!Qjqfmjof!.!Tpvui!'!Fbtu-!Gppuijmm!Qjqfmjof!up!Dsbgupo!Ijmmt!Qvnq!Tubujpo!
!
Tbo!Ejfhp!Dpvouz!Xbufs!Bvuipsjuz.!Jo.Qmbou!Jotqfdujpo!boe!Bt!Offefe!Tfswjdft Å!
Tfojps!gbcsjdbujpo0dpotusvdujpo0OBDF!jotqfdups!evsjoh!uif!gbcsjdbujpo!pg!65Ç.219Ç!
ejbnfufs!dpnqmfy!gjuujoht!dfnfou!mjofe!boe!dpbufe!xjui!tqfdjbmuz!qpmzvsfuibof!mjojoh!
tztufn/!Evujft!jodmvef!OBDF!dfsujgjfe!dpbujoh!jotqfdujpo!pg!gjfme!bqqmjfe!qpmzvsfuibof!
mjojoh!boe!fqpyz!dpbujoh!tztufnt-!uif!wfsjgjdbujpo!pg!gju!vq-!wjtvbm!xfme!jotqfdujpot-!
xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!xfsf!dbmmfe!vqpo!up!pggfs!ufdiojdbm!bttjtubodf!xjui!
ejggjdvmu!xfmejoh!qspcmfnt/!!Joufsqsfut!esbxjoht!boe!qmbot-!qspwjejoh!uipspvhi!boe!
bddvsbuf!sfdpset!pg!xpsl!qfsgpsnfe-!jodmvejoh!dsfx!nblf!vq-!frvjqnfou!nblf!boe!
npefm-!nbufsjbmt!vtfe-!boe!fogpsdfe!dpnqmjbodf!xjui!dpousbdu!tqfdjgjdbujpot/!!
Sftqpotjcjmjujft!jodmvefe!epdvnfoubujpo!pg!nbufsjbmt-!frvjqnfou-!qfstpoofm!uispvhi!
efubjmfe!ebjmz!sfqpsut/!Qspwjefe!ufdiojdbm!tvqqpsu!evsjoh!bqqmjdbujpo!pg!Ijhi!Tpmje!Fqpyz!
Mjojoh!boe!Qpmzvsfuibof!qbjou!tztufnt/!!
¦!Tbo!Wjdfouf!Qvnq!Tubujpo!!
¦!!!!!Qjqfmjof!5!Qbjou!Npvoubjo!up!Efm!Ejpt!Ixz!Sfmjof.22-111!Gu!:4Ç!Ejb/!Tuffm!Mjofst!
¦!J.26!Sfmjof!Qspkfdu.77Ç-!7:Ç-!83Ç!Ejb/!Tuffm!mjofst!
¦!Qjqfmjof!5!Vshfou!Sfmjof!2-211!gu!pg!79Ç!Ejb/!
¦!Qjqfmjof!5!Sfmjojoh;!TS63!up!Mblf!Nvssbz.28-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!4!Sfmjojoh;!Txffuxbufs!up!Mpxfs!Pubz.43-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!4!Eftbm!Sfmjojoh.Tbo!Nbsdpt!up!Uxjo!Pbl.39-111gu!78Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Njttjpo!Usbjmt!Uvoofm.!6111!gu!:7Ç!Ejb/!Qjqf!Gjuujoht!
¦!Qjqfmjof!4!TS63!up!mblf!Nvssbz!Sfmjojof.28-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!5!Sfmjof!Efm!Ejpt!up!Cmbdl!Npvoubjo!Sbodi.37-111!gu!:4Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!6!Sfmjojoh;!up!Tbhf!Se.25-111gu!:7Ç!Ejb/!Tuffm!Mjofst!
¦!Tbo!Wjdfouf!Ebn!Sbjtf.71Ç.219Ç!Ejb/!Gjuujoht!boe!Fohjoffsfe!Frvjqnfou!
¦!Dbsmtcbe!Eftbmjoj{bujpo!Qspkfdu.61-111gu!65Ç!Ejb/!Qjqf-!Wbmwft!
¦!!!!!Uxjo!Pblt!Wbmmfz!Xbufs!Usfbunfou!Qmbou.71Ç!up!:4Ç!Ejb/!Qjqf!Gjuujoht!
¦!!!!!Npsfop!Mblftjef!Qspkfdu.83Ç!Ejb/!Qjqf!Gjuujoht!
Ebwf!Wbmfsjp-!DXJ-!OBDF!
Tfojps!Jotqfdups.Jotqfdups!!
Qspgfttjpobm!Tvnnbsz!
FEVDBUJPO!
Pwfs!41!zfbstÉ!fyqfsjfodf!jo!uif!dpotusvdujpo!joevtusz!jo!uif!gjfme!pg!xfmejoh!fohjoffsjoh-!
Ijhi!Tdippm!Hsbevbuf!Ä!
Xftunjojtufs!opo.eftusvdujwf!uftujoh!boe!qfsgpsnbodf-!sfcbs!qmbdfnfou-!dpodsfuf-!tusvduvsbm!tuffm-!
!
OBDF!boe!xfmejoh!jotqfdujpo!xjui!36!zfbst!pg!iboet!po!jotqfdujpo!fyqfsjfodf!xjui!mbshf!
Hpmefo!Xftu!Dpmmfhf!
ejbnfufs!xbufs!usbotnjttjpo!qjqf!jo!fydftt!pg!2:7Ç!jo!ejbnfufs!xpsljoh!bt!bo!pxofsÉt!
Cmvf!Qsjou!Sfbejoh!
sfqsftfoubujwf!boe!gps!dpotusvdujpo!nbobhfnfou!ufbnt!evsjoh!uif!dpotusvdujpo!pg!ijhi!
!
qspgjmf!Dbqjubm!Jnqspwfnfou!Qspkfdut/!!Qjqfmjof!qspkfdu0dmjfout!ibwf!jodmvefe<!Pubz!NXE-!
Fydfmmfodf!pg!Nbovgbduvsjoh!
Dbmmfhvbt!NXE-!Djuz!pg!Mpt!Bohfmft!CPF!!!
Nbobhfnfou-!DTVG!
!
!
Rvbmjgjfe!jo!uif!jotqfdujpo!boe!fyqfejujoh!pg!bmm!qibtft!pg!tipq!gbcsjdbujpot!pg!tuffm!
Tznjy!Tpguxbsf!Usbjojoh!
tusvduvsft-!BTNF!Qsfttvsf!wfttfmt-!mbshf!ejbnfufs!tqjsbm!xfmefe!qjqf-!ifbwz!xbmm!dbo!
Dpvstf!Dpnqmfujpo!!
!qjqf!boe!gbcsjdbufe!gjuujoht/!Ibt!xpsljoh!lopxmfehf!pg!BTNF-!BXXB-!BXT-!BQJ!boe!BTOU!
Nbovgbduvsjoh-!Qvsdibtjoh-!
dpeft!boe!tqfdjgjdbujpot/!!Ibt!iboet!po!fyqfsjfodf!xjui!bmm!btqfdut!pg!qjqf!gbcsjdbujpo!
boe!Jowfoupsz!Dpnqvufs!
boe!Qspkfdu!tjuf!gjfme!jotqfdujpo-!OEF!xjuofttjoh-!qiztjdbm!uftujoh!pg!tuffm!boe!dfnfou-!
Tztufn/!
xfme!sfqbjs-!dfnfou!npups!mjojoh!boe!dpbujoh!pqfsbujpot-!dpme!bqqmjfe!qmbtujd!ubqf!
!
xsbqqjoh!pqfsbujpot-!fqpyz!qbjou!tztufnt!boe!tijqqjoh/!!
Dpnqmfufe!Usbjojoh!Gps;!Gbsp!
!
mbtfs-!Fbtz!mbtf-!VU!Mfwfmt!J!'!
Qpttfttft!fydfmmfou!xsjuufo!boe!psbm!dpnnvojdbujpo!tljmmt!epdvnfoujoh!jotqfdujpo!
JJ!boe!Ev!Qpou!Tbgfuz!Usbjojoh!!
bdujwjujft!uispvhi!ebjmz!jotqfdujpo!sfqpsut!boe!jt!dbqbcmf!pg!voefstuboejoh!dpotusvdujpo!
!
epdvnfout!xjui!uif!bcjmjuz!up!sfbe!boe!joufsqsfu!fohjoffsjoh!eftjho!boe!tipq!esbxjoht/!!!!
Dpnqmfufe!Usbjojoh!Gps!
Jt!Rvbmjgjfe!jo!uif!sfwjfx!boe!bqqspwbm!pg!tqfdjgjdbujpot!boe!esbxjoht/!!Fyqfsjfodf!
Sbejphsbqijd!Mfwfm!J/!
!
jodmveft!efnpmjujpo!qmbot-!fydbwbujpo!esbxjoht!boe!mbzpvu-!jotqfdujpo!pg!sfcbs-!
DFSUJGJDBUJPOT!
qmbdfnfou!pg!dpodsfuf!gps!gpvoebujpot!boe!tmbct!bt!xfmm!bt!jotqfdujpo!pg!qjqjoh/!!Dfsujgjfe!
BXT!Dfsujgjfe!Xfmefs!
bt!bo!BXT!xfmejoh!jotqfdups!boe!ibt!dpnqmfufe!efubjmfe!ejnfotjpobm!jotqfdujpot!pg!
$::172242-!!
tusvduvsbm!tuffm!jotubmmbujpot/!!!
!
OBDF!Mfwfm!J!Dpbujoh!
Fyqfsjfodfe!dpbujoh!jotqfdups!dpnqmfujoh!jotqfdujpot!pg!dpbujoht!bqqmjfe!up!tusvduvsbm!
Jotqfdups.41241!!
tuffm!jodmvejoh!tvsgbdf!qsfqbsbujpo-!boe!dpbujoh!uijdloftt/!!Sfwjfxt!boe!vq.ebuft!
dpotusvdujpo!tdifevmft-!efwfmpqt!boe!vq.ebuft!qvodi!mjtu!jufnt-!xpslt!xjui!fohjoffsjoh!
ZFBST!FYQFSJFODF!
41!Zfbst!up!sftpmwf!pqfo!jttvft/!Dbqbcmf!pg!gvodujpojoh!bu!b!tfojps!mfwfm!jotqfdujoh!bmm!btqfdut!
!
dpotusvdujpo!evsjoh!jotubmmbujpo!wfsjgzjoh!rvbmjuz0rvboujuz!pg!nbufsjbmt!gps!dpnqmjbodf!xjui!
ZFBST!XJUI!GJSN!
tqfdjgjdbujpot!sfrvjsfnfout/!!Ibt!Tuspoh!psbm!boe!joufsqfstpobm!tljmmt!gps!dpnnvojdbujoh!
4!Zfbst!
xjui!uif!dpousbdupsÉt!sfqsftfoubujwft!Dppsejobujoh!jotqfdujpot!xjui!puifs!usbeft-!boe!
!
qspkfdu!ufbn!nfncfsÉt/!Qspgjdjfou!sfbejoh!boe!dpnqsfifoejoh!dpousbdu!tqfdjgjdbujpot-!
!
efubjmfe!esbxjoht-!dpotusvdujpo!cmvfqsjout!boe!qspcmfn!tpmwjoh!sfmbufe!up!dpotusvdujpo!
!
jotqfdujpo!qsbdujdft/!
!
Fyqfsjfodfe!jo!bmm!btqfdut!pg!OBDF!dpbujoh!jotqfdujpo!vujmj{joh!TTQD-!OBDF-!BXXB-!BTUN!
E4387-!JDJ-!BDJ!dpeft!boe!tuboebset!bttvsjoh!uibu!uibu!bmm!btqfdut!gspn!bncjfou!
dpoejujpot!boe!tvsgbdf!qsfqbsbujpo-!uispvhi!gjobm!dpbujoh!esz!gjmn!uijdloftt!boe!dvsjoh!
bsf!dpssfdu!boe!jo!bddpsebodf!xjui!uif!tqfdjgjdbujpo!uif!nbovgbduvsfs(t!bqqmjdbujpo!
sfdpnnfoebujpot!boe!joevtusz!tuboebset/!Frvjqqfe!boe!usbjofe!po!uif!ofdfttbsz!
jotusvnfoubujpo!up!qspwjef!uipspvhi!tvswfjmmbodf/!Qspwjeft!Dpnqsfifotjwf!
epdvnfoubujpo!jt!qsfqbsfe!ebjmz!efubjmjoh!kpc!rvbmjuz!boe!qsphsftt/!!
!
Qspkfdu!Fyqfsjfodf!
Tfojps!Jotqfdups-!DXJ!OBDF!J!jotqfdups-!Dbmmfhvbt!Nvojdjqbm!Xbufs!Ejtusjdu.Bt!tfojps!
jotqfdups!qfsgpsnfe!Rvbmjuz!Bttvsbodf!jotqfdujpo!evsjoh!gbcsjdbujpo!pg!mbshf!ejbnfufs!
tuffm!qjqf!sbohjoh!jo!tj{f!gspn!9Ç!up!5:Ç!ejbnfufs/!!Qfsgpsnfe!dpotusvdujpo!xfmejoh!
jotqfdujpo0OBDF!evsjoh!uif!jotubmmbujpo!pg!tuffm!qjqf!boe!gjuujoht!sbohjoh!jo!tj{f!gspn!9Ç!
up!5:Ç!ejbnfufs/!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!b!wjtvbm!
xfme!jotqfdujpo-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!jt!dbmmfe!vqpo!up!pggfs!ufdiojdbm!
bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!
¦!Xfmmgjfme!Fnfshfodz!Hfofsbupst.tipq!boe!dpotusvdujpo!tjuf!tqfdjbmuz!qjqf!gjuujoht!
¦!Hsboetfo!Qvnq!Tubujpo.!tipq!boe!dpotusvdujpo!tjuf!tqfdjbmuz!qjqf!gjuujoht!
Ebwf!Wbmfsjp-!DXJ-!OBDF!
Tfojps!Jotqfdups.Jotqfdups!!
Tfojps!Jotqfdups-!DXJ!jotqfdups!JEF.Qptfjepo!Sftpvsdft!.Qspwjeft!tjuf!xfmejoh!
jotqfdujpo!pg!tubjomftt.tuffm!TNP!365!tqfdjbmuz!gjuujoht!bttpdjbufe!xjui!fnfshfodz!sfqbjs!
pg!7Ç.25Ç!ejbnfufs!qjqjoh<!evujft!jodmvefe!xfmefs!rvbmjgjdbujpo!uftujoh-!xfmejoh!jotqfdujpo!
epdvnfoubujpo!pg!fbdi!xfme!tfhnfou!dbmdvmbujoh!usbwfm!tqffe!boe!ifbu!joqvu!gps!tusjdu!
dpogpsnbodf!xjui!XQT!sfrvjsfnfout/!!
¦!Dmbvef!ÆCveÇ!Mfxjt!Dbsmtcbe!Eftbmjobujpo!Qmbou!
!
.
Tfojps!Jotqfdups-!DXJ!jotqfdups!PUBZ!NXE.Bt!Offefe!Jotqfdujpo!Tfswjdft Bt!Tfojps!
Jotqfdups!qspwjeft!jo!qmbou!gbcsjdbujpo!xfmejoh!jotqfdujpo!pg!Mbshf!Ejbnfufs!qjqf-!
tqfdjbmuz!gjuujoht!boe!sfmbufe!OBDF!dpbujoh!jotqfdujpo!gps!uif!gpmmpxjoh!Qspkfdut<!evujft!
jodmvefe!xfmejoh!jotqfdujpo-!izesp!uftujoh-!boe!xfmefs!rvbmjgjdbujpo!uftujoh;!!
¦!Pubz!Dspttjoht!Dpnnfsdf!Qbsl!Usbdu!65162!
¦!Xftufso!Xbufsxpslt.Pubz!Sbodi.Wjmmbhf!4-!Ifsjubhf!Spbe!
!
Gbcsjdbujpo!Jotqfdups!Ä!DXJ!'!OBDF!J!Dpbujoh!Tqfdjbmjtu!)Mpt!Bohfmft!Xpsme!Bjsqpsu*!
Qfsgpsnt!gbcsjdbujpo!Rvbmjuz!Bttvsbodf!tfswjdft!pg!mbshf!ejbnfufs!qjqf-!nfdibojdbm!
frvjqnfou-!tusvduvsbm!tuffm-!tubjst-!sbjmjoht-!evdujmf!jspo!qjqf-!dpodsfuf!sfjogpsdfe!qjqf-!
wbmwft-!sppg!kpjtut-!usbotgpsnfst-!txjudihfbs-!IWBD-!WGE-!QMD-!fmfdusjd!djsdvjut-!nfdibojdbm!
tztufnt-!izesbvmjdt!boe!dbtu!jspo!gmpps!ibudift-!hmbtt!tvqqpsufe!sbjmjoh-!npevmbs!bjs!
iboemjoh!vojut-!gjyfe!xbml!xbzt/!
¦!Uif!Tpvuitjef!Svoxbz!Jnqspwfnfout!Qspkfdu!
!
RD!Tvqfswjtps!OPW!BNFSPO!JOUFSOBUJPOBM!XBUFS!USBOT!HSPVQ!XJOE!UPXFS!
EJW/!!GPOUBOB-!DB!
Evujft!jodmvefe!uif!eftusvdujwf!boe!opo.eftusvdujwf!uftujoh!pg!nbufsjbmt!vtfe!jo!uif!
nbovgbduvsf!pg!mbshf!ejbnfufs!dfnfou-!ubqf!boe!fqpyz!mjofe-!boe!dpbufe!tuffm!qjqf!vq!up!
2:7Ç!jo!ejbnfufs/!Fybnqmft!jodmvef-!cvu!bsf!opu!mjnjufe!up!Wjtvbm!xfme!jotqfdujpo-!
nbhofujd!qbsujdmf-!ezf!qfofusbou-!ibseoftt-!ufotjmf!boe!cfoe!uftujoh!pg!xfmet!boe!tuffm/!
Dpnqsfttjpo-!npjtuvsf!bctpsqujpo-!boe!cbudi!npjtuvsf!dpoufou!uftujoh!pg!dfnfou!mjojoht!
boe!dpbujoht/!Qfsgpsnfe!Qiztjdbm!uftujoh!pg!dpme!bqqmjfe!qmbtujd!ubqf!boe!fqpyz!dpbujoht-!
evujft!jodmvefe!uijdloftt!wfsjgjdbujpo!boe!beiftjpo!uftujoh!gps!wbsjpvt!ubqf!boe!fqpyz!
dpbujoht<!bjefe!jo!uif!efwfmpqnfou!boe!jnqmfnfoubujpo!pg!uif!JTP!:113!Rvbmjuz!
Nbobhfnfou!Tztufn/!
!
Nffu!xjui!uif!Qspkfdu!Sfqsftfoubujwf!ps!Dmjfou!up!sfwjfx!uif!sfrvjsfnfout!pg!uif!dpousbdu!
tqfdjgjdbujpot!boe!boz!dpeft!ps!tuboebset!uibu!nbz!cf!bqqmjdbcmf/!Tvqfswjtf!uif!RD!
Ufdiojdjbot!po!uif!tipq!gmpps!boe!ifmq!jo!usbjojoh!boe!bewjtjoh!uifn!pg!nfuipet!boe!
ufdiojrvft/!Sfwjfx!uif!tqfdjgjdbujpot!boe!ifmq!jo!ftubcmjtijoh!ipme!qpjout!boe!uijse!qbsuz!
xjuoftt!qpjout/!Ifmq!jo!ftubcmjti!uif!fyufou!boe!nfuipet!pg!OEF/!
!
!
Kbz!Mptpgtlz!
Tubsu.Vq!Fohjoffs!0!Fmfdusjdbm!Frvjqnfou!Tqfdjbmjtu!!
Qspgfttjpobm!Tvnnbsz!
DFSUJGJDBUJPOT!
Ofwbeb!Fmfdusjdbm!Dpousbdupst!
Ns/!Mptpgtlz!ibt!59!zfbst!pg!RB0RD!fyqfsjfodf!qfsgpsnjoh!tubsu.vq!tvqqpsu!boe!
Mjdfotf$34625!)Jobdujwf*!
qbsuofsjoh!pg!xbufs!usfbunfou!qspkfdut/!If!jt!fyqfsjfodfe!jo!bmm!btqfdut!pg!gbcsjdbujpo!
Dbmjgpsojb!Fmfdusjdbm!
jotqfdujpo!boe!dpotusvdujpo!jotqfdujpo-!jodmvejoh!fmfdusjdbm-!dpouspm!tztufnt-!qjqfmjoft!
Dpousbdupst!Mjdfotf$535241!
boe!jotubmmbujpo-!bt!xfmm!bt!nfdibojdbm!frvjqnfou/!If!jt!lopxmfehfbcmf!jo!gjobm!uftujoh-!
)Jobdujwf*!
efcvhhjoh-!tubsu.vq!boe!dpnnjttjpojoh!pg!tztufnt!sfmbufe!up!dimpsjobujpo-!gmvpsjebujpo-!
gvnjhbujpo-!fygpmjbujpo-!xbufs!usfbunfou-!difnjdbm!gffe-!mbshf!qvnqt!boe!wbmwft-!
ZFBST!FYQFSJFODF!
fmfdusjdbm!frvjqnfou-!dpnqpofout!boe!jotusvnfoubujpo-!TDBEB-!boe!puifs!frvjqnfou!boe!
49!Zfbst!
tztufnt/!
!
!
ZFBST!XJUI!GJSN!
Qfsgpsnt!tubsu!vq!tvqqpsu!boe!qbsuofsjoh!pg!qvnq!tubujpot!boe!sfmbufe!xbufs!usfbunfou!
23!Zfbst!
qspkfdut<!fyqfsjfodfe!jo!tpmwjoh!gbcsjdbujpo!boe!dpotusvdujpo!qspcmfnt!vujmj{joh!b!
!
qbsuofsjoh!bqqspbdi/!Ns/!Mptpgtlz!ibt!b!tuspoh!cbdlhspvoe!qspwjejoh!fmfdusjdbm!
TUBGG!BWBJMBCJMJUZ!
fohjoffsjoh!bttjtubodf!boe!jotqfdujpo!tfswjdft!evsjoh!uif!dpotusvdujpo!pg!mbshf.tdbmf!
211&!Bwbjmbcjmjuz!
dbqjubm!jnqspwfnfou!qspkfdut/!Qspkfdut!ibwf!jodmvefe!gjmusbujpo!qmbout-!qsfttvsf!dpouspm!
!
tusvduvsft-!izesp.fmfdusjd!hfofsbujoh!qmbout-!sftfswpjst-!qvnqjoh!tubujpot-!uvsopvut-!
QSPKFDU!SFGFSFODFT!
wbsjpvt!tusvduvsft-!txjudi!zbset-!ubol!gbsnt-!fud/!If!ibt!fyufotjwf!fyqfsujtf!jo!fmfdusjdbm!
Dijop!JJ!Eftbmufs!!
tqfdjgjdbujpo!eftjho!sfwjfx-!tvcnjuubm!sfwjfx-!dpotusvdujpo!jotqfdujpo-!boe!tubsu.vq!
Dmjfou;!DCEB0Cvujfs!
uftujoh/!
Nbsl!Cvujfs!
!
Ufm;!825.943.8333!
Ns/!Mptpgtlz!ibt!b!tuspoh!cbdlhspvoe!qspwjejoh!fmfdusjdbm!fohjoffsjoh!bttjtubodf!boe!
Fnbjm;!kscvujfsAcvujfs/dpn!
jotqfdujpo!tfswjdft!evsjoh!uif!dpotusvdujpo!pg!mbshf.tdbmf!Dbqjupm!Jnqspwfnfou!Qspkfdut/!
!
Qspkfdut!ibwf!jodmvefe!gjmusbujpo!qmbout!bt!xfmm!bt!bmm!uifjs!qsfttvsf!dpouspm!tusvduvsft-!
Cvssjt!Qvnq!Tubujpo!
nboz!pg!uifjs!izesp.fmfdusjd!hfofsbujoh!qmbout-!sftfswpjst-!qvnqjoh!tubujpot-!tfwfsbm!
Dmjfou;!PDXE0Cvujfs!
uvsopvut-!wbsjpvt!tusvduvsft-!txjudi!zbset-!ubol!gbsnt-!fud/!!
Nbsl!Cvujfs!
!
Ufm;!825.943.8333!
Ibt!fyufotjwf!fyqfsujtf!jo!Fmfdusjdbm!tqfdjgjdbujpo!eftjho!sfwjfx-!tvcnjuubm!sfwjfx-!
Fnbjm;!kscvujfsAcvujfs/dpn!
Dpotusvdujpo!jotqfdujpo-!boe!tubsu!vq!uftujoh/!Ns/!Mptpgtlz!jt!pgufo!dbmmfe!vqpo!up!qspwjef!
!
fyqfsujtf!evsjoh!ufdiojdbmmz!ejggjdvmu!jotqfdujpot!po!dpodsfuf!tusvduvsft-!nfdibojdbm!
Mblf!Ipehft!!
frvjqnfou-!fmfdusjdbm!frvjqnfou-!jotusvnfoubujpo-!dpouspm!tztufnt/!Fyqfsjfodf!jodmveft!
Qvnq!Tubujpo!!
uif!efwfmpqnfou!pg!uif!Pqfsbujpot!boe!Nbjoufobodf!nbovbmt/!!!
Dmjfou;!TEDXB!
!
Offob!Lv{njdi!
Ns/!Mptpgtlz!fyufotjwf!fyqfsjfodf!fodpnqbttft!uif!jotubmmbujpo-!nbovgbduvsf-!jotqfdujpo!
Ufm;!969.633.7926!
boe!uftujoh!pg!ijhi!wpmubhf!txjudi.ipvtf!boe!txjudihfbst-!usbotgpsnfst-!sfdujgjfst-!npups!
Fnbjm;!lv{njdiAtedxb/psh!
dpouspm!dfoufst-!hfofsbupst-!gvtft-!jotvmbupst-!jo!qmbou!jotusvnfoubujpo!qspdftt!dpouspm!
!
tztufnt!sfqbjs!boe!nbjoufobodf/!!Bmtp!ibt!fyufotjwf!fyqfsjfodf!qspwjejoh!jotqfdujpo!
Tbo!Wjdfouf!Qvnq!Tubujpo!
sfmbufe!tfswjdft!bttpdjbufe!xjui!fmfdusjdbm!xjsjoh!boe!dbcmf-!npups!dpouspm!xjsjoh-!
Dmjfou;!TEDXB!
fmfduspojd!frvjqnfou!jotusvnfoubujpo-!tjhobm!djsdvjut-!gjcfs!pqujdt!boe!puifs!fmfdusjdbm!
Offob!Lv{njdi!
nbufsjbm!boe!frvjqnfou/!!
Ufm;!969.633.7926!
!
Fnbjm;!lv{njdiAtedxb/psh!
Evujft!ibwf!bmtp!jodmvefe!uif!sfwjfx!boe!fybnjobujpo!pg!xjsf!boe!dbcmf!uftu!sfqpsut/!Ns/!
!
Mptpgtlz!jt!qspgjdjfou!xjui!bmm!joevtusz!xjef!dpeft!boe!tuboebset!bttpdjbufe!xjui!uif!
jotqfdujpo!boe!uftujoh!pg!fmfdusjdbm!boe!fmfduspojd!frvjqnfou!tvdi!bt!BSFNB-!JDFB-!JFFF-!
BTUN-!OFD!boe!NJM!gps!xjsft!boe!dbcmf/!Ibt!xpsljoh!lopxmfehf!pg!BTNF-!BXXB-!BXT-!
BQJ!boe!BTOU!dpeft!boe!tqfdjgjdbujpot/!!
!
Po.Tjuf!Ufdiojdbm!Tfswjdft-!Jod/!3117!up!Qsftfou!!
!
JD!boe!Fmfdusjdbm!Fohjoffs!Ä!Djuz!pg!Gpvoubjo!Wbmmfz!Sftfswpjs!$3!Tubsuvq!Ä!!
Qspwjefe!ufdiojdbm!tvqqpsu!evsjoh!dpotusvdujpo!pg!b!ofx!qpubcmf!xbufs!qvnq!tubujpo!uif!
tvqqmjfe!xbufs!uif!Djuz!pg!Gpvoubjo!Wbmmfz!boe!b!sfuspgjuufe!tupsn!xbufs!qvnq!tubujpo/!
Cpui!qspkfdut!xfsf!dpotusvdufe!dpodvssfoumz!cz!uif!tbnf!dpousbdups/!Pvs!spmf!xbt!up!
qspwjef!ufdiojdbm!tvqqpsu!up!uif!DN!po!uif!qspkfdu/!Bdujwjujft!jodmvefe!Tvcnjuubm!boe!SGJ!
sfwjfx-!Jotqfdujpot!evsjoh!uif!jotubmmbujpo!pg!uif!frvjqnfou-!fmfdusjdbm!boe!dpouspm!
jotqfdujpo!boe!dpnnjttjpojoh!bdujwjujft/!Mppq!difdlt-!dpoujovjuz!boe!jotusvnfou!
dbmjcsbujpo!xbt!xjuofttfe/!Podf!uif!fmfdusjdbm!frvjqnfou!boe!QMD!cbtfe!dpouspmt!xfsf!
jotubmmfe-!gvodujpo!uftujoh!xbt!dpnqmfufe/!Uifsf!xfsf!ovnfspvt!qsphsbnjoh!jttvft!
jefoujgjfe!xjui!uif!upx!QMD/!Xpslfe!xjui!pqfsbujpot!boe!uif!qsphsbnnfs!up!sftpmwf!uiftf/!!
Kbz!Mptpgtlz!
Tubsu.Vq!Fohjoffs!0!Fmfdusjdbm!Frvjqnfou!Tqfdjbmjtu!!
!
Qpxfs!J!boe!D!Tubsu.Vq!Fohjoffs!Djuz!pg!Gpvoubjo!Wbmmfz!Sbznpoe!Bwf!Qvnq!Tubujpo!.!
Qspwjefe!ufdiojdbm!tvqqpsu!jotusvnfou!boe!dpouspmt!tvqqpsu!evsjoh!uif!dpotusvdujpo!boe!
tubsuvq!pg!uif!ofx!qvnq!tubujpo/!Bdujwjujft!jodmvefe!jotqfdujpo!pg!uif!jotubmmfe!fmfdusjdbm!
frvjqnfou!boe!usbotgpsnfs-!xjsjoh!dpoujovjuz!boe!mppq!difdlt-!wfsjgjdbujpo!boe!jotqfdujpo!
pg!uif!bobmph!dpouspmt!boe!tubsu!vq!tvqqpsu!evsjoh!dpnnjttjpojoh/!Xpslfe!dmptfmz!uijt!uif!
fohjoffs!boe!uif!DN!ufbn!up!sftpmwf!ufdiojdbm!jttvft!uibu!xfsf!fodpvoufsfe!evsjoh!tubsu!
vq/!
!
Qpxfs!J!boe!D!Tubsu.Vq!Fohjoffs-!Dijop!JJ!Eftbmufs!Dpodfousbuf!Sfevdujpo!Gbdjmjuz<!
Kvsvqb!Wbmmfz-!DB<!Dijop!Cbtjo!Eftbmufs!Bvuipsjuz!)Dpnqmfujpo;!3127<!Wbmvf;!%57/7!
njmmjpo*ÅQspwjefe!ufdiojdbm!tvqqpsu!evsjoh!uif!dpotusvdujpo!boe!uftujoh!pg!uif!ijhi!
Wpmubhf!frvjqnfou<!xpslfe!ejsfdumz!uif!gbcsjdbups!boe!dpousbdups!up!sftpmwf!dpotusvdujpo!
qspcmfnt/!Bewjtfe!uif!qspkfdu!ufbn!po!ufdiojdbm!boe!tbgfuz!sfmbufe!jttvft-!sfwjfxt!
tvcnjuubmt-!boe!uftujoh!qspdfevsft/!Xjuoftt!gjfme!uftujoh!up!dpogjsn!uif!frvjqnfou!jt!
qspqfsmz!jotubmmfe!boe!tbgf!up!pqfsbuf/!Sfwjfxt!gjfme!uftu!ebub!gps!dpogpsnbodf!up!uif!
tqfdt!boe!joevtusz!tuboebset/!
!
Qpxfs!J!boe!D!Tubsu.Vq!Fohjoffs-!Cvssjt!Qvnq!Tubujpo!QspkfduÅQibtf!3-!Psbohf!
Dpvouz!Xbufs!Ejtusjdu ÅQspwjefe!ufdiojdbm!tvqqpsu!evsjoh!uif!dpotusvdujpo!boe!uftujoh!pg!
uif!ijhi!Wpmubhf!frvjqnfou!bttpdjbufe!xjui!uif!ofx!dpotusvdujpo!pg!b!21-111!TG!tupsn!
xbufs!qvnq!tubujpo!uibu!vujmj{fe!gpvs!dpowfoujpobm!wfsujdbm!uvscjof!qvnqt!jotubmmfe!jo!b!
djsdvmbs!xfu!xfmm/!Uif!qvnq!tubujpo!xjmm!bmtp!dpotjtu!pg!ofx!nfdibojdbm-!fmfdusjdbm-!boe!
dpouspm!tztufn/!Qspwjef!ufdiojdbm!tvqqpsu!evsjoh!dpotusvdubcjmjuz!sfwjfx!pg!esbxjoht-!boe!
tqfdt!qsjps!up!cjeejoh/!Qspwjefe!tvcnjuubm!sfwjfx!gps!uif!qvnq0npupst!boe!ufdiojdbm!
tvqqpsu!gps!uif!QMD!mphjd!uibu!dpouspmt!uif!qvnqt/!!!
!
Xjuoftt!uif!npups!uftut!bu!uif!gbdupsz-!dpnqmfuf!gjobm!jotqfdujpo!qsjps!up!tijqnfou!
)joufsobujpobm!gbcsjdbups*/!Xpsl!xjui!uif!QMD!qsphsbnnfs!up!dpnqmfuf!mppq!uftujoh!boe!
dbmjcsbujpot!qsjps!up!tubsu!vq!boe!dpnnjttjpojoh/!Xpsl!xjui!uif!qspkfdu!ufbn-!dpousbdups!
boe!pqfsbujpot!up!efwfmpq!b!tubsuvq!qmbo!boe!dppsejobufe!uif!bdujwjujft!pg!uif!frvjqnfou!
nbovgbduvsfsÉt!sfqt!gps!tubsuvq/!Bttjtu!jo!usbjojoh!uif!pqfsbupst!po!uif!ofx!frvjqnfou!bt!
sfrvjsfe/!!Bewjtfe!uif!qspkfdu!ufbn!po!ufdiojdbm!boe!tbgfuz!sfmbufe!jttvft-!sfwjfxt!
tvcnjuubmt-!boe!uftujoh!qspdfevsft/!Xjuoftt!gjfme!uftujoh!up!dpogjsn!uif!frvjqnfou!jt!
qspqfsmz!jotubmmfe!boe!tbgf!up!pqfsbuf/!Sfwjfxt!gjfme!uftu!ebub!gps!dpogpsnbodf!up!uif!
tqfdt!boe!joevtusz!tuboebset/!
!
Qpxfs!J!boe!D!Tubsu.Vq!Fohjoffs-!Mblf!Ipehft!Qjqfmjof!boe!Izesp!Fmfdusjd!Qvnq!
Tubujpo!)Tbo!Ejfhp!Dpvouz!Xbufs!Bvuipsjuz*.ÅQspwjefe!ufdiojdbm!tvqqpsu!evsjoh!uif!
dpotusvdujpo!boe!uftujoh!pg!uif!ijhi!Wpmubhf!frvjqnfou<!xpslfe!ejsfdumz!uif!gbcsjdbups!boe!
dpousbdups!up!sftpmwf!dpotusvdujpo!qspcmfnt/!Bewjtfe!uif!qspkfdu!ufbn!po!ufdiojdbm!boe!
tbgfuz!sfmbufe!jttvft-!sfwjfxt!tvcnjuubmt-!boe!uftujoh!qspdfevsft<!bttjtufe!jo!uif!
efwfmpqnfou!pg!bo!P'N!nbovbm!gps!uif!qspkfdu/!Xjuoftt!gjfme!uftujoh!up!dpogjsn!uif!
frvjqnfou!jt!qspqfsmz!jotubmmfe!boe!tbgf!up!pqfsbuf/!Sfwjfxt!gjfme!uftu!ebub!gps!
dpogpsnbodf!up!uif!tqfdt!boe!joevtusz!tuboebset/!!
!
Tubsu!Vq!Fohjoffs-!Tbo!Wjdfouf!Qvnq!Tubujpo!Qspkfdut!)Tbo!Ejfhp!Dpvouz!Xbufs!
Bvuipsjuz!Ä!Qbstpot!Csjolfsipgg*.ÅBt!Tubsu.Vq!Fohjoffs-!Ns/!Mptpgtlz!qspwjeft!pwfstjhiu!
boe!Fohjoffsjoh!Qspkfdu!Tubsu!vq!Tvqqpsu!po!cfibmg!pg!TEDXB!evsjoh!uif!dpotusvdujpo-!
jotubmmbujpo!boe!dpnnjttjpojoh!pg!7111!IQ!qvnqt-!nfdibojdbm!boe!fmfdusjdbm!frvjqnfou!
bttpdjbufe!xjui!uijt!qspkfdu/!Qsjnbsz!evujft!jodmvefe!qspwjejoh!fyqfsu!ufdiojdbm!bttjtubodf!
evsjoh!uif!tubsuvq!pg!uif!qvnq!tubujpo!wfsjgzjoh!dpogpsnbodf!up!tqfdjgjdbujpo!
sfrvjsfnfout/!
!
!
!
!
!
!
Kbz!Mptpgtlz!
Tubsu.Vq!Fohjoffs!0!Fmfdusjdbm!Frvjqnfou!Tqfdjbmjtu!!
NFUSPQPMJUBO!XBUFS!EJTUSJDU!PG!TPVUIFSO!DBMJGPSOJB!
Ufbn!Nbobhfs0Qsjodjqbm!Fohjoffsjoh!Ufdiojdjbo!2:97Å3117!
Nbobhfs!pg!pggtjuf!nbufsjbm!boe!frvjqnfou!jotqfdujpot<!sftqpotjcmf!gps!jotqfdujpo!cz!
tubgg!boe!dpotvmubou!jotqfdupst!pg!mbshf!xbufs!qjqft-!wbmwft-!qvnqt-!hfofsbupst-!
usbotgpsnfst-!djsdvju!csfblfst!boe!txjudihfbs/!!Sfwjfxfe!fmfdusjdbm!uftu!qspdfevsft!boe!
qfsgpsnfe!fmfdusjdbm!uftujoh!gps!bddfqubodf!boe!dpogpsnbodf!xjui!tqfdjgjdbujpo!
sfrvjsfnfout/!Qfsgpsnfe!Tubsu!vq!tvqqpsu!boe!qspcmfn!sftpmvujpo!evsjoh!dpnnjttjpojoh!
pg!gbdjmjujft/!Jo!beejujpo!up!uif!bcpwf!nfoujpofe!evujft<!gbdjmjubufe!qbsuofsjoh!xjui!
dpotusvdujpo!dpousbdupst!po!uif!gpmmpxjoh!qspkfdut!bu!Nfuspqpmjubo!Xbufs!Ejtusjdu<!
¦!Tljoofs!Qmbou!Difnjdbmt!Tztufnt!Npejgjdbujpot!%219!n!
¦!Kfotfo!Qmbou!Gmvpsjef!boe!Dimpsjof!gbdjmjuz!%31!n!
¦!Ejfnfs!Qmbou!Tjuf!Qsfqbsbujpo!Qspkfdu!%81!n!
¦!Ejfnfs!Qmbou!Tpmjet!Iboemjoh!Gbdjmjuz!%3:!n!
¦!Ejfnfs!Qmbou!Nbjoufobodf!Gbdjmjuz!%:!n!
¦!Ejfnfs!Qmbou!Difnjdbm!Tztufn!Vqhsbeft!%25!n!
¦!Xfznpvui!Qmbou!Pqfsbujpo!boe!Nbjoufobodf!Cvjmejoh!%:!n!
¦!Ejbnpoe!Wbmmfz!Mblf0Fbtutjef!Sftfswpjs!Qvnq!Tubujpo!%211n!
!
Qbsuofsjoh!ifmqfe!up!rvboujgz!qspkfdu!hpbmt-!jefoujgz!sjtlt!boe!up!sftpmwf!jttvft!sfmbufe!up;!
¦!Tvcnjuubm!rvbmjuz!boe!sfwjfx!qspdftt!
¦!Qspkfdu!tdifevmft-!Tubsu.vq!qmboojoh!boe!fyfdvujpo!
¦!Frvjuz!jttvft-!Pqfsbujpot!boe!fowjsponfoubm!dpotusbjout!
¦!Tivu!ÄEpxo!boe!Ujf!ÄJo!qmboojoh!
!
Fohjoffs!Ufdiojdjbo!JJ-!JJJ!boe!Tfojps!Fohjoffsjoh!Ufdiojdjbo!2:98Å2::5!
Qfsgpsnfe!jotqfdujpot!pg!dpotusvdujpo!dpousbdupsÉt!jotubmmbujpot!boe!iboet.po!uftujoh!boe!
tubsu.vq!pg!dpnqmfuf!fmfdusjdbm!tztufnt!gps!gjmusbujpo!qmbout-!hfofsbups!qmbout-!qvnq!
tubujpot-!dbobmt!boe!qjqfmjoft/!!Frvjqnfou!boe!tztufn!uftujoh!jodmvef!ijhi!wpmubhf!
txjudihfbs-!tvctubujpot-!usbotgpsnfst-!djsdvju!csfblfst!boe!qspufdujwf!sfmbzt-!npups!
dpouspm!dfoufst-!dpouspm!qbofmt-!boe!TDBEB!tztufnt/!!Uspvcmftippu!dpnqmfy!jotusvnfou!
boe!dpouspm!djsdvjut-!boe!nbjoubjofe!bddvsbuf!sfdpset!pg!xpsl!qfsgpsnfe/!!Dpoevdufe!
tbgfuz!nffujoht!boe!sfwjfxfe!mpdl.pvu-!ubh.pvu!boe!hspvoejoh!qspdfevsft/!
Mjofnbo!!2:97Å2:98!
Qfsgpsnfe!nbjoufobodf!pg!341!lw!usbotnjttjpo!tztufn!)bqqspyjnbufmz!411!njmft*!
jodmvejoh!txjudi!zbset-!tvctubujpot-!usbotgpsnfst!boe!djsdvju!csfblfst!boe!nbjoubjofe!b!
3/4!lw!ejtusjcvujpo!tztufn!boe!dpnqpofout/!
!Wbodf!Tbogpse-!DXJ-!OBDF!
Tfojps!Jotqfdups!!
Qspgfttjpobm!Tvnnbsz!
FEVDBUJPO!
Pwfs!31!zfbst!fyqfsjfodf!jo!uif!dpotusvdujpo!joevtusz!jo!uif!gjfme!pg!xfmejoh!fohjoffsjoh-!
Qjfenpou!Dpmmfhf!Ä!Bttpdjbuf!
efhsff!Joevtusjbm!Tztufnt!opo.eftusvdujwf!uftujoh-!OBDF!boe!xfmejoh!jotqfdujpo!xjui!iboet.po!jotqfdujpo!
Ufdiopmphz!
fyqfsjfodf!xjui!mbshf!ejbnfufs!xbufs!usbotnjttjpo!qjqf!jo!fydftt!pg!2:7Ç!jo!ejbnfufs/!!!
!
Iboet!po!fyqfsjfodf!xjui!bmm!btqfdut!pg!Mbshf!Ejbnfufs!Qjqf!Gbcsjdbujpo!sbohjoh!gspn!
DFSUJGJDBUJPOT!
35Ç!up!231Ç!ejbnfufs!boe!Dpotusvdujpo!Tjuf!jotqfdujpo-!OEF!xjuofttjoh-!xfme!sfqbjs-!
BXT!Dfsujgjfe!Xfmejoh!
ejnfotjpobm!jotqfdujpo-!boe!dfnfou!npsubs!mjojoh!pqfsbujpot-!ubqf!xsbqqjoh0dpbujoh!
Jotqfdups!14151442!!!
pqfsbujpot!jotqfdujoh!bmm!btqfdut!dpotusvdujpo!evsjoh!jotubmmbujpo!wfsjgzjoh!
!
rvbmjuz0rvboujuz!pg!nbufsjbmt!gps!dpnqmjbodf!xjui!tqfdjgjdbujpot!sfrvjsfnfout/!!Ibt!
IEQF!Gvtjpo!boe!QWD!
fyufotjwf!fyqfsjfodf!qspwjejoh!gbcsjdbujpo!jotqfdujpo!boe!jotubmmbujpo!pg!IEQF.QWD!qjqf!
Usbjojoh!!
boe!gjuujoht!sbohjoh!jo!tj{f!gspn!29Ç!up!65Ç!jo!ejbnfufs/!Ibt!xpsljoh!lopxmfehf!xjui!BXT!
!
E2/2-!BXT!E2/6-!BTNF!Tfdujpot!JY!boe!YJW-!BOTJ!C42/2!boe!C42/4-!BXXB-!BDJ-!
Dbscpo!Gjcfs!Jotqfdujpo!
Usbjojoh!OBDF0TTQD!tqfdjgjdbujpot/!Rvbmjgjfe!jo!uif!jotqfdujpo!boe!fyqfejujoh!pg!bmm!qibtft!pg!
!
tipq!gbcsjdbujpo!boe!gjfme!jotubmmbujpo!pg!tuffm!tusvduvsft!
OBDF!J!Usbjojoh!!
!
!
Ijhimz!fyqfsjfodfe!jo!djwjm-!tusvduvsbm-!nfdibojdbm-!qjqfgjuujoh-!xfmejoh-!njmmxsjhiu-!
ZFBST!FYQFSJFODF!
jotusvnfoubujpo!boe!qmbou!tubsu.vq!pqfsbujpot!bttpdjbufe!xjui!uif!Xbufs!Joevtusz/!
31!Zfbst!
Fyqfsjfodf!jodmveft!jotqfdujpo!pg!gbcsjdbujpo!boe!jotubmmbujpo!pg!mbshf!ejbnfufs!xbufs!
!
usbotnjttjpo!qjqf!vq!up!215Ç!ejbnfufs!gps!uif!Tbo!Ejfhp!Dpvouz!Xbufs!Bvuipsjuz/!
ZFBST!XJUI!GJSN!
Rvbmjgjfe!jo!uif!jotqfdujpo!boe!fyqfejujoh!pg!bmm!qibtft!pg!tipq!gbcsjdbujpo!boe!gjfme!
27!Zfbst!
jotubmmbujpo!pg!tuffm!tusvduvsft-!BTNF!qsfttvsf!wfttfmt-!ifbu!fydibohfst-!qfuspmfvn!
!
difnjdbm!qjqjoh0qjqfmjoft-!boe!tupsbhf!ubolt/!
!
!
Fyqfsjfodfe!jo!bmm!btqfdut!pg!OBDF!dpbujoh!jotqfdujpo!vujmj{joh!TTQD-!OBDF-!BXXB-!BTUN!
!
E4387-!JDJ-!BDJ!dpeft!boe!tuboebset!bttvsjoh!uibu!uibu!bmm!btqfdut!gspn!bncjfou!
dpoejujpot!boe!tvsgbdf!qsfqbsbujpo-!uispvhi!gjobm!dpbujoh!esz!gjmn!uijdloftt!boe!dvsjoh!
bsf!dpssfdu!boe!jo!bddpsebodf!xjui!uif!tqfdjgjdbujpo!uif!nbovgbduvsfs(t!bqqmjdbujpo!
sfdpnnfoebujpot!boe!joevtusz!tuboebset/!Frvjqqfe!boe!usbjofe!po!uif!ofdfttbsz!
jotusvnfoubujpo!up!qspwjef!uipspvhi!tvswfjmmbodf/!Qspwjeft!Dpnqsfifotjwf!
epdvnfoubujpo!jt!qsfqbsfe!ebjmz!efubjmjoh!kpc!rvbmjuz!boe!qsphsftt/!!
!
Fyufotjwf!Fyqfsjfodf!qspwjejoh!jotqfdujpo!pg!xjef!wbsjfuz!pg!qspufdujwf!dpbujoh!tztufnt!
mbshf!ejbnfufs!qjqf!boe!tusvduvsbm!tuffm!gspn!Qpmzvsfuibof-!Dpbm!Ubs!Fqpyz-!Gvtjpo!
Cpoefe!Fqpyz-!Ijhi!Tpmje!Fqpyz!dpssptjpo!qspufdujpo!tztufnt/!!
!
Qpttfttft!fydfmmfou!xsjuufo!boe!psbm!dpnnvojdbujpo!tljmmt!epdvnfoujoh!jotqfdujpo!
bdujwjujft!uispvhi!ebjmz!jotqfdujpo!sfqpsut!boe!jt!dbqbcmf!pg!voefstuboejoh!dpotusvdujpo!
epdvnfout!xjui!uif!bcjmjuz!up!sfbe!boe!joufsqsfu!fohjoffsjoh!eftjho!boe!tipq!esbxjoht/!!!!
!
Qspkfdu!Fyqfsjfodf!
Dbmmfhvbt!Nvojdjqbm!Xbufs!Ejtusjdu!
Bt!gbcsjdbujpo!jotqfdups!qfsgpsnfe!Rvbmjuz!Bttvsbodf!jotqfdujpo!evsjoh!gbcsjdbujpo!pg!
mbshf!ejbnfufs!tuffm!qjqf!sbohjoh!jo!tj{f!gspn!9Ç!up!5:Ç!ejbnfufs-!QWD!Qjqf!vq!up!59Ç!
ejbnfufs!boe!IEQF!vq!up!65Ç!ejbnfufs/!Qfsgpsnfe!dpotusvdujpo!xfmejoh!
jotqfdujpo0OBDF!evsjoh!uif!jotubmmbujpo!pg!tuffm!qjqf!boe!gjuujoht!sbohjoh!jo!tj{f!gspn!9Ç!
up!5:Ç!ejbnfufs/!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!b!wjtvbm!
xfme!jotqfdujpo-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!jt!dbmmfe!vqpo!up!pggfs!ufdiojdbm!
bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!
¦!Pyobse!Qmbjo!Csjof!Mjof!Qjqfmjof!Qibtf!2C.65Ç!IEQF059ÇQWD!
¦!Tbmjojuz!Nbobhfnfou!Qjqfmjof!Qibtf!2F.5:Ç!Tuffm!qjqf!
!
Dbmjgpsojb!Efqbsunfou!pg!Xbufs!Sftpvsdft.Wbmj!Dppqfs Å!
RB!dpotusvdujpo!xfmejoh!jotqfdujpo!boe!tipq!gbcsjdbujpo!tfswjdft!pg!pwfs!9!njmft!pg!65Ç!
up!96Ç!ejbnfufs!tuffm!qjqf!boe!dpnqmfy!gjuujoht/!!Evujft!jodmvef!uif!wfsjgjdbujpo!pg!gju!vq!
boe!mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!
dbmmfe!vqpo!up!pggfs!ufdiojdbm!bttjtubodf!xjui!ejggjdvmu!xfmejoh!qspcmfnt/!Evujft!jodmvef!
uif!wfsjgjdbujpo!pg!gju!vq!boe!mbzjoh!qjqf!jo!usfodi-!wjtvbm!xfme!jotqfdujpot-!xjuoftt!OEF-!
dpbujoh!jotqfdujpot/!!!
¦!Nfoupof!Qjqfmjof!.!Tpvui!'!Fbtu-!Gppuijmm!Qjqfmjof!up!Dsbgupo!Ijmmt!Qvnq!Tubujpo!
!Wbodf!Tbogpse-!DXJ-!OBDF!
Tfojps!Jotqfdups!!
Tbo!Ejfhp!Dpvouz!Xbufs!Bvuipsjuz.!Jo.Qmbou!Jotqfdujpo!boe!Bt!Offefe!Tfswjdft Å!
Tfojps!gbcsjdbujpo0dpotusvdujpo0OBDF!jotqfdups!evsjoh!uif!gbcsjdbujpo!pg!65Ç.219Ç!
ejbnfufs!dpnqmfy!gjuujoht!dfnfou!mjofe!boe!dpbufe!xjui!tqfdjbmuz!qpmzvsfuibof!mjojoh!
tztufn/!Evujft!jodmvef!OBDF!dfsujgjfe!dpbujoh!jotqfdujpo!pg!gjfme!bqqmjfe!qpmzvsfuibof!
mjojoh!boe!fqpyz!dpbujoh!tztufnt-!uif!wfsjgjdbujpo!pg!gju!vq-!wjtvbm!xfme!jotqfdujpot-!
xjuoftt!OEF-!dpbujoh!jotqfdujpot!boe!xfsf!dbmmfe!vqpo!up!pggfs!ufdiojdbm!bttjtubodf!xjui!
ejggjdvmu!xfmejoh!qspcmfnt/!!Joufsqsfut!esbxjoht!boe!qmbot-!qspwjejoh!uipspvhi!boe!
bddvsbuf!sfdpset!pg!xpsl!qfsgpsnfe-!jodmvejoh!dsfx!nblf!vq-!frvjqnfou!nblf!boe!
npefm-!nbufsjbmt!vtfe-!boe!fogpsdfe!dpnqmjbodf!xjui!dpousbdu!tqfdjgjdbujpot/!!
Sftqpotjcjmjujft!jodmvefe!epdvnfoubujpo!pg!nbufsjbmt-!frvjqnfou-!qfstpoofm!uispvhi!
efubjmfe!ebjmz!sfqpsut/!Qspwjefe!ufdiojdbm!tvqqpsu!evsjoh!bqqmjdbujpo!pg!Ijhi!Tpmje!Fqpyz!
Mjojoh!boe!Qpmzvsfuibof!qbjou!tztufnt/!!
¦!Qjqfmjof!5!Qbjou!Npvoubjo!up!Efm!Ejpt!Ixz!Sfmjof.22-111!Gu!:4Ç!Ejb/!Tuffm!Mjofst!
¦!J.26!Sfmjof!Qspkfdu.77Ç-!7:Ç-!83Ç!Ejb/!Tuffm!mjofst!
¦!Qjqfmjof!5!Vshfou!Sfmjof!2-211!gu!pg!79Ç!Ejb/!
¦!Qjqfmjof!5!Sfmjojoh;!TS63!up!Mblf!Nvssbz.28-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!4!Sfmjojoh;!Txffuxbufs!up!Mpxfs!Pubz.43-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!4!Eftbm!Sfmjojoh.Tbo!Nbsdpt!up!Uxjo!Pbl.39-111gu!78Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Njttjpo!Usbjmt!Uvoofm.!6111!gu!:7Ç!Ejb/!Qjqf!Gjuujoht!
¦!Qjqfmjof!4!TS63!up!mblf!Nvssbz!Sfmjojof.28-111gu!77Ç.7:Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!5!Sfmjof!Efm!Ejpt!up!Cmbdl!Npvoubjo!Sbodi.37-111!gu!:4Ç!Ejb/!Tuffm!Mjofst!
¦!Qjqfmjof!6!Sfmjojoh;!up!Tbhf!Se.25-111gu!:7Ç!Ejb/!Tuffm!Mjofst!
¦!Tbo!Wjdfouf!Ebn!Sbjtf.71Ç.219Ç!Ejb/!Gjuujoht!boe!Fohjoffsfe!Frvjqnfou!
¦!Dbsmtcbe!Eftbmjoj{bujpo!Qspkfdu.61-111gu!65Ç!Ejb/!Qjqf-!Wbmwft!
!
!
!
Planning and Building Agency
www.santa-ana.org/pb
Item # 14
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
Topic: Amendment to Agreement for Planning Informational Videos
AGENDA TITLE
Approve Amendment to the Agreement with Enlightened Pictures, Inc. for the Development
of Planning Informational Videos for a Total not to Exceed $96,865 (Non-General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an amendment to the agreement with Enlightened
Pictures, Inc. for one year ending November 16, 2022, increase compensation by $14,615
for a total not to exceed amount of $96,865 for planning informational videos, subject to
non-substantive changes approved by the City Manager and City Attorney.
DISCUSSION
On November 17, 2020, the City of Santa Ana approved an agreement with Enlightened
Pictures, Inc. for the production of planning informational videos with a budget of $82,250.
Due to the pandemic, adjustments were made during script writing and production to
accommodate social distancing measures, shifts in staff resources, and enhance the
illustrative videos. Therefore, additional time and funds are necessary to ensure the
improved completion of the project. The increase in cost is $7,440 with an 8% contingency
for a total amount of $96,865. The revised budget can be accommodated within the SB2
grant.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds are budgeted and available in the following Planning and Building expenditure
account for FY 2021/2022.
Fiscal YearAccounting Unit-Fund Accounting Unit, Amount
Account #DescriptionAccount Description
FY2021/202215816500-Planning PBA SB2 Planning $14,615
62300Grants ProgramGrants Program,
Contract Services-
Professional
Amendment to Agreement for Planning Informational Videos
November 2, 2021
Page 2
EXHIBIT(S)
Exhibit:1. Amended Agreement with Enlightened Pictures, Inc.
Submitted By: Minh Thai, Executive Director, Planning and Building
Approved By: Kristine Ridge, City Manager
FIRSTAMENDMENT TO AGREEMENTWITH ENLIGHTENED PICTURES TO
PROVIDE PLANNING INFORMATIONAL VIDEOS
THIS FIRST AMENDMENT to the above-referenced agreementis entered into on November 2,
2021, by and between Enlightened Pictures, Inc. (“Consultant”), and the City of Santa Ana, a
charter city and municipal corporation organized and existing under the Constitution and laws of
the State of California (“City”).
RECITALS
A. The parties entered into Agreement No. A-2020-227, dated November 17, 2020, by which
Consultant agreed to develop and provide informational videos for the City’s Planning and
Building Agency (“Agreement”).
B. The Agreement remains in effect through November 16, 2021, with provision for extension.
C. The parties now wish to expand the scope of work and increase the amount to be expended
under the Agreement in consideration of the expanded scope.
The Parties therefore agree:
1. Section 1, Scope of Services, is amended to include the scope of services described on Exhibit
A.
2. Section 2.a., Compensation, is amended to increase the total sum to be expended under the
Agreement, including any extension periods, by $14,615 for the expanded scope of services
aboveso that the total sum to be expended shall now be $96,865.
3. Section 3, Term, is amended to extend the term of the Agreement through November 16, 2022.
4. Except as modified by this First Amendment, all terms and conditions of the Agreement shall
remain in full force and effect.
IN WITNESS WHEREOF, the parties hereto have executed this First Amendment to the
Agreement on the date and year first written above.
ATTEST CITY OF SANTA ANA
_______________________________ ______________________________
Daisy Gomez Kristine Ridge
Clerk of the Council City Manager
\[signatures continue on next page\]
Page 1 of 2
APPROVED AS TO FORMCONSULTANT
Sonia R. Carvalho
City Attorney
By:___________________________ _______________________________
John M. Funk By:
Senior Assistant City Attorney Title:
RECOMMENDED FOR APPROVAL
________________________________
Minh Thai
Executive Director
Planning and Building Agency
Page 2 of 2
EXHIBIT A
DELIVERY TIMELINE
9/22/21 all scripts, except for 9 and 10, have received final approval from Santa Anafor
production.
9/22/21 we have completed the first round of animation and received client notes for
videos 1, 2, 3, 4, 5, and 7. Video 6 is currently half completed pending approval for
additional funds for animation.
As of 9/22/21 animation production has stopped pending approval for our revised scope
and funds for additional animation for Video 6 “Development Project Review &
Discretionary Permits”, Video 7 “Notice of Violation” (replacing text with icons/symbols),
and Video 8 “Single Family Additions”.
Voice Over recording for our main character Annie, will begin on October 4th.
Spanish translation will begin at the end of October.
We will scout and film all necessary locations for Video 9 “Harbor Specific Plan”, and 10
“Transit Zoning Code” between October and November.
Pending approval for additional fundsanimation productionwill re-commencein
December or January. This will include the currently allotted 3 weeks for notes, plus
the 2 extra weeksfor additionalanimationforvideos6, 7, and 8.
This will give time
forstaff reviews, notes, and feedback, and any additional last minute changes.
EP INC. RFP No. 20-103 Planning Information Videos page 4
AMENDED COST PROPOSAL
This cost proposal is for an animated video series that includes an animated titles sequences,
animated narration host, and 2D graphics of buildings and city street views. Demo
Proposed
PRE-Days/
Description Rate Total
Changes
PRODUCTION Hours
Meetings & Location Scout $500/day 1 day $500
$600/day $6,600
Script Writing (10 scripts) 11 days
Production Coordination $600/day 1 days $600
Voice Over Casting $500/day 1 day $500
Animation Design $500/day 5 days $2,500
Sub-Total$10,700
PRODUCTION
Directing VO sessions$750/day 2 days $1,500
Animation & Graphics $1,200/day 30 days $36,000 *$7,440
Voice Over Studio Engineer $600/day 2 days $1,200
English VO Talent $900/day 1.5 day $1,350
Spanish VO Studio Recording$900/day 1.5 day $1,350
Sub-total $41,400 $7,440
stndrd
POST-Includes 1, 2, and 3 edit
PRODUCTION drafts and closed-captioning
Editor/Director$70/hr. 250hrs. $17,500
Edit Suite$45/hr.250hrs.$11,250
Library Music$40/cut5cuts$200
Translation to Spanish Text$300/day4 days$1,200
Sub-Total$30,150
$82,250 $89,690
TOTAL
8% Contingency **$7,175
$96,865
Additional proposed changes not to exceed total
*6.5 additional days of animation for Development Project Review video flow chart, Notice of Violation video images
to replace text, and Single Family Addition video measurement code graphics.
** 8% contingency for possible changes, updates to code information, or additions such as captions for another
language.
EP INC. RFP No. 20-103 Planning Information Videos page 7
Public Works Agency
www.santa-ana.org/pw
Item # 15
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: First Street / Bolsa Avenue Corridor Traffic Signal Synchronization Project
AGENDA TITLE
Approve a Cooperative Agreement with Orange County Transportation Authority and
Partnering Cities for the First Street / Bolsa Avenue Corridor Traffic Signal
Synchronization Project, in an Amount Not to Exceed $370,642 (Project 22-6993) (Non-
General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute a Cooperative Agreement (C-1-3598) with the
Orange County Transportation Authority and the cities of Huntington Beach, Tustin,
Westminster, and the County of Orange, which identifies each participating agency’s
roles and responsibilities, including Santa Ana’s match requirement of $370,642, to
implement the First Street / Bolsa Avenue Corridor Traffic Signal Synchronization
Project, for the term beginning upon full approval of the agreement by all parties and
effective until December 31, 2026, with the option to be extended by mutual consent of
all parties, subject to non-substantive changes approved by the City Manager and City
Attorney.
DISCUSSION
On November 17, 2020, the City Council authorized staff to submit joint applications with
participating agencies to the Orange County Transportation Authority (OCTA) to request
funding consideration of the renewed Measure M2 Regional Traffic Signal
Synchronization Program. The cooperative agreement for the First Street/ Bolsa Avenue
project would provide for inter-jurisdictional traffic signal synchronization and
improvements along the corridor traversing Santa Ana, Huntington Beach, Tustin,
Westminster, and County of Orange jurisdictions (Exhibit 1).
On March 24, 2021, the OCTA Board approved the Measure M2 funding request for the
First Street / Bolsa Avenue project. While OCTA will act as lead agency for the project, a
cooperative agreement is necessary to identify the roles and responsibilities of each
participating agency to maintain inter-jurisdictional synchronization during the three-year
grant period, which is scheduled to begin by January 2022. Upon project completion,
responsibility for ongoing signal maintenance will revert to the respective local agencies.
First Street / Bolsa Avenue Corridor Project Cooperative Agreement
November 2, 2021
Page 2
The Measure M2 grant award provides $3,871,890. The match commitments from the
participating cities will provide a combined total of $774,378. The City of Santa Ana’s
share of the matching funds is $370,642, of which $333,042 is cash and $37,600 is in-
kind staff support. On July 1 2021, City Council approved the Fiscal Year 2021-2022
Capital Improvement Program, which included $380,000 for this project.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.
FISCAL IMPACT
Funds in the amount of $380,000 are budgeted in the approved Fiscal Year 2021-22
Capital Improvement Program and available in the Measure M2 Street Construction Fund
(Account No. 03217662-66220, Project No. 22-6993). $370,642 of the funding is for the
’s share of the project costs – cash and in-kind staff support – and will be spent in the
fiscal years identified in the following estimated spending plan:
Accounting Unit - Accounting Unit -
Fiscal Fund
Account No.Account No. Amount
YearDescription
(Project No.)Description
Measure M
Measure M2 Local
03217662-66220
Fairshare, Improvements
2021-22Street $34,000
(22-6993)
Other Than Building
Construction
Measure M
Measure M2 Local
03217662-66220
Fairshare, Improvements
2022-23Street $333,042
(22-6993)
Other Than Building
Construction
Measure M
Measure M2 Local
03217662-66220
Fairshare, Improvements
2023-24Street $3,600
(22-6993)
Other Than Building
Construction
Total$370,642
EXHIBIT(S)
1.Project Location Map
2.Cooperative Agreement
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
5
NNOORRTTHH
55
First Street/ Bolsa
Avenue Corridor
Traffic Signal
Synchronization
Improvements
22
Westminster Ave
17th St
17th St
Main St
Civic Center Dr
5th St
Tustin Ave
4th St
Santa Ana Blvd
1st St
1st St
Euclid StNewhope St
Harbor Blvd
Flower St
Raitt St
Bristol St
Fairview StGrand Ave
Edinger Ave
Warner Ave
Dyer Rd
Segerstrom Ave
Alton Ave
MacArthur Blvd.
Bear St
405
SANTA ANA
City Council
Project No. 22-6993:
Agenda Date
First Street/ BolsaAvenue
PWA
Traffic Signal Synchronization
November 2, 2021
PUBLIC WORKS AGENCY
September 16, 2021
Finance and Management Services
www.santa-ana.org/finance
Item # 16
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Balancing Act Software Suite for Budget Education, Engagement, and
Transparency
AGENDA TITLE:
Approve an Agreement with Healthy Outcomes, Inc. DBA Balancing Act in an Amount not
to Exceed $55,000 for a Subscription and Support Services Agreement (General Fund)
RECOMMENDED ACTION
Authorize the City Manager to execute an agreement with Healthy Outcomes, Inc., DBA
Balancing Act for a three-year period effective November 3, 2021, with an option to extend
for up to two one-year renewals exercisable by the City Manager and City Attorney, not
to exceed $55,000 over the entirety of the five-year period, subject to non-substantive
changes approved by the City Manager and City Attorney.
DISCUSSION
The City has provided a number of financial documents such as audited financial
statements, City budgets, and budget/financial presentations on the City’s website in an
effort to increase transparency. The City also uses a transparency tool, OpenBook, to
provide a list of vendor payments and a summary of budgeted and actual revenue and
expenses to the public.
To enhance the public’s understanding of the City’s Budget, staff has recently reviewed
a budget simulation tool, Balancing Act. Balancing Act is an annual subscription service
that includes three software tools:
The Simulate Tool provides a way for the City of Santa Ana to frame financial
tradeoffs by allowing residents to build their own City budget. The Simulate Tool
provides multiple budget inputs to work with and produces detailed and visual
reports.
The Prioritize Tool offers a simple way to present projects and costs. The City sets
an overall budget and users select projects up to a specified amount, and then
rank-orders them. The report provides weighted and unweighted results and can
identify top projects based on three different voting techniques, including instant
runoff. The City can utilize this tool to seek assistance with prioritizing projects
Balancing Act Software Suite for Budget Education, Engagement, and Transparency
November 2, 2021
Page 2
such as those within the Capital Improvement Plan (CIP) and/or Community
Development Block Grant (CDBG) funding.
The Taxpayer Receipt app asks a few questions to generate an estimate of taxes
paid and then creates a “receipt” showing how much a resident pays for each
service, which demonstrates the value of a service provided by the City.
The Balancing Act software is currently used by the cities of Corona (Tax Receipt &
Balancing Act) and Anaheim (Balancing Act). The annual subscription also includes an
unlimited subscription to Analytics, which provides detailed insight into who is using the
simulation and how they would balance tradeoffs, and Meeting Mode, which modifies
Balancing Act for use in face-to-face or online synchronous meetings. Onboarding
services and unlimited technical support are included. Balancing Act is a SaaS product
and requires no installation.
The annual subscription is $10,000 and a contingency of $5,000 has been included for
any customization to meet the City’s reporting requirements. The projected completion
date is February 2022, with the plan to incorporate this communication/engagement
software suite in the upcoming fiscal year 2022-2023 budget development process.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
Funds are budgeted and made available in the following accounts for the specified year:
Fiscal Accounting Unit-Fund Accounting Unit, Amount
YearAccount #DescriptionAccount Description
FY 21-2201110100-62300General FundFMSA- Management & $15,000
Support, Contract
Services
FY 22-2301110100-62300General Fund FMSA- Management & $10,000
Support, Contract
Services
FY 23-2401110100-62300General Fund FMSA- Management & $10,000
Support, Contract
Services
FY 24-2501110100-62300General Fund FMSA- Management & $10,000
Support, Contract
Services
FY 25-2601110100-62300General FundFMSA- Management & $10,000
Support, Contract
Services
Balancing Act Software Suite for Budget Education, Engagement, and Transparency
November 2, 2021
Page 3
EXHIBIT(S)
1.Subscription and Support Services Agreement with Exhibits A, B, C
Submitted By: Kathryn Downs, FMSA Executive Director
Approved By: Kristine Ridge, City Manager
SUBSCRIPTIONANDSUPPORT
AGREEENTFOR
CitySantaAna,
CA
ThisSubscriptionandSupportAgreement(the"Agreement"),ishereby enteredintoasof
November 3, 2021 (theEffectiveDat) by and betweenCity of SantaAna, CA, a charter
city and municipal corporation organized and existing under the Constitution and laws of the
State of California.(Clien)andHealthy Outcomes, Inc.,DBABalancing Act, locatedat
th
7897E. 24Avenue,Denver, CO,80238 (Balancing Act). ClientandBalancing Actare
collectivelyreferredtoas"theParties"andindividuallyreferredtoas"Party."
WHEREAS,Balancing Actisinthebusinessof developing websoftwareandsitescapableof
hosting publicpolicysimulationsand related projectspromoting anexchangeofinformation
andideasfor useby governmentalandotherentities;
WHEREAS,ClientdesirestosubscribetoaccessBalancing Acproprietary web
applicationsto beused for publiceducationandengagement,and
NOW, THEREFORE,inconsideration oftheforegoing recitalsandmutual
covenantscontained herein,thepartiesagreeasfollows:
1.SCOPEOFENGAGEMENT.
A.SubscriptionAgreement.Balancing ActshallprovideClientwithaccesstothe
productsand featuresof theBalancing ActwebapplicationspecifiedinExhibit
Atothisagreementandagreesto provideallofthetechnical,administrativeand
professionalsupportservicesnecessary to performthisAgreement.Clientis
granted anon-exclusive, non-transferable,andrevocablelicensetoaccessand
usetheBalancing Actwebsite.Clientshallhavetherighttotestandapprovethe
application priortoitgoing live.
B.SupportServices.Balancing Actshallperformandprovidecertainsupport
servicesto Clientinaccordancewiththetermsandconditionsof thisAgreement
andtheSOW(theServicesdescribed underSupportServices,theSupport
Services). If Clienthereafter requestsadditionalservicesnotdescribed on
ExhibitA(AdditionalServices),andBalancing Act
iswilling andableto provide thoseAdditionalServices,thepartiesshall
mutuallyagreeuponandexecuteone or moreadditionalSOWsthatcontainthe
termsandconditionsoftheAdditionalServicesto beperformed. Eachsuch
Б
SOW shall be attached to and incorporated into this Agreement as an Exhibit
through an Amendment to the Agreement signed by both Parties. Except as
otherwise provided, any Additional Services to be performed by Balancing Act
shall be subject to the terms of this Agreement.
C. Fees. Client shall pay Balancing Act pursuant to the Fee Schedule selected by
Client and attached hereto as Exhibit C The total amount to be expended
during the Term of this Agreement shall not exceed $55,000.
2. FEE PAYMENT AND TIMING.
A. Fees. In consideration of Balancing Act granting of access to the Site and
performance of the Services, hereunder, Client shall pay Balancing Act fees, and
reimburse Balancing Act for expenses, each in the amounts and in accordance
with the payment terms and conditions specified in this Agreement and on
Exhibit C attached hereto (collectively, the Fees).
B. Late Payment. Except with respect to amounts disputed in good faith, all amounts
due under this Agreement, if not paid within 45 days of the due date, shall be
considered late and shall accrue interest at the rate of one and one-half percent per
month or the highest amount allowed by applicable law, whichever is less.
Should collection activities become necessary, Client agrees to pay all fees
relating to said activity.
C. Client Failure to Pay. Client incurring of a late payment (as determined in
accordance with Section 2(B)) shall be considered a material breach of this
Agreement. As such, until such breach is cured by way of full payment, Balancing
Act may (i) refuse to deliver the reports, materials, and other deliverables that it
would otherwise be obligated to deliver hereunder, (ii) cease performance of any
Services, (iii) issue a notice of non-payment to Client, which, if not satisfied within
15 days after the receipt thereof, shall constitute grounds for Balancing Act to
terminate this Agreement or the SOW applicable to the Services. These rights are
not exclusive, and Balancing Act reserves its right to seek any other rights or
remedies provided in law or equity.
D. Taxes. All amounts payable to Balancing Act as specified herein are in United
States dollars. Client shall be responsible for any taxes imposed on the transactions
contemplated by this Agreement, including all sales, use, value-added, excise and
other similar taxes (but specifically excluding taxes in, or measured by, Balancing
Act income).
Б
3. CLIENT OBLIGATIONS.
Client shall be responsible for the accuracy of all data utilized by Balancing Act under this
Agreement and shall comply with all laws and governmental regulations affecting its use,
including all open and public records laws. Balancing Act shall have no responsibility to
advise Client about the applicability of any laws or regulations that may apply to this
Agreement.
4. SERVICE LEVEL AGREEMENT
A. Support Services.
(i) Balancing Ac web platform will be operational and available to
Client at least 99.5% of the time in any calendar month (the
Balancing Act Application SLA). If Balancing Act does not meet
the Balancing Act Application SLA, Client will be eligible to receive
the Support Service Credits described below:
Uptime Percentage Support Service Credit (Days)
< 99.5% - >= 99.0% 3
< 99.0% - >= 95.0% 7
< 95.0% 15
(ii) Service Credit Request. In order to receive any of the Support
Service Credits described above, Client must notify Balancing Act
within 30 days from the time Client becomes eligible to receive a
Service Credit. Failure to comply with this requirement will forfeit
Client right to receive a Service Credit.
(iii) Maximum Service Credit. The aggregate maximum number of
Support Service Credits to be issued by Balancing Act to Client for
all Downtime that occurs in a single calendar month shall not exceed
fifteen days of Service added to the end of Clients term for the
Service. Support Service Credits may not be exchanged for, or
converted to, monetary amounts.
(iv) Application SLA Exclusions. The Balancing Act Application SLA
does not apply to any services that expressly exclude this Balancing
Act Application SLA or any performance issues: (i) caused by
factors described in the Force Majeuresection of the Agreement;
or (ii) that resulted from Client equipment or third party
equipment, or both (not within the primary control of Balancing
Act).
Б
5. TERM.
A. Term. This Agreement shall commence on the Effective Date and be effective for
three years.
B. Option to extend. Client shall have the option to extend for up to two one-year
renewals at the same yearly price as during the Term
discretion, exercisable through a writing executed by the City Manager and
City Attorney.
C. Termination. This Agreement may be terminated by the Client or Balancing
Act upon thirty (30) days written notice of termination. In such event,
Balancing Act shall be entitled to receive and Client shall pay compensation
for all services performed by Balancing Act prior to receipt of such notice of
termination, except for work which fails to meet the required standard of
performance.
D. Early Termination Fee. The yearly fee under this contract is based on a three-
year term and as such is heavily discounted. If Client terminates before the
completion of the three year term, Client agrees to pay an early termination
fee of $2,000 and an amount equal to the difference between the discounted
fee and the regular fee for each year prior to notification of termination. The
difference between the discounted fee and the regular fee is $2,000 per year.
6. OWNERSHIP AND USE OF THE MATERIALS, USER CONTENT.
A. Creative Materials. The Parties acknowledge and agree that an integral part of the
services is the creation of the Balancing Act application for Client, which includes
the development of certain information, content, text, graphics, logos, photos,
videos, software and other items, as well as their selection and arrangement
("Creative Materials"). Such Creative Materials are protected by copyrights,
trademarks, patents, trade secrets and other intellectual property and proprietary
rights, and Balancing Act shall be considered the author of such Creative
Materials and retains all right, title and interest in and to such Creative Materials.
Client rights to use the Creative Materials are limited to use solely in connection
with this Agreement, and the rights and obligations granted hereunder. Any rights
granted to Client under this Agreement to use the Creative Materials shall cease
upon the termination of this Agreement.
B. User Content. The Parties acknowledge and agree that the user content generated
on the Balancing Act website by others who are not parties to this Agreement is
not owned by either Balancing Act or Client but can be used by either Party for
Б
promotional purposes or any other purpose during and after the term of this
Agreement. Balancing Act acknowledges that the Client can and will retain the
right to use any user content and the deliverables under this Agreement for any
and all purposes related to the general business of the Client.
7. LIMITATION OF LIABILITY; DISCLAIMER OF WARRANTIES
AND LIABILITY FOR ACTIONS OF THIRD PARTIES.
A. Except for the terms and conditions set forth in this Agreement, Balancing Act
makes no express or implied warranties about the performance of Balancing Act,
including warranties of merchantability or fitness for a particular purpose.
B. Neither party shall be liable for false or defamatory statements, either orally or
in writing, made by others who are not parties to this Agreement.
8. INSURANCE.
Vendor shall procure and maintain for the duration of the contract insurance
against claims for injuries to persons or damages to property which may arise from
or in connection with products and materials supplied to the Entity. The cost of
such insurance shall be borne by the Vendor.
A. MINIMUM SCOPE AND LIMIT OF INSURANCE
Coverage shall be at least as broad as Insurance Services Office
Commercial General Liability coverage (occurrence Form CG 00 01)
and include products coverage.
(i) Minimum Limits of Insurance
Coverage shall be at least as broad as Insurance Services Form
CG 00 01 covering CGL on an
products and completed operations, property damage, bodily
injury and personal & advertising injury with limits no less than
$1,000,000 per occurrence. If a general aggregate limit applies,
either the general aggregate limit shall apply separately to this
project/location (ISO CG 25 03 or 25 04) or the general aggregate
limit shall be twice the required occurrence limit.
If the Vendor maintains broader coverage and/or higher limits
than the minimums shown above, the Entity requires and shall be
entitled to the broader coverage and/or the higher limits
maintained by the contractor. Any available insurance proceeds
in excess of the specified minimum limits of insurance and
coverage shall be available to the Entity.
(ii) Self-Insured Retentions
Self-insured retentions must be declared to and approved by the
Entity. The Entity may require the Vendor to purchase coverage
Б
with a lower retention or provide proof of ability to pay losses
and related investigations, claim administration, and defense
expenses within the retention. The policy language shall provide,
or be endorsed to provide, that the self-insured retention may be
satisfied by either the named insured or Entity.
B. OTHER INSURANCE PROVISIONS
The insurance policies are to contain, or be endorsed to contain, the
following provisions:
(i) Additional Insured Status
The Entity, its officers, officials, employees, and volunteers are
to be covered as additional insureds on the CGL policy with
respect to liability arising out of work or operations performed
by or on behalf of the Vendor including materials, parts, or
equipment furnished in connection with such work or
operations. General liability coverage can be provided in the
form of an surance at least as
broad as ISO Form CG 20 10 11 85 or if not available, through
the addition of both CG 20 10, CG 20 26, CG 20 33, or CG 20
38; and CG 20 37 if a later edition is used).
(ii) Primary Coverage
For any claims related to this contract, the insurance
coverage shall be primary insurance coverage at least as broad as
ISO CG 20 01 04 13 as respects the Entity, its officers, officials,
employees, and volunteers. Any insurance or self-insurance
maintained by the Entity, its officers, officials, employees, or
volunteers shall be excess of the insurance and
shall not contribute with it.
(iii) Notice of Cancellation
Each insurance policy required above shall provide that
coverage shall not be canceled, except with notice to the
Entity.
(iv) Acceptability of Insurers
Insurance is to be placed with insurers authorized to conduct business in
the state with a current A.M. rating of no less than A:VII, unless
otherwise acceptable to the Entity.
(v) Verification of Coverage
Vendor shall furnish the Entity with original Certificates of
Insurance including all required amendatory endorsements (or
copies of the applicable policy language effecting coverage
required by this clause) and a copy of the Declarations and
Endorsement Page of the CGL policy listing all policy
endorsements to Entity before work begins. However, failure to
obtain the required documents prior to the work beginning shall
Б
The Entity
reserves the right to require complete, certified copies of all
required insurance policies, including endorsements required by
these specifications, at any time.
(vi) Waiver of Subrogation
Vendor hereby grants to Entity a waiver of any right to
subrogation which any insurer of said Vendor may acquire
against the Entity by virtue of the payment of any loss under such
insurance. Vendor agrees to obtain any endorsement that may be
necessary to affect this waiver of subrogation, but this provision
applies regardless of whether or not the Entity has received a
waiver of subrogation endorsement from the insurer
(vii) Special Risks or Circumstances
Entity reserves the right to modify these requirements at any
time, including limits, based on the nature of the risk, prior
experience, insurer, coverage, or other special circumstances.
9. ASSIGNMENT. Either Party may assign all or a portion of its rights or obligations
under this Agreement but only with the express written consent of the other Party.
10. CONFIDENTIALITY. During the term of this Agreement, each party (the "Disclosing
Party") may provide the other (the "Receiving Party") with certain confidential and
proprietary information ("Confidential Information"). Confidential Information includes,
but is not limited to, (a) the Deliverables under this Agreement, (b) all business, financial
and technical trade secrets, (c) any written information which is marked "Confidential",
and (d) any information which is orally disclosed, identified as confidential at the time of
disclosure and confirmed in writing as being confidential within 30 days thereafter.
Confidential Information shall not include information that (a) is publicly known at the
time of its disclosure; (b) is lawfully received by the Receiving Party from a third party
not under an obligation of confidentiality to the Disclosing Party, or (c) is published or
otherwise made known to the public by the Disclosing Party. The Receiving Party will
refrain from using the Disclosing Part Confidential Information except to the extent
necessary to exercise its rights or perform its obligations under this Agreement. Except
as required by law, including the California Public Records Act, the Receiving Party may
not disclose the Disclosing Part Confidential Information to any third party, other than
its affiliates or representatives who have an absolute need to know such Confidential
Information in order for the Receiving Party to perform its obligations and enjoy its rights
under this Agreement, and only if such persons are informed of and are subject to the
provisions of this Agreement. The Receiving Party remains liable for any unauthorized
use or disclosure of the Confidential Information by any such representative or affiliate.
Б
11. WEB SOFTWARE AND SITE TERMS OF USE AND PRIVACY
POLICY. Balancing Act shall include on the Balancing Act website its privacy policy
("Privacy Policy") that applies to the activities of Balancing Act and the users of
Balancing Act, including the use of usersersonal information. Client represents that it
has read and is familiar with the Privacy Policy and, to the extent applicable, shall govern
itself in accordance therewith.
12. INDEPENDENT CONTRACTOR. Client and Balancing Act intend at all times to be
independent contractors. Neither party is an employee, joint venture, agent or partner
of the other, nor is either party authorized to assume or create any obligations or
liabilities, express or implied, on behalf of or in the name of the other. The employees,
methods, facilities and equipment of each Party shall at all times be under the exclusive
direction and control of that Party.
13. GOVERNING LAW AND VENUE. This agreement shall be construed in accordance
with and governed by the laws of the State of California and any claim or lawsuit brought
to enforce the terms of this Agreement shall be brought in the state or federal courts
serving City of Santa Ana, CA.
14. FULL AUTHORITY. The person agreeing to the terms and conditions of this
Agreement states and affirms that they have the full authority of Client to enter into and
execute this Agreement.
\[Remainder of This Page Intentionally Left Blank; Signature Page Follows.\]
Б
INWITNESSWHEREOF, CLIENTandBALANCINGACT haveexecutedthis
AgreementasoftheEffectiveDate.
ATTEST:CITY OF SANTA ANA
ΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗ ΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗΗ
Daisy GomezKristine Ridge Date
Clerk of the Council City Manager
APPROVED AS TO FORM:RECOMMENDED FOR APPROVAL:
SONIA R.CARVALHO
City Attorney
By:______________________________________________________________
Ryan O. HodgeKathryn Downs Date
Assistant City Attorney Executive Director
Finance and Management Services
BALANCING ACT
th
7897E. 24Avenue,Denver, CO, 80238
10/13/2021
___________________________________
Chris Adams Date
President
В
EXHIBIT A SUBSCRIPTION
AND SUPPORT
FOR SUBSCRIPTION, SUPPORT AGREEMENT BETWEEN BALANCING ACT AND
the City of Santa Ana.
1. Client Information.
Name: City of Santa Ana, CA
Contact Person: Waldo Barela
Phone: 714-647-5428
Email: wbarela@santa-ana.org
2. SUPPORT SERVICES
A. Balancing Act staff will provide one (1) training session via web conference for
client staff. The training session will cover the following items:
i) Setting up site, general orientation, strategic advice
ii) Unlimited technical support and help understanding how to use
features
B. Balancing Act staff will be reasonably available during business hours and days to
provide technical support and strategic advice, as requested.
3. SUBSCRIPTION AGREEMENT
A. Design and Launch of the Site (s)
i) Client will have access to design and launch Site (s) beginning on
the date of execution of the agreement.
B. Live Site (s)
ii) The Site (s) shall include the Balancing Act Simulate for Budget,
Prioritize and Taxpayer Receipt products.
iii) Client is responsible for selecting and uploading all content specific
to its intended use of the Balancing Act products, including
categories, subcategories, supporting information, additional
details, numerical amounts, pictures, graphs or videos.
iv) Client is solely responsible for the time and cost associated with
content creation and inputting.
1
4. SUPPORT SERVICES
A. Administration and Site Support
i) Balancing Act will provide up to two (2) hours per live site each
month of Site administration, maintenance and support, including
Client and user support during the Term. Support Services include, but
may not be limited to the following:
General user support (password reset, site navigation issues, site
utilization questions, etc.)
ii) Any Support Services requested by Client other than Site
administration, maintenance and support will be considered custom
development and billed to client as outlined in Exhibit C.
2
financial issues.
Full Suite of Budget Engagement Software:
Simulate: this tool provides a way for a government to frame tough financial tradeoffs and puts
residents in the shoes of policymakers. It offers several different ways to interact with budget
items and produces detailed, visual reports. Simulate is most often used for the general fund,
but can also be used for capital budgets or special purposes, such as ARPA funding.
Prioritize: this tool offers a simple, visual way to present projects and costs. Government sets an
overall budget and users select projects up to the specified amount, and then rank order them.
The report provides weighted and unweighted results and can identify top projects based on
three different voting techniques, including instant runoff. This is well suited to ARPA outreach,
capital projects, and participatory budgeting.
Taxpayer Receipt: this app asks a few questions to generate an estimate of taxes paid and then
demonstrating the value that government provides.
Annual Subscription:
Balancing Act is available as an annual subscription that includes all three tools, as well as unlimited
subscription to Analytics: which gives you detailed insight into who is using the simulation and how they
would balance tradeoffs, and Meeting Mode: which modifies Balancing Act for use in face-to-face or
online synchronous meetings. Onboarding and unlimited technical support are included. Balancing Act is
a SaaS product and requires no installation.
Contract Duration: Three years at $10,000 per year (five-year rate), with two one-year optional renewals
Contact:
Amy Flynn
amy@abalancingact.com
415.294.8787
Healthy Outcomes, Inc., DBA Balancing Act
Chris Adams, President
7897 E. 24th Ave. Denver, CO 80238
303.877.0111
Taxpayer ID# 84-1452641 Proposal Valid through 11/30/21
EXHIBIT C
FEES
FOR SUBSCRIPTION, SUPPORT AGREEMENT BETWEEN BALANCING ACT AND
City of Santa Ana DATED September 19, 2021
The following is a summary of the Fees associated with the Services provided by Balancing Act
hereunder.
1. Licensing Fee (published budget)
i. Subscription fee is $10,000 per year. Invoice will be sent for the yearly licensing fee
within 30 days of the effective date of the contract and every year at approximately
the same time thereafter for the duration of this Agreement. Invoice for any agreed-
upon additional services will be sent within 15 days of delivery.
2. General
a. Except as otherwise provided herein or in an applicable SOW, all Fees due to Balancing
Act will be payable within 30 days of receipt of the applicable invoice.
b. All payments of the Fees must be made by cash or cash equivalent to Balancing Act at
th
7897 E. 24Avenue, Denver, CO, 80238 or by ACH. Credit card payment can be
arranged, but may incur a 3% fee.
2021 BALANCING ACT RATE SCHEDULE AND REIMBURSEMENT SCHEDULE
FOR ADDITIONAL SERVICESAND CUSTOM DEVELOPMENT
Effective January 1, 2021
HOURLY RATE SCHEDULE
Description Rate in USD
Principal Staff $200 / hour
Custom Development $180 / hour
Customer Success $150
Support Staff $60 / hour
These rates listed above are valid for the initial Term of this Agreement, and Balancing Act may,
as a condition to agreeing to any extension of the Term, require that the rates be adjusted.
Community Development Agency
santa-ana.org/cd
Item # 17
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Approve and Launch the New “My First Home” Program
AGENDA TITLE:
Approve and Launch the New “My First Home” Program with a One-Time Allocation of
$1,200,000 from the Inclusionary Housing Fund (Non-General Fund)
RECOMMENDED ACTION
1. Authorize the City Manager to launch the new “My First Home” Program.
2. Authorize the City Manager to execute Loan Agreements with qualified and approved
homebuyers for the “My First Home” Program, subject to non–substantive changes
approved by the City Manager and the City Attorney.
DISCUSSION
On March 6, 2018, the City Council approved an update to the Down Payment Assistance
Loan program to revise the eligibility criteria to make the program more effective and
attainable for low- to moderate-income residents in response to changing market
conditions. The major updates to the program included a one-time allocation of $400,000
in Inclusionary Housing Funds and an increase to the maximum loan amount for low-
income buyers to $80,000 and $40,000 for moderate-income buyers. Since this program
update in March 2018, 17 families became first-time homeowners in Santa Ana.
To build on this effort from three years ago, staff is seeking approval to launch the new
“My First Home” program using the $1.2 million in Inclusionary Housing Funds. The idea
for the launch of this program and investment of one-time funds originated with comments
from various councilmembers regarding the City’s need to invest in more homeownership
opportunities for our residents. While the City continues to invest in affordable rental
housing for our lowest income families, it is important that the City help create
opportunities for homeownership. Homeownership leads to asset building and the
accumulation of wealth instead of solely relying on the City’s financing of affordable rental
housing. The “My First Home” program will fulfill this need for increased homeownership
opportunities and create wealth-building opportunities for at least ten low-income families
or a combination thereof.
Approve and Launch the New “My First Home” Program
November 2, 2021
Page 2
“My First Home” program will be a limited-time program based upon funding
availability. This means that as soon as the $1.2 million in Inclusionary Housing Funds
are exhausted, staff will revert the program guidelines back to its original form using
Community Development Block Grant funds. The core working part of this one-time
program is an increase in down payment assistance available per
household. Specifically, staff is increasing the maximum down payment assistance loan
amount available for low-income buyers up to $120,000. The maximum down payment
assistance loan amount for moderate-income buyers will also be increased to $80,000.
By increasing the loan amounts, together with record low mortgage interest rates, more
low-income families will qualify to purchase a home. The vision behind the allocation of
$1.2 million is to assist at least ten low-income families purchase their first home (e.g.
$120,000 x 10 families), or a combination thereof between low- to moderate-income
families. The updates to the Down Payment Assistance Program Guidelines and template
Loan Agreement are attached as Exhibit 1 and 2 in redline format.
The effectiveness of this one-time program will be evaluated if the City is successful to
assist at least ten low- to moderate-income families purchase their first home. Staff may
adjust the allocation of funds per household depending on the results of the
program. Regarding the eligibility of the $1.2 million in funding for this one-time program,
pursuant to Section 41-1909 (a)(3) of the Housing Opportunity Ordinance, permissible
uses of the Inclusionary Housing Fund include pre-home ownership co-investment. The
Ordinance states that the Inclusionary Housing Fund may be used for the benefit of
owner-occupied housing.
Following approval by City Council, staff will launch the program and begin marketing the
program together with NeighborWorks of Orange County. The “My First Home” Program
will be available until all of the funds are expended.
Program Administration and Contingency
As part of the FY 2021-2022 City Budget, a portion of the City’s Inclusionary Housing
Funds are already allocated for down payment assistance but it is anticipated that this
one–time program will require additional staff time, administration and marketing efforts.
Staff estimates needing $19,809 for these additional efforts, as well as a contingency of
$1,981 for any unanticipated costs. The Inclusionary Housing Administrative Funds
needed were already budgeted in the FY 2021-2022 City Budget as part of the costs
required to administer the Housing Opportunity Ordinance:
Project ItemTotal
“My First Home” Program$1,200,000
Inclusionary Housing Administrative Funds$ 19,809
Contingency$ 1,981
Total Delivery Cost for Project$1,221,790
Approve and Launch the New “My First Home” Program
November 2, 2021
Page 3
FISCAL IMPACT
Funds in the amount of $1,200,000 are available for anticipated expenditure starting in
FY 2021-22 in the Inclusionary Housing Fund, Loans & Grants account no. (41718820-
69152). Any unspent funds at the end of the current fiscal year will be budgeted for carry
forward to subsequent fiscal year(s) until all funds have been spent for this program.
EXHIBIT(S)
1. Down Payment Assistance Program Guidelines
2. Loan Agreement Template
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
CITY OF SANTA ANA
MY FIRST HOME SANTA ANA LOAN PROGRAM
PROGRAM GUIDELINES
The Program offers zero percent, deferred payment loans of up to $120,000 for Low Income
Households and up to $80,000 for Moderate Income Households based on needand funding source.
Homebuyer Assistance funds can help meet both a borrower’s down payment and closing cost
requirements.
FUNDS ARE LIMITED – FIRST COME, FIRST SERVE
Eligibility Requirements
o Borrower(s)must be a first time homebuyer (a person with no ownership interest in, or
who has not held ‘title’ to a principal residence during the three-year period preceding the
purchase of the property).
o Borrower(s) must be a resident of Santa Ana and/orwork in Santa Ana at least 32 hours
per week for at least the last 6 months, with an exception for U.S. military veterans.
o Total Annual Income of the household, meaning all persons residing in the home as their
principal place of residence, cannot exceed the income limits established below:
Household Size Low Income Moderate Income
1 $ 75,300 $89,650
2$ 86,050$102,450
3$ 96,800$115,250
4 $ 107,550 $128,050
5$ 116,200$138,300
6 $ 124,800 $148,550
7 $ 133,400 $158,800
8 $ 142,000 $169,050
*As of April 2017, subject to changeon anannual basis
o Complete a minimum of eight (8) hours of in-person homeownership training offered by a
counseling center approved by the U.S. Department of Housing and Urban Development
(HUD).
o Must have at least three percent (3%) of the purchase price for a down payment from
buyer’s own funds (at least 90 days seasoned). Three most-recent bank statements are
required to verify seasoned funds. Seasoned funds cannot be from gift funds. Gift funds
may contribute towards the purchase; gift funds may not exceed 3% of purchase price.
o Must have a positive credit history and obtain a fixed-rate first mortgage. Co-signers and
variable rate loans are not allowed.
Use of Loan Proceeds
o Loans of up to $120,000 for Low Income Households and up to $80,000 for Moderate
Income Households will be approved based on need. Loan amounts will be based on
underwriting front -end ratios of not less than 28 percent. Maximum debt-to-income ratios
cannot exceed 38/43.
EXHIBIT 1
o City of Santa Ana loan proceeds may be applied to down payment and closing costs
associated with the purchase of a home in Santa Ana.
o City of Santa Ana down payment assistance loan proceeds may not be applied to down
payment and closing costs associated with the purchase of an Inclusionary home made
available through the City’s Housing Opportunity Ordinance.
Interest Rates and Repayment
o Loan proceeds are offered as a deferred loan with a zero percent interest rate. Repayment of
the City loan principle balance will be required at the end of the 45-year term of affordability.
Santa Ana Student Incentive: Prospective homebuyers that graduated from a high
school located in Santa Ana and have a 4-year college degree are eligible for a loan
forgiveness up to $40,000 ($10,000 will be forgiven every five (5) years up to a twenty
(20) year period). Homebuyer has to reside in the home as their primary residence to
qualify for the forgiveness.
Application and Approval Process
o Prospective homebuyer completes a HUD approved 8-hour homebuyer class.
o Homebuyer chooses a local lender and gets pre-qualified.
o Homebuyer provides a complete Homebuyer Assistance Loan Application Packet to the City
of Santa Ana Housing Division for review and pre-approval with all required documents and
forms. All applications must contain the documents indicated in the attached Document
Checklist.
o Once pre-approved, homebuyers will have 60 days to find a qualified home within Santa
Ana to purchase. Pre-approval does notguarantee City funds.
o Homebuyer shops for home based on Lender’s pre-qualification amount.
o When presenting an offer, Homebuyer and Realtor provide Seller’s Statement for the Seller
to sign.
o Within three (3) business days, Homebuyer must contact the City of Santa Ana to schedule
an inspection by City Staff for lead-based paint hazards and building/health and safety code
deficiencies once a purchase contract has been executed.
o If homebuyer is eligible and home passes inspection, City of Santa Ana reserves funds and
notifies the Homebuyer and Realtor.
o A minimum of two (2) weeks prior to close of escrow, the City of Santa Ana needs the
lender’s packet for final loan approval.
o Realtor notifies the City of Santa Ana of scheduled closing date ten (10) business days prior
to close of escrow date.
EXHIBIT 2
FREE RECORDING REQUESTED PURSUANT
TO GOVERNMENT CODE SECTION 6103 & 27383
When Recorded Mail to:
City of Santa Ana
20 Civic Center Plaza, M-26
P.O. Box 1988
Santa Ana, California 92702
Attention: Housing Manager
HOMEBUYER DOWNPAYMENT
ASSISTANCELOANAGREEMENT
THIS LOAN AGREEMENT
202118
the City of Santa Ana, a charter city and municipal corporation duly organized and
existing underthe Constitution and laws of the State of California
R E C I T A L S
A.City is a recipient of Inclusionary Housingfunds from the Housing
Opportunity Ordinancepursuant to Sec. 41-1900.
B.Borrower has entered into an agreemp
purchase residential property, located at _______________________________________,
Santa Ana, California, as more particularly described in the legal description, Exhibit A
Agreement, the price to be paid for the Property is $____________________ (the
C.The City wishes to encourage a greater degree of owner-occupancy of
residences in the neighborhoods of the Cityof Santa Ana. In order to promote this goal,
the City has established its Homebuyer DownPayment
Assistance
in the form of a trust deed loan in the maximumamount of $12080,000.00
residence within the City.
D.The Program is implemented in accordance with the Housing Opportunity
Ordinance, and will be modified whenever necessary to insure compliance with
regulations and continued Program feasibility.
1
EXHIBIT 2
E.The City agrees to loan to Borrower and Borrower agrees to borrow from
thethe
Program,subject to the terms and conditions set forth herein.Borrower must contribute a
minimum of three percent (3%) of the purchase price towards down payment. This
minimum contribution cannot be from gift funds.
F.The Purchase Price for the Property is to be paid by Borrower by a
combination of funds, including:
a.
A loan to be made by __________________________________,
b.secured by a first deed of trust, in the principal amount of
$___________
b.The City Loan, secured by a deed of trust, in the principal amount
c.of$_____________________.
G.Borrower has provided the City with written documentation from the
lender making the First Mortgage Loan stating thatthe amount of the City Loan
requested by Borrower is the minimum amount of additional financing necessary for
Borrower to qualify for the First Mortgage Loan.
H.The Loan Agreement and all of its attachments shall be enforceable by
City in accordance with the terms thereof. Each of the Loan Agreement, the Income
And Owner-Occupancy Covenants and Resale Restrictions/Affordability Covenants, the
City Promissory Note and the CityDeed of Trust provide a means of enforcement by the
City if Developer is in breach of its obligations hereunder and thereunder, including liens
on the Property, use and deed restrictions and covenants running with the land \[24 CFR
92.504 (c)(13)\].
NOW, THEREFORE, for good and valuable consideration, the parties agree as
follows:
Definitions:Unless otherwise defined, the following capitalized terms shall be defined
in this Agreement as follows:
attached to this Agreement as Exhibit Band incorporated herein by reference.
deferred loanofInclusionary Housingfundsto be made
by the City to Borrower in the principal amount of $ _______________ in
accordance with this Agreement.
2
EXHIBIT 2
note in favor of the City,
evidencing the City Loan, in the form attached to this Agreement as Exhibit Cand
incorporated herein by reference.
income of less than 80% of the area median income for the City, adjusted for
-
single family residence for occupancy as his, her or their principal residence.
as the result of any refinancing of the First Mortgage Loan for a loan amount in
excess of the then-current loan balance of the First Mortgage Loan;
means the loan to Borrower from____________________
in the amount of $________________________________, or any loan obtained
by Borrower to refinance the First Mortgage Loan.
-
spouse who have not owned a home during the three-year period before the
purchase of the Property. The term includes displaced homemakers and single
parents as defined in 24 CFR Part 92.2.
And Owner-Occupancy Covenants and Resale Restrictions (the
-
Agreement as Exhibit D and incorporated herein by reference.
al description attached to
A.
Property.
m a high
school located in Santa Ana and have a four (4) year college degree.
portion thereof or interest therein, including, without limitation, any lease,
exchange, or otherdisposition of any interest in the Property, whether voluntary
or involuntary, except that any transfer by gift, devise or inheritance to an existing
spouse surviving joint tenants or other co-owner, or a spouse as part of a
dissolution proceeding or in connection with marriage, or by devise or inheritance
to children, shall not be considered a Sale for the purposes of this Agreement.
3
EXHIBIT 2
-five (45) years from close of escrow.
City Loan. The City agrees to lend to Borrower, and Borrower agrees to
1.borrow from the City, the City Promissory Note Amount, at zero (0%)
interest as provided in Section 2 of this Agreement, subject to the conditions and
restrictions set forth in this Agreement, in the Promissory Note and in the City Deed of
Trust. When all conditions to the close of escrow other than payment of the Purchase
Price have been satisfied, the City shall deposit the Loan Amount with the Escrow Agent.
The City shall direct the Escrow Agent to apply the proceeds ofthe City Loan on behalf
of Borrower to the Purchase Price of the Property for the down payment. Borrower shall
execute and deliver to the Escrow Agent the City Promissory Note, the City Deed of
Trust and the Affordability Covenants.
2.Authorized Use of City Loan. The City Loan proceeds may only be
used for the down payment associatedwith the purchase of the Property.
3.Conditions Precedent. Borrower must complete eight (8) hours of
homeownership training offered by a counseling center approved by HUD,and open an
impound account for property taxes and insurance costs. Borrower must have a positive
credit history and must obtain a fixed rate loan (co-signors and variable rate loans are not
allowed). Borrower will be required to provide payment of up to 3% of the purchase
price toward the down payment. All properties built before 1978 must have a Visual Lead
Based Paint Inspection and must pass the inspection before loan approval. Inspections
will be made to ensure that there are not code related issues, including common areas in
condominium complexes.
4.Interest Rate and Repayment /Acceleration Terms.
(a) Interest Rate.The City is making the City Loan to Borrower at
zero percent (0%) interest.
(b) Service Charge. Borrowershall be required to pay any and all service
charges associated with the City Loan.
(c ) Repayment/Acceleration.The unpaid outstanding principal
balance of the City Loan and any penalties thereon shall be all due and payable when any
of the following events take place:
i.at the end of the 45 year Term of Affordability;
ii.when the Property is sold;
iii.when the Property is not properly being used as the
principal residence;
iv.The City discovers that Borrower knowingly or willfully made a
4
EXHIBIT 2
misstat
as an Eligible Person or Family;
v.An uncured default in performance or breach by Borrower of any
provision of this Agreement, the Promissory Note, the City Deed
of Trust or the AffordabilityCovenants.
(d) Excess Refinancing Proceeds.In the event that the First Mortgage
Loan is refinanced, any Excess Refinancing Proceeds shall be paid out in accordance
with City policy.
(e)Returning Student Loan Forgiveness Incentive. Returning
Students will be eligible for a loan forgiveness up to $40,000. Under this loan
forgiveness incentive, $10,000 will be forgiven from the City Promissory Loan Amount
every five (5) continuous years that the Returning Student remains in compliance with all
termsand conditions of this Agreement and the Affordability Covenants. The maximum
length of time for the Returning Student Loan Forgiveness Incentive shall beover a
twenty (20) year period, up to a maximum of $40,000 forgiven from the City Promissory
Loan Amount. In the event that the entire City Promissory Loan Amount is forgiven, the
Term of Affordability shallnot be affected and shall remain enforceablefor the complete
timeframedefined herein.
5.Nondiscrimination.There shall be no discrimination against or segregation
of any person, or group of persons, on account of race, color, religion, sex, disability,
marital status, national origin or ancestry in the sale, lease, sublease, transfer, use,
occupancy, tenure or enjoyment of the Property, or any part thereof, nor shall Borrower
or any person claiming under or through Borrower establish or permit any such practice
or practices of discrimination or segregation with reference to the selection, location,
number, use or occupancy of the Property. The provisions of this section shall be set
forth in the Agreement Containing Covenants recorded against the Property.
6.Income Requirement.
a.available to persons or families whose household annual income does
not exceed 120% of the area median income for the City, adjusted for family at
affordable housing cost for the longest feasible time, but in any event not less than Forty
Five (45)years from the date of recording of the AffordabilityCovenants, provided that
the Property remains habitable.
a.Borrower represents and warrants to the City that the information
b.
for the City Loan is true, correct and
complete as of the date such information was provided to the City and as of the date of
this Agreement. If any such information changes prior to the close of escrow for the
purchase of the Property, Borrower shall promptly notify the City of such change.
Borrower acknowledges that the City is relying upon the representations made by
5
EXHIBIT 2
l income were in excess of 120% of
the area median income for the City, adjusted for family size, as of the date of this
Agreement. As of April 1, 2021June 9,2017120% of the area median income for the
City of Santa Ana, adjusted for family size (subjectto change approximately annually)
was as follows:
Family SizeIncome
1$89,65073,900
2$102,45084,500
3$115,25095,050
4$128,05005,600
5$138,30014,050
6$1248,5502,500
7$158,80030,950
8$169,05039,400
First-Time Homebuyer. Borrower represents and warrants to the City that
7.-Time Homebuyer
as defined by this Agreement. Borrower acknowledges that the City is relying on
s a
First-Time Homebuyer and that the City would not enter into this Agreement if Borrower
-Time Homebuyer.
8.Owner-Occupancy Requirement.
.Borrower shall occupy the Property as his, her or their primary
a.residence, and the Property shall be used as the principal residence of
of the Property shall not exceed two persons per bedroom plus one additional person.
.The City shall have the right to monitor whether the Property is
b.owner-occupied by requesting that Borrower provide the City, no
more frequently than annually, with a written certification under penalty of perjury that
the Property is owner-occupied, accompanied by supporting documentation reasonably
satisfactory to the City.
.In the event of a breach of this section, the City Loan shall become
c.immediately due and payable.
.The provisions of this section shall also be set forth in the Agreement
d.Containing Covenants recorded against the Property.
6
EXHIBIT 2
9.Maintenance of Property.Borrower must maintain the interior and
exterior of the improvements and the landscaping on the Property in a manner consistent
with community standards which will uphold the value of the Property, in accordance,
with this Agreement and the Santa Ana Municipal Code. The maintenance requirements
are set forth in specific detail in the recorded Affordability Covenants.
10.Defaults.Failure or delay by either party to perform any term of
provisions of this Agreement, the Promissory Note, the City Deed of Trust or the
Agreement Containing Covenants which is to be performed by such party constitutes a
written notice of default to the party in default, specifying in reasonable detail the matter
constituting the default. The party in default shall have 15 days following receipt of
notice to cure the default. Except as required to protect against further damages, the
Complaining Party shall not institute proceedings against the party in default unless the
matter is not cured within such 15 day period, or, if the default is of a nature requiring
more than 15 days to cure, the party in default commences to cure the matter within such
period and diligently pursues such cure to completion within a reasonable time, but in no
event more than 45 days after notice of default. Failure to cure the default within the
applicable cure period shall entitle the Complaining Party to terminate this Agreement
and/or exercise any remedies available to such party, including, without limitation,
acceleration of payment due on the City Loan.
11.Loan Servicing.The City may contract with a private lender to
originate and service the City Loan, and any costs associated therewith shall be paid by
the Borrower.
12.Indemnification.Borrower shall indemnify, defend and hold
harmless the City, and itsrespective officers, agents, employees, legal counsel,
representatives and volunteers, from and against any loss, liability, claim or judgment
relating in any manner to the Property or this Agreement. Borrower shall remain fully
obligated for the payment of taxes, liens and assessments relating to the Property. There
shall be no reduction in taxes for Borrower, nor any transfer or responsibility to the City
to make such payments, by virtue of the City Loan.
13.Insurance.Borrower shall maintain, during the term of the City Loan,
an all-risk property insurance policy insuring the Property in an amount equal to the full
replacement value of the structures on the Property. The policy shall name the City as
loss payee and shall contain a statement of obligation on behalf of the insurance carrier to
notify the City of any material change, cancellation or termination of coverage at least 30
days in advance of the effective date of such material change, cancellation or termination.
Borrower shall deliver a copy of the certificate of insurance and loss payee endorsement
to the City at the time ofescrow closing, and Borrower shall annually deliver a copy of
the certificate of insurance and loss payee endorsement to the City, signed by an
authorized agent of the insurance carrier and setting forth the general provisions of
7
EXHIBIT 2
coverage. The copy of the certificate of insurance and loss payee endorsement shall be
delivered to the City as follows:
City of Santa Ana, Community Development Agency
20 Civic Center Plaza, M26
P.O. Box 1988
Santa Ana, Ca 92702
Attention: Housing Manager
Any certificate of insurance required by this section must be a in a form, content
and with an insurance company that is acceptable to the City in its sole discretion.
14.Non-Waiver.Failure to exercise or delay in exercising any right the City
may have or be entitled to, in the event of default hereunder, shall not constitute a waiver
of such right or any other right in the event of a subsequent default.
15.Documents.Borrower has reviewed and agrees to execute the following
documents in substantially the form as attached to this Agreement prior to receiving the
City Loan, and any other documents or instruments reasonably required by City or a
participating entity to complete the transaction contemplated herein:
(a)Promissory Note (Exhibit C);
(b)City Deed of Trust (Exhibit B);
(c)AffordabilityCovenants (Exhibit D); and
(d)Disclosure Statement and Notice of Rescission (Exhibit E)
Borrower agrees and acknowledges that this Agreement, the City Deed of Trust and the
Affordability Covenants all be recorded against the Property with the County Recorder of
the County of Orange and shall appear of record with respect to and as an encumbrance
against the Property.
16.Further Assurances.Borrower shall execute any further documents
consistent with the terms of this Agreement, including documents in recordable form, as
the City may from time to time find necessary or appropriate to effectuate its purposes in
entering into this Agreement and making the City Loan.
17. Governing Law.This Agreement shall be governed by the laws of the
State of California, with venue in Orange County.
18. Severability. In the event that any provision or clause of this Agreement
conflicts with applicable law, such conflict will not affect other provisions of this
Agreement whichcan be given effect without the conflicting provision, and to this end
the provisions of the Agreement are declared to be severable.
8
EXHIBIT 2
19. Amendment of Agreement. No modification, rescission, waiver, release
or amendment of any provision of this Agreement shall be made except by a written
agreement executed by Borrower and the duly authorized representative of the City.
20.Assignment by City Permitted.The City may, in its sole and
absolute discretion, assign its rights under this Agreement and/or its right to receive
repayment of the City Loan without obtaining the consent of Borrower.
21. Assignment of Borrower Prohibited. In no event shall Borrower assign
or transfer any portion of this Agreement or any rights herein without the prior express
written consent of the City, which consent the City may give or withhold in its sole and
all or any portion of its rights under this Agreement or to the proceeds of the City Loan
hereunder.
22.Relationship of Borrower and City. The relationship of Borrower and
City pursuant to this Agreement is that of debtor and creditor and shall not be, or be
construed to be a joint venture, equity venture, partnership or other relationship.
23.Notices.(a)Except as otherwise expressly provided in this Agreement,
in every case when, under the provisions of this Agreement, it shall be necessary or
desirable for one party to serve any notice, request demand, report or other
communication on another party, the same shall be in writing and shall not be effective
for any purpose unless served (i) personally, (ii) by independent, reputable, overnight
commercial courier, or (iii) by deposit in the United States mail, postage and fees fully
prepaid, registered or certified mail, with return receipt requested, addresses as follows:
To Borrower:_________________________
_________________________
_________________________
To City:City of Santa Ana
Community Development Agency
20 Civic Center Plaza, M26
P.O. Box 1988
Santa Ana, CA 92702
Attention: Housing Manager
24. : In the event that any action is instituted to
enforce payment or performance underthis Agreement, or otherwise in connection with
this Agreement, the parties agree that the prevailing party shall be reimbursed by the
other party for all costs and all attorneyfees incurred by the prevailing party in such
action.
9
EXHIBIT 2
25. Entire Agreement. This Agreement, together with all attachments hereto
and all documents executed pursuant hereto, constitutes the entire understanding and
agreement of the parties. This Agreement integrates all of the terms and conditions
mentioned herein or incidental hereto, and supersedes all prior negotiations, discussions
and previous agreements between the City and Borrower concerning all or any part of the
subject matter of this Agreement.
26. Conflict of Interest. No member, official or employee of City shall have
any personal interest, direct or indirect, in this Agreement nor shall any member, official
or employee participate in any decision relating to the Agreement which affects his
personal interests or the interests of any corporation, partnership or association in which
he is directly or indirectly interest.
27. Captions. The captions and headings in this Agreement are for
convenience only and are not to be used to interpret or define the provisions hereof.
{Signatures on following page}
10
EXHIBIT 2
IN WITNESS WHEREOF, the parties have executed this Loan Agreement as of the day
and year written below.
BORROWER
Dated: ___________________________By:___________________________
Name: ________________________
Dated: ___________________________By:___________________________
Name: ________________________
CITY OFSANTA ANA
By:___________________________
Kristine RidgeRaul Godinez, II
City Manager
Dated: _______________________
APPROVED AS TO FORM:
City Attorney
_________________________________
By: Ryan O. Hodge
Assistant City Attorney
Dated:
11
Community Development Agency
santa-ana.org/cd
Item # 18
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Downtown Santa Ana Business Improvement District
AGENDA TITLE:
Adopt Resolution of Intent to Levy 2022 Assessment for Downtown Santa Ana Business
Improvement District
RECOMMENDED ACTION
1.Approve the 2022 Assessment Report for the Downtown Santa Ana Business
Improvement District (BID), which is administered by two organizations: the Santa Ana
Business Council and Downtown Incorporated.
2.Adopt a resolution of intention to levy an annual business license tax assessment for
the 2022 calendar year and establish a time and place for a public hearing to be held
by the City Council on December 7, 2021.
DISCUSSION
On February 6, 1984, the City Council adopted Ordinance No. NS-1715 pursuant to state
law, creating a Business Improvement District (BID) in Downtown Santa Ana. The BID
was established as a means of providing the Downtown business community with funding
to promote events and create promotional materials, increase the security presence,
enhance maintenance of the downtown shopping corridors, and implement streetscape
improvements. The BID is funded through an additional charge on the business license
tax for those businesses within the BID boundary.
On October 6, 2003, the City Council appointed the Community Redevelopment and
Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement
District Advisory Board. As the BID Advisory Board, the CRHC, now known as the
Community Development Commission (CDC), is responsible for making
recommendations to the City Council on the expenditure of revenues derived from the
levy of assessments, on the classification of businesses, as applicable, and on the
method and basis of levying the assessments, including the annual budget.
The 2022 Assessment Report contains the basis and method of levying the assessment,
estimated activities and budgets from the two business associations, the Santa Ana
Business Council and Downtown Inc., and a map of the BID boundaries (Exhibit 1A). The
Downtown Santa Ana Business Improvement District
November 2, 2021
Page 2
Assessment Report presented for consideration and recommended for approval has been
reviewed and was determined to meet state law requirements. After approval of the
report, the next course of action is to conduct a public hearing where Downtown
merchants can vote in favor of or against the BID renewal. The public hearing is
scheduled for December 7, 2021.
Terms
The City Council activated the current BID on July 1, 2013. To administer the activities of
the BID, the City executed operating agreements with Downtown Inc. and the Santa Ana
Business Council in an effort to address the needs of the two business associations.
These agreements contain provisions to ensure proper administration and distribution of
funds, such as the annual budget, financial recordkeeping, fund distribution, board
composition, and meeting requirements. The agreements are renewed automatically in
one-year renewal terms, unless either party gives at least two months’ notice of
termination or if the BID is not approved in any given year.
If the BID is successfully renewed, each organization will receive approximately $100,000
(collected from the business license tax fee) per calendar year (January through
December) and may carry over unspent funds into the next year. In FY 2020-2021, the
BID, through the efforts of Downtown Inc. and the Santa Ana Business Council,
accomplished hosting several successful events virtually to accommodate for the
pandemic restrictions and shifted efforts to assist businesses in establishing an online
presence while maintaining promotions that drew the attention of visitors to Downtown
Santa Ana. Many events transitioned to livestreaming or virtual settings, including First
Saturday Artwalk, Boca De Oro Literary Festival, and continued to promote the weekly
Downtown Santa Ana e-newsletter. Both organizations increased social media presences
and have over 50,000 followers.
FISCAL IMPACT
There is no direct fiscal impact associated with this action. The City collects the BID
revenue from businesses within the BID boundary and distributes funding to each
organization, in accordance with approved operating agreements. Revenues will be
deposited equally in the BID Trust and Agency Fund and distributions to each
organization will be made from the same accounts as follows:
Downtown Santa Ana Business Improvement District
November 2, 2021
Page 3
Fiscal YearAccounting Fund Accounting Unit,
Estimated
Unit-AccountDescriptionAccount Description
Amount
Business
FY 22-23Trust & Agency,
09301001-24036Improvement
$50,000
(Jan. – June)Downtown Inc.
District
Business
FY 22-23Trust & Agency, Santa
09301001-24043Improvement
$50,000
(Jan. – June)Ana Business Council
District
Business
FY 23-24Trust & Agency,
09301001-24036Improvement
$50,000
(July – Dec.)Downtown Inc.
District
Business
FY 23-24Trust & Agency, Santa
09301001-24043Improvement
$50,000
(July – Dec.)Ana Business Council
District
Total Amount
$200,000
EXHIBIT(S)
1.2022 Assessment Report
a.Attachment A – Business Improvement District Boundary
b.Attachment B – 2022 Annual Assessment Formula
c.Attachment C – Proposed Budget Summary
2.List of Businesses within the BID
3.Resolution
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT
2022 ASSESSMENT REPORT
Background
On February 6, 1984, the City Council adopted Ordinance No. NS-1715 pursuant to Section 36500, et seq.,
of the 1979 State of California Streets and Highways Code, creating a Business Improvement District (BID)
in Downtown Santa Ana. On October 6, 2003, the City Council appointed the Community Redevelopment
and Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement District Advisory
Board. As the BID Advisory Board, the CRHC, now known as the Community Development Commission
(CDC)is responsible for making recommendations to the City Council on the expenditure of revenues derived
from the levy of assessments, on the classification of businesses, as applicable, and on the method and basis
of levying the assessments (including the annual budget).
The BID was established as a means of providing the Downtown business community with the funding to
promote the Downtown through events and advertising pieces; funding to increase security and enhance the
overall aesthetics of the area; and also to maintain the downtown shopping corridors.
Improvement Area Boundaries
The geographic boundaries of the district remain unchanged from the original 1984 area, and they include
over 500 retail, service, and professional members (see Exhibit 2).
Assessment Formula
The formula for the BID tax levy also remains unchanged from the original 1984 ordinance and is based on
the category and/or sales volumes of the business (see Attachment A).
2022 Budget Plan
Based on the feedback from the two Associations, Downtown Inc. and the Santa Ana Business Council, the
2022 BID Budget focuses on the continuation of promotions and marketing of the BID. Some of the promotion
and marketing will be focused on Downtown events and advertising pieces, which are all designed to enhance
the overall aesthetics of the area and also to maintain the downtown shopping corridors. Detailed breakdowns
of the two groups’ budgets are attached (Attachment B). The assessments from the 2022 BID are estimated
at $200,000 to be split evenly by Downtown Inc. and the Santa Ana Business Council—the two business
groups that have spearheaded this BID process. Any remaining funds from the previous year will be
incorporated into a reserve fund for the groups’ 2022 budgets. This reserve funding may be used for additional
events and promotions throughout the year.
In 2022, the two representative business associations are proposing to host several events, some special
events may be virtual (pending COVID-19 regulations for special events), promotion of outdoor dining and
retail sales, and general promotion and marketing of the Downtown, as well as some traditional annual events
that will be safe for community members to attend, including:
BID-FUNDED OR PARTLY BID-FUNDED ACTIVITIES
ADMINISTRATION
Coordination of the BID including maintaining the interconnectivity and infrastructure, collectivizing
downtown efforts, program and project management, and supporting downtown’s role as a vital
community, cultural and economic engine
MARKETING PROGRAMS
Weekly Newsletter
Social Media Accounts (@DtsantaAna, @CalleCuatroDTSA)
Videos and Photos to catalogue and promote downtown
EXHIBIT 1
ORGANIZATION
Business Meetings (Restaurant Assoc., Bridal Assoc., Board and Merchant Meetings)
Business Training, Outreach and Support
Resident Mixers, Business and Arts Mixers
Membership and Training with National Downtown, Main Street and Placemaking Networks
Community Involvement/Engagement
Support for third-party event producers
Customer Support (Providing answers and connections to business, residents and visitors)
TECHNOLOGY
Downtown Websites
Software Licenses
Emailing Services
Online Forms/Storage/Media Services
Artists Registry
SOME SUPPORT FOR THE FOLLOWING EVENTS
First Saturday Artwalk (12x per year)
Boca de Oro: Festival of Arts and Literacy
Sponsorships for Downtown Businesses, Creatives and Residents to Activate Public Spaces
ACTIVITIES WE PARTNER WITH, FUNDRAISE FOR, OR THAT REQUIRE ADDITIONAL FUNDING
ANNUAL EVENTS
Boca de Oro: Literary, Visual and Performance Arts Festival
Downtown Threads Fashion & Design Show
Annual Gathering and Mixer
Katrina Festival
Savor Santa Ana
Tooltesting/Hackathon
Trolley Rides at Special Events and Lunch Hour
MONTHLY EVENTS
First Saturday Artwalk Expansion, Free Art Workshops and Music
Witches Brew (2nd St Promenade)
Kids Corner at Calle Cuatro Plaza
Sidewalk Sales (Bi-monthly: 1st and 3rd Weekend of the Month)
Amigas Social Club Business Mixers and Professional Development Workshops
Movies in the Park
WEEKLY EVENTS
Dancing in the Streets (Salsa, Cumbia, Tango, Bachata)
Loteria Mexicana
Clowns & Face Painting
Santa Ana Sundays Series
Free Yoga and Zumba
SEASONAL PROMOTIONS
Black Friday/Small Business Saturday
Turkey and Ham Giveaway (Thanksgiving)
Rib Giveaway (Christmas)
Holiday Show at Calle Cuatro Plaza
Carriage Rides and Carolling
Festival of Lights
EXHIBIT 1
Other programming for the associations will include ongoing social media marketing, funding for the
Downtown Restaurant Association, Bridal Association, Art Association, Professional Internship Programs,
downtown stakeholder meetings, holiday promotions, website development and maintenance, and ongoing
support for small businesses.
EXHIBIT 1
EXHIBIT 1 – ATTACHMENT A
BUSINESS IMPROVEMENT DISTRICT BOUNDARY
EXHIBIT 1
EXHIBIT 1 – ATTACHMENT B
2022 ANNUAL ASSESSMENT FORMULA
The following businesses located within the boundaries of the Business Improvement District (BID),
classified under City Ordinance NS 1690 as Amusement Services, Pawnbrokers, Service Station and
Classification A, including, but not limited to Retail Sale of Goods, Hotel and Motels, Theaters and Food
Establishments, shall pay an amount equal to one and one-half times their annual business license fee.
Businesses classified as Commercial Rental Property, Rental Property, Residential and Rooming House
shall pay an amount equal to one-quarter times their annual business license fee.
All other businesses, including Professions, Trades and Services within the boundaries of the proposed
Business District, shall pay an amount equal to their annual business license fee.
Once the assessment formula is established, it cannot be changed without written notice to all
businesses within the boundaries of the proposed Business Improvement District and a public hearing
held by the City of Santa Ana.
EXHIBIT 1
EXHIBIT 1 - ATTACHMENT C
DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID)
1 of 2 Budgets
EXHIBIT 1
EXHIBIT 1 - ATTACHMENT C
DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID)
2 of 2 Budgets
EXHIBIT 2
DATA AS OF 10/18/2021
Intent to Levy BID Assessment List
Weighted Protest Value
NumberBID AreaBID Eligible
(% of 100% Total)
Business NameBusiness Address
1 ADVANCE AUTO PARTS120 E 1ST ST YesYes 0.040322%
2 PEP BOYS, THE-MANNY/MOE/JACK120 E 1ST ST UNIT# A YesYes 0.080644%
3 PEP BOYS, THE-MANNY/MOE/JACK120 E 1ST ST UNIT# B YesYes 0.697052%
4 SANTA ANA EXPRESS CAR WASH202 E 1ST ST YesYes 0.458105%
5 NUNEZ AUTO REPAIR219 E 1ST ST YesYes 0.113873%
6 PURPLE PENUMBRA LLC224 E 1ST ST YesYes 0.021001%
7 ABBA AUTOMOTIVE, LLC224 E 1ST ST YesYes 0.176223%
8 MCDONALDS RESTAURANT 301 E 1ST ST YesYes 1.360876%
9 MCDONALD'S USA LLC301 E 1ST ST YesYes 0.062257%
10 SAINTS SOCCER CLUB (SANTA ANA HS GIRLS SOCCER)301 E 1ST ST YesYes 0.089605%
11 THEO HOLDINGS, LP302 E 1ST ST YesYes 0.021188%
12 GO USED TIRES302 E 1ST ST YesYes 0.217292%
13 ROIC SANTA ANA, LLC (301, 307, 407, 419, 423, 431)307 E 1ST ST YesYes 0.176503%
14 FARMACIA SANTA ANA307 E 1ST ST UNIT# 1-D YesYes 0.106406%
15 HIT MOBILE307 E 1ST ST UNIT# 1E YesYes 0.366820%
16 T-MOBILE LEASING LLC307 E 1ST ST UNIT# 1E YesYes 0.111446%
17 T-MOBILE WEST LLC 307 E 1ST ST UNIT# 1E YesYes 0.263215%
18 T-MOBILE FINANCIAL LLC307 E 1ST ST UNIT# 1E YesYes 0.777323%
19 JUGOS ACAPULCO #2 INC307 E 1ST ST UNIT# A YesYes 0.546590%
20 KALI BOTANICA LATINA312 E 1ST ST YesYes 0.053763%
21 FOOD 4 LESS 382315 E 1ST ST YesYes 6.863182%
22 ECOATM, LLC315 E 1ST ST YesYes 0.017921%
23 ACE AUTO CARE, LLC401 E 1ST ST YesYes 0.053763%
24 SUPER KIDS DENTAL407 E 1ST ST UNIT# 2A YesYes 0.430104%
25 PROCESSING CENTER OF ORANGE COUNTY407 E 1ST ST UNIT# 2E YesYes 0.109019%
26 TACO BELL #3434411 E 1ST ST YesYes 0.723560%
27 MARSHALLS #1220419 E 1ST ST YesYes 1.579848%
28 PERONI PIZZA200 W 1ST ST UNIT# 104 YesYes 0.427304%
29 ANOTHER LEVEL SMOKE SHOP200 W 1ST ST UNIT# 105 YesYes 0.080644%
30 MOHALE, MICHA210 W 1ST ST YesYes 0.013441%
31 BROADWAY FAMILY DENTISTRY210 W 1ST ST YesYes 0.098565%
32 PROFESSIONAL SERVICES CENTER210 W 1ST ST YesYes 0.055256%
33 GONZALEZ AUTO INSURANCE SVCS210 W 1ST ST YesYes 0.115740%
34 NUTRICION TOTAL210 W 1ST ST UNIT# 107 YesYes 0.113126%
35 OMALEXA'S BEAUTY SALON210 W 1ST ST UNIT# 108 YesYes 0.062723%
36 HIMALAYAN THREADING SALON210 W 1ST ST UNIT# 109 YesYes 0.063097%
37 FLOR DE OAXACA210 W 1ST ST UNIT# 111 YesYes 0.174730%
38 COMERCIAL NUTRITION MEXICANA210 W 1ST ST UNIT# 112-11 YesYes 0.080644%
39 BEAUTY GLAM ACADEMY210 W 1ST ST UNIT# 212 YesYes 0.089605%
40 VHD CONSTRUCTION, INC.210 W 1ST ST UNIT# 212 YesYes 0.107526%
41 OASIS SPA210 W 1ST ST UNIT# 213 YesYes 0.055630%
42 OASIS SPA 210 W 1ST ST UNIT# 213 YesYes 0.026881%
43 TU CENTRO MOBILE 220 W 1ST ST UNIT# 101 YesYes 0.184810%
44 CLINICA MEDICA MICHOACAN220 W 1ST ST UNIT# 102 YesYes 0.107526%
45 828 PHO220 W 1ST ST UNIT# 103 YesYes 0.208332%
46 BROADWAY ARCO/AFGHANI FAMILY302 W 1ST ST YesYes 0.997602%
47 HALL, TOM (101 S BIRCH ST)310 W 1ST ST YesYes 0.008960%
48 SANTA ANA SENIOR HOUSING LP401 W 1ST ST YesYes 0.229613%
49 MOHAMMAD, MOBIN & SINGH, DAVINDER601 W 1ST ST UNIT# F101 YesYes 0.006720%
50 GONZALEZ, ALFONSO & ALICIA601 W 1ST ST UNIT# F105 YesYes 0.006720%
51 TEKCHANDANI, NARAIN601 W 1ST ST UNIT# F201 YesYes 0.006720%
52 WU, HONG601 W 1ST ST UNIT# F204 YesYes 0.006720%
53 KIMBERLY ANNE LLC611 W 1ST ST UNIT# E102 YesYes 0.006720%
54 QIAO, LI Q (A109/E103)611 W 1ST ST UNIT# E103 YesYes 0.006720%
55 SADEGHI, MITRA & AALAM 611 W 1ST ST UNIT# E202 YesYes 0.006720%
56 ANDRA, KISHORE V611 W 1ST ST UNIT# E203 YesYes 0.006720%
57 WU, HONG 611 W 1ST ST UNIT# E204 YesYes 0.006720%
58 GAO, QUANYIN & YANG, ZUIRONG 621 W 1ST ST UNIT# D102 YesYes 0.006720%
59 ALPHA STRUCTURAL, INC104 W 2ND ST YesYes 0.107526%
60 RUNNING WITH SCISSORS HAIR STUDIO106 W 2ND ST YesYes 0.119847%
61 SAINT CITY BARBERS151 W 2ND ST YesYes 0.053763%
62 NOVEL IP191 W 2ND ST YesYes 0.161289%
63 JAY'S CATERING, INC.207 W 2ND ST UNIT# A&B YesYes 0.196011%
64 C A ELKS LODGE NO 794207 W 2ND ST UNIT# B YesYes 0.080644%
65 LOLA GASPAR211 W 2ND ST YesYes 0.080644%
66 THE COURT AT ARTISTS VILLAGE301 W 2ND ST YesYes 0.225133%
67 EVA'S BEAUTY SALON103 E 3RD ST YesYes 0.053763%
68 THE POINTE SHOP200 E 3RD ST YesYes 0.316978%
69 BUTTERFIELD, LEE C / FESTIVAL210 E 3RD ST YesYes 0.023801%
70 TAPIA, CANDELARIO216 E 3RD ST YesYes 0.013441%
71 FESTIVAL HALL220 E 3RD ST YesYes 0.129927%
72 FESTIVAL HALL220 E 3RD ST YesYes 0.072057%
73 GILLY'S BARBERSHOP109 W 3RD ST YesYes 0.053763%
74 CEDELCO CONSTRUCTION190 W 3RD ST YesYes 0.107526%
75 CALIFORNIA TEAM REALTY190 W 3RD ST YesYes 0.058243%
76 ALFA INVESTMENTS & LOANS190 W 3RD ST YesYes 0.257241%
77 DOWNTOWN SUGAR218 W 3RD ST YesYes 0.190784%
78 SANDY'S BEAUTY SALON305 W 3RD ST YesYes 0.063844%
79 SANTOS PIZZA307 W 3RD ST YesYes 0.080644%
80 EL INDIO BOTANAS Y CERVEZA309 W 3RD ST YesYes 0.390342%
81 ACE MESSENGER & ATTORNEY SERVICE310 W 3RD ST YesYes 0.087738%
82 LAW OFFICES OF CHRISTOPHER P RUIZ315 W 3RD ST YesYes 0.116486%
83 LAW OFFICES OF LOIDA D TELLEZ315 W 3RD ST YesYes 0.098565%
84 HARRIS TAYLOR MANAGEMENT INC315 W 3RD ST YesYes 0.195638%
85 EAST SECOND STREET LLC315 W 3RD ST YesYes 0.160916%
86 MOJTAHEDI, MICHAEL LAW OFFICES322 W 3RD ST YesYes 0.259854%
87 NGUYEN, DIANA500 W 3RD ST UNIT# A105 YesYes 0.006720%
88 CUSTOM FLOORING DESIGNED BY ARAEL600 W 3RD ST UNIT# 117B YesYes 0.072057%
89 G&R ELITE BUILDING MAINTENANCE600 W 3RD ST UNIT# A101 YesYes 0.057870%
90 HAKIMI, FARZIN 600 W 3RD ST UNIT# A103 YesYes 0.006720%
91 CERRUTI-TIPITTO, PATRICIA600 W 3RD ST UNIT# A118 YesYes 0.006720%
92 J K L VICTORVILLE LLC600 W 3RD ST UNIT# A210 YesYes 0.006720%
93 LABRA, CLAUDIO600 W 3RD ST UNIT# A216 YesYes 0.006720%
94 FTI HOLDINGS, INC. (#A218/B109/B306)600 W 3RD ST UNIT# A218 YesYes 0.010081%
95 CORDOVA, MARIANO (A219)600 W 3RD ST UNIT# A219 YesYes 0.006720%
96 PHAM, THOMAS600 W 3RD ST UNIT# A305 YesYes 0.006720%
97 CREEK ROSEDALE LLC 600 W 3RD ST UNIT# A306 YesYes 0.006720%
98 DESAI M V (A310, C205)600 W 3RD ST UNIT# A310 YesYes 0.007840%
99 HX TOUZI SNA LLC600 W 3RD ST UNIT# A311 YesYes 0.006720%
100 HECTOR & ELVA CORTES600 W 3RD ST UNIT# A313 YesYes 0.006720%
101 MATINPOUR FAMILY TRUST 600 W 3RD ST UNIT# A318 YesYes 0.006720%
102 TEKCHANDANI, NARAIN600 W 3RD ST UNIT# B104 YesYes 0.006720%
103 SAN JUAN INVESTMENT CO, LLC (B106, B212)600 W 3RD ST UNIT# B106 YesYes 0.007840%
104 JIANG, YIHAI & SHI, RU600 W 3RD ST UNIT# B108 YesYes 0.006720%
105 CHAHNOUI, MOHAMMED GHASSEMI 600 W 3RD ST UNIT# B113 YesYes 0.006720%
106 HITCHENS, DEAN AND MARIA600 W 3RD ST UNIT# B114 YesYes 0.006720%
107 ALAN MARTINEZ LAZARO600 W 3RD ST UNIT# B114 YesYes 0.031362%
108 KATO, MAKOTO MARK600 W 3RD ST UNIT# B201 YesYes 0.006720%
109 WU, HONG (A122/A304/B208/C302)600 W 3RD ST UNIT# B208 YesYes 0.010081%
110 HAIDER, RICHARD & SAM 600 W 3RD ST UNIT# B210 YesYes 0.006720%
111 YANG, JENNY & YINGER, QIANG 600 W 3RD ST UNIT# B213 YesYes 0.006720%
112 HANNA INTERPRETING SERVICES600 W 3RD ST UNIT# B216 YesYes 0.053763%
113 YANG, TONY & HOU, NANCY600 W 3RD ST UNIT# B217 YesYes 0.006720%
114 PACIFIC HEIGHT HOLDING CO, LLC600 W 3RD ST UNIT# B221 YesYes 0.006720%
115 HONG, ROBERTO600 W 3RD ST UNIT# B301 YesYes 0.006720%
116 TAING, WILLIAM 600 W 3RD ST UNIT# C101 YesYes 0.006720%
117 JKL VICTORVILLE, LLC600 W 3RD ST UNIT# C103 YesYes 0.006720%
118 MINI MAX GROUP LLC 600 W 3RD ST UNIT# C104 YesYes 0.006720%
119 HX TOUZI SNA LLC600 W 3RD ST UNIT# C202 YesYes 0.006720%
120 JIANG, YIHAI600 W 3RD ST UNIT# C206 YesYes 0.006720%
121 KHORRAM, SHANIA/JAFERKHANI, MEHRI 600 W 3RD ST UNIT# C207 YesYes 0.006720%
122 AZVES LLC 600 W 3RD ST UNIT# C304 YesYes 0.006720%
123 DORA ORLANDI VALUTA SANTA ANA102 E 4TH ST YesYes 0.085125%
124 ACAPULCO TRAVEL102 E 4TH ST YesYes 0.053763%
125 GOLDEN STAR102 E 4TH ST YesYes 0.064590%
126 CRYSTAL-MAKE UP STUDIO102 E 4TH ST YesYes 0.081765%
127 VALNER SERVICES102 E 4TH ST UNIT# 2ND FL YesYes 0.151208%
128 JOYERIA ACAPULCO102 E 4TH ST UNIT# 2ND FL YesYes 0.080644%
129 DENTAL 4102 E 4TH ST UNIT# 2ND FL YesYes 0.152328%
130 YANEZ, RAUL102 E 4TH ST UNIT# 2ND FL YesYes 0.020534%
131 FOIGELMAN, NORBERT104 E 4TH ST YesYes 0.017828%
132 EL RINCON MEXICANO104 E 4TH ST YesYes 0.154009%
133 RASPADOS EL SUR104 E 4TH ST UNIT# B-PE YesYes 0.268815%
134 FRUTAS LA PLACITA104 E 4TH ST UNIT# PE YesYes 0.268815%
135 RHODES JEWELRY & LOAN106 E 4TH ST YesYes 0.537630%
136 YANEZ, RAUL & GILDA108 E 4TH ST YesYes 0.024828%
137 MI MODA108 E 4TH ST YesYes 0.138328%
138 NANA FASHION110 E 4TH ST YesYes 0.165209%
139 HOLIDAY TRAVEL & TOURS110 E 4TH ST YesYes 0.063097%
140 ANTIQUE TIME110 E 4TH ST YesYes 0.054136%
141 AV NAILS STUDIO & NAIL SUPPLIES110 E 4TH ST UNIT# 203 YesYes 0.053763%
142 VERONICA'S BRIDAL110 E 4TH ST UNIT# 207 YesYes 0.090165%
143 LA ZAPATERIA MEXICO112 E 4TH ST YesYes 0.174730%
144 R & Q ENTERPRISES, LLC112 E 4TH ST YesYes 0.015681%
145 NINO'S BRIDAL COUTURE114 E 4TH ST YesYes 0.089605%
146 TELAS FABRIC114 E 4TH ST YesYes 0.013907%
147 TELAS FABRIC114 E 4TH ST YesYes 0.058617%
148 CEBALLOS, JOSE/AURORA116 E 4TH ST YesYes 0.017268%
149 ALVAREZ CHECK CASHING116 E 4TH ST YesYes 0.106779%
150 BOOST MASTER INC116 E 4TH ST YesYes 0.162409%
151 E.S. DOCUMENT SERVICES116 E 4TH ST UNIT# F YesYes 0.057497%
152 ORANGE GROVE LLC116 E 4TH ST UNIT# H YesYes 0.053763%
153 RUIZ PAWN SHOP118 E 4TH ST YesYes 0.537630%
154 STRAIGHT SHOT BARBERS118 1/2 E 4TH ST YesYes 0.053763%
155 YANEZ, RAUL (318 N BUSH)120 E 4TH ST YesYes 0.007187%
156 EL VAQUERO120 E 4TH ST YesYes 0.206091%
157 STUSSY200 E 4TH ST YesYes 0.080644%
158 CULINARY PROVISIONS & COMPANY201 E 4TH ST YesYes 0.083445%
159 JUJU FOOD201 E 4TH ST YesYes 0.114246%
160 SALSA EL GUERO201 E 4TH ST YesYes 0.080644%
161 SEMILLA DE MAIS CATERING201 E 4TH ST YesYes 0.091845%
162 LA VEGANA MEXICANA201 E 4TH ST YesYes 0.127127%
163 HERITAGE ROASTING COMPANY201 E 4TH ST YesYes 0.080644%
164 THREE BEARS BAKE AT HOME201 E 4TH ST YesYes 0.084005%
165 LUNCHBOX BY PLAYGROUND 201 E 4TH ST YesYes 0.191531%
166 4th STREET MARKET201 E 4TH ST YesYes 0.080644%
167 CULTURE HOT SAUCE201 E 4TH ST YesYes 0.080644%
168 SUN GARDEN BAKE SHOP201 E 4TH ST YesYes 0.042562%
169 MR BOCADOS 1201 E 4TH ST YesYes 0.092965%
170 MODEL MEALS LLC201 E 4TH ST YesYes 0.060483%
171 ALTA BAJA MARKET201 E 4TH ST UNIT# 101 YesYes 0.240813%
172 ELECTRIC CITY BUTCHER201 E 4TH ST UNIT# 104 YesYes 0.552751%
173 CHUNK-N-CHIP201 E 4TH ST UNIT# 107 YesYes 0.128807%
174 EAST END REALTY PARTNERS, LP201 E 4TH ST UNIT# 109 YesYes 0.058430%
175 DELI STATION201 E 4TH ST UNIT# 126 YesYes 0.159609%
176 THE GOLDEN HOT FRIED CHICKEN201 E 4TH ST UNIT# 127 YesYes 0.103606%
177 NAUGHTY PANDA201 E 4TH ST UNIT# 129 YesYes 0.299057%
178 LOOSE LEAF BOBA COMPANY201 E 4TH ST UNIT# 132 YesYes 0.168009%
179 BURRITOS LA PALMA201 E 4TH ST UNIT# 136 YesYes 0.188170%
180 EAT GOOD FOOD MAR LLC201 E 4TH ST UNIT# 137 YesYes 0.218412%
181 SUPERNATURAL SANDWICHES201 E 4TH ST UNIT# 138 YesYes 0.080644%
182 BANH XEO BOYS201 E 4TH ST UNIT# 139 YesYes 0.080644%
183 TUK TUK THAI STREET FOOD201 E 4TH ST UNIT# 139 YesYes 0.080644%
184 RIVAS FOOD202 E 4TH ST UNIT# PE YesYes 0.268815%
185 DIJAN SKIN CARE204 E 4TH ST UNIT# D YesYes 0.112006%
186 CLUB DE NUTRICION DE HERBALIFE204 E 4TH ST UNIT# G YesYes 0.086245%
187 KEEP IT CHULA204 E 4TH ST UNIT# O YesYes 0.053763%
188 THE GCS CLOTHING STORE206 E 4TH ST UNIT# B YesYes 0.089605%
189 RIF.OC208 E 4TH ST YesYes 0.080644%
190 BAIT210 E 4TH ST YesYes 0.159049%
191 PHOUNSACK CHANTHAPANYA216 E 4TH ST YesYes 0.018761%
192 AL'S SHOP216 E 4TH ST YesYes 0.123767%
193 ALUMNI ADVOCATE ASSISTANCE216 E 4TH ST UNIT# A YesYes 0.053763%
194 TOPAZ JEWELRY REPAIR216 E 4TH ST UNIT# B YesYes 0.053763%
195 FAINBARG, ALLAN TR219 E 4TH ST YesYes 0.021375%
196 4TH STREET MARKET219 E 4TH ST YesYes 0.089605%
197 RIVAS FOOD219 E 4TH ST UNIT# PE YesYes 0.268815%
198 THE PLAYGROUND220 E 4TH ST YesYes 1.055099%
199 SLUSHCULT220 E 4TH ST UNIT# 106 YesYes 0.202171%
200 LIBROMOBILE220 E 4TH ST UNIT# 107 YesYes 0.092405%
201 RANGEL, RAYMOND (300-308)300 E 4TH ST YesYes 0.027908%
202 LA MICHOACANA EXPRESS300 E 4TH ST UNIT# 101 YesYes 0.109206%
203 CONNATURA PRODUCTOS CAMACHO300 E 4TH ST UNIT# 107 YesYes 0.080644%
204 EAST END REALTY PARTNERS, LP305 E 4TH ST YesYes 0.026881%
205 TAQUERIAS GUADALAJARA REAL MEXICAN FOOD INC305 E 4TH ST YesYes 0.395942%
206 M. LOVEWELL LLC305 E 4TH ST UNIT# 103 YesYes 0.172863%
207 MARCAS GALLERY305 E 4TH ST UNIT# 104 YesYes 0.237827%
208 BIRD & BARREL305 E 4TH ST UNIT# 105 YesYes 0.243054%
209 FIN DU MONDE305 E 4TH ST UNIT# 105 YesYes 0.080644%
210 WURSTHAUS305 E 4TH ST UNIT# 106 YesYes 0.288976%
211 NATIVE SON ALEHOUSE305 E 4TH ST UNIT# 200 YesYes 0.304097%
212 RRWESTERNWEAR CASA DEL SOMBRERO INC308 E 4TH ST YesYes 0.080644%
213 COFFEE MUSE LLC310 E 4TH ST YesYes 0.163529%
214 QUERETARO CASTING & DESIGNER312 E 4TH ST YesYes 0.196011%
215 CATANO INSURANCE BROKERS312 E 4TH ST UNIT# A YesYes 0.092218%
216 MEXICANA TRAVEL312 E 4TH ST UNIT# A YesYes 0.070191%
217 AB COMPUTERS312 E 4TH ST UNIT# B YesYes 0.090725%
218 CEBALLOS, JOSE314 E 4TH ST YesYes 0.022868%
219 AMERICAN BROADBAND AND CABLE CORP.314 E 4TH ST YesYes 0.080644%
220 SERVICENTRO314 E 4TH ST UNIT# A YesYes 0.053763%
221 MICELANIAS314 E 4TH ST UNIT# B YesYes 0.092965%
222 CHARLIE'S TATTOO STUDIO316 E 4TH ST YesYes 0.053763%
223 EAST END REALTY PARTNERS II, LP316 E 4TH ST YesYes 0.032855%
224 CHARLIE'S TATTOO SUPPLIES & BODY JEWELRY318 E 4TH ST YesYes 0.160169%
225 AMERICAN BARBER SHOP DTSA / AMERICAN BARBER SHOP320 E 4TH ST UNIT# A YesYes 0.076538%
226 GON-REY LP409 E 4TH ST YesYes 0.013441%
227 NORTHGATE MARKET #8409 E 4TH ST YesYes 4.297119%
228 NORTHGATE FINANCIAL409 E 4TH ST YesYes 0.294576%
229 MERCADO, LYDIA MAE410 E 4TH ST YesYes 0.006720%
230 NGHIEM, MINH THU 450 E 4TH ST UNIT# 137 YesYes 0.006720%
231 SAN JUAN INVESTMENT CO LLC (133, 134, 141,406,433)450 E 4TH ST UNIT# 141 YesYes 0.011201%
232 HEATON, DAVID & JAN 450 E 4TH ST UNIT# 149 YesYes 0.006720%
233 TAN, PAUL & JOYCE 450 E 4TH ST UNIT# 237 YesYes 0.006720%
234 NGUYEN, HONORA 450 E 4TH ST UNIT# 240 YesYes 0.006720%
235 RIJHWANI, ASHOK (242, 251, 311, 318)450 E 4TH ST UNIT# 242 YesYes 0.010081%
236 EONGRACIA LLC 450 E 4TH ST UNIT# 243 YesYes 0.006720%
237 WILLIAMS, JOHN 450 E 4TH ST UNIT# 245 YesYes 0.006720%
238 VAN VELDNE, LAMBERTUS & ELKE(247, 336)450 E 4TH ST UNIT# 247 YesYes 0.007840%
239 LEE, DR. YEE LEAN450 E 4TH ST UNIT# 247 YesYes 0.006720%
240 SHARMA, SUDHEEP450 E 4TH ST UNIT# 337 YesYes 0.006720%
241 501-511 ISIS LLC450 E 4TH ST UNIT# 338 YesYes 0.006720%
242 PANDJI, EVELINA450 E 4TH ST UNIT# 348 YesYes 0.006720%
243 JAFARIMOJARROD, ELHAM LIVING TRUST 450 E 4TH ST UNIT# 438 YesYes 0.006720%
244 OROZCO, JESUS A 450 E 4TH ST UNIT# 439 YesYes 0.006720%
245 WAYY, BRIAN 450 E 4TH ST UNIT# 441 YesYes 0.006720%
246 J K L VICTORVILLE LLC450 E 4TH ST UNIT# 449 YesYes 0.006720%
247 ADGER, JOHN THE JOHN ADGER TRUST101 W 4TH ST YesYes 0.033789%
248 FRUTAS LA PLACITA101 W 4TH ST UNIT# PE YesYes 0.268815%
249 SHOE PALACE #236102 W 4TH ST YesYes 0.727480%
250 MILLER-BURG-DUPONT, INC .(102-106)106 W 4TH ST YesYes 0.068697%
251 GLOBAL ENVIRONMENTAL NETWORK106 W 4TH ST YesYes 0.072057%
252 HANNAH MONROE PHOTOGRAPHY LLC106 W 4TH ST UNIT# 304 YesYes 0.040322%
253 MARINE PARK ESCROW/CYNTHIA ARAGON, ESQ.106 W 4TH ST UNIT# 416 YesYes 0.089605%
254 PRETTY GREAT LLC106 W 4TH ST UNIT# 515 YesYes 0.080644%
255 CORTEZ CPA, P.C.106 W 4TH ST UNIT# 600 YesYes 0.089605%
256 VISIONEERING STUDIOS, INC106 W 4TH ST UNIT# 600 YesYes 0.215052%
257 VISIONEERING STUDIOS CONSTRUCTION, INC106 W 4TH ST UNIT# 600 YesYes 0.107526%
258 JR BEAUTY GURUS108 W 4TH ST YesYes 0.227933%
259 CHA, WON 108 W 4TH ST YesYes 0.017268%
260 CONTINENTAL HALL108 W 4TH ST UNIT# A YesYes 0.058243%
261 BUFFCO INVESTMENTS, LLC.109 W 4TH ST YesYes 0.013441%
262 COLLEEN O'HARA'S BEAUTY ACADEMY109 W 4TH ST UNIT# B YesYes 0.078778%
263 CAPILLA LAS ROSAS WEDDING CHPL110 W 4TH ST YesYes 0.159422%
264 SOUTHWEST FAMILY 2004 TRUST110 W 4TH ST YesYes 0.018294%
265 LA MODA110 W 4TH ST YesYes 0.091098%
266 CHANTHAPANYA,PHOUNSACK (112-116)112 W 4TH ST YesYes 0.024361%
267 YCU LLC113 W 4TH ST YesYes 0.015214%
268 HISPANOAMERICAN SERVICES113 W 4TH ST UNIT# A YesYes 0.080271%
269 M & J114 W 4TH ST YesYes 0.096885%
270 CASSANDRA'S BRIDAL BANQUETS115 W 4TH ST YesYes 0.080644%
271 CDHF PROPERTY MANAGEMENT115 W 4TH ST YesYes 0.015494%
272 SANCTUARY SOUND115 W 4TH ST UNIT# 200 YesYes 0.080644%
273 VALENCIA, MEDARDO & VICTORIA116 W 4TH ST YesYes 0.032948%
274 VALENCIA JEWELRY 116 W 4TH ST YesYes 1.154784%
275 PRODUCTOS VIENESTAR HERBALIFE116 W 4TH ST UNIT# 12 YesYes 0.082325%
276 REVOLUTION BEAUTY SALON116 W 4TH ST UNIT# 7 YesYes 0.058243%
277 VALENCIA & ASSOCIATES APC116 W 4TH ST UNIT# A YesYes 0.277775%
278 FAINBARG V LP 117 W 4TH ST YesYes 0.045829%
279 THE PIZZA PRESS117 W 4TH ST UNIT# 101 YesYes 0.270495%
280 SALON SYCAMORE, LLC117 W 4TH ST UNIT# 103 YesYes 0.082885%
281 YUM RESTAURANT SERVICES GROUP, LLC117 W 4TH ST UNIT# 200 YesYes 0.088112%
282 LOCKOUT MUSIC STUDIOS117 W 4TH ST UNIT# LL YesYes 0.108646%
283 SANTA ANA SALON118 W 4TH ST YesYes 0.065710%
284 FRUTAS LA PLACITA118 W 4TH ST UNIT# PE YesYes 0.268815%
285 DON ROBERTO JEWELERS120 W 4TH ST YesYes 0.566191%
286 BMA INVESTMENT LLC120 W 4TH ST YesYes 0.031268%
287 FAINBARG & FRIEDMAN I, LP201 W 4TH ST YesYes 0.015308%
288 SHARINORI201 W 4TH ST YesYes 0.268815%
289 SANFRI GENERAL MERCHANDISE201 W 4TH ST YesYes 0.080644%
290 LEVE1 PROMOTION INC.201 W 4TH ST YesYes 0.053763%
291 FRUTAS LA PLACITA201 W 4TH ST UNIT# PE YesYes 0.268815%
292 HOPPER & BURR202 W 4TH ST YesYes 0.308577%
293 D & D SNACK FOOD202 W 4TH ST UNIT# PE YesYes 0.268815%
294 VACATION204 W 4TH ST YesYes 0.289536%
295 SPURGEON DTOC, LLC206 W 4TH ST YesYes 0.080178%
296 RHOMBUS INDUSTRIES206 W 4TH ST UNIT# 201 YesYes 0.160169%
297 GRACE'S ENTERPRISES206 W 4TH ST UNIT# 203 YesYes 0.078031%
298 MUSICAL ARTISTRY206 W 4TH ST UNIT# 210B YesYes 0.053763%
299 POMADE, INC.206 W 4TH ST UNIT# 220 YesYes 0.479947%
300 NALLE FINE ART206 W 4TH ST UNIT# 223 YesYes 0.083445%
301 SC CREATIVE CORP.206 W 4TH ST UNIT# 225 YesYes 0.090725%
302 PINNED UP206 W 4TH ST UNIT# 229 YesYes 0.081765%
303 COSMIC BEAUTY BRANDS, LLC206 W 4TH ST UNIT# 231 YesYes 0.080644%
304 PICKAXE & SHOVEL, LLC206 W 4TH ST UNIT# 241 YesYes 0.053763%
305 YOLI'S TAX PRO206 W 4TH ST UNIT# 313 YesYes 0.053763%
306 LOS ABOGADOS DE ACCIDENTES - SOCAL INJURY LAWYERS206 W 4TH ST UNIT# 320 YesYes 0.098565%
307 LAW OFFICE OF SARAH KABIR206 W 4TH ST UNIT# 333 YesYes 0.089605%
308 MARKELZ LAW GROUP, PC206 W 4TH ST UNIT# 335 YesYes 0.089605%
309 REICH, ADELL, & CVITAN206 W 4TH ST UNIT# 339 YesYes 0.089605%
310 GONZALEZ WEERASURLYA, APC206 W 4TH ST UNIT# 340 YesYes 0.179210%
311 RODRIGUEZ INCOME TAX206 W 4TH ST UNIT# 409 YesYes 0.053763%
312 CALIBER HOME HEALTH206 W 4TH ST UNIT# 416 YesYes 0.053763%
313 BREAKING FREE INDUSTRIES, INC.206 W 4TH ST UNIT# 425 YesYes 0.053763%
314 MTAEN, LLC (209-211)209 W 4TH ST YesYes 0.011761%
315 CHEVITAS JUICE AND BAGELS209 W 4TH ST YesYes 0.134407%
316 LEMUS' SHOP209 W 4TH ST UNIT# A YesYes 0.106966%
317 J & F CALIFORNIA MULTISERVICES209 W 4TH ST UNIT# D YesYes 0.053763%
318 CALI CURVES COLOMBIAN FAJAS210 W 4TH ST YesYes 0.080644%
319 ATLAS JEWELRY211 W 4TH ST YesYes 0.084565%
320 NATURAL SUPPLEMENTS211 W 4TH ST YesYes 0.080644%
321 UNITED LEGAL SERVICES211 W 4TH ST YesYes 0.056003%
322 JESSICA'S BRIDAL212 W 4TH ST YesYes 0.087365%
323 ANGELS213 W 4TH ST YesYes 0.144488%
324 DUEL, EBRAHIM M.D. - INC214 W 4TH ST YesYes 0.013441%
325 ROBBINS, ROSALIND K (215-217)215 W 4TH ST YesYes 0.019134%
326 DISCREET LOVING215 W 4TH ST YesYes 0.097445%
327 THE NET BARBER SHOP217 W 4TH ST YesYes 0.053763%
328 MKT.INC/METRO PCS217 W 4TH ST YesYes 0.080644%
329 ETERNA ILUSION218 W 4TH ST YesYes 0.086805%
330 THE HEAVEN SPOT218 W 4TH ST YesYes 0.080644%
331 FUR FRIENDS219 W 4TH ST YesYes 0.080644%
332 219 W 4TH ST TRUST219 W 4TH ST YesYes 0.013441%
333 HWANG, THOMAS D220 W 4TH ST YesYes 0.015961%
334 SHELSYES BRIDAL & PARTY PLANNERS220 W 4TH ST YesYes 0.080644%
335 AVA ENTERPRISES, LLC221 W 4TH ST YesYes 0.002240%
336 BARBERIA EL CATRIN221 W 4TH ST YesYes 0.053763%
337 HOLIDAY TRAVEL & TOURS II222 W 4TH ST YesYes 0.063844%
338 BOTANICA LATINA222 W 4TH ST YesYes 0.132167%
339 ALFA INSURANCE SERVICES222 W 4TH ST UNIT# A YesYes 0.053763%
340 CHAPALA'S BEAUTY SALON222 W 4TH ST UNIT# A YesYes 0.053763%
341 CELENE'S BRIDAL222 W 4TH ST UNIT# B YesYes 0.080644%
342 FRUTAS ACAPULCO222 W 4TH ST UNIT# PE YesYes 0.268815%
343 VALLEJO, ANTONIO(223 W 4TH ST & 409 N BROADWAY ST)223 W 4TH ST YesYes 0.040229%
344 TERESA'S JEWELERS223 W 4TH ST YesYes 0.467626%
345 STARBUCKS COFFEE #8941301 W 4TH ST YesYes 0.520269%
346 PHILLIPS HUTTON PARTNERS LLC301 W 4TH ST YesYes 0.036775%
347 LEDWIN,BRUNO & RAQUEL(302-306)302 W 4TH ST YesYes 0.002240%
348 CARTER BOWL302 W 4TH ST UNIT# PE YesYes 0.268815%
349 ANA'S EVERYTHING STORE304 W 4TH ST YesYes 0.131607%
350 PEER MENTAL WELLNESS305 W 4TH ST YesYes 0.143368%
351 KEBAB PLACE306 W 4TH ST YesYes 0.080644%
352 CERVECERIA SANTA ANA307 W 4TH ST YesYes 0.128807%
353 CHA, WON (310-318)312 W 4TH ST YesYes 0.015028%
354 DOWNTOWN JEWELRY AND LOAN314 W 4TH ST YesYes 0.537630%
355 U.S. FINANCING314 W 4TH ST YesYes 0.060857%
356 I-DELTA316 W 4TH ST UNIT# 232 YesYes 0.072057%
357 MONTE DE PIEDAD318 W 4TH ST YesYes 0.099126%
358 4th STREET THEATRE BLDG, LLC324 W 4TH ST YesYes 0.027722%
359 CAFE CULTURA: CONTERMPORARY MEXICAN CAFETERIA(A&B)324 W 4TH ST UNIT# A YesYes 0.495628%
360 GUNTHER'S324 W 4TH ST UNIT# E YesYes 0.080644%
361 PERLA MEXICAN CUISINE400 W 4TH ST YesYes 0.080644%
362 CAFE CITO400 W 4TH ST YesYes 0.080644%
363 BARBERIA EL CATRIN, INC.400 W 4TH ST UNIT# B YesYes 0.053763%
364 THE COMB SALON402 W 4TH ST YesYes 0.068697%
365 LOCKOUT MUSIC STUDIOS404 W 4TH ST YesYes 0.072804%
366 BROADWAY IMPROVEMENT CO INC404 W 4TH ST YesYes 0.035002%
367 CAMPSITE MEDIA HOUSE404 W 4TH ST UNIT# A YesYes 0.053763%
368 ASAP LEGAL SOLUTION404 W 4TH ST UNIT# B YesYes 0.496188%
369 HAIR ATELIER BY KARLY GISELLE404 W 4TH ST UNIT# E YesYes 0.053763%
370 REED, KENNETH ALAN ATTY AT LAW406 W 4TH ST YesYes 0.098565%
371 YV DENTAL PRACTICE OF ORANGE COUNTY INC.408 W 4TH ST YesYes 0.107526%
372 CRAVE410 W 4TH ST YesYes 0.464266%
373 SIMPLE VENTURE LLC412 W 4TH ST UNIT# 201 YesYes 0.053763%
374 LFT PROPERTY MANAGMENT, LLC414 W 4TH ST YesYes 0.027908%
375 I CAN BARBECUE SANTA ANA414 W 4TH ST YesYes 0.080644%
376 SHOFFNER, GARY E414 W 4TH ST UNIT# A YesYes 0.089605%
377 GOOD DAZE TATTOO414 W 4TH ST UNIT# L YesYes 0.059737%
378 PREMIERE ASSOCIATION MGMT414 W 4TH ST UNIT# O YesYes 0.053763%
379 VELVET LOUNGE416 W 4TH ST YesYes 0.080644%
380 LAVA KITCHEN AND BAR416 W 4TH ST YesYes 0.060483%
381 RAMONA BUILDING LLC (118-120)118 W 5TH ST YesYes 0.055910%
382 ESPORTS ARENA120 W 5TH ST UNIT# 100 YesYes 0.294950%
383 SVN / VANGUARD120 W 5TH ST UNIT# 210 YesYes 0.648889%
384 FINANCIAL ADVOCATES, INC.120 W 5TH ST UNIT# 220 YesYes 0.215052%
385 LOCKOUT MUSIC STUDIOS224 W 5TH ST YesYes 0.067204%
386 THE WEST END KITCHEN & PUB300 W 5TH ST YesYes 0.080644%
387 BROADWAY IMPROVEMENT CO (300-322)306 W 5TH ST YesYes 0.023801%
388 LOCKOUT MUSIC STUDIOS310 W 5TH ST YesYes 0.109766%
389 THE CHICKEN RICE318 W 5TH ST YesYes 0.153449%
390 MIL JUGOS320 W 5TH ST YesYes 0.249774%
391 THE ARMORY HALL313 N BIRCH ST YesYes 0.039482%
392 SHAFIR LAW, APC313 N BIRCH ST UNIT# 100 YesYes 0.152328%
393 GO RN, LLC313 N BIRCH ST UNIT# 102 YesYes 2.552995%
394 MORRISSEY ASSOCIATES, INC.313 N BIRCH ST UNIT# 103 YesYes 0.313617%
395 HOUSEABLES313 N BIRCH ST UNIT# 200 YesYes 0.493947%
396 HALL, TOM101 S BIRCH ST YesYes 0.006720%
397 MATTINGLEY, MIKE 105 S BIRCH ST YesYes 0.006720%
398 CASA LINDA FURNITURE INC116 N BROADWAY ST YesYes 1.482962%
399 109 BROADWAY, LLC117 N BROADWAY ST YesYes 0.035842%
400 GUADALAJARA FURNITURE OUTLET117 N BROADWAY ST YesYes 0.080644%
401 HIPCOOKS125 N BROADWAY ST UNIT# C YesYes 0.126567%
402 GYPSY DEN125 N BROADWAY ST UNIT# D YesYes 0.201611%
403 NEXT ROUND BAR & GRILL200 N BROADWAY ST YesYes 0.207772%
404 CONGREGATION ALE HOUSE201 N BROADWAY ST YesYes 0.155129%
405 EMPIRE BROADWAY LLC204 N BROADWAY ST YesYes 0.033602%
406 HAL BRISCOE FINE ART204 N BROADWAY ST UNIT# M YesYes 0.080644%
407 SMARTY SOCIAL MEDIA, INC204 N BROADWAY ST UNIT# N YesYes 0.652623%
408 SANTORA GROUP LLC 207 N BROADWAY ST YesYes 0.058150%
409 ATILANO SALON207 N BROADWAY ST UNIT# 100 YesYes 0.054136%
410 CALENDAR FACTORY INC dba TETHOS CREATIVE207 N BROADWAY ST UNIT# A YesYes 0.225133%
411 GENE, ARTIST STUDIO/ GALLERY207 N BROADWAY ST UNIT# B11 YesYes 0.080644%
412 FIROUZEH KARAMLO/FIROUZEH FINE ART207 N BROADWAY ST UNIT# B5 YesYes 0.080644%
413 THE ARTBAR207 N BROADWAY ST UNIT# B6 YesYes 0.080644%
414 SMARTMUSE LLC207 N BROADWAY ST UNIT# E YesYes 0.076911%
415 LAW OFFICES OF FERNANDO LEONE207 N BROADWAY ST UNIT# F YesYes 0.089605%
416 JONNYS PHOTOS BY JONNY GAUTNEY207 N BROADWAY ST UNIT# J YesYes 0.053763%
417 LAW OFFICE OF ROBERT NEWMAN207 N BROADWAY ST UNIT# K YesYes 0.098565%
418 ESPARZA,ROSEMARY J LAW OFFICES207 N BROADWAY ST UNIT# N YesYes 0.098565%
419 NEXTLINKS208 N BROADWAY ST YesYes 0.053763%
420 CALIFORNIA CENTER FOR DIGITAL ARTS209 N BROADWAY ST YesYes 0.091845%
421 THE MAIN CAVE BARBER SHOP210 N BROADWAY ST YesYes 0.055256%
422 BLACKMARKET BAKERY SA LLC211 N BROADWAY ST YesYes 0.080644%
423 ELITE FITNESS DOWNTOWN, LLC214 N BROADWAY ST YesYes 0.101552%
424 CORBIZ LLC 214 N BROADWAY ST YesYes 0.070937%
425 PROOF215 N BROADWAY ST YesYes 0.330418%
426 CORBIZ LLC (217-221)217 N BROADWAY ST YesYes 0.020161%
427 ARTIST VILLAGE HAIR STUDIO BY BREJHON217 N BROADWAY ST YesYes 0.060483%
428 BELLABYBC217 N BROADWAY ST YesYes 0.076164%
429 TACO LIBRE BY AZUL219 N BROADWAY ST YesYes 0.080644%
430 BROADWAY STUDIOS OC219 N BROADWAY ST YesYes 0.053763%
431 STRANGE SUPPLY219 N BROADWAY ST YesYes 0.080644%
432 SUBWAY #26294220 N BROADWAY ST YesYes 0.216732%
433 AKINSPARKER CREATIVE, LLC225 N BROADWAY ST YesYes 0.589526%
434 CLIMB ALPHA HOLDINGS LLC(225-227)225 N BROADWAY ST YesYes 0.047696%
435 THE COPPER DOOR BAR225 1/2 N BROADWAY ST YesYes 0.080644%
436 RUMORZ KUTZ225 N BROADWAY ST UNIT# 201 YesYes 0.053763%
437 CROOK + CO225 N BROADWAY ST UNIT# 214 YesYes 0.064964%
438 LSR BUILDERS, INC225 N BROADWAY ST UNIT# 216 YesYes 0.107526%
439 CHAPTER ONE: THE MODERN LOCAL227 N BROADWAY ST YesYes 0.701719%
440 GILMAKER, DEBORAH (300-306)300 N BROADWAY ST YesYes 0.017361%
441 CHAMPION FINANCIAL SERVICES300 N BROADWAY ST YesYes 0.056003%
442 TROPHIES304 N BROADWAY ST YesYes 0.053763%
443 CENTRO NATURISTA310 N BROADWAY ST YesYes 0.087365%
444 ARA'S BRIDAL323 N BROADWAY ST UNIT# B YesYes 0.080644%
445 SAADI, JOSEPH I325 N BROADWAY ST YesYes 0.013441%
446 LIGHTS OC405 N BROADWAY ST UNIT# B YesYes 0.080644%
447 DAPPER DON BARBER LOUNGE405 N BROADWAY ST UNIT# D YesYes 0.053763%
448 SOUL SWEET STUDIO405 N BROADWAY ST UNIT# G YesYes 0.054510%
449 COLOR BEAUTY BAR407 N BROADWAY ST YesYes 0.040322%
450 HECTOR'S # 3409 N BROADWAY ST YesYes 0.885409%
451 FAINBARG, ALLAN413 N BROADWAY ST YesYes 0.017734%
452 UNISEX BEAUTY SALON413 N BROADWAY ST YesYes 0.074671%
453 RIVAS FOOD CO.413 N BROADWAY ST UNIT# A YesYes 0.099686%
454 BEATNIK BANDITO MUSIC EMPORIUM417 N BROADWAY ST YesYes 0.081765%
455 AVANT GARDEN THE ART GALLERY417 1/2 N BROADWAY ST YesYes 0.080644%
456 PORT CITY TATTOO419 N BROADWAY ST YesYes 0.094085%
457 TRUTH & ADVERTISING454 N BROADWAY ST YesYes 0.421143%
458 KC OF BROADWAY518 N BROADWAY ST YesYes 0.060483%
459 DOWNTOWN TIRES AND AUTO REPAIR119 N BUSH ST UNIT# A YesYes 0.124887%
460 SPEEDFORCE AUTO REPAIR119 N BUSH ST UNIT# A1 YesYes 0.053763%
461 STANDARD REBUILDERS119 N BUSH ST UNIT# B YesYes 0.117980%
462 HID.N204 N BUSH ST YesYes 0.080644%
463 AES GLOBAL INC205 N BUSH ST YesYes 0.118353%
464 SPLITENDS SALON207 N BUSH ST YesYes 0.057870%
465 PARLOR TATTOO PRINTS209 N BUSH ST YesYes 0.104726%
466 KICKER FISHING BRAND LLC213 N BUSH ST YesYes 0.110326%
467 IMAGE LAB216 N BUSH ST YesYes 0.053763%
468 S.M. DESIGN ASSOC., INC.220 N BUSH ST YesYes 0.157182%
469 DONALD KROTEE PARTNERSHIP INC230 N BUSH ST YesYes 0.179210%
470 FABYS WIGS232 N BUSH ST YesYes 0.092405%
471 BARBARINO, RICHARD265 N BUSH ST YesYes 0.006720%
472 FORKAN, JOE A.265 N BUSH ST YesYes 0.031362%
473 LA CASA BLANCA BEAUTY SALON300 N BUSH ST YesYes 0.060110%
474 PARKING CO OF AMER CAL300 N BUSH ST YesYes 0.054510%
475 PARKING CO OF AMERICA/CAL302 N BUSH ST YesYes 0.014187%
476 ELMA'S BEAUTY SALON308 N BUSH ST YesYes 0.078031%
477 ELISA RADILLO TRUST (308,310,& 312)308 N BUSH ST YesYes 0.013441%
478 JALISCO BRIDAL FOTO & VIDEO310 N BUSH ST YesYes 0.082325%
479 LAS CASUELAS312 N BUSH ST YesYes 0.080644%
480 THE WILCOX GROUP, LLC712 N BUSH ST YesYes 0.017921%
481 CUSTOM AUTO SERVICE302 N FRENCH ST YesYes 0.053763%
482 LOCKOUT MUSIC STUDIOS320 N FRENCH ST YesYes 0.114993%
483 LEFT OF THE DIAL RECORDS320 N FRENCH ST UNIT# B YesYes 0.122087%
484 CVS/PHARMACY #9583102 N MAIN ST YesYes 2.986646%
485 M & A GABAEE, A CAL LTD PTNERSHIP102 N MAIN ST YesYes 0.054416%
486 RITE AID #5759111 N MAIN ST YesYes 0.080644%
487 SWINERTON BUILDERS200 N MAIN ST YesYes 0.053763%
488 THE GORDON PROFESSIONAL GROUP217 N MAIN ST YesYes 0.089605%
489 LAW OFFICES OF ERNESTO BARRETO, APC217 N MAIN ST YesYes 0.089605%
490 450 ATTORNEY, APC217 N MAIN ST YesYes 0.143368%
491 217 N MAIN IVESTMENTS, LLC217 N MAIN ST YesYes 0.013441%
492 HYDROLOGY GROUP, INC. 217 N MAIN ST UNIT# 115 YesYes 0.098565%
493 3211 E MANDEVILLE, LLC300 N MAIN ST YesYes 0.013441%
494 MIX MIX KITCHEN BAR300 N MAIN ST YesYes 0.266015%
495 DUEL, EBRAHIM301 N MAIN ST YesYes 0.028095%
496 WESTERN WOMENS INSTITUTE, INC.301 N MAIN ST YesYes 0.107526%
497 TONY'S BASEMENT302 N MAIN ST YesYes 0.398182%
498 TONY'S BASEMENT302 N MAIN ST YesYes 0.035842%
499 OMAKASE BY GINO304 N MAIN ST YesYes 0.289536%
500 QUAN M. TRAN, O.D. OPTOMETRY305 N MAIN ST YesYes 0.143368%
501 MADLINE TATTOO307 N MAIN ST YesYes 0.053763%
502 ESTETICA GUADLAJARA315 N MAIN ST YesYes 0.026881%
503 WESTERN DENTAL SERVICES INC500 N MAIN ST YesYes 0.439064%
504 LOCKOUT MUSIC STUDIOS501 N MAIN ST YesYes 0.199371%
505 CROSSFIT DOWNTOWN SANTA ANA503 N MAIN ST YesYes 0.124700%
506 S A CLINICA MEDICA GENERAL505 N MAIN ST YesYes 0.134407%
507 MAIN ST PHARMACY510 N MAIN ST YesYes 0.086805%
508 McFADDEN PUBLIC MARKET515 N MAIN ST YesYes 0.315858%
509 515 N MAIN LLC515 N MAIN ST YesYes 0.013441%
510 DOKUDAI RAMEN515 N MAIN ST UNIT# B YesYes 0.080644%
511 MYMEN515 N MAIN ST UNIT# B YesYes 0.060483%
512 MUNCHIES OC LLC515 N MAIN ST UNIT# C YesYes 0.374661%
513 WINGS & BOWLS515 N MAIN ST UNIT# C YesYes 0.215052%
514 PL3R SYSTEMS, INC. (CHEBA)517 N MAIN ST YesYes 0.109766%
515 CLINICA MEDICA FAMILIAR DE SANTA ANA 517 N MAIN ST YesYes 0.259854%
516 CAMINO NUEVO FAMILY HEALTH CLINIC517 N MAIN ST UNIT# 100 YesYes 0.170249%
517 SOUTH GATE ROSE PHARMACY INC517 N MAIN ST UNIT# 101 YesYes 0.487227%
518 RAPLISA MEDICAL MANAGEMENT, INC.517 N MAIN ST UNIT# 200 YesYes 0.292710%
519 MAIN OPTICAL517 N MAIN ST UNIT# 201 YesYes 0.088858%
520 SO CAL AUTO REGISTRATION517 N MAIN ST UNIT# 220 YesYes 0.063097%
521 ALLIANCE OF LATINO HEALTH SERVICES MED GROUP, INC517 N MAIN ST UNIT# 220 YesYes 0.089605%
522 CACERES, JULIO DDS517 N MAIN ST UNIT# 300 YesYes 0.107526%
523 AGUILAR, SERGIO DDS520 N MAIN ST YesYes 0.116486%
524 AQUEVEQUE, JOSE (& 109 W CAMILE)520 N MAIN ST YesYes 0.008960%
525 NEW FOUNDATION MEDICAL GROUP520 N MAIN ST UNIT# 120 YesYes 0.268815%
526 NUVIEW OPTOMETRIC CENTER520 N MAIN ST UNIT# 120 YesYes 0.143368%
527 APEX HOME HEALTHCARE SERVICES520 N MAIN ST UNIT# 200 YesYes 0.679131%
528 NEW FOUNDATION MEDICAL GROUP520 N MAIN ST UNIT# 220 YesYes 0.268815%
529 AMERICAN WEST HEALTHCARE SOLUTION520 N MAIN ST UNIT# 220 YesYes 0.074671%
530 APEX HOSPICE CARE, INC.520 N MAIN ST UNIT# 250 YesYes 0.925545%
531 APEX HOME CARE LLC520 N MAIN ST UNIT# 250 YesYes 0.444291%
532 JACK IN THE BOX #3180601 N MAIN ST YesYes 0.080644%
533 THE BNS FUND, LLC601 N MAIN ST YesYes 0.029402%
534 JACK IN THE BOX #3180601 N MAIN ST YesYes 0.793564%
535 MAINSPOT618 N MAIN ST YesYes 0.060483%
536 OXFORD CONSTRUCTION620 N MAIN ST YesYes 0.107526%
537 OXFORD MAIN ST LLC620 N MAIN ST YesYes 0.040322%
538 SUKARNE631 N MAIN ST YesYes 0.080644%
539 POLADIAN, JACQUELINE700 N MAIN ST YesYes 0.025761%
540 SUBWAY # 63685700 N MAIN ST YesYes 0.197131%
541 7-ELEVEN STORE #37101A700 N MAIN ST UNIT# B YesYes 0.461466%
542 BURGER KING 4309 4916701 N MAIN ST YesYes 0.650756%
543 OC CENTER OF LEGAL SVCS711 N MAIN ST YesYes 0.107526%
544 KOCO SUSHI715 N MAIN ST YesYes 0.080644%
545 SOMBRERO STREET719 N MAIN ST YesYes 0.169689%
546 100 SOUTH MAIN STREET LLC100 S MAIN ST YesYes 0.023895%
547 SANTA ANA HIGH SCHOOL CROSS COUNTRY100 S MAIN ST YesYes 0.089605%
548 FIRESTONE COMPLETE AUTO CARE #016748101 S MAIN ST YesYes 0.479947%
549 WNC REAL ESTATE PARTNERS LP100 N ROSS ST YesYes 0.228493%
550 EMILIO GONZALEZ PAINTING300 E SANTA ANA BLVD UNIT# 214 YesYes 0.066084%
551 SANTA ANA CA II SGF LLC200 W SANTA ANA BLVD YesYes 0.199651%
552 THE REEVES LAW GROUP 200 W SANTA ANA BLVD UNIT# 600 YesYes 0.358420%
553 BAGBY, GAJDOS & ZACHARY, LLP200 W SANTA ANA BLVD UNIT# 950 YesYes 0.358420%
554 WILSON AND PESOTA, LLP200 W SANTA ANA BLVD UNIT# 970 YesYes 0.232973%
555 SA ATHLATIC CLUB518 W SANTA ANA BLVD YesYes 0.053763%
556 BEST CONSTRUCTION SERVICES, INC.520 W SANTA ANA BLVD YesYes 0.107526%
557 JA INSTITUTE OF BARBERING AND COSMETOLOGY520 W SANTA ANA BLVD YesYes 0.053763%
558 OC CIVIC CENTER DEVELOLPMENT LLC550 W SANTA ANA BLVD YesYes 0.028842%
559 CIVIC CENTER LLC600 W SANTA ANA BLVD YesYes 0.186304%
560 ORANGE COUNTY REPORTER600 W SANTA ANA BLVD YesYes 0.340499%
561 DANTE'S COFFEE & TEA600 W SANTA ANA BLVD UNIT# 100 YesYes 0.098565%
562 SANTA ANA LEGAL SUPPORT, INC600 W SANTA ANA BLVD UNIT# 101 YesYes 0.682865%
563 Y SQUARE STUDIO, SANTA ANA600 W SANTA ANA BLVD UNIT# 102 YesYes 0.040322%
564 LAGOON JUICE & COCKTAIL600 W SANTA ANA BLVD UNIT# 103 YesYes 0.080644%
565 PES-EBS, INC.600 W SANTA ANA BLVD UNIT# 107 YesYes 0.053763%
566 PES-EBS, INC.600 W SANTA ANA BLVD UNIT# 108 YesYes 0.278896%
567 PES-EBS, INC.600 W SANTA ANA BLVD UNIT# 110 YesYes 0.053763%
568 FREEDOM MAILBOX600 W SANTA ANA BLVD UNIT# 114 YesYes 0.063097%
569 AZ-U-KNSI MUSIC GROUP600 W SANTA ANA BLVD UNIT# 114 YesYes 0.053763%
570 DANIEL NUNEZ PSYD600 W SANTA ANA BLVD UNIT# 1140 YesYes 0.089605%
571 JOSEPH E MARQUEZ, PHD600 W SANTA ANA BLVD UNIT# 1140 YesYes 0.089605%
572 ELYSIAN & COMPANY INC600 W SANTA ANA BLVD UNIT# 115 YesYes 0.053763%
573 ORANGE CREW INC600 W SANTA ANA BLVD UNIT# 1160 YesYes 0.576832%
574 LAW OFFICES OF STEPHEN J RIGGS600 W SANTA ANA BLVD UNIT# 202 YesYes 0.089605%
575 LEGAL SUPPORT NETWORK, LLC600 W SANTA ANA BLVD UNIT# 214C YesYes 0.072431%
576 SUNCITY SOLAR RENEWABLE INC600 W SANTA ANA BLVD UNIT# 214K YesYes 0.053763%
577 CHOLULA PSYCHOLOGICAL SERVICES600 W SANTA ANA BLVD UNIT# 530 YesYes 0.098565%
578 PATRICO, HERMANSON & GUZMAN, A. P. C.600 W SANTA ANA BLVD UNIT# 700 YesYes 0.206091%
579 SUNNY HILLS MANAGEMENT CO. INC.600 W SANTA ANA BLVD UNIT# 800 YesYes 0.161289%
580 BETTER HEALTH NETWORK MANAGEMENT, INC.600 W SANTA ANA BLVD UNIT# 802 YesYes 0.329298%
581 ROSEN, MARK S - ATTORNEY600 W SANTA ANA BLVD UNIT# 814 YesYes 0.098565%
582 COUNTYWIDE SMART HOMES600 W SANTA ANA BLVD UNIT# 900 YesYes 0.053763%
583 LAW OFFICE OF RENEE GARCIA600 W SANTA ANA BLVD UNIT# 910 YesYes 0.089605%
584 MUNOZ & ASSOCIATES600 W SANTA ANA BLVD UNIT# 910 YesYes 0.107526%
585 LAW OFFICES OF MARK S. MARTINEZ600 W SANTA ANA BLVD UNIT# 925 YesYes 0.313617%
586 H&H LAW600 W SANTA ANA BLVD UNIT# 950 YesYes 0.143368%
587 SCHULMAN, THOMAS L600 W SANTA ANA BLVD UNIT# 955 YesYes 0.098565%
588 LAW OFFICE OF DEBORAH M. VASQUEZ600 W SANTA ANA BLVD UNIT# 955 YesYes 0.089605%
589 WEB GROUP CLUB, INC600 W SANTA ANA BLVD UNIT# 960 YesYes 0.053763%
590 SPEECH & STUTTERING THERAPY, INC. 600 W SANTA ANA BLVD UNIT# 960 YesYes 0.089605%
591 PACIFIC TECHOLOGY INDUSTRIES CO600 W SANTA ANA BLVD UNIT# 960 YesYes 0.053763%
592 CHLOE M. STATON TRUST (219 E 1ST ST)116 N SPURGEON ST YesYes 0.015214%
593 EAST END REALTY PARTNERS, LP301 N SPURGEON ST YesYes 0.027722%
594 EL MERCADO MODERN CUISINE301 N SPURGEON ST YesYes 0.224012%
595 KAIZEN SHABU303 N SPURGEON ST YesYes 0.298497%
596 THE YOST - 1912305 N SPURGEON ST YesYes 0.184250%
597 THE YOST307 N SPURGEON ST YesYes 0.311377%
598 GUS'S WORLD FAMOUS FRIED CHICKEN102 N SYCAMORE ST YesYes 0.617714%
599 Q ART SALON205 N SYCAMORE ST YesYes 0.081205%
600 LIVE SCAN FINGERPRINTING211 N SYCAMORE ST YesYes 0.053763%
601 WESTCLIFF PROPERTIES211 N SYCAMORE ST YesYes 0.053763%
602 HICHMAN, ALEXANDER B. (221, 223, & 223 1/2)221 N SYCAMORE ST YesYes 0.008960%
603 JMACH INC231 N SYCAMORE ST YesYes 0.091472%
604 LAW OFFICE OF MICHAEL D. FRANCO261 N SYCAMORE ST YesYes 0.161289%
605 CREACIONES ALEJANDRA FOTO ESTUDIO Y BRIDAL SHOP318 N SYCAMORE ST YesYes 0.087365%
606 ARIES BEAUTY SALON AND SUPPLY320 N SYCAMORE ST YesYes 0.055256%
607 LOMELI, ARTURO DDS415 N SYCAMORE ST YesYes 0.170249%
608 DIAMOND PARKING SERVICES LLC #SA01416 N SYCAMORE ST YesYes 0.072431%
609 VITARELLI511 N SYCAMORE ST YesYes 0.081765%
610 ESCAPE VR LLC515 N SYCAMORE ST YesYes 0.080644%
611 SONI, NEIL (701-703)701 N SYCAMORE ST YesYes 0.010081%
100.00%
EXHIBIT 3
RESOLUTION NO. 2021-
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA DECLARING ITS INTENTION TO LEVY AN
ASSESSMENT FOR THE DOWNTOWN SANTA ANA
BUSINESS IMPROVEMENT DISTRICTFOR THE YEAR
2022
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby, finds, determines and
declares as follows:
A.By Ordinance No. NS-1715, adopted February 6, 1984, the City Council of the
City of Santa Ana established the Downtown Santa Ana Business Improvement Area
pursuant to sections 36500 et seq. of the California Streets and Highways Code; and
B.As provided in Ordinance No. NS-1715, the City Council is authorized to levy an
assessment in the following amounts for theimprovements and activities of the Downtown
Santa Ana Business Improvement Area:
(a)For amusement services, pawnbrokers, service stations, retail sales of
goods, hotels, motels, theaters, food establishments: an assessment in an
amount equal to one and one-half (1.5) the annual business license fee.
(b)For commercial and residential rental property: an assessment in an
amount equal to one-fourth (0.25) the annual business license fee.
(c)For all other businesses: an assessment in an amount equal to the
annual business fee.
Section 2. The improvements and activities for which the assessment revenues
may be used in the Downtown Santa Ana Business Improvement Districtpursuant to
Ordinance No. NS-1715 are as follows:
(a)Decoration of any public place.
(b)Promotion of public events.
(c)Furnishing of music in any public place.
Resolution No. 2021-XXX
Page 1 of 3
EXHIBIT 3
(d) The general promotion of business activities.
Section 3. The Downtown Santa Ana Business Improvement District is located as
shown on Attachment A to the Assessment Report, attached hereto as Exhibit 1 and
incorporated herein by reference.
Section 4. The Assessment Report is also on file with the Clerk of the Council to
which reference may be made for a full and detailed description of the improvements and
activities to be provided for the year 2022, the boundaries of the area, and the proposed
assessments to be levied upon the businesses within the area for the year 2022.
Section 5. A public hearing shall be held by the City Council at the City Council
Chambers, 22 Civic Center Plaza, Santa Ana, California at its regular meeting of
December 7, 2021, at 5:45 p.m., or as soon thereafter as the matter may be heard, for the
purpose of determining whether to impose the above said assessment for the year 2022
for the improvements and activities described in the report.
Section 6. At the public hearing, written and oral protests may be made in
accordance with sections 36524 and 36525 of the California Streets and Highways Code.
A protest may be made orally or in writing by any interested person. Any protest
pertaining to the regularity or sufficiency of the proceedings shall be in writing and shall
clearly set forth the irregularity or defect to which the objection is made. Every written
protest shall be filed with the Clerk of the Council at or before the time fixed for the public
hearing. Each written protest shall contain a description of the business in which the
person subscribing the protest is interested sufficient to identify the business and, if a
person subscribing is not shown on the official records of the city as the owner of the
business, the protest shall contain or be accompanied by written evidence that the person
subscribing is the owner of the business.A written protest which does notcomply with this
section shall not be counted in determining a majority protest.
Section 7. This Resolution shall take effect immediately upon its adoption by the
City Council, and the Clerk of the Council shall attest to and certify the vote adopting
this Resolution.
Resolution No. 2020-XXX
Page 2 of 3
EXHIBIT 3
ADOPTED this ______ day of ______________, 2021.
_______________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:________________________
Ryan O. Hodge
Assistant City Attorney
AYES: Councilmembers _______________________________________
NOES: Councilmembers _______________________________________
ABSTAIN: Councilmembers _______________________________________
NOT PRESENT: Councilmembers _______________________________________
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2021-XXX to be the original resolution adopted by the City Council of the
City of Santa Ana on _______________.
Date: ____________________________________________________
Clerk of the Council
City of Santa Ana
Resolution No. 2021-XXX
Page 3 of 3
EXHIBIT 3
EXHIBIT 1
DOWNTOWN SANTA ANA BUSINESS IMPROVEMENT DISTRICT
2022 ASSESSMENT REPORT
Background
On February 6, 1984, the City Council adopted Ordinance No. NS-1715 pursuant to Section 36500, et seq.,
of the 1979 State of California Streets and Highways Code, creating a Business Improvement District (BID)
in Downtown Santa Ana. On October 6, 2003, the City Council appointed the Community Redevelopment
and Housing Commission (CRHC) as the Downtown Santa Ana Business Improvement District Advisory
Board. As the BID Advisory Board, the CRHC, now known as the Community Development Commission
(CDC) is responsible for making recommendations to the City Council on the expenditure of revenues derived
from the levy of assessments, on the classification of businesses, as applicable, and on the method and basis
of levying the assessments (including the annual budget).
The BID was established as a means of providing the Downtown business community with the funding to
promote the Downtown through events and advertising pieces; funding to increase security and enhance the
overall aesthetics of the area; and also to maintain the downtown shopping corridors.
Improvement Area Boundaries
The geographic boundaries of the district remain unchanged from the original 1984 area, and they include
over 500 retail, service, and professional members (see Exhibit 2).
Assessment Formula
The formula for the BID tax levy also remains unchanged from the original 1984 ordinance and is based on
the category and/or sales volumes of the business (see Attachment A).
2022 Budget Plan
Based on the feedback from the two Associations, Downtown Inc. and the Santa Ana Business Council, the
2022 BID Budget focuses on the continuation of promotions and marketing of the BID. Some of the promotion
and marketing will be focused on Downtown events and advertising pieces, which are all designed to enhance
the overall aesthetics of the area and also to maintain the downtown shopping corridors. Detailed breakdowns
of the two groups’ budgets are attached (Attachment B). The assessments from the 2022 BID are estimated
at $200,000 to be split evenly by Downtown Inc. and the Santa Ana Business Council—the two business
groups that have spearheaded this BID process. Any remaining funds from the previous year will be
incorporated into a reserve fund for the groups’ 2022 budgets. This reserve funding may be used for additional
events and promotions throughout the year.
In 2022, the two representative business associations are proposing to host several events, some special
events may be virtual (pending COVID-19 regulations for special events), promotion of outdoor dining and
retail sales, and general promotion and marketing of the Downtown, as well as some traditional annual events
that will be safe for community members to attend, including:
BID-FUNDED OR PARTLY BID-FUNDED ACTIVITIES
ADMINISTRATION
Coordination of the BID including maintaining the interconnectivity and infrastructure, collectivizing
downtown efforts, program and project management, and supporting downtown’s role as a vital
community, cultural and economic engine
MARKETING PROGRAMS
Weekly Newsletter
Social Media Accounts (@DtsantaAna, @CalleCuatroDTSA)
EXHIBIT 3
Videos and Photos to catalogue and promote downtown
ORGANIZATION
Business Meetings (Restaurant Assoc., Bridal Assoc., Board and Merchant Meetings)
Business Training, Outreach and Support
Resident Mixers, Business and Arts Mixers
Membership and Training with National Downtown, Main Street and Placemaking Networks
Community Involvement/Engagement
Support for third-party event producers
Customer Support (Providing answers and connections to business, residents and visitors)
TECHNOLOGY
Downtown Websites
Software Licenses
Emailing Services
Online Forms/Storage/Media Services
Artists Registry
SOME SUPPORT FOR THE FOLLOWING EVENTS
First Saturday Artwalk (12x per year)
Boca de Oro: Festival of Arts and Literacy
Sponsorships for Downtown Businesses, Creatives and Residents to Activate Public Spaces
ACTIVITIES WE PARTNER WITH, FUNDRAISE FOR, OR THAT REQUIRE ADDITIONAL FUNDING
ANNUAL EVENTS
Boca de Oro: Literary, Visual and Performance Arts Festival
Downtown Threads Fashion & Design Show
Annual Gathering and Mixer
Katrina Festival
Savor Santa Ana
Tooltesting/Hackathon
Trolley Rides at Special Events and Lunch Hour
MONTHLY EVENTS
First Saturday Artwalk Expansion, Free Art Workshops and Music
Witches Brew (2nd St Promenade)
Kids Corner at Calle Cuatro Plaza
Sidewalk Sales (Bi-monthly: 1st and 3rd Weekend of the Month)
Amigas Social Club Business Mixers and Professional Development Workshops
Movies in the Park
WEEKLY EVENTS
Dancing in the Streets (Salsa, Cumbia, Tango, Bachata)
Loteria Mexicana
Clowns & Face Painting
Santa Ana Sundays Series
Free Yoga and Zumba
SEASONAL PROMOTIONS
Black Friday/Small Business Saturday
Turkey and Ham Giveaway (Thanksgiving)
Rib Giveaway (Christmas)
Holiday Show at Calle Cuatro Plaza
Carriage Rides and Carolling
Festival of Lights
EXHIBIT 3
Other programming for the associations will include ongoing social media marketing, funding for the
Downtown Restaurant Association, Bridal Association, Art Association, Professional Internship Programs,
downtown stakeholder meetings, holiday promotions, website development and maintenance, and ongoing
support for small businesses.
EXHIBIT 3
EXHIBIT 1 – ATTACHMENT A
BUSINESS IMPROVEMENT DISTRICT BOUNDARY
EXHIBIT 3
EXHIBIT 1 – ATTACHMENT B
2022 ANNUAL ASSESSMENT FORMULA
The following businesses located within the boundaries of the Business Improvement District (BID),
classified under City Ordinance NS 1690 as Amusement Services, Pawnbrokers, Service Station and
Classification A, including, but not limited to Retail Sale of Goods, Hotel and Motels, Theaters and Food
Establishments, shall pay an amount equal to one and one-half times their annual business license fee.
Businesses classified as Commercial Rental Property, Rental Property, Residential and Rooming House
shall pay an amount equal to one-quarter times their annual business license fee.
All other businesses, including Professions, Trades and Services within the boundaries of the proposed
Business District, shall pay an amount equal to their annual business license fee.
Once the assessment formula is established, it cannot be changed without written notice to all
businesses within the boundaries of the proposed Business Improvement District and a public hearing
held by the City of Santa Ana.
EXHIBIT 3
EXHIBIT 1 - ATTACHMENT C
DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID)
1 of 2 Budgets
EXHIBIT 3
EXHIBIT 1 - ATTACHMENT C
DOWNTOWN BUSINESS IMPROVEMENT DISTRICT (BID)
2 of 2 Budgets
Public Works Agency
www.santa-ana.org/pw
Item # 19
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Revision of the Environmental and Transportation Advisory Commission Bylaws
AGENDA TITLE
Adopt Resolution Approving Revised Environmental and Transportation Advisory
Commission Bylaws
RECOMMENDED ACTION
Adopt a resolution whereby the City Council declares newly revised bylaws for
governance over the business matters of the Environmental and Transportation Advisory
Commission.
DISCUSSION
In 1991, the City Council established the Environmental and Transportation Advisory
Committee (ETAC) by adopting Resolution 91-112. After adoption of various
administrative amendments in 1999, an ordinance codified the Committee’s duties in
Chapter 33 of the Municipal Code.
In 2014, the City Attorney’s Office determined that the ETAC may only advise the City
Council on matters related to trees and the urban forest. Thereafter, in 2016, the City
Council adopted modernized roles and responsibilities that included the study, review,
and recommendation of transportation issues, streetscape issues, and general water and
wastewater policies. In 2017, the City Council approved a companion set of revised
bylaws.
On September 1, 2020, the City Council enacted Ordinance NS-2992, making several
charter amendments to the City Code for administrative and modernization purposes,
including the renaming of ETAC from Committee to Commission.
At the request of several ETAC members, the proposed resolution (Exhibit 1) also
updates the bylaws (Exhibit 2) by changing the time of regularly scheduled meetings. It
is anticipated that the time change of regular meetings from 7:30 a.m. to 4:00 p.m. on the
second Tuesday of each month should facilitate public participation.
ETAC approved the changes to the ETAC bylaws on October 12, 2021 by a vote of four
in favor of the changes to the bylaws, with two absences and one abstention.
Resolution Adopting Revised ETAC Bylaws
November 2, 2021
Page 2
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1.Resolution Adopting Revised Environmental and Transportation Advisory
Commission Bylaws
2.Environmental and Transportation Advisory Commission Bylaws
3.Redline version of Environmental and Transportation Advisory Commission
Bylaws
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
jmf 5/6/21
RESOLUTION NO. 2021-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA
APPROVING REVISED BYLAWS FOR THE ENVIRONMENTAL AND
TRANSPORTATION ADVISORY COMMISSION
WHEREAS, on September 1, 2020, Ordinance No. NS-2992 was adopted by the City
Council, modernizing the municipal code by organizing and consolidating all boards, commission,
and committee matters into Chapter 2; and
WHEREAS, Ordinance No. NS-2992 established that the body previously known as the
Environmental and Transportation Advisory Committee is now known as the Environmental and
Transportation Advisory Commission (ETAC); and
WHEREAS, revised bylaws for ETAC were developed to be in alignment with Ordinance
No. NS-2992 in this respect and others.
NOW, THEREFORE, BE IT RESOLVED by the City Council of the City of Santa Ana as
follows:
Section 1.The revised bylaws for the Environmental and Transportation Advisory
Commission, attached as Exhibit A, are hereby approved.
Section 2.This Resolution shall take effect immediately upon its adoption by the City
Council, and the Clerk of the Council shall attest to and certify the vote adopting this Resolution.
ADOPTED this___day of ____________,2021.
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
John M. Funk
Sr. Assistant City Attorney
Resolution No. 2021-XXX
Page 1 of 2
jmf 5/6/21
AYES:Councilmembers
NOES: Councilmembers
ABSTAIN:Councilmembers
NOT PRESENT: Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify the attached Resolution
No.2021-XXX to be the original resolution adopted by the City Council of the City of Santa Ana
on ______________, 2021.
Date:
Daisy Gomez
Clerk of the Council
City of Santa Ana
Resolution No. 2021-XXX
Page 2 of 2
Exhibit A
THE SANTA ANA ENVIRONMENTAL
AND TRANSPORTATION ADVISORY COMMISSION
BY-LAWS
ARTICLE I THE COMMISSION
SECTION 1.Name of Commission. The name of the Commissionshall be the Santa Ana
ENVIRONMENTAL AND TRANSPORTATION ADVISORY COMMISSION.
SECTION 2.Duties of the Chair. The chair shall be an officer of the Commissionand preside
at all the meetings of the Commission, authorize calls for any special meetings subject to the
availability of Public Works Agency staff, and execute all documents authorized by the
Commission.
SECTION 3.Duties of the Vice-Chair.The vice-chair shall be an officer of the Commission
and perform the duties of the chair in the absence or incapacity of the chair; and in the case of the
resignation or death of a chair, the vice-chair shall perform duties as are imposed on the chair until
such time as the Commissionshall elect a new chair.
SECTION 4.Recording Secretary.The City Manager or his or her designeeshall appoint an
employee to serve as Recording Secretary of the Commission, who shall issue notice of all regular
and special meetings, and shall perform such duties as are generally associated with that office.
SECTION 5.Additional Duties of CommissionOfficers. The officers of the Commissionshall
perform such other duties and functions as may from time to time be required by the Commission,
the Santa Ana Municipal Code, the bylaws, or rules and regulations of the Commission.
SECTION 6.Appointment/Removal. CommissionMembers shall be subject to appointment
and removal in accordance withSection 2-326 and Section 2-554of the Santa Ana Municipal Code
and shall serve terms in accordance with the same.
ARTICLE II COMMISSIONOFFICERS
SECTION 1.Selection and Term of Officers.The Commissionshall have two elected offices:
Chair and Vice Chair. The chair and vice-chair shall be elected as prescribed in Section 2-328of
the Santa Ana Municipal Code.
SECTION 2. Absence of Chair and Vice-Chair. In the event that both the Chair and Vice Chair
are absent from the same meeting of the Commission, the Commissionshall, as the first order of
business, nominate a member to serve as Chair pro tem for the meeting.
ETAC By-Laws06-15-2021
Page 1of5
ARTICLE III MEETINGS
SECTION 1. Time and Place.
A. Regular Meetings. Regular meetings of the Commission are held monthly, but no more than
twice per month, and are held on the second Tuesday of the month, held at Room 1600, City
Hall Annex, 20 Civic Center Plaza, Santa Ana, at 4:00 p.m., or, in the event that Room 1600 is
not available, in a suitable available alternate location as decided by the Commission. In the
event any regular meeting falls on a holiday, the regular meeting may be held on the next
business day at a time designated by the chairperson. A regular meeting may be adjourned to
a time and place designated by the chairperson, or cancelled at the direction of the Executive
Director of the Public Works Agency with appropriate notice.
B. Special Meetings. Special meetings may be called at the direction of the Chairperson, or by a
majority of the Commission members subject to the availability of Public Works Agency staff.
SECTION 2. Quorum. More than one half of the members, but at least four (4), shall constitute
a quorum for the purpose of conducting the Commission business and exercising its powers and,
for all other purposes, but a smaller number may adjourn from time to time until a quorum is
obtained.
SECTION 3. Order of Business. At the regular meetings of the Commission, the following will
be the order of business:
1. Call to Order
2. Pledge of Allegiance
3. Roll Call
4. Public Comments (Agenda Items)
5. Consent Calendar
6. Business Calendar
7. Work Study Session (if any)
8. Public Comments (Non Agenda Items)
9. Staff Member Comments
10. Commission Member Comments
SECTION 4. Ad-Hoc Commissions. The Chair, in consultation with the Commission, may
appoint ad-hoc committees created for a specific task on an as-needed basis to study a specific
topic or subject and return to the full Commission with a recommendation.
SECTION 5. Commission Member Absences. Absence of a commission member from a
meeting shall be governed by Section 2-326 of the Santa Ana Municipal Code. Notification to the
Recording Secretary of non-attendance by either e-mail, telephone or through message relayed
by staff or other Commission
consideration and vote of a majority of the Commission. Failure to give notification of non-
attendance as described herein
ETAC By-Laws 06-15-2021
Page 2 of 5
SECTION 6.Abstentions and Conflicts of Interest. No member of the Commissionshall
abstain from any vote unless disqualified. If a member of the Commission feels that he/she is
disqualified from voting, the member shall openly state the fact and the nature of the
SECTION 7. Discussion. Each Commission member may speak for five minutes on an agenda
item, if he/she desires. Once all Commission Members have had the opportunity to speak, a
Commission Member may speak again when recognized by the chair.
SECTION 8. Brown Act Compliance. All proceedings of the Commission shall be conducted
in accordance with the Ralph M. Brown Act (California Government Code Section 54950 fu!tfr/),
as amended from time to time.
SECTION 9. Parliamentary Procedures
Revised shall be the authority on all questions of parliamentary procedure, unless in conflict with
the Santa Ana Municipal Code, the laws of the State of California or these bylaws.
SECTION 10. Amendment of Bylaws. The Bylaws of the Commission shall be amended only
with the approval by a supermajority, but at least four (4), of the members of the Commission at a
regular or special meeting, but no such amendment shall be adopted unless at least seven (7) days
written notice thereof has been previously given to all members of the Commission. Such notice
shall identify the section(s) of the bylaws proposed to be amended.
ARTICLE IV ACTION ON ITEMS
SECTION 1. Manner of Voting and Decision. The voting on Commission agenda items shall
be entered upon the minutes of such meeting with the ayes and the noes and any abstentions set
forth with specificity. No action shall be taken by the Commission unless it is concurred upon and
adopted by the affirmative vote of the majority of Commission members present. Any member who
voted with the majority on any action may move for reconsideration of such action only at the same
meeting.
SECTION 2. Order of Voting. When a motion has been made and seconded, the members of
the Commission supporting the motion shall indicate their votes verbally or by a show of hands.
SECTION 3. Processing of Motions. A motion shall be made and seconded. Any debate, if
any, would then follow. If it is likely there may be confusion as to the motion, the chair should ask
the Recording Secretary to read from his/her notes. A motion may be withdrawn by the mover at
any time before its consideration.
SECTION 4. Motion by Chair. The chair has the right to make or second motions and, in his/her
absence, when the vice-chair is acting in the same capacity, he/she has the same right, using
discretion and tact as to recognition of other members.
ETAC By-Laws 06-15-2021
Page 3 of 5
SECTION 5.Priority of Motion.When a motion is before the Commission, no motion shall be
entertained except (1) to adjourn, (2) to fix hour of adjournment, (3) to lay on the table, (4) for the
previous question, (5) to postpone to a certain day, (6) to refer, (7) to amend, and (8) to postpone
indefinitely. These motions shall have precedence in the order indicated.
SECTION 6. Motion to Approve or Deny. The vote is affirmative when a motion to approve the
matter before the Commission is approved by the majority of Commission members present. In
the event a motion to deny fails to carry, the chair shall call for a motion to approve.
SECTION 7. Tie Vote. In the event of a tie vote on a motion, the Commission shall be deemed
to have made no decision, and the Minutes shall reflect the tie vote.
SECTION 8. Vote Required on Other Motions. The vote required to decide motions in the
affirmative shall be the confirming vote by the majority of Commission members present.
SECTION 9. Appeal of Decision. Any decision or ruling of the chair may be appealed to the
Commission by request of any member and seconded by another. The chair shall then call a vote
SECTION 10. Motion to Reconsider. Any member who voted with a majority may move a
reconsideration of any action at the same meeting or the immediately next succeeding meeting.
After a motion for reconsideration has once been acted on, no other motion for reconsideration
thereof shall be made without unanimous consent.
ARTICLE V - CONDUCT OF PUBLIC HEARINGS
SECTION 1. Matters to be Considered. The Commission shall hold public hearings as
mandated by law. As to each public hearing, the chair shall state the matter before the
Commission, and open the public hearing. Staff presents a report, and then the chair shall then
recognize any members of the public wanting to speak with regard to the matter.
SECTION 2. Time Limit to Address Commission. No person addressing the Commission shall
speak more than three (3) minutes unless the meeting chair allows the speaker more time. All
persons addressing the Commission shall be recognized by the chair.
SECTION 3. Closing the Hearing. After all speakers have been heard, the chair shall declare
the hearing closed. A closed hearing may be reopened only on motion and vote as hereinafter
provided. After close of the hearing, members of the Commission may publicly discuss the matter
before them and may ask questions of persons who have spoken before the Commission. Upon
conclusion of the discussion, the chair shall ask for a motion declaring the decision of the
Commission. The motion shall be made and seconded. Prior to a vote, the motion may be
discussed by members of the Commission.
ETAC By-Laws 06-15-2021
Page 4 of 5
ARTICLE VI POWERS AND DUTIES OF THE COMMISSION
SECTION 1. As more fully described by Section 2-555 of the Santa Ana Municipal Code, the
duties of ETAC shall consist of acting in an advisory capacity to the City Council, in the study,
review, and recommendation with regard to the removal, planting, replanting or disposition of public
trees along city streets in the public right of way.
SECTION 2. As more fully described by Section 2-555 of the Santa Ana Municipal Code, the
duties of ETAC shall also consist of acting in an advisory capacity to the City Council, in the study,
review, and recommendation with regard to transportation issues, streetscape issues, and general
water and wastewater policies.
ETAC By-Laws 06-15-2021
Page 5 of 5
jmf 9/25/20
EXHIBIT 3
Exhibit A
THE SANTA ANA ENVIRONMENTAL
AND TRANSPORTATION ADVISORY COMMITTEECOMMISSION
BY-LAWS
ARTICLE I THE COMMITTEECOMMISSION
SECTION 1. Name of CommitteeCommission. The name of the Commissionittee shall be the
Santa Ana ENVIRONMENTAL AND TRANSPORTATION ADVISORY
COMMITTEECOMMISSION.
SECTION 2. Duties of the Chair. The chair shall be an officer of the committee Commission
and preside at all the meetings of the CommitteeCommission, authorize calls for any special
meetings subject to the availability of Public Works Agency staff, and execute all documents
authorized by the Commissionttee.
SECTION 3. Duties of the Vice-Chair. The vice-chair shall be an officer of the committee
Commission and perform the duties of the chair in the absence or incapacity of the chair; and in
the case of the resignation or death of a chair, the vice- chair shall perform duties as are imposed
on the chair until such time as the Committee Commission shall elect a new chair.
SECTION 4. Recording Secretary. The City Manager or his or her designeeExecutive Director
of the Public Works Agency shall appoint an employee to serve as Recording Secretary of the
CommitteeCommission, who shall issue notice of all regular and special meetings, and shall
perform such duties as are generally associated with that office.
SECTION 5. Additional Duties of Committee Commission Officers. The officers of the
Committee Commission shall perform such other duties and functions as may from time to time be
required by the CommitteeCommission, the Santa Ana Municipal Code, the bylaws, or rules and
regulations of the CommitteeCommission.
SECTION 6. Appointment/Removal. Committee Commission Members shall be subject to
appointment and removal, and shall serve terms in accordance with section 901 of the Charter of
the City of Santa Ana. Section 2-326 and Section 2-554 of the Santa Ana Municipal Code and shall
serve terms in accordance with the same.
ARTICLE II COMMITTEE COMMISSION OFFICERS
SECTION 1. Selection and Term of Officers. The Committee Commission shall have two
elected offices: Chair and Vice Chair. The chair and vice-chair shall be elected during the month
of June in each calendar year and shall take office effective the first day of July following each said
election. Nominations for officers shall be made in person. In the event of a vacancy in the office
of chair or vice-chair, the Committee shall elect one of its members to the unexpired term.
ETAC By-Laws 10-19-2020 06-15-2021
Page 1 of 5
jmf 9/25/20
as prescribed in the Santa Ana Municipal Code Chapter 2, Article IV, Section2-326 and Section
2-328 of the Santa Ana Municipal Code.
SECTION 2. Absence of Chair and Vice-Chair. In the event that both the Chair and Vice Chair
are absent from the same meeting of the Commissionttee, the Committeession shall, as the first
order of business, nominate a member to serve as Chair pro tem for the meeting.
ARTICLE III MEETINGS
SECTION 1. Time and Place.
A. Regular Meetings. Regular meetings of the Commissionttee may be are held as frequently as
monthly, but no more than twice per month, and oare held on the second Tuesday of the month,
held at Room 1600, City Hall Annex, 20 Civic Center Plaza, Santa Ana, at 4:007:30 p.m.a.m.,
or, in the event that Room 1600 is not available, in a suitable available alternate location as
decided by the Commissionttee. In the event any regular meeting falls on a holiday, the regular
meeting may be held on the next business day at a time designated by the chairperson. A
regular meeting may be adjourned to a time and place designated by the chairperson, or
cancelled at the direction of the Executive Director of the Public Works Agency with appropriate
notice.
B. Special Meetings. Special meetings may be called at the direction of the Chairperson, or by a
majority of the Commissionttee members subject to the availability of Public Works Agency
staff.
SECTION 2. Quorum. More than one half of the members, but at least four (4), that are
nominated shall constitute a quorum for the purpose of conducting the Commissionttee business
and exercising its powers and, for all other purposes, but a smaller number may adjourn from time
to time until a quorum is obtained.
SECTION 3. Order of Business. At the regular meetings of the Commissionttee, the following
will be the order of business:
1. Call to Order
2. Pledge of Allegiance
3. Roll Call
4. Public Comments (Agenda Items)
5. Consent Calendar
6. Business Calendar
7. Work Study Session (if any)
8. Public Comments (Non Agenda Items)
9. Staff Member Comments
10. Commissionttee Member Comments
ETAC By-Laws 10-19-2020 06-15-2021
Page 2 of 5
jmf 9/25/20
SECTION 4.Resolutions.All written resolutions shall be designated by number, reference to
which shall be inscribed in the minutes and an approved copy shall be filed in the official Book of
Resolutions of the Committeession.
SECTION 45. Ad-Hoc CommitteesCommissions. The Chair, in consultation with the
Commissionttee, may appoint ad-hoc committees Commissions committees created for a specific
task on an as-needed basis to study a specific topic or subject and return to the full Commissionttee
with a recommendation.
SECTION 56. Commissionttee Member Absences. Absence of a commission member from a
meeting shall be governed by Section 2-326 of the Santa Ana Municipal Code.If a member of the
Commissionttee absents himself or herself from two (2) regular meetings of the Commissionttee,
consecutively, unless by permission of the Commissionttee expressed in its official minutes, or fails
to attend at least one-half (1/2) of the regular meetings of the Commissionttee within a calendar
year, or is convicted of a crime involving moral turpitude, or ceases to be a qualified elector of the
city \[except that members representing the Chambers of Commerce shall not be required to be
qualified electors of the City\], the office shall become vacant and shall be so declared by the city
council. A nNotification to the Recording Secretary of non-attendance by either e-mail, telephone
or through message relayed by staff or other Commissionttee member may be deemed as an
itteeission. Failure to
give notification of non-
SECTION 67. Abstentions and Conflicts of Interest. No member of the Commissionttee shall
abstain from any vote unless disqualified. If a member of the Committeession feels that he/she is
disqualified from voting, the member shall openly state the fact and the nature of the
SECTION 78. Discussion. Each Committeession member may speak for five minutes on an
agenda item, if he/she desires. Once all Committee Commission Members have had the
opportunity to speak, a Committee Commission Member may speak again when recognized by the
chair.
SECTION 89. Brown Act Compliance. All proceedings of the CommitteeCommission shall be
conducted in accordance with the Ralph M. Brown Act (California Government Code Section 54950
fu!tfr/), as amended from time to time.
SECTION 910. Parliamentary Procedures
Revised shall be the authority on all questions of parliamentary procedure, unless in conflict with
the Santa Ana Municipal Code, the laws of the State of California or these bylaws.
SECTION 101. Amendment of Bylaws. The Bylaws of the CommitteeCommission shall be
amended only with the approval by a supermajority, but at least four (4), of the members of the
CommitteeCommission at a regular or special meeting, but no such amendment shall be adopted
unless at least seven (7) days written notice thereof has been previously given to all members of
the CommitteeCommission. Such notice shall identify the section(s) of the bylaws proposed to be
amended.
ETAC By-Laws 10-19-2020 06-15-2021
Page 3 of 5
jmf 9/25/20
ARTICLE IV ACTION ON ITEMS
SECTION 1. Manner of Voting and Decision. The voting on CommitteeCommission agenda
items shall be entered upon the minutes of such meeting with the ayes and the noes and any
abstentions set forth with specificity. No action shall be taken by the CommitteeCommission unless
it is concurred upon and adopted by the affirmative vote of the majority more than one-half of the
CommitteeCommission members present. Any member who voted with the majority on any action
may move for reconsideration of such action only at the same meeting.
SECTION 2. Order of Voting. When a motion has been made and seconded, the members of
the CommitteeCommission supporting the motion shall indicate their votes verbally or by a show
of hands.
SECTION 3. Processing of Motions. A motion shall be made and seconded. Any debate, if
any, would then follow. If it is likely there may be confusion as to the motion, the chair should ask
the Recording Secretary to read from his/her notes. A motion may not be withdrawn by the mover
at any time before its consideration without the consent of the second and the approval of the
CommitteeCommission.
SECTION 4. Motion by Chair. The chair has the right to make or second motions and, in his/her
absence, when the vice-chair is acting in the same capacity, he/she has the same right, using
discretion and tact as to recognition of other members.
SECTION 5. Priority of Motion. When a motion is before the CommitteeCommission, no motion
shall be entertained except (1) to adjourn, (2) to fix hour of adjournment, (3) to lay on the table, (4)
for the previous question, (5) to postpone to a certain day, (6) to refer, (7) to amend, and (8) to
postpone indefinitely. These motions shall have precedence in the order indicated.
SECTION 6. Motion to Approve or Deny. The vote is affirmative when a motion to approve the
matter before the CommitteeCommission is approved by the majority of Commission members
present. In the event a motion to deny fails to carry, the chair shall call for a motion to approve.
SECTION 7. Tie Vote. In the event of a tie vote on a motion, the CommitteeCommission shall
be deemed to have made no decision, and the Minutes shall reflect the tie vote.
SECTION 8. Vote Required on Other Motions. The vote required to decide motions in the
affirmative shall be the confirming vote byof the majority more than one-half of the members of the
CommitteeCommission members present.
ETAC By-Laws 10-19-2020 06-15-2021
Page 4 of 5
jmf 9/25/20
SECTION 9.Appeal of Decision.Any decision or ruling of the chair may be appealed to the
CommitteeCommission by request of any member and seconded by another. The chair shall then
SECTION 10. Motion to Reconsider. Any member who voted with a majority may move a
reconsideration of any action at the same meeting or the immediately next
succeeding meeting. After a motion for reconsideration has
once been acted on, no other motion for reconsideration thereof shall be made without unanimous
consent.
ARTICLE V - CONDUCT OF PUBLIC HEARINGS
SECTION 1. Matters to be Considered. The CommitteeCommission shall hold public hearings
as mandated by law. As to each public hearing, the chair shall state the matter before the
CommitteeCommission, and open the public hearing. Staff presents a report, and then the chair
shall then recognize any members of the public wanting to speak with regard to the matter.
SECTION 2. Time Limit to Address CommitteeCommission. No person addressing the
CommitteeCommission shall speak more than three (3) minutes unless the meeting chair allows
the speaker more time. All persons addressing the CommitteeCommission shall be recognized by
the chair. and shall state their name and address prior to speaking.
SECTION 3. Closing the Hearing. After all speakers have been heard, the chair shall declare
the hearing closed. A closed hearing may be reopened only on motion and vote as hereinafter
provided. After close of the hearing, members of the CommitteeCommission may publicly discuss
the matter before them and may ask questions of persons who have spoken before the
CommitteeCommission. Upon conclusion of the discussion, the chair shall ask for a motion
declaring the decision of the CommitteeCommission. The motion shall be made and seconded.
Prior to a vote, the motion may be discussed by members of the CommitteeCommission.
ARTICLE VI POWERS AND DUTIES OF THE COMMITTEECOMMISSION
SECTION 1. As more fully described by Section 2-555 of the Santa Ana Municipal Codesection
33-184Chapter 2, Article IV, Section 2-555,, the duties of ETAC shall consist of acting in an
advisory capacity to the City Council, in the study, review, and recommendation with regard to the
removal, planting, replanting or disposition of public trees along city streets in the public right of
way.
SECTION 2. As more fully described by Section 2-555 of the Santa Ana Municipal Code,
Chapter 2, Article IV, Section 2-555,section 33-184, the duties of ETAC shall also consist of acting
in an advisory capacity to the City Council,Executive Director of the Public Works Agency, in the
study, review, and recommendation with regard to transportation issues, streetscape issues, and
general water and wastewater policies.
ETAC By-Laws 10-19-2020 06-15-2021
Page 5 of 5
Public Works Agency
www.santa-ana.org/pw
Item # 20
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Grant Application for Well 38 Water Treatment Project
AGENDA TITLE
Adopt a Resolution Authorizing a Grant Application Submission for the Bureau of
Reclamation WaterSMART Drought Response Program for the Well 38 Water Treatment
Project
RECOMMENDED ACTION
Adopt a Resolution authorizing the Executive Director of the Public Works Agency to
submit a grant application to the U.S. Department of the Interior, Bureau of Reclamation,
Sustain and Manage America’s Resources for Tomorrow Drought Response Program
Grant for the Well 38 Water Treatment Project, in an amount of up to $2,000,000.
DISCUSSION
The majority of the City of Santa Ana’s potable water comes from the Orange County
Groundwater Basin (OC Basin) and is pumped through 20 existing City wells. Due to the
presence of per- and polyfluoroalkyl substances (PFAS) found in routine well monitoring,
several wells in the OC Basin have been taken offline, including the City’s Well 38. Given
the limited water supplies in the region and recent recurring drought conditions, removing
wells from the City’s potable water distribution system will reduce its reliability. This action
will also increase the burden on other City water production facilities and the reliance on
imported water sources.
The City is currently in the preliminary design phase of a PFAS treatment facility for Well
38 that will effectively remove PFAS contamination from the water before it is introduced
into the distribution system. The United States Department of the Interior offers financial
assistance in the form of grant funding through its Bureau of Reclamation WaterSMART
(Sustain and Manage America’s Resources for Tomorrow) Drought Response Program
for this type of project. The program provides two levels of funding and up to a maximum
of $2,000,000 in grant funding, but not to exceed 50 percent of the total project cost. If
the grant application (Exhibit 1) is successful, the grant funding would offset up to
$2,000,000 of the estimated $5,300,000 total project cost. The resolution (Exhibit 2)
authorizes staff to submit the application.
Adopt Resolution for BOR WaterSMART Grant
November 2, 2021
Page 2
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact associated with this action. Staff will return to Council with a
request for approval of further actions and will indicate the fiscal impact of any such
awards and associated expenditures at that time.
EXHIBIT(S)
1.Grant Application (https://www.santa-
ana.org/sites/default/files/pw/documents/Grant_Application_Exh_1_Well_38_Wat
er_Treatment_Project_October_5_2021.pdf)
2.Resolution Authorizing Grant Application for Well 38 Water Treatment Project
Submitted By: Nabil Saba, Executive Dir Public Works
Approved By: Kristine Ridge, City Manager
RESOLUTION NO. 2021-XXX
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF
SANTA ANA AUTHORIZING AN APPLICATION FOR GRANT
FUNDING FROM THE BUREAU OF RECLAMATION’S
WATERSMART DROUGHT RESPONSE PROGRAM FOR
THE WELL 38 WATER TREATMENT PROJECT
BE IT RESOLVED BY THE CITY COUNCIL OF THE CITY OF SANTA ANA AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines
and declares as follows:
A. The City’s potable water comes from an underground basin and is pumped
through 21existing wells.
B. The region’s water supply is limited due to drought conditions.
C. The City relies on groundwater pumped from the Orange County Water Basin
to satisfy the majority of its potable water needs.
D. Well 38 has been taken offline due to the presence of per- and polyfluoroalkyl
substances (PFAS) found in routine well monitoring.
E. The Well 38 Water Treatment Project will install PFAS treatment to bring Well
38 back online for potable water distribution.
F. The United States Department of the Interior offers financial assistance in the
form of grant funding through its Bureau of Reclamation’s WaterSMART (Sustain and
Manage America’s Resources for Tomorrow) Drought Response Program for this type of
project. The program provides two levels of funding and up to a maximum of $2,000,000
in grant funding, but not to exceed 50% of the total project cost.
G. The City desires to fund part of the cost of the Well 38 Wellhead Treatment
Project with grant funding from the WaterSMART Drought Response Program.
Section 2.The City Council of the City of Santa Ana hereby authorizes and
directs the Executive Director of Public Works, or his or her designee, to sign and submit,
for and on behalf of the City of Santa Ana, a grant application from the Bureau of
Reclamation’s WaterSMART Drought ResponseProgramfor the Well 38 Water Treatment
Project up to the amount of $2,000,000.
Section 3.The Executive Director of Public Works, or his or her designee, is
designated to provide the assurances, certifications, and commitments required for the
grant application, including executing a financial assistance or similar agreement with the
Resolution No. 2021-XXX
Page 1 of 3
Bureau of Reclamation within established deadlines and any amendments or changes
thereto.
Section 4. The Executive Director of Public Works, or his or her designee, is
designated to represent the City of Santa Ana in carrying out the City’s responsibilities
under the grant agreement, including certifying disbursement requests on behalf of the City
and compliance with applicable state and federal laws.
Section 5. If a grant award is made by the Bureau of Reclamation, the City of
Santa Ana commits to providing up to$2,000,000in matching funds for theWell 38 Water
Treatment Project plus any remaining balance.
Section 6. This Resolution shall take effect immediately upon its adoption by the
City Council, and the Clerk of the Council shall attest to and certify the vote adopting this
Resolution.
ADOPTED this ____ day of ___________________, 2021.
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:
Sonia R. Carvalho, City Attorney
By:
John M. Funk
Sr. Assistant City Attorney
AYES: Councilmembers
NOES:Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
Resolution No. 2021-XXX
Page 2 of 3
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, DAISY GOMEZ, Clerk of the Council, do hereby certify the attached Resolution No.
2021 -_____ to be the original resolution adopted by the City Council of the City of Santa
Ana on _____________________, 2021.
Date:
Clerk of the Council
City of Santa Ana
Resolution No. 2021-XXX
Page 3 of 3
Planning and Building Agency
www.santa-ana.org/cm
Item # 21
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Status of Santa Ana Unified School District Facilities Use for Neighborhood
Meetings
AGENDA TITLE:
Status and Future Option for Neighborhoods to Access School Facilities at Santa Ana
Unified School District Schools for Neighborhood Association/Community Meetings
RECOMMENDED ACTION
Receive and file.
DISCUSSION
For decades, the Santa Ana Unified School District (SAUSD) has supported and
sponsored Santa Ana’s neighborhood associations and groups by allowing them to use
their campus facilities for neighborhood and community meetings free of charge. This has
been a long-standing practice of SAUSD that benefits the constituents served by the City
and the SAUSD. These school venues have served as an important, safe, and nearby
location to convene residents to discuss and organize themselves on quality-of-life
issues.
Although the City of Santa Ana identifies 64 unique neighborhoods in Santa Ana,
approximately 20 of those neighborhoods regularly use SAUSD facilities for their
meetings. Of the remaining neighborhoods, some use their own space (i.e., a resident’s
home), reserve space at a City of Santa Ana-owned facility (such as a park or community
center), or do not convene meetings at all because those neighborhoods have not or do
not self-organize into an active neighborhood. The Neighborhood Initiatives Division
works to provide auxiliary support to Santa Ana’s various neighborhoods, which all
operate independently and are independent of the City of Santa Ana and SAUSD. These
constituents are not mutually exclusive to either one of these local government
organizations. Based on past practice, there has been a strong desire to support the
constituents outside the City’s and SAUSD traditional role of serving the community.
One of the ways in which the Neighborhood Initiatives Division works to support
neighborhood groups is to facilitate facility use reservations between the neighborhood
Status of Santa Ana Unified School District Facilities Use for Neighborhood Meetings
November 2, 2021
Page 2
groups and the representatives from SAUSD. Recently, City staff has encountered mixed
communication with SAUSD staff regarding collaboration for neighborhood
association/community meetings. For example, SAUSD staff offers to improve the
process via sponsorship by the Superintendent’s Office while other staff request full
payment for reservation fees in advance. City staff have also observed an inconsistent
fee structure applied toward the SAUSD online reservations platform, Facilitron, in
addition to an increase rate of cancelled reservations for nonpayment. This recent
experience moves away from the 30+ year arrangement by the City and SAUSD to
provide facilities for neighborhood/community meetings. The attached exhibit references
information regarding the venues accessed by neighborhood groups for neighborhood
meetings prior and during COVID-19.
Considering that the City of Santa Ana and SAUSD serve the same constituents, the City
appreciates the opportunity to have discussions with representatives from SAUSD to
identify the problems, improve communication, and work toward a solution that will work
for our shared constituents—particularly our neighborhood groups.
Next Steps
This item is an informational report only and no action is required. Staff recommends that
the School Collaboration City Council subcommittee consider this matter and discuss
options to collaborate with officials from the Santa Ana Unified School District to provide
a sustainable method of ensuring continued access to SAUSD facilities for Santa Ana
constituents to convene neighborhood meetings.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact association with this action.
EXHIBIT(S)
1. Inventory – Santa Ana Neighborhoods and Meeting Locations Oct. 2021
Submitted By: Minh Thai, Executive Director of Planning and Building Agency
Approved By: Kristine Ridge, City Manager
Page 1 of 2
Church
ResidenceResidenceResidenceResidence
Delhi Center
15 OTHER SITES
Pentecostal Church
KidWorks Unit onsite
Immaculate Heart of Mary
Mercy House or Residence
Lighthouse Learning Center
(RESIDENCE, CHURCH, ETC.)
CenterCenter
Newhope Library
(Santa Clara/Alona)
16 CITY FACILITIES
Santa Ana Senior Center
Southwest Senior Center
Jack Fisher Park Log Cabin
Izaak Walton League Cabin
Garfield Community CenterGarfield Community Center
Santiago Park Lawn Bowling
Roosevelt Walker Community
El Salvador Community Center
Davis ElementaryDavis Elementary
PRIOR TO COVID-19, NEIGHBORHOODS MET AT THE FOLLOWING LOCATIONS:
Monte Vista School
Pio Pico Elementary
Madison Elementary
Thorpe FundamentalThorpe Fundamental
Heninger Elementary
20 SAUSD FACILITIES
John Muir Fundamental
ZoomZoomZoomZoomZoomZoomZoom
Watch
COVID-19
Pentecostal Church
Zoom -IndependentZoom -Independent
Zoom -Neighborhood
27 NEIGHBORHOODS
HELD MEETINGS DURING
Lacy
Delhi
Logan
Mar-Les
INVENTORY - SANTA ANA NEIGHBORHOODS - VIRTUAL MEETINGS AND LOCATIONS PRIOR TO COVID-19
Riverview
Floral Park
Fisher Park
Downtown
Pacific Park
French Park
French Court
/ Casa Bonita
Metro ClassicPark Santiago
Madison Park
Heninger ParkMorrison Park
Riverview West
Republic Homes
Cedar Evergreen
Casa De Santiago
Morning Sunwood
Cornerstone Village
Pico-Lowell / Mid-City
Artesia Pilar / Flower Park
ASSOCIATIONS/GROUPS
54 ACTIVE NEIGHBORHOOD
Meredith Parkwood / Portola Park
Bella Vista / Central City / New Horizons
Oct. 26, 2021
Page 2 of 2
Center
Center
future useResidenceResidenceResidence
15 OTHER SITES
West Grove Valley
St. Peters Lutheran Church
South Coast Global Medical Remington Adult Education
(RESIDENCE, CHURCH, ETC.)
Russell Elementary (GGUSD) for
Center
City Hall
Riverglen
Windsor Park
Thornton Park
Sunwood Central
Santa Ana Triangle
16 CITY FACILITIES
SAPD Community Room
Memorial Park Recreation
SAPD Westend-Sub Station
Santa Anita Community Center
(future)
Northwest
Valley High
Lyon Street
Mabury Park
PRIOR TO COVID-19, NEIGHBORHOODS MET AT THE FOLLOWING LOCATIONS:
Wilson Elementary
Jackson Elementary
Santiago Elementary
Willard Intermediate
Manuel Esqueda and Thorpe Fundamental
Lathrop Intermediate
Adams Elementary or
20 SAUSD FACILITIES
Jefferson Elementary or
Washington Elementary
McFadden Intermediate
MacArthur FundamentalMacArthur Fundamental
ZoomZoomZoomZoomZoomZoomZoomZoom
Fairhaven
COVID-19
Residence
Grand Sunrise
Fairbridge Square
Zoom -Independent
27 NEIGHBORHOODS
HELD MEETINGS DURING
Willard
INVENTORY - SANTA ANA NEIGHBORHOODS - VIRTUAL MEETINGS AND LOCATIONS PRIOR TO COVID-19
Concord
Edna Park
Sandpointe
Santa Anita
South Coast
Young Square
Thornton ParkWatch Groups
Wilshire Square
Com-Link Board
West Floral Park
Rosewood BakerSaddleback View
Windsor Village & Com-Link General
Washington Square
Windsor Village North
Bristol Memory Coalition
Santa Ana Memorial Park
Laurelhurst / Shadow Run
13 INACTIVE NEIGHBORHOODS PRIOR TO COVID-19
ASSOCIATIONS/GROUPS
54 ACTIVE NEIGHBORHOOD
Valley Adams / Centennial Park /
Summerfield Neighborhood Watch
WESTEND COP & other Neighborhood
Oct. 26, 2021
City Attorney Office
www.santa-ana.org/ca
Item # 22
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Receivership Petitions and Nuisance Abatement Action Against Owners of Real
Properties
AGENDA TITLE:
Authorize to File and Prosecute Receivership Petitions and a Nuisance Abatement Action
Against Owners of Real Properties Located in the City of Santa Ana
RECOMMENDED ACTION
Authorize the filing and prosecution of receivership petitions and a nuisance abatement
action against the owners of the following real properties:
1. 2901 Lingan Lane – Receivership Petition
2. 930 N. Dianne Street – Receivership Petition
3. 2639 W. 1st Street – JC Tires – Public Nuisance
DISCUSSION
The City of Santa Ana (“City”) has successfully resolved numerous difficult code
enforcement matters through the use of civil litigation. Specifically, the City has brought
receivership actions pursuant to the California Health and Safety Code and nuisance
abatement actions pursuant to the California Code of Civil Procedure and the California
Civil Code.
Health and Safety Code Receiverships
California Health and Safety Code section 17980.7 allows a city to seek the appointment
of a receiver over substandard housing that has been previously cited for violations which
pose health and safety risks. The powers granted to a receiver are broad. The receiver
may: (1) take full and complete control of the property; (2)manage the property and pay
the operational expenses of the property; (3)secure a cost estimate and construction plan
from a licensed contractor for the repairs necessary to correct the substandard conditions;
(4) enter into contracts and employ a licensed contractor as necessary to correct
substandard conditions; (5) borrow funds to pay for repairs necessary to correct
substandard conditions; and (6) with Court approval, secure debt with a recorded first lien
on the property, first in priority to all other liens. (Ibid., Code Civ. Proc. section 568.)
Receivership Petitions and Nuisance Abatement Action Against Owners of Real
Properties
November 2, 2021
Page 2
The use of the receivership option is a comprehensive process that can rehabilitate
properties and correct longstanding violations. If the City prevails, it may recover all
attorney's fees and staff costs incurred in the abatement of substandard conditions.
Civil Nuisance Abatement Lawsuit
In order to protect its residents, the City may abate a public nuisance by filing a civil
nuisance action for violations of the Santa Ana Municipal Code and/ or conditions which
are offensive or annoying to the senses, detrimental to property values and community
appearance, or injurious to the health, safety or welfare of the general public in such ways
as to be a nuisance. (California Code of Civil Procedure section 731; California Civil Code
sections 3479 and 3480.) Civil Code section 3480 further explains, “A public nuisance is
one which affects at the same time an entire community or neighborhood, or any
considerable number of persons, although the extent of the annoyance or damage
inflicted upon individuals may be unequal.” Through the civil nuisance abatement
procedure, the City may seek temporary and permanent injunctions to prevent the
property from continuing to operate or exist as a public nuisance. If the City prevails, it
may seek recovery of attorney's fees and costs.
Attached are fact sheets concerning the real properties at 2901 Lingan Lane, 930 N.
st
Dianne Street, and 2639 W. 1 Street (Exhibit 1). The Code Enforcement Division has
identified these properties as candidates for receivership petitions and a nuisance
abatement action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1. Fact Sheets Regarding Listed Properties
Submitted By: Sonia Carvalho, City Attorney
Approved By: Kristine Ridge, City Manager
City Attorney Office
www.santa-ana.org/ca
Item # 23
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: City Attorney Evaluation and Restated Legal Services Agreement
AGENDA TITLE:
City Attorney Evaluation and Restated Legal Services Agreement with Best Best and
Krieger LLP to reflect positive performance evaluation conducted on October 5, 2021
RECOMMENDED ACTION
Authorize the Mayor, on behalf of the Council, to execute the Restated Legal Services
Agreement with Best Best and Krieger LLP for City Attorney and Special Counsel Legal
Services.
DISCUSSION
The City of Santa Ana City Charter provides that the City Council shall conduct
evaluations of its appointees on an annual basis. In addition, the City’s Legal Services
Agreement with Best Best and Krieger LLP, for City Attorney Sonia Carvalho’s services,
provides for an annual evaluation and opportunity for consideration of adjustments based
on a positive evaluation. On October 5, 2021, the City Council conducted this evaluation
of City Attorney Carvalho and agreed that Ms. Carvalho is doing an excellent job as City
Attorney. Based on their evaluation, the City Attorney has proposed adjustments to the
Legal Services Agreement, which has not been amended since 2014 and, in that
instance, compensation for the City Attorney’s annual retainer services were decreased.
The City Attorney’s Legal Services Agreement was adopted by the City Council on April
2, 2012 and provided for an annual retainer of $300,000 with provisions for hourly rates
for discretionary services to only be provided upon by written requests. In September
2014, during economically challenging times, employees were asked to take reductions
and the City Attorney took part in this effort and agreed to a reduction of her annual
retainer to $270,000 per year which the City Council approved an amendment to the
Agreement. The legal services agreement has not been adjusted or amended since 2014
and during the ten-year period, since services were initially engaged upon in 2012, other
employee bargaining units negotiated salary and benefit increases. For example and
comparison, the Santa Ana Management Association negotiated and received salary
increases of 24% and the Police Officers Association 35%. The City Attorney has
requested an adjustment. The City Council has agreed to an annual retainer in the
amount of $325,000 with a possible additional increase in six months based on continued
City Attorney Evaluation and Restated Legal Services Agreement
November 2, 2021
Page 2
positive performance. The proposed agreement also provides for terms and increased
hourly rates for the discretionary services which can only be provided upon written
approval of department directors and the City Manager. For example, additional
discretionary hourly rates depending on the type of matter and the complexity of the work
are adjusted:
General from $254 per hour to $295 per hour; and
Complex from $225-$350 per hour to $250-$375 per hour
The annual retainer amount of $325,000 for the City Attorney provides cost savings to the
City as the City does not pay any additional benefits such as medical insurance, car
allowances, retirement health plan, or any long-term CalPERS pension payments. In
comparison, see total costs for a City Attorney in the following cities:
City of Anaheim$460,516
City of Newport Beach$338,958
City of Huntington Beach$367,560
City of San Jose$629,574
City of Pasadena$416,410
City of Glendale$413,472
City of Riverside$410,652
City of Vallejo$375,100
City of Burbank$364,876
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
The City Council’s adoption of the Restated Agreement will result in an annual total
increase in costs of $55,000. There are sufficient funds in the City Attorney’s Office
Contractual Services Account to cover the increased expenses. The increase in hourly
rates will only have an impact if additional services are requested and generally the costs
for those services are covered by the department requesting the services.
EXHIBIT(S)
1. Restated Legal Services Agreement
Submitted By: Sonia Carvalho, City Attorney
Approved By: Kristine Ridge, City Manager
RESTATED LEGAL SERVICES AGREEMENT
RESTATED AGREEMENT FOR CITY ATTORNEY AND SPECIAL COUNSEL
LEGAL SERVICES BETWEEN THE CITY OF SANTA ANA
AND
BEST BEST & KRIEGER LLP
1. P ARTIES AND D ATE
This Agreement is made and entered into as of the second day of November, 2021 by and
between the City of Santa Ana (Client) and Best Best & Krieger LLP, a limited liability
partnership engaged in the practice of law (BB&K).
2. R ECITALS
2.1 Client wishes to engage the services of BB&K, and specifically, Sonia R. Carvalho,
as its City Attorney to perform all necessary legal services for the Client on the terms set forth
below. For purposes of this Agreement, the term Client shall include the communitys Successor
Agency, Housing Authority, and any other affiliated entities.
3. T ERMS.
3.1 Term. The term of this Agreement shall commence on November 2, 2021 and shall
continue in full force and effect until terminated in accordance with Section 3.12.
3.2 Scope of Services. BB&K shall serve as City Attorney and shall perform legal
services (Services) as may be required from time to time by the Client as set forth by this
Agreement, unless otherwise agreed to by the Client and BB&K. As part of the Services to be
performed hereunder, BB&K shall be responsible for the following:
3.2.1 Preparation for, and attendance at, regular meetings of the Client;
3.2.2 Provision of legal counsel at such other meetings as directed by the Client;
3.2.3 Preparation or review of Client ordinances and resolutions, together with
such staff reports, orders, agreements, forms, notices, declarations, certificates, deeds, leases and
other documents as requested by the Client;
3.2.4 Rendering to the officers and employees of the Client legal advice and
opinions on all legal matters affecting the Client, including new legislation and court decisions, as
directed by the Client;
3.2.5 Researching and interpreting laws, court decisions and other legal
authorities in order to prepare legal opinions and to advise the Client on legal matters pertaining
to Client operations, as directed by the Client;
3.2.6 Performing legal work pertaining to property acquisition, property disposal,
public improvements, public rights-of-way and easements, as directed by the Client;
- 1 -
3.2.7 Responding to inquiries and review for legal sufficiency ordinances,
resolutions, contracts, and administrative and personnel matters, as directed by the Client;
3.2.8 Representing and assisting on litigation matters, as directed by the Client.
Such services shall include, but shall not be limited to, the preparation for and making of
appearances, including preparing pleadings and petitions, making oral presentations, and preparing
answers, briefs or other documents on behalf of the Client, and any officer or employee of the
Client, in all federal and state courts of this State, and alternative dispute resolution officer, and
before any governmental board or commission, including reviewing, defending or assisting any
insurer of the Client or its agents or attorneys with respect to any lawsuit filed against the Client
or any officer or employee thereof, for money or damages.
ADDITIONAL SERVICES FOR AN ADDITIONAL FEE
3.2.9 BB&Ks Project 5 Program. Provides participants with memoranda
summarizing new changes in case law under the California Environmental Quality Act (CEQA),
an annually updated set of CEQA notices and forms to aid participants in meeting CEQAs
requirements, an annually updated set of Local CEQA Guidelines and a draft Resolution for
adopting Local CEQA Guidelines, memoranda summarizing pending and recently passed CEQA
legislation, and other CEQA resources and materials. Memoranda, forms, and guidelines are
provided to participating agencies via the CEQA Guidelines Client Portal, a secure website
providing an on-demand and continually updating library of CEQA resources. By providing our
Project 5 Program updates to a large pool of participants, BB&K is able to divide the overall cost
of the products among all participants and charge only a fraction of the total costs to the individual
client agencies. The Project 5 services will be included within the annual retainer and no additional
charges will be billed to the City for these special services.
3.2.10 BB&Ks Advanced Records Center Services. Through its new Advanced
Records Center (ARC), BB&K combines its legal acumen and experience with cutting-edge
technology to provide comprehensive and cost-effective support for non-routine records-related
matters. Specifically, at the Clients option, the ARC team will assist Client with non-routine
Public Records Act Processing and Policy Drafting, as detailed below.
3.2.11 BB&K Trainings. Best Best & Krieger LLP offers a variety of trainings
to public agency and private business leadership and staff on topics required by law, as well as
preventative and educational legal topics. The trainings are interactive and can be given onsite, via
live webinar or virtual on-demand. Some of our most popular trainings include AB 1234 Ethics,
Workplace Civility and Sexual Harassment Avoidance Training, The Brown Act Open Meetings
Law, Crystalizing Your Agencys CPRA Policies & Procedures and SB 1343 Sexual Harassment
Avoidance Training for Non-Supervisors.
3.2.12 BB&Ks Election Law Center Subscription Services. Participants in
BB&Ks Election Law Center will be given access to up-to-date election document templates,
including resolutions and other mandatory election documents. The annual subscription also gives
participants access to BB&Ks Election Law Center hotline, which participants can use for
guidance on day-to-day election law questions that arise during campaign and election season.
The annual fee shall be billed each December. The current fee is $1,950.
- 2 -
3.3 Designated City Attorney. Sonia R. shall be designated as
City Attorney in accordance with the City of Santa Ana City Charter, and shall be responsible for
the performance of all Services under this Agreement, including the supervision of Services
performed by other members of BB&K. Carvalho shall be designated as Housing Authority and
Successor Agency Counsel. No change in these assignments shall be made without the consent
of the Client.
3.4 Time of Performance. The Services of BB&K shall be performed expeditiously in
the time frames and as directed by the Client.
3.5 Assistance. The Client agrees to provide all information and documents necessary
for the attorneys at BB&K to perform their obligations under this Agreement.
3.6 Independent Contractor. BB&K shall perform all legal services required under this
Agreement as an independent contractor of the Client and shall remain, at all times as to the Client,
a wholly independent contractor with only such obligations as are required under this Agreement.
Neither the Client, nor any of its employees, shall have any control over the manner, mode or
means by which BB&K, its agents or employees, render the legal services required under this
Agreement, except as otherwise set forth. The Client shall have no voice in the selection,
discharge, supervision or control of BB&Ks employees, representatives or agents, or in fixing
their number, compensation, or hours of service.
3.7 Fees and Costs. BB&K shall render and bill for legal services in the following
categories and at rates set forth in Exhibit A and in accordance with the BB&K Billing Policies
set forth in Exhibit D, both of which are attached hereto and incorporated herein by reference.
In addition, the Client shall reimburse BB&K for reasonable and necessary expenses incurred by
it in the performance of the Services under this Agreement. Authorized reimbursable expenses
shall include, but are not limited to, printing and copying expenses, mileage expenses at the rate
allowed by the Internal Revenue Service, toll road expenses, long distance telephone and facsimile
tolls, computerized research time (e.g. Lexis or Westlaw), research services performed by BB&Ks
library staff, extraordinary mail or delivery costs (e.g. courier, overnight and express delivery),
court fees and similar costs relating to the Services that are generally chargeable to a client.
However, no separate charge shall be made by BB&K for secretarial or word processing services.
3.8 Billing. BB&K shall submit monthly to the Client a single-page invoice for the
Retainer Services and a detailed statement of account for all Special Legal Counsel Services. The
Client shall review BB&Ks monthly statements and pay BB&K for Services rendered and costs
incurred, as provided for in this Agreement, on a monthly basis.
3.9 Annual Reviews. The Client and BB&K agree that a review of performance and
the compensation amounts referenced in this Agreement should occur at least annually.
3.10 Insurance. BB&K carries errors and omissions insurance with Lloyds of London.
After a standard deductible, this insurance provides coverage beyond what is required by the State
of California. A declaration page containing information about BB&Ks errors and omissions
insurance policy is available upon Clients request.
- 3 -
3.11 Attorney-Client Privilege. Confidential communication between the Client and
BB&K shall be covered by the attorney-client privilege. As used in this article, confidential
communication means information transmitted between the Client and BB&K in the course of
the relationship covered by this Agreement and in confidence by a means that, so far as the Client
is aware, discloses the information to no third persons other than those who are present to further
the interests of the Client in the consultation or those to whom disclosure is reasonably necessary
for the transmission of the information or the accomplishment of the purpose for which BB&K is
consulted, and includes any legal opinion formed and advice given by BB&K in the course of this
relationship.
3.12 Termination of Agreement and Legal Services. This Agreement and the Services
rendered under it may be terminated at any time upon a vote of five members of the City Council
in accordance with the City of Santa Ana City Charter and with thirty (30) days prior written
notice from either party, with or without cause. In the event of such termination, BB&K shall be
paid for all Services authorized by the Client and performed up through and including the effective
date of termination. BB&K shall also be reimbursed for all costs associated with transitioning any
files or other data or documents to a new law firm or returning them to the Client.
3.13 Entire Agreement. This Agreement contains the entire Agreement of the parties
with respect to the subject matter hereof, and supersedes all prior negotiations, understandings or
agreements.
3.14 Governing Law. This Agreement shall be governed by the laws of the State of
California. Venue shall be in Orange County.
3.15 Amendment; Modification. No supplement, modification or amendment of this
Agreement shall be binding unless executed, in writing, and signed by both parties.
3.16 Waiver. No waiver of any default shall constitute a waiver of any other default or
breach, whether of the same or other covenant or condition. No waiver, benefit, privilege, or
service voluntarily given or performed by a party shall give the other party any contractual rights
by custom, estoppel, or otherwise.
3.17 Invalidity; Severability. If any portion of this Agreement is declared invalid,
illegal, or otherwise unenforceable by a court of competent jurisdiction, the remaining provisions
shall continue in full force and effect.
3.18 Counterparts. This Agreement may be signed in counterparts, each of which shall
constitute an original.
3.19 Delivery of Notices. All notices permitted or required under this Agreement notices
shall be deemed made when personally delivered or when mailed, forty-eight (48) hours after
deposit in the U.S. Mail, first class postage prepaid and addressed to the party at its applicable
address. Actual notice shall be deemed adequate notice on the date actual notice occurred,
regardless of the method of service. All notices permitted or required under this Agreement shall
be given to the respective parties at the following address, or at such other address as the respective
parties may provide in writing for this purpose:
- 4 -
Client: City of Santa Ana
20 Civic Center Plaza
Santa Ana, CA 92701
Attention: City Manager
BB&K: Best Best & Krieger LLP
18101 Von Karmen, Suite 1000
Irvine, CA 92614
Attention: Sonia R. Carvalho
3.20 Indemnification.
(A) BB&K agrees to indemnify City / Agency, its officers, employees and agents
against, and will hold and save each of them harmless from, any and all actions, suits, claims,
damages to persons or property, losses, costs, penalties, obligations, errors, omissions or liabilities
(herein claims or liabilities) that may be asserted or claimed by any person, firm or entity arising
from the negligent acts or omissions of BB&K hereunder, or arising from BB&Ks negligent
performance of any term, provision, covenant or condition of this Agreement, except to the extent
such claims or liabilities arise from the negligence or willful misconduct of City, its officers, agents
or employees.
(B) City acknowledges BB&K is being appointed as City Attorney pursuant to the
authority of Government Code Section 36505, and has the authority of that office. Accordingly,
the City is responsible pursuant to Government Code Section 825 for providing a defense for the
City Attorney for actions within the scope of its engagement hereunder. Therefore, City agrees to
undertake its statutory duty and indemnify BB&K, its officers, employees and agents against and
will hold and save each of them harmless from, any and all claims or liabilities that may be asserted
or claims by any person, firm or entity arising out of or in connection with the work, operations or
activities of BB&K within the course and scope of its performance hereunder, but nothing herein
shall require City to indemnify BB&K for liability arising from its own negligence or alleged
negligence. In connection herewith:
(i) City will promptly provide a defense and pay any judgment rendered against
the City, its officers, agency or employees for any such claims or liabilities arising out of or in
connection with such work, operations or activities of City hereunder; and
(ii) In the event BB&K, its officers, agents or employees is made a party to any
action or proceeding filed or prosecuted against City for such damages or other claims solely
arising out of or in connection with the work operation or activities of City hereunder, City agrees
to pay to BB&K, its officers, agents or employees any and all costs and expenses incurred by
attorney, its officers, agents or employees in such action or proceeding, including, but not limited
to, legal costs and attorneys fees.
IN WITNESS WHEREOF, the Client and BB&K have executed this Agreement for City
Attorney and Special Counsel Legal Services as of the date first written above.
(SIGNATURES CONTAINED ON FOLLOWING PAGE)
- 5 -
EXHIBIT A
TO
RESTATED AGREEMENT FOR CITY ATTORNEY AND SPECIAL COUNSEL
LEGAL SERVICES BETWEEN CITY OF SANTA ANA
AND
BEST BEST & KRIEGER LLP
BILLING ARRANGEMENTS
1. Basic Legal Services - Description. Basic legal services shall include all services provided
to Client that are not otherwise specifically identified below as either Special Legal Services, Third
Party Reimbursable Legal Services, or Public Finance Legal Services (Basic Legal Services).
The Client shall pay for Basic Legal Services in the amount of $325,000 per year which
will be charged as a flat rate monthly retainer with a single page invoice. The City Council agrees
to conduct an additional evaluation on or before the end of the 21-22 Fiscal Year and if the results
are announced in public as positive then the Council may also announce an increase of the annual
amount to $350,000.
The Client shall also provide for one parking space at the Ross Annex Parking Garage and
for the use of City equipment such as a desktop computer and a mobile device such as an IPad or
similar device to assist the City Attorney when working on site.
2. Discretionary Basic Legal Services at Hourly Rates. Additional legal services may be
provided by BB&K at the discretion of the members of the Santa Ana City Attorney at
the following blended rates, in an amount not to exceed One Hundred Thousand Dollars
($100,000) per year:
Attorneys $ 295.00 per hour
Paralegals & Law Clerks $ 160.00 per hour
Other Para-Professionals* $ 160.00 per hour
*Other titles may be used in our legal services. Please refer to section 6 of this Exhibit for those
other personnel titles and rates.
Utility Matters at Hourly Rates. Certain matters identified at Utility Matters, such as but
not limited to the NPDES Program and Utility Enterprise matters, shall be billed at the following
rates:
Attorneys $ 300 / 325.00 per hour
Paralegals & Law Clerks $ 160.00 per hour
Other Para-Professionals* $ 160.00 per hour
*Other titles may be used in our legal services. Please refer to section 6 of this Exhibit for those
other personnel titles and rates.
3. Special Legal Services - Description. Special Legal Services shall include the following
types of services:
A. Litigation and formal administrative or other adjudicatory hearing matters
B. Labor relations and employment matters
C. Non-routine real estate matters (e.g. CC&Rs, deed or title work)
D. Land acquisition and disposal matters (including pre-condemnation)
E. Successor Agency and housing matters
F. Taxes, fees and charges matters (e.g. Prop. 218 & Mitigation Fee Act)
G. Public construction disputes
H. Non-routine contract negotiation matters (including non-BB&K model agreements
and franchise agreements)
I. Non-routine land use and development matters (including general plan updates,
Williamson Act issues, annexations and development agreements)
J. Environmental matters (e.g. CEQA, NEPA, endangered species)
K. Water law matters (e.g. water rights & quality)
L. Tax and ERISA related matters
M. Toxic substances matters (e.g. CERCLA, RCRA)
N. Complex public utility matters (e.g. electric, natural gas, telecommunications,
water, rail or transit that involve state or federal regulatory issues)
O. Renewable energy and energy efficiency project contracts and power purchase
agreements
P. Intergovernmental Relations and Advocacy efforts (e.g. legislative and regulatory
representation) at the federal and state level.
Q. Non-routine election law matters, including election law litigation.
R. PRA Policy drafting including reviewing, assessing, and updating records-related
policies to reflect current legal standards and best practices.
S. Other matters mutually agreed upon between BBK and the City Manager.
4. Special Legal Services Rates. The Client shall pay for Special Legal Services at the
following rates and as specified in the specific letter confirming the request for such Special Legal
Services.
Partners & Of Counsel From $295 up to $375 per hour
Partners - Employee Benefits/CALPERS $425 per hour
Associates From $250 up to $290 per hour
Paralegals & Clerks $175 per hour
Other Para-Professionals* $175 per hour
*Other titles may be used in our legal services. Please refer to section 6 of this Exhibit for those
other personnel titles and rates.
These rates are reviewed annually and may be increased from time to time with advanced written
notice to the client.
5. Agreement Regarding Rate Categories. If BB&K believes that a matter falls within the
Special Legal Services, Third Party Reimbursable Legal Services, or Public Finance Legal
Services rate categories, BB&K shall seek written approval from the City Manager or his/her
designee. The City Managers or his/her designees approval of such a request from BB&K shall
not be unreasonably withheld.
6. Other Billing Personnel. Additional billing personnel shall bill at the following rates for
all services performed when approved in writing by the City Manager:
Muni & Litigation Analysts At applicable rates
Research Analysts At applicable rates
Administrative Assistants At applicable rates
(for docketing and audit letter responses)
7. Annual Adjustments.
st
Beginning July 1, 2023, and every July 1 thereafter, the above rates and retainer amounts
will be adjusted annually by the amount of the salary cost of living adjustment, if any, given to
employees who are members of the SAMA bargaining unit.
EXHIBIT B
TO
RESTATED AGREEMENT FOR CITY ATTORNEY AND SPECIAL COUNSEL
LEGAL SERVICES BETWEEN
CITY OF SANTA ANA
AND
BEST BEST & KRIEGER LLP
THIRD PARTY REIMBURSABLE BILLING POLICIES Third Party Reimbursable Legal
Services - Description. Third Party Reimbursable Legal Services shall include legal services
provided to the City for which the City receives reimbursement from a developer or other third
party. These reimbursable legal services include, but are not limited to, negotiation and review
of development agreements, planning entitlements, review of CC&Rs; establishment of
financing districts (i.e., Community Facilities Districts; Assessment Districts; Landscape and
Lighting Maintenance Districts); the processing of land use/environmental projects for which the
City is entitled to reimbursement, as well as defending any challenges to project entitlements or
any dispute or litigation related to such reimbursable legal services. Third Party Reimbursable
Legal Services - Rates. The Client shall pay for Third Party Reimbursable Legal Services at
BB&Ks then current published standard private client rates, minus ten percent (10%) or at a
lower rate agreed upon. Upon execution of this Agreement, BB&K shall provide a copy of its
published rate schedule to the Client. BB&K shall also provide annual written updates to the
Client when changes are made to the published rate schedule.
EXHIBIT C
TO
RESTATED AGREEMENT FOR CITY ATTORNEY AND SPECIAL COUNSEL
LEGAL SERVICES BETWEEN
CITY OF SANTA ANA
AND
BEST BEST & KRIEGER LLP
PUBLIC FINANCE & BOND BILLING POLICIES
1. Public Finance & Bond Rates. BB&K will provide bond counsel, special counsel or
disclosure counsel services at the request of the Client. Such bond counsel and special counsel
services include the preparation of all legislative approvals and legal documentation relating to the
appropriate sale and delivery of the bonds, notes or other obligations. BB&K will also prepare
such closing certificates and legal opinions necessary for the delivery of the bonds. As disclosure
counsel, we will prepare the disclosure documents for the Client and conduct the necessary due
diligence related to the transaction. Our fees will be determined based upon the type of financing
and the expected involvement of the attorneys involved. We will provide the Client with a detailed
description of our services and our fees and reimbursable costs upon the Clients request.
Notwithstanding the foregoing, in those cases where the fees are reimbursable by a third party, at
BB&Ks option it may proceed on an hourly basis and utilize the Third Party Reimbursable Legal
Services category provided for in this Amendment, including with respect to services rendered for
the formation of, or annexation to, a CFD (of either the City or other local public agency), as well
as the negotiation and preparation of funding agreements and joint financing agreements. Legal
services related to the Clients compliance with its continuing disclosure covenants and provide
such necessary advice on the Clients compliance shall be billed as Special Legal Services, above.
C-1
EXHIBIT D
TO
RESTATED AGREEMENT FOR CITY ATTORNEY AND SPECIAL COUNSEL LEGAL SERVICES
BETWEEN
CITY OF SANTA ANA
AND
BEST BEST & KRIEGER LLP
BB&K BILLING POLICIES
Our century of experience has shown that the attorney-client relationship works best when there is mutual
understanding about fees, expenses, billing and payment terms. Therefore, this statement is intended to explain
our billing policies and procedures. Clients are encouraged to discuss with us any questions they have about these
policies and procedures. Clients may direct specific questions about a bill to the attorney with whom the client
works or to our Accounts Receivable Department (accounts.receivable@bbklaw.com). Any specific billing
arrangements different from those set forth below will be confirmed in a separate written agreement between the
client and the firm.
INVOICE AND PAYMENT OPTIONS
Best Best & Krieger strives to meet our clients needs in terms of providing a wide variety of invoice
types, delivery and payment options. Please indicate those needs including the preferred method of invoice
delivery (Invoice via Email; or USPS). In addition, accounts.receivable@bbklaw.com can provide a W-9 upon
request and discuss various accepted payment methods.
FEES FOR ELECTRONICALLY STORED INFORMATION (ESI) SUPPORT AND STORAGE
BBK provides Electronically Stored Information (ESI) services for matters requiring ESI support
typically litigation or threatened litigation matters. BBK provides services for basic ESI processing and storage
at the following rates per month based on the number of gigabytes of data (GB) processed and stored:
1GB -250GB: $10 per GB
251GB - 550GB: $8 per GB
551GB - 750GB: $6 per GB
751GB - 1TB: $4 per GB
The amount BBK charges for basic processing and storage of ESI allows BBK to recover the costs of
providing such services, plus a net profit for BBK. BBK believes that the rates it charges for processing and
storage are lower than comparable services available from third party vendors in the market. If you wish to
contract separately with a third party vendor for processing and storage costs, please notify BBK in writing.
\[OPTIONAL BBK also provides advanced ESI processing services at hourly rates for personnel in its Litigation
Support Group. A copy of BBKs current rates for such services will be provided upon request.\] BBK shall not
incur costs for ESI support on a particular matter without first confirming by email or written correspondence
with the client that the client agrees such services are necessary for the matter at hand.
FEES FOR PROFESSIONAL SERVICES
Unless a flat fee is set forth in our engagement letter with a client, our fees for the legal work we will
undertake will be based in substantial part on time spent by personnel in our office on that clients behalf. In
special circumstances which will be discussed with the client and agreed upon in writing, fees will be based upon
the novelty or difficulty of the matter, or the time or other special limitations imposed by the client.
Hourly rates are set to reflect the skill and experience of the attorney or other legal personnel rendering
services on the clients behalf. All legal services are billed in one-tenth of an hour (0.10/hour) or six-minute
D-1
increments. Our attorneys are currently billed at rates from $220 to $795 per hour, and our administrative
assistants, research assistants, municipal analysts, litigation analysts, paralegals, paraprofessionals and law clerks
are billed at rates from $150 to $290 per hour for new work. These rates reflect the ranges in both our public and
our private rates. These hourly rates are reviewed annually to accommodate rising firm costs and to reflect
changes in attorney status as lawyers attain new levels of legal experience. Any increases resulting from such
reviews will be instituted automatically and will apply to each affected client, after advance notice.
Non-Attorney Personnel: BBK may employ the services of non-attorney personnel under the supervision
of a BBK attorney in order to perform services called for in the legal services agreement. The most common non-
attorney personnel utilized are paralegals. Other types of non-attorney personnel include, but are not limited to,
case clerks, litigation analysts, and specialty consultants. The client agrees that BBK may use such non-attorney
personnel to perform its services when it is reasonably necessary in the judgment of the responsible BBK attorney.
Hourly fees for non-attorney personnel will be charged at the rate then in effect for such personnel. A copy of
BBKs current rates and titles for non-attorney personnel will be provided upon request.
FEES FOR OTHER SERVICES, COSTS AND EXPENSES
We attempt to serve all our clients with the most effective support systems available. Therefore, in
addition to fees for professional legal services, we also charge separately for some other services and expenses to
the extent of their use by individual clients. These charges include but are not limited to, mileage at the current
IRS approved rate per mile, extraordinary telephone and document delivery charges, copying charges,
computerized research, court filing fees and other court-related expenditures including court reporter and
transcription fees. No separate charge is made for secretarial or word processing services; those costs are included
within the above hourly rates.
We may need to advance costs and incur expenses on your behalf on an ongoing basis. These items are
separate and apart from attorneys fees and, as they are out-of-pocket charges, we need to have sufficient funds
on hand from you to pay them when due. We will advise the client from time to time when we expect items of
significant cost to be incurred, and it is required that the client send us advances to cover those costs before they
are due.
ADVANCE DEPOSIT TOWARD FEES AND COSTS
Because new client matters involve both a substantial undertaking by our firm and the establishment of
client credit with our accounting office, we require an advance payment from clients. The amount of this advance
deposit is determined on a case-by-case basis discussed first with the client, and is specified in our engagement
letter.
Upon receipt, the advance deposit will be deposited into the firms client trust account. Our monthly
billings will reflect such applications of the advance deposit to costs and not to attorneys fees (unless otherwise
noted in our accompanying engagement letter). At the end of engagement, we will apply any remaining balance
first to costs and then to fees. We also reserve the right to require increases or renewals of these advanced deposits.
By signing the initial engagement letter, each client is agreeing that trust account balances may be
withdrawn and applied to costs as they are incurred and to our billings, when we issue our invoice to the client.
If we succeed in resolving your matter before the amounts deposited are used, any balance will be promptly
refunded.
MONTHLY INVOICES AND PAYMENT
Best Best & Krieger LLP provides our clients with monthly invoices for legal services performed and
expenses incurred. Invoices are due and payable upon receipt.
Each monthly invoice reflects both professional and other fees for services rendered through the end of
the prior month, as well as expenses incurred on the clients behalf that have been processed by the end of the
prior month. Processing of some expenses is delayed until the next month and billed thereafter.
D-2
Our fees are not contingent upon any aspect of the matter and are due upon receipt. All billings are due
and payable within ten days of presentation unless the full amount is covered by the balance of an advance held
in our trust account. If a bill is not paid within 30 days, a late charge of one percent per month on the unpaid
invoice may be added to the balance owed, commencing with the next statement and continuing until paid.
It is our policy to treat every question about a bill promptly and fairly. It is also our policy that if a client
does not pay an invoice within 60 days of mailing, we assume the client is, for whatever reason, refusing to pay.
We reserve the right to terminate our engagement and withdraw as attorney of record whenever our invoices are
not paid. If an invoice is 60 days late, however, we may advise the client by letter that the client must pay the
invoice within 14 days or the firm will take appropriate steps to withdraw as attorney of record. If the delay is
caused by a problem in the invoice, we must rely upon the client to raise that with us during the 14-day period.
This same policy applies to fee arrangements which require the client to replenish fee deposits or make deposits
for anticipated costs.
From time to time clients have questions about the format of the bill or description of work performed. If
you have any such questions, please ask them when you receive the bill so we may address them on a current
basis.
CHANGES IN FEE ARRANGEMENTS AND BUDGETS
It may be necessary under certain circumstances for a client to increase the size of required advances for
fees after the commencement of our engagement and depending upon the scope of the work. For example, prior
to a protracted trial or hearing, the firm may require a further advance payment to the firms trust account
sufficient to cover expected fees. Any such changes in fee arrangements will be discussed with the client and
mutually agreed in writing.
Because of the uncertainties involved, any estimates of anticipated fees that we provide at the request of
a client for budgeting purposes, or otherwise, can only be an approximation of potential fees.
BEST BEST & KRIEGER LLP
D-3
Public Works Agency
www.santa-ana.org/pw
Item # 24
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Ordinance Amending Chapter 36 of the Santa Ana Municipal Code
AGENDA TITLE
Ordinance Amending Chapter 36 of the Santa Ana Municipal Code for Placement of
Parking Meters Next to Class IV Bikeways
RECOMMENDED ACTION
Approve first reading of an ordinance amending Chapter 36 of the Santa Ana Municipal
Code to allow motorists parked along Class IV bikeways to pay the parking meter located
on the sidewalk.
DISCUSSION
Currently, SAMC 36-400 & 36-401 requires all parking meters be placed upon the curb
alongside of and next to the parking spaces. However, Class IV (protected) bikeways
have a raised median separating the parking space and the bikeway from the sidewalk.
According to the existing SAMC sections 36-400 and 36-401, the parking meters would
need to be placed on the median island separating the parking space from the bikeway.
However, the raised median for the Class IV bikeways is very narrow and does not
provide sufficient room for someone to stand on it to pay the meter. This recommended
code change will allow parking meters placed on the sidewalk curb to be effective for the
parking spaces adjacent to the raised bikeway median. For safety reasons and
enforcement, the best place to install the parking meters is on the sidewalk. Staff
recommends adopting the ordinance for the placement of parking meters along Class IV
bikeways (Exhibit 1).
ENVIRONMENTAL IMPACT
There is no environmental impact associated with the action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1.Ordinance
Ordinance Amending Chapter 36 of the SAMC
November 2, 2021
Page 2
Submitted By: Nabil Saba, P.E., Executive Director – Public Works Agency
Approved By: Kristine Ridge, City Manager
ORDINANCE NO. NS-XXX
AN ORDINANCE OF THE CITY COUNCIL OF THE CITY
OF SANTA ANA, CALIFORNIA, AMENDING SECTION 36-
400 OF CHAPTER 36OF THE SANTA ANA MUNICIPAL
CODEREGARDING THE LOCATION OF PARKING
METERS
THE CITY COUNCIL OF THE CITY OF SANTA ANA DOES ORDAIN AS
FOLLOWS:
Section 1. The City Council of the City of Santa Ana hereby finds, determines,
and declares as follows:
A.Currently, Santa Ana Municipal Code Section 36-400 requires all
parking meters to be placed upon the curb alongside of and next to
parking spaces;
B.Class IV (protected) bikeways have a raised median separating the
parking space and the bikeway from the sidewalk; and
C.The useof protected bikeways requires modification of Santa Ana
Municipal Code Section 36-400 to allow parking meters to be placed on
the sidewalk adjacent to parking spaces.
Section 2.Section 36-400of Articleof Chapter 36
of the Santa Ana Municipal Code is hereby amended to read as follows(new language
isunderlinedand deleted language is stricken):
Sec. 36-400. -Location onsidewalkcurb; space markings.
All parking meters shall be placed upon thesidewalkcurbalongside ofadjacent
parking spaces orandnext to parking spaces. Such parking spaces shall be of
sufficient sizeto accommodate an automobile and shall indicate parallel or diagonal
parking by painted lines on the pavement.
Section 3.If any section, subsection, sentence, clause, phrase or portion of this
ordinance is for any reason held to be invalid or unconstitutional by the decision of any
court of competent jurisdiction, such decision shall not affect the validity of the
remaining portions of this ordinance. The City Council of the City of Santa Ana hereby
declares that it would have adopted this ordinance andeach section, subsection,
sentence, clause, phrase or portion thereof irrespective of the fact that any one or more
sections, subsections, sentences, clauses, phrases, or portions be declared invalid or
unconstitutional.
Ordinance No. NS-XXX
Page 1 of 2
Section 4. This ordinance shall become effective thirty (30) days after its
adoption.
Section 5.The Clerk of Council shall certify the adoption of this ordinance and
shall cause the same to be published as required by law.
ADOPTED this ____day of November, 2021.
_________________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM
SONIA R. CARVALHO
City Attorney
By:
Laura A. Rossini
Chief Assistant City Attorney
AYES:Councilmembers: _________________________________
NOES:Councilmembers: _________________________________
ABSTAIN:Councilmembers: _________________________________
NOT PRESENT:Councilmembers: _________________________________
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, DAISY GOMEZ, Clerk of the Council, do hereby attest to and certify that the attached
Ordinance No. NS-XXXto be the original ordinance adopted by the City Council of the
City of Santa Ana on ______________, 2021,and that said ordinance was published in
accordance with the Charter of the City of Santa Ana.
Date: ______________________________________________________
Daisy Gomez
Clerk of the Council
City of Santa Ana
Ordinance No. NS-XXX
Page 2of 2
Clerk of the Council Office
www.santa-ana.org/cc
Item # 25
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Streamlining City Council Meetings
AGENDA TITLE:
Options to Streamline City Council Meetings
RECOMMENDED ACTION
Accept informational report and provide direction to staff.
DISCUSSION
At the October 5, 2021 City Council meeting, the City Council directed staff to prepare a
report on best practices for streamlining City Council meetings. Staff conducted research
on existing policies relating to the rules and procedures for City Council meetings,
meeting duration for City Council meetings during the 2021 calendar year, and best
practices on streamlining City Council meetings.
Review of Duration of City Council Meetings
Staff analyzed City Council meetings dating back to January 2021. Over the course of 18
meetings, the average meeting duration hovered just above seven hours. Two of these
meetings lasted over twelve hours each. Closed sessions were determined to take
approximately two hours on average, and at times were resumed at the end of the City
Council meetings if the initial session ran past 6:00 p.m. The proclamations and
presentations period takes over an hour on average. Pulled Consent Calendar items
averaged ten minutes per item, with an average of pulled items hovering at five per
meeting. Business calendar and public hearing items averaged thirty minutes per item.
Lastly, contentious items account for over five hours of public comment period alone, on
average.
Streamlining City Council Meetings at a Comparable City: Long Beach, CA
In March 2019, the City of Long Beach conducted a study, referred to as the Council
Meeting Streamlining Outreach Survey, to obtain feedback from constituents regarding
the then-current structure of their City Council meetings. This study was conducted in
response to an inquiry from a councilmember relating to the duration of their City Council
meetings. A community survey, composed of six questions asking for feedback from
constituents about their thoughts on streamlining City Council meetings, along with
demographics-related questions, received 210 responses. Common suggestions to their
Streamline City Council Meetings
November 2, 2021
Page 2
survey included the following suggestions to streamline their meetings: (1) limit public
comment during high attendance meetings; (2) limit councilmember discussion; (3) limit
repetition of praise and agreement between councilmembers; (4) adhere to the agenda
order; (5) establish time limits for agenda items; (6) limit presentation/ceremonies at the
beginning of meetings; (7) publish agendas and estimated times for each item at least a
week in advance; and (8) meet more frequently than their then-once-a-week schedule of
regular City Council meetings.
In response to the community survey and discussion at their City Council meetings, the
Long Beach City Council adopted an ordinance to implement procedures that they
believed would shorten the duration of (or “streamline”) their meetings. Examples of some
of the procedural changes imposed by the ordinance include the following: (1) reducing
individual public comment from three minutes to 90 seconds if ten or more people request
to speak on the same topic; (2) requiring individuals requesting to speak during public
comment to sign up to speak before an agenda item is called for discussion; (3) imposing
a five-minute speaking limit for individual council members while they’re discussing items;
(4) updating the order of business for the City Council meeting agenda; and (5) limiting
the number of ceremonial presentations.
Long Beach isn’t the only city to have conducted such studies or imposed procedures to
streamline their City Council meetings. The Cities of Anaheim, Downey, and Los Angeles,
for example, have all recently enacted changes to their City Council meeting procedures
to respond to the increase in duration of their City Council meetings.
Existing Policies that Establish Procedures for City Council Meetings
In addition to general rules set forth in the City Charter and the Santa Ana Municipal Code
relating to conduct of the City Council at public meetings, there are three specific guidance
documents that set forth rules and procedures for City Council meetings: (1) Resolution
No. 2013-2019 amending the City Council rules and procedures for calling special
meetings, altering the agenda format to provide for reports from the City Council, and
changing the day of regular City Council meetings; (2) Robert’s Rules of Order; and (3)
the City Council Handbook. Resolution No. 2013-019, also referred to as the “City Council
Rules and Procedures Resolution”, sets forth procedures that encompass the time and
place of City Council meetings, the City Council meeting agenda, and decorum. Robert’s
Rules of Order is a manual of parliamentary procedure that governs the meetings of
organizations that have adopted it as their parliamentary authority. The City Council Rules
and Procedures Resolution incorporates Robert’s Rules of Order as the parliamentary
authority that governs City Council meetings and City Council committee meetings. The
City Council Handbook is a guidance document that incorporates written procedures from
both the City Council Rules and Procedures Resolution and Robert’s Rules of Order.
Separately, there exists a City Council Recognition Policy, and administrative policy that
was approved by the City Council in June 2018. This policy sets parameters for members
Streamline City Council Meetings
November 2, 2021
Page 3
of the City Council to recognize individuals, groups, and events by issuing proclamations
and certificates of recognition.
Methods to Streamline City Council Meetings
Staff researched methods to reduce the duration of City Council meetings so as to
streamline the meetings. Below is an overview of options that the City Council may
consider.
1.GET ANSWERS TO TECHNICAL QUESTIONS PRIOR TO THE MEETING. It is
suggested that members of the Council reach out to staff prior to the City Council
meeting to reduce the amount of time devoted to technical questions or general
clarification during the City Council meeting.
2.IDENTIFY PARAMETERS FOR CEREMONIAL PRESENTATIONS. Set
scheduled time and time limits for ceremonials and presentations. Presentations
for the community are an important part of the meeting and are valued by the
community. Having a set time to conduct presentations would provide structure to
this part of the meeting and limit their carryover into the general City Council
meeting. Staff recommends setting a time limit of five minutes per presentation,
with the goal of limiting the number of presentations per meeting to three. The
Clerk of the Council would keep track of time during the presentations.
3.DECREASE TIME FOR PUBLIC COMMENTS. Reduce the public comment time
to 90 seconds if ten (10) or more speakers are speaking on the same item, with
language access and ADA exceptions.
4.REARRANGE THE TIME, PLACE, AND MANNER OF PUBLIC COMMENTS. In
addition to encouraging members of the public to submit written comments to
share their thoughts on City Council agenda items, the City Council may consider
rearranging public comments so that the Public Comments portion of the meeting
is either staggered, categorized by item type, or scheduled to a different section of
the City Council meeting agenda
5.SCHEDULE SPECIAL MEETINGS WHEN NECESSARY. Schedule special
meetings for contentious items. For items where large crowds are expected, it is
recommended to schedule a special meeting for the stand-alone item.
6.CALL FOR A POINT OF ORDER. Call for a “point of order” after discussion on
any one item has gone longer than 30 minutes. The City Council will be required
to vote by majority to continue discussing the item or table it for the next meeting.
7.START THE CITY COUNCIL MEETING EARLIER. Start the Closed Sessions at
4:00 p.m. instead of 5:00 p.m. and start the regular City Council meetings at 5:00
p.m. If Closed Session items require additional discussion, then the closed session
can continue upon adjournment of the regular City Council meeting. Or consider
starting the City Council meeting earlier altogether.
8. ROBERT’S RULES OF ORDER TRAINING. Hold a Robert’s Rules of Order
refresher training for the City Council by the City Attorney. The City Attorney can
explore modified rules used by other agencies and could provide information on
those rules at an upcoming meeting.
Streamline City Council Meetings
November 2, 2021
Page 4
9.UPDATE THE ORDER OF BUSINESS. Revise the agenda order so as to hear
items in the following order: public hearings, business calendar, and then consent
calendar items. Standard or frequent types of items are placed under the Consent
Calendar. Staff recommends hearing the items that would require discussion first
before hearing the routine items. Members of the Council would always have the
opportunity to pull items from the Consent Calendar for discussion
10.SURVEY CONSTITUENTS TO FIND OUT WHAT THEY THINK. Conduct a City
Council Meeting Streamlining Outreach Survey. To increase our community
outreach efforts, staff recommends obtaining feedback regarding the current
meeting structure. The survey does not need to be a formal, scientific survey with
requisite controls; but instead will allow members of the community to vote on
different options and allow them to suggest how City Council may streamline
meetings.
11.INCREASE THE FREQUENCY OF CITY COUNCIL MEETINGS. Schedule one
or more additional regular City Council meeting each month.
12.TIME LIMITS FOR COUNCILMEMBER COMMENTS. Impose a time limit that
councilmembers may speak on any City Council agenda item.
13.IMPOSE A SET MEETING END TIME. End City Council meetings at a set time.
Next Steps
The options presented in this staff report are for discussion by the City Council. Should it
be the desire of the City Council, staff can prepare a revised City Council Rules and
Procedure document, in the form of a resolution, to include revised procedures to
streamline City Council meetings. Alternatively, staff can return to the City Council with
additional information at a future meeting.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Submitted By: Daisy Gomez, Clerk of the Council
Approved By: Kristine Ridge, City Manager
Clerk of the Council Office
www.santa-ana.org/cc
Item # 26
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Assembly Bill 361
AGENDA TITLE:
Consider Approving the Continued Use of Teleconferencing for Meetings of City Council
and all Boards, Committees, and Commissions Pursuant to the Provisions of Assembly
Bill 361
RECOMMENDED ACTION
Adopt resolution to consider continuing the use of teleconferencing for the meetings of
City Council and all boards, committees, and Commissions pursuant to the provisions of
Assembly Bill 361 for the next 30 days.
DISCUSSION
On March 17, 2020, Governor Gavin Newsom issued Executive Order N-29-20
suspending certain provisions of the Brown Act in order to allow legislative bodies to
conduct their meetings completely telephonically or by other electronic means. City
Council meetings have been conducted by Zoom with councilmembers and staff all
joining from remote locations when necessary.
The suspension of certain provisions of the Brown Act was further extended by Governor
Newsom on June 11, 2021 by the issuance of Executive Order N-08-21 which continued
to allow completely virtual City Council (and other legislative body) meetings. This order
stayed in effect until September 30, 2021.
In response, AB 361 was signed into effect by Governor Newsom on September 16, 2021.
It amends the Brown Act to allow legislative bodies to meet virtually, provided there is a
state of emergency, and either (1) state or local officials have imposed or recommended
measures to promote social distancing; or (2) the legislative body determines by majority
vote that meeting in person would present imminent risks to the health and safety of
attendees.
The City of Santa Ana’s current practices with respect to live public comment via Zoom
already satisfy all of the new requirements in AB 361. Additionally, the individual
legislative bodies can make their own findings for the AB 361 telecommuting resolution
for future meetings. Determinations to continue to utilize remote meetings as allowed by
Streamline City Council Meetings
November 2, 2021
Page 2
AB 361 must be re-visited by the legislative body every 30 days with the support of new
findings. Staff recommends this extension period to act as a helpful transitional stage for
boards, committees, and commissions who still currently meet virtually.
th
On October 5, 2021, Council adopted Resolution No. 2021-055 making the required
findings under AB 361 in order to allow the City to continue to offer teleconference
accessibility for public meetings after September 30, 2021, to help mitigate the spread of
COVID-19.
ENVIRONMENTAL IMPACT
There is no environmental impact associated with this action.
FISCAL IMPACT
There is no fiscal impact associated with this action.
EXHIBIT(S)
1. Resolution
Submitted By: Daisy Gomez, Clerk of the Council
Approved By: Kristine Ridge, City Manager
RESOLUTION 2021-__
A RESOLUTION OF THE CITY COUNCIL OF THE CITY OF SANTA ANA,
CALIFORNIA EXTENDING THE AUTHORIZATION FOR USE OF
REMOTE TELECONFERENCING PROVISIONS (AB 361)
WHEREAS, the Ralph M. Brown Act (Government Code section 54950 fu!tfr/)
generally requires local agencies meeting via teleconference, including through other
virtual or electronic means, to, among other things, provide public access at each location
in which members of the legislative body are teleconferencing; and
WHEREAS, Assembly Bill 361 (AB 361) amends Government Code section 54953
to allow local agencies to meet fully virtually, without fully adhering to the rules otherwise
applicable to teleconferencing, during a proclaimed state of emergency if state or local
officials have imposed or recommended measures to promote social distancing; and
WHEREAS, the Governor issued a proclamation declaring a state of emergency on
March 4, 2020 due to the COVID-19 pandemic, pursuant to section 8625 of the California
Emergency Services Act, and this proclaimed state of emergency currently remains in
effect; and
WHEREAS, the City Council of the City of Santa Ana declared a local emergency
on March 17, 2020 pursuant to Santa Ana Municipal Code section 2-404A (now section
2-646A); and
WHEREAS, on October 5, 2021, the City Council of the City of Santa Ana approved
Resolution 2021-055 authorizing the use of remote teleconferencing provisions pursuant
to AB 361; and
WHEREAS, in order to continue teleconferencing pursuant to the provisions of AB
361, the City Council is required to make certain findings every thirty (30) days; and
WHEREAS, Orange County, California is in an area of substantial transmission of
COVID-19, including the highly transmissible Delta Variant, as identified by the Center for
Disease Control; and
WHEREAS, the City Council of the City of Santa Ana has reconsidered the
circumstances of the state of emergency; and
WHEREAS, state and local officials continue to recommend measures to promote
social distancing to prevent the spread of COVID-19; and
WHEREAS, the continuation of virtual meetings will allow for full participation by
members of the public until social distancing recommendations are lifted; and
WHEREAS, the City Council of the City of Santa Ana desires to continue to hold
virtual meetings pursuant to AB 361 and Government Code section 54953(e).
Resolution 2021-XXX
Page 1 of 3
NOW THEREFORE BE IT RESOLVED,by theCity Council of the City of Santa
Anaas follows:
SECTION 1.The above recitals aretrue and correct and shall be the findings of
the City of Santa Ana
SECTION 2.The City Council of the City of Santa Ana hereby extends the
authorization provided by Resolution No. 2021-055 allowing for teleconferencing
pursuant to AB 361.
SECTION 3.The City Council and all other legislative bodies of the City of Santa
Anacreated by the City Council or createdthrough its City Charter shall continue to meet
virtually in accordance with Government Code section 54953(e) and without compliance
with section 54953(b)(3)based upon the findings and determinations hereby made by the
City Council.
SECTION 4. TheCity Clerk shall attest to and certify to the passage and adoption
of this resolution and it shall be effective immediately upon its approval.
ADOPTED this ___day ofNovember, 2021.
___________________________
Vicente Sarmiento
Mayor
APPROVED AS TO FORM:
SoniaR. Carvalho
City Attorney
By: __________________
Laura A. Rossini
Chief Assistant City Attorney
Resolution 2021-XXX
Page 2of 3
AYES: Councilmembers
NOES: Councilmembers
ABSTAIN: Councilmembers
NOT PRESENT: Councilmembers
CERTIFICATE OF ATTESTATION AND ORIGINALITY
I, Daisy Gomez, Clerk of the Council, do hereby attest to and certify the attached
Resolution No. 2021-___ to be the original Resolution adopted by the City Council of
the City of Santa Ana on _____________, 2021
Date: ___________________ ____________________________
Clerk of the Council
City of Santa Ana
Resolution 2021-XXX
Page 3 of 3
Housing Authority
santa-ana.org/cd
Item # 2
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: Quarterly Report for Housing Choice Voucher Program
AGENDA TITLE:
Quarterly Report for the Housing Choice Voucher Program for the Period of July 2021 to
September 2021
RECOMMENDED ACTION
Receive and file the Quarterly Report for the Housing Choice Voucher Program for the
period of July 2021 to September 2021.
DISCUSSION
The July 2021 to September 2021 Quarterly Report for the Housing Choice Voucher
(HCV) Program provides statistics for the day-to-day activities of the Santa Ana Housing
Authority. The report is divided into three (3) sections: Applicants, Participants, and
Production.
Applicants
The Santa Ana Housing Authority accepted applications from July 1, 2015 through July
30, 2015 and received a total of 16,375 applications. A random lottery procedure was
applied and the Santa Ana Housing Authority accepted 5,000 of the 16,375 applications
to establish a 2015 HCV Waiting List. Charts 1 and 2 depict the characteristics of those
applicants currently on the Waiting List. As of September 30, 2021, there are 748
applicants on the 2015 HCV Waiting List.
Chart 1 illustrates the percentage of applicants on
the 2015 HCV Waiting List who live or work in
Santa Ana. These applicants are given a
preference on the waiting list together with U.S.
military veterans.
Quarterly Report for Housing Choice Voucher Program
November 2, 2021
Page 2
Chart 2 illustrates the number of applicants by total
household size. The majority of applicants on the
waiting list consist of only one or two household
members.
Over half of all applicants (410 of the 748
applicants or 54%) have one- or two- member
households and would qualify for a one-bedroom
voucher. The Santa Ana Housing Authority’s
occupancy standard is one (1) bedroom for every
two family members.
Participants
At the end of the reporting period, there were 2,754
households receiving rental assistance from the
Housing Authority.
Chart 3 illustrates participating families, sorted by
number of family members. Over three-fourths
(85%) of families receiving assistance have three or
fewer members.
Chart 4 illustrates the family type for program
participants. Over half (68%) of participating
households have elderly and/or disabled members.
\[“Other” consists of households that are non-elderly,
non-disabled, with no minor children.\]
Chart 5 depicts participants by percentage of Orange
County median income. As of September 2021, the
County’s median income is $106,700 per year for a
family of four.
Approximately 88% of families on the program earn
less than 30% of the median income, which is
$40,350 per year for a family of four.
Quarterly Report for Housing Choice Voucher Program
November 2, 2021
Page 3
Participants’ incomes come from a variety of
sources, as illustrated in Chart 6. A total of 32%
of participating families have income from
employment.
Participating families pay a portion of their
monthly rent based upon their income and the
payment standard for their unit. The Housing
Authority pays the difference between the
tenant’s portion and the contract rent. This
payment is the Housing Assistance Payment
(HAP). The average HAP for July 2021 to
September 2021 was $1,324.
Production
HQS Inspections: At least once every two
(2) years, the Housing Authority must
inspect each assisted-unit to ensure it meets
’s Housing Quality Standards (HQS) in
compliance with the federal
regulations. From July 2021 to September,
2021 a total of 275 inspections and re-
inspections of our assisted-units were
performed of which 97 inspections failed.
Chart 7 illustrates the number of inspections
performed on a monthly basis during the
reporting period.
Recertifications / Interims:
Each year, the Housing Authority must re-certify
every assisted-family to verify the family is still
eligible for assistance. In addition, when a
participant’s income changes, an interim
examination must be performed. During the
reporting period, a total of 799 recertifications
and interims were conducted. Chart 8 illustrates
the number of recertifications and interims
performed.
Quarterly Report for Housing Choice Voucher Program
November 2, 2021
Page 4
Other Change of Unit:
These actions are completed when a family moves to a different rental unit. Fifteen
change of unit actions were processed during the reporting period.
New Admissions:
This action is completed when a family is admitted to the HCV Program. Twenty-two new
admissions were processed during the reporting period.
End of Participation:
This action is completed when the family is no longer interested in participating in the
program, the family becomes deceased, the family is no longer eligible for the program,
or the family is terminated from the program due to program violations. Nineteen end of
participations were processed during the reported period.
Expired Vouchers:
This action is completed when an applicant is unable to locate a unit within the timeframe
of the voucher and all extensions have been exhausted or no extension is requested.
There were no expired vouchers processed during the reporting period.
FISCAL IMPACT
There is no fiscal impact associated with this action.
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
Community Development Agency
santa-ana.org/cd
Item # 3
City of Santa Ana
20 Civic Center Plaza, Santa Ana, CA 92701
Staff Report
November 2, 2021
TOPIC: HUD-VASH and FYI Special Fees Agreement with the Orange County United
Way
AGENDA TITLE:
Approve Two Agreements with the Orange County United Way to Provide Housing
Stabilization Services and Supportive Services for the HUD-Veterans Affairs Support
Housing Program (HUD-VASH) and Foster Youth to Independence (FYI) Programs
(Contingent upon approval of City Council Item #11)
RECOMMENDED ACTION
Authorize the Executive Director of the Housing Authority to execute two (2) agreements
with the Orange County United Way to provide housing stabilization and supportive
services beginning November 2, 2021 and expiring June 30, 2023, for a total amount not
to exceed $168,034 subject to non-substantive changes approved by the Executive
Director of the Housing Authority and Authority General Counsel.
DISCUSSION
On March 24, 2021, HUD issued PIH Notice 2021-10 announcing Federal Fiscal Year
(FFY) 2021 Funding Provision for the Housing Choice Voucher. This notice also included
an application opportunity for the HUD’s Special Fee Applications for the HUD-Veterans
Affairs Support Housing Program (HUD-VASH) and Foster Youth to Independence (FYI)
Program. The Housing Authority administers 280 HUD-VASH vouchers for homeless
veterans and 46 FYI vouchers for foster youth. On May 7, 2021, the Housing Authority
submitted an application for the HUD-VASH and FYI Special Fees, and on September 9
the Housing Authority received an award of $84,017 in HUD-VASH Special Fees and
$84,017 in FYI Special Fees to provide housing stabilization services and supportive
services (Exhibit 1).
The purpose of the HUD-VASH Special Fees is to support additional or extraordinary
related administrative expenses incurred to increase lease-up success rates or decrease
the time it takes for a homeless veteran to locate and move-in to a unit, such as landlord
incentives, housing search assistance, unit holding fee, security deposit fee and
application fee. This $84,017 in administrative fee funding may be used by the Housing
HUD-VASH and FYI Special Fees Agreement with the Orange County United Way
November 2, 2021
Page 2
Authority for administrative expenses and other eligible activities/expenses related to
housing stabilization.
The purpose of the FYI Special Fees is to support necessary additional or extraordinary
related administrative expenses incurred to achieve either of the following activities:
1) Full (100%) FYI voucher utilization; and
2) Increase access to the program for eligible youth.
With these one-time funds, staff is recommending approval of two agreements with the
Orange County United Way’s WelcomeHomeOC program to administer these funds on
behalf of the Housing Authority (Exhibit 2 and 3). The WelcomeHomeOC program
conducts extensive landlord outreach in the private market and provides landlord
incentives to increase the availability of rental units and decrease the time involved in the
search for an eligible and affordable unit for voucher holders. Their housing navigators
connect landlords to clients through housing navigation services, and facilitates the lease-
up process while ensuring wrap-around service case management services are in place
afterwards for the tenants. The WelcomeHome OC program works with many homeless
and nonprofit service providers to ensure clients have the case management and
supportive services they need to keep them in their home.
In 2019, the Housing Authority entered into a similar partnership with the Orange County
United Way to assist 25 foster youth find and lease-up affordable permanent housing with
their FYI vouchers. The WelcomeHomeOC team leased up all 25 FYI individuals and
families within a very short period of time. This success made our Housing Authority one
of the first in the nation to reach 100% utilization with HUD’s first allocation of FYI
vouchers. The results were recognized by HUD’s Los Angeles Field Office and staff were
invited to share our results with other housing authorities across the State of California.
FISCAL IMPACT
Funds for the agreements will be available in the following accounts for estimated
expenditure as follows:
Fiscal Accounting Fund Accounting Unit, Account
Amount
YearUnit-AccountDescriptionDescription
Housing Authority Voucher Admin,
FY 21-22
14018760-62300Housing Authority$ 97,268
(Nov.-June)
Contract Services-Professional
Housing Authority Voucher Admin,
FY 22-23
14018760-62300Housing Authority$ 70,766
(July-June)
Contract Services-Professional
Total Expenditure$168,034
Fiscal Impact Verified By: Kathryn Downs, CPA, Executive Director – Finance and
Management Services Agency
HUD-VASH and FYI Special Fees Agreement with the Orange County United Way
November 2, 2021
Page 3
EXHIBIT(S)
1. HUD Award Letter dated September 20, 2021
2. Agreement with the Orange County United Way for HUD-VASH Special Fees
3. Agreement with the Orange County United Way for FYI Special Fees
Submitted By: Steven Mendoza, Assistant City Manager
Approved By: Kristine Ridge, City Manager
EXHIBIT 1
U.S. DEPARTMENT OF HOUSING AND URBAN DEVELOPMENT
Financial Management Center
2380 McGee, Suite 400
Kansas City, MO 64108-2605
OFFICE OF PUBLIC AND INDIAN HOUSING
September 20, 2021
CA093
CITY OF SANTA ANA HSG AUTH
20 CIVIC CENTER PLAZA
P.O. BOX 22030
SANTA ANA, CA 92701
Dear Executive Director:
SUBJECT: Calendar Year (CY) 2021 Housing Choice Voucher (HCV) Program Special Fees
This letter is to notify you that funds have been obligated for CY 21 HCV Program Special
Fees per the award letter dated September 15, 2021. This is a one-time award and has been
automatically disbursed in a lump sum. No action is required by your PHA to receive the
disbursement.
The specific information concerning the obligation(s) for your public housing agency (PHA)
is identified below.
Funding Increment Budget Effective Date Term Category
NumberAuthority(months)
CA093AF0144$84,0179/1/20211Special Fees-FUP
CA093AF0145 $84,017 9/1/2021 1 Special Fees-HUD-VASH
Attached is your Notice to Amend the Consolidated Annual Contributions Contract (CACC)
with revised funding exhibits reflecting the change(s) described above. The amendment notice and
revised funding exhibits should be filed with your most recent CACC. No execution by HUD or
your PHA is required.
Public housing agencies receiving an increment in excess of $100,000 in Budget Authority
(BA) are required to submit Form HUD-50071, Certification of Payments to Influence Federal
Transactions, and if applicable, Form SF-LLL, Disclosure of Lobbying Activities. If this letter
notifies you of a renewal in excess of $100,000, and your PHA has not submitted the Form(s)
HUD-50071 (and SF-LLL where applicable) for your current fiscal year; the documents must be
submitted to your Financial Analyst at the Financial Management Center (FMC) within 30 days of
the date of this letter. These forms are located on the Internet at the following addresses:
Form HUD-50071
https://www.hud.gov/sites/documents/50071.pdf
www.hud.gov espanol.hud.gov
EXHIBIT 1
Form SF-LLL
https://files.hudexchange.info/resources/documents/HUD-Form-Sflll.pdf
If you have any questions about the matters discussed in this letter, please contact your Financial
Analyst (FA) at the Financial Management Center (FMC).
Sincerely,
Jennifer Marshall
Division Director
Attachment
EXHIBIT 1
Consolidated U.S. Department of Housing and Urban Development
Annual Contributions Contract Office of Public and Indian Housing
Housing Choice Voucher Program Section 8
HUD NOTICE TO HOUSING AGENCY AMENDING
CONSOLIDATED ANNUAL CONTRIBUTIONS CONTRACT
Housing Agency: City of Santa Ana Housing Authority, CA093
(Type or print name of housing agency.)
In accordance with Paragraph 2.c. of the Consolidated Annual Contributions Contract between
HUD and the HA, you are notified that the funding exhibit of the Consolidated Annual
Contributions Contract is hereby revised to add a new funding increment as provided in the
attached revised funding exhibit. (This notice adds one or more funding increments listed on
the attached funding exhibit.)
The revised funding exhibit is attached to this HUD notice. This revised funding exhibit
replaces and revises the prior funding exhibit.
In accordance with Paragraph 2.d. of the Consolidated Annual Contributions Contract, this
HUD notice and the attached funding exhibit constitutes an amendment to the Consolidated
Annual Contributions Contract.
United States of America: Secretary of Housing and Urban Development Date of Document:
Authorized Representative
Robert H. Boepple, Director /2021
Financial Management Center
Form HUD-52520A (12/97)
EXHIBIT 1
V/T/!Efqbsunfou!pg!Ipvtjoh!boe!Vscbo!Efwfmpqnfou
QJI!Tfdujpo!9!.!Gvoejoh!Fyijcju
Qsphsbn.Cbtfe
BDD!OVNCFS;!!!DB1:4BG
GJFME!PGGJDF;!!:EQI
MPTGP-!QJI
IB!OVNCFS;!!!!!DB1:4
DJUZ!PG!TBOUB!BOB!ITH!BVUI
31!DJWJD!DFOUFS!QMB\[B
Q/P/!CPY!33141
TBOUB!BOB-!DB:3812
IB!GJTDBM!ZFBS!FOE;!!!17041
QSPHSBN!UZQF;!!!BENJO!GFF
GJ!OvncfsGjstu!Ebuf!pg!UfsnMbtu!Ebuf!pg!UfsnDpousbdu!UfsnCvehfu!BvuipsjuzVojut!Dpvou
DB1:4BG124417.12.31311:.41.31315%:9:-759/11O0B
DB1:4BG124521.12.313121.42.31312%358-523/11O0B
DB1:4BG124822.12.313123.42.31313%5:9-9:5/11O0B
DB1:4BG124912.12.313213.39.31323%5:9-9:5/11O0B
DB1:4BG124:23.12.313123.42.31312%39-554/11O0B
DB1:4BG125114.12.313214.42.31322%487-98:/11O0B
DB1:4BG125215.12.313216.42.31323%626-179/11O0B
DB1:4BG125317.12.31321:.41.31325%2-147-1:3/11O0B
DB1:4BG125421.12.313221.42.31322%36:-134/11O0B
DB1:4BG12551:.12.31321:.41.31322%95-128/11O0B
DB1:4BG12561:.12.31321:.41.31322%95-128/11O0B
DB1:4BGS3311:.12.31311:.41.31312%47-4:2/11O0B
DB1:4BGS3321:.12.31321:.41.31322%58-462/11O0B
DB1:4BGS43123.12.313123.42.31312%2-95:/11O0B
DB1:4BGS53115.12.313215.41.31322%75-681/11O0B
Qsjou!Ebuf;!Npoebz-!Tfqufncfs!31-!3132-!!21;65;66!BNGjobodjbm!Ebub!Nbsu!)B86S*Qbhf!2!pg!2
Sfqpsu!Qbui;!0dpoufou0gpmefs\\Aobnf>(B86S.TVC!Tvctjejbsz!Efubjm!
B86S.TVC.133b!Qsphsbn!Cbtfe!Gvoejoh!.!QB12Sfqpsut(^0gpmefs\\Aobnf>(B86S.TVC!IVEDBQT!Tfdujpo!9!Sfqpsut(^0sfqpsu\\Aobnf>(B86S.
TVC.133b!Qsphsbn!Cbtfe!Gvoejoh!.!QB12(^
)Tubuvt!Dpef!jo!)(d(-(v(-(q(-(e(-(f(**!boe!)Mjof!Ovncfs!>!(112(*!boe!)Ipvtjoh!Bvuipsjuz!Ovncfs!tubsut!xjui!DB1:4*!boe!)Qsphsbn!Uzqf!jo!)!BG**!boe!
Gjmufs;!
)Dpousbdu!Fyqjsbujpo!Ebuf!?!)Dvssfou!Ebuf!.!476!ebzt**
Sfoefsfe!cz!Dphopt
EXHIBIT 2
HOUSING CHOICE VOUCHER PROGRAM
HUD-VASHSPECIALFEES
SUBCONTRACTORAGREEMENTBETWEEN
THE HOUSINGAUTHORITY OFTHECITY OFSANTAANA AND
ORANGECOUNTYUNITED WAY
-
and entered into this November 2, 2021, by and between the Housing Authority of the City of
aCalifornia nonprofit organization
RECITALS:
A.The
Appropriations Act, 2021 (P.L. 116-
establishestheallocationmethodologyforcalculatinghousingassistance
paymentsrenewalfunds,newincrementalvouchersandadministrativefees.
B.Contractor is the recipient of the HCV Special Fees funds from the U.S. Department of
HousingandUrban Developmentof PublicandIndianHousing.
C.Subcontractor has beenmade aware oftheHUD HCV programandagrees tocomply
with all the conditions of the HUD-VASH Special Fees Agreement and the applicable
requirementsgoverningthe useof HUD-VASHSpecial Fees funds.
D.ContractornowapprovestheprovisionofHUD-VASHSpecialFeesfundsto
Subcontractor in an amount not to exceed $84,017.00, to be used in the operation of the
WelcomeHomeOC Program
E.Subcontractor represents that it has the requisite qualifications, expertise, and experience
in the provision of the Program and is willing to use said HUD-VASH Special Fees funds
tooperate said Program.
F.This HUD-VASH Special Fees Agreement is contingent upon the award of HCV Special
Feesfunds fromHUD.
G.ContractorandSubcontractorhavedulyexecutedthisHUD-VASHSpecialFees
Agreement fortheexpenditureandutilizationofsaidHUD-VASHSpecialFeesfunds.
NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals
are a substantive part of this HUD-VASH Special Fees Agreement, and the following terms and
conditions are approved and together with all exhibits and attachments hereto, shall constitute the
entireHUD-VASHSpecial Fees Agreementbetween theContractorandSubcontractor:
1
EXHIBIT 2
1.SCOPEOFSERVICES
SubcontractorshallperformduringthetermofthisHUD-VASHSpecialFees
Agreement,thetasksandobligations,includingalllabor,materials,tools,equipment,and
incidental customary work required to fully and adequately complete the services necessary for
theProgram, in accordancewiththeScopeof Work attachedhereto asExhibit B.
2.TERM
ThisHUD-VASHSpecialFeesAgreementshalltakeeffectonthedatefirstwritten
above and shall terminate on June 30, 2023, unless otherwise cancelled or modified according to
theterms ofthis HUD-VASH Special Fees Agreement.
3.DISBURSEMENTANDFUNDS
A.Contractor was allocated $84,017.00 in HUD-VASH Special Fees funds from
HUD to be expended by June 30, 2023. Contractor agrees to pay to Subcontractor when, if and
to the extent HUD-VASH Special Fees funds are received a sum not to exceed $84,017.00 for
through the term of
this HUD-VASH Special Fees Agreement, in accordance with the Budget attached hereto as
Exhibit C. Contractor shall make payments to Subcontractor not to exceed $5,000 for each
HUD-VASH voucher leased, as detailed in Exhibit B, up to themaximum amount of eligible
funding.Said sum shall be paid after Contractor receives invoices submitted by Subcontractor as
providedherein.
th
B.Subcontractor shall submit quarterly invoices (on or before the 15day of April,
July,October, andJanuary) ina formprescribedby theContractor,detailing suchexpenses.
Suchschedule maybemodified with theapprovaloftheContractor.
C.Payment is subject to the receipt and approval of such invoices and quarterly
activity reports. Contractor shall pay such invoices within thirty (30) days after receipt thereof,
provided Contractor is satisfied that such expenses have been incurred within the scope of this
HUD-VASH Special Fees Agreement and that the Subcontractor is in compliance with the terms
and conditions of this HUD-VASH Special Fees Agreement.The thirty (30) day period will
discontinue if the reimbursement request is determined to be incomplete and will restart the
thirty-daytimelineoncetheremainingrequiredelementshavebeensubmitted.Failureto
provide any of the required documentation will cause the Contractor to withhold all or a portion
of a request for reimbursement until such documentation has been received and approved by the
Contractor.
D.Subcontractor agrees to use said funds pursuant to this HUD-VASH Special Fees
Agreement to pay for necessary and reasonable costs allowable understate law and regulations
to operate said HCV HUD-VASH Program only. Said amounts shall include and will be limited
to the operation of the WelcomeHomeOC program only.
requiredmay,inadditiontootherremediessetforthinthisHUD-VASHSpecialFeesAgreement,
resultinreadjustmentoftheamountoffundstheContractorisotherwiseobligatedtopaytothe
2
EXHIBIT 2
Subcontractorpursuanttothetermshereof,orterminationofthisHUD-VASHSpecialFees
Agreement.
4.HUDAGREEMENT
A.Contractoradherestothe2021Act,whichestablishestheallocationmethodology
for calculating HAP renewal funds, new incremental vouchers and administrative fees.A true and
correct copy of the HUD PIH Notice 2021-10 recognizing $84,017.00 in HUD-VASH Special
Fees grant funds to be used by Contractor to address immediate homeless challenges is attached
hereto as Exhibit A.Subcontractor has been made aware of the HUD PIH Notice 2021-10 and
agrees to comply with all the conditions of the HUD-PIH Notice 2021-10 and the applicable
HUDrequirementsgoverningthe useofHUD-VASH Special Feesgrant funds.
B.Pursuanttothe HUDPIH Notice2021-10,Subcontractorisrequiredto:
i.Perform the work in accordance with Federal, State and Local housing and
buildingcodes, asapplicable.
ii.Maintain at least the minimum State-
thoseemployees who will perform thework oranypart ofit.
iii.Maintain,asrequiredbylaw,unemploymentinsurance,disability
insurance,andliabilityinsuranceinanamountthatisreasonableto
compensateanyperson,firmorcorporationwhomaybeinjuredor
damaged bythe Subcontractor in performing the work or anypart ofit.
iv.Agree to include all the terms of the HUD PIH Notice 2021-10 in each
subcontract.
5.INDEPENDENTCONTRACTOR
Subcontractor shall, during the entire term of this HUD-VASH Special Fees Agreement,
be construed to be an independent contractor and not an employee of the Contractor.This HUD-
VASH Special Fees Agreement is not intended nor shall it be construed to create an employer-
employeerelationship,ajointventurerelationship,ortoallowtheContractortoexercise
discretion or control over the professional manner in which Subcontractor performs the services
which are the subject matter of this HUD-VASH Special Fees Agreement; however, the services
to be provided by Subcontractor shall be provided in a manner consistent with all applicable
standardsandregulationsgoverningsuchservices.Subcontractorshallpayallsalariesand
wages, employer's social security taxes, unemployment insurance and similar taxes relating to
employeesand shall beresponsiblefor all applicable withholdingtaxes.
6.OWNERSHIPOF MATERIALS
This HUD-VASH Special Fees Agreement creates a non-exclusive andperpetual license
for Contractor to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and
otherintellectualpropertyembodiedinplans,specifications,studies,drawings,estimates,and
3
EXHIBIT 2
other documents or works of authorship fixed in any tangible medium of expression, including
but not limited to, physical drawings or data magnetically or otherwise recorded on computer
diskettes, which are prepared or caused to be prepared by Subcontractor under this HUD-VASH
to agree in writing that Contractor is granted a non-exclusive and perpetual license for any
Documents & Data the subcontractor prepares under this HUD-VASH Special Fees Agreement.
Subcontractor represents and warrants that Subcontractor has the legal right to license any and all
Documents & Data.Subcontractor makes no suchrepresentation and warranty in regard to
Documents & Data which were provided to Subcontractor by the Contractor. Contractor shall
not be limited in any way in its use of the Documents and Data at any time, provided that any
such use not within the purposes intended by this HUD-VASH Special Fees Agreement shall be
atrisk.
7.INSURANCE
PriortoundertakingperformanceofworkunderthisHUD-VASHSpecialFees
Agreement,Subcontractorshallmaintainandshallrequireitssubcontractors,ifany,toobtain
andmaintain insuranceas described below:
a.CommercialGeneralLiabilityInsurance.Subcontractorshallmaintain
commercial general liability insurance naming the Contractor, its officers, employees, agents,
volunteers and representatives as additional insured(s) and shall include, but not be limited to
protectionagainstclaimsarising frombodily andpersonalinjury,including deathresulting
therefromanddamagetoproperty,resultingfromanyactoroccurrencearisingoutof
-VASH Special Fees Agreement,
including, without limitation, acts involving vehicles.The amounts of insurance shall be not less
than the following: single limit coverage applyingto bodily and personal injury, including death
resultingtherefrom,andpropertydamage,inthe totalamountof $1,000,000peroccurrence,with
$2,000,000intheaggregate.Suchinsuranceshall(a)nametheContractor,itsofficers,
employees,agents,andrepresentativesasadditionalinsured(s);(b)beprimaryandnot
contributory with respect to insurance or self-insurance programs maintained by the Contractor;
and(c)contain standardseparation ofinsureds provisions.
b.Businessautomobile liability insurance,orequivalentform,witha combined
single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage
forowned, hired and non-owned automobiles.
c.In accordance with the provisions of Section
3700 of the Labor Code, Subcontractor, if Subcontractor has any employees, is required to be
-insurance.Prior to
commencing the performance of the work under this HUD-VASH Special Fees Agreement,
lessthan $1,000,000 peraccident.
4
EXHIBIT 2
d.If Subcontractor is or employs a licensed professional such as an architect or
engineer: Professional liability (errors and omissions) insurance, with a combined single limit of
notless than $1,000,000 per claim with $2,000,000 in theaggregate.
e.Thefollowingrequirementsapplytotheinsurancetobeprovidedby
Subcontractorpursuant to this section:
i.Subcontractor shall maintain all insurance required above in full force and
effectfor theentire periodcoveredby thisHUD-VASH SpecialFees
Agreement.
ii.CertificatesofinsuranceshallbefurnishedtotheContractorupon
executionofthisHUD-VASHSpecialFeesAgreementandshallbe
approved bythe Contractor.
iii.Certificates and policiesshall state that the policies shall not be canceled
or reduced in coverage or changed in any other material aspect without
thirty(30)days priorwritten noticeto theContractor.
iv.Where the amounts or coverage provided by the certificates of insurance
provides coverage greater than those listed by this HUD-VASH Special
Fees Agreement, the amounts provided by the certificates of insurance
shallbeincorporatedbyreferenceintotheHUD-VASHSpecialFees
Agreement.
v.Subcontractorshallsupply Contractorwithafully executedadditional
insuredendorsement.
f.If Subcontractor fails or refuses to produce or maintain the insurance required by
this section or fails or refuses to furnish the Contractor with required proof that insurance has
been procured and is in force and paid for, the Contractor shall have the r
election, to forthwith terminate this HUD-VASH Special Fees Agreement.Such termination
notification of termination. Subcontractor waives the right to receive compensation and agrees
to indemnify the Contractorfor any work performed prior to approvalof insurance by the
Contractor.
8.INDEMNIFICATION
Subcontractor agrees to defend, and shall indemnify and hold harmless the Contractor, its
officers, agents,employees, contractors, special counsel,and representatives fromliability:(1)
for personal injury, damages, just compensation,restitution, judicial or equitable relief arising
out of claims for personal injury, including death, and claims for property damage, which may
arise from the negligentoperations of theSubcontractor, its subcontractors, agents,employees,
or other persons acting on its behalf which relates to the services described in section 1 of this
HUD-VASH Special Fees Agreement; and (2) from any claim that personal injury, damages, just
compensation,restitution,judicialorequitablereliefisduebyreasonofthetermsoforeffects
5
EXHIBIT 2
arisingfromthisHUD-VASHSpecialFeesAgreement.Thisindemnityandholdharmless
agreement applies to all claims for damages, just compensation, restitution, judicial or equitable
reliefsuffered,orallegedtohavebeensuffered,byreasonoftheeventsreferredtointhis
Section or by reason of the terms of, or effects, arising from this HUD-VASH Special Fees
Agreement.The Subcontractor further agrees to indemnify, hold harmless, and pay all costs for
the defense of the Contractor, including fees and costs for special counsel to be selected by the
Contractor, regarding any action by a third party challenging the validity of this HUD-VASH
SpecialFeesAgreement,orassertingthatpersonalinjury,damages,justcompensation,
restitution, judicial or equitable relief dueto personal or property rights arises by reason of the
terms of, or effects arising from this HUD-VASH Special Fees Agreement. Contractor may
makeallreasonabledecisionswithrespecttoitsrepresentationinanylegalproceeding.
Section2782.8,theabove indemnity shallbe limited,to theextentrequiredby CivilCode
Section 2782.8, to claims that arise out of, pertain to, or relate tothe negligence, recklessness, or
willfulmisconduct of theSubcontractor.
9.RECORDS
Subcontractorshallkeeprecordsandinvoicesinconnectionwiththeworktobe
performedunderthisHUD-VASHSpecialFeesAgreement.Subcontractorshallmaintain
complete and accurate records with respect to the costs incurred under this HUD-VASH Special
Fees Agreement and any services, expenditures, and disbursements charged to the Contractor for
a minimum period of three (3) years, or for any longer period required by law, from the date of
final payment to Subcontractor under this HUD-VASH Special FeesAgreement.All such
records and invoices shall be clearly identifiable.Subcontractor shall allow a representative of
the Contractor to examine, audit, and make transcripts or copies of such records and any other
documents created pursuant to this HUD-VASH Special Fees Agreement during regular business
hours.Subcontractor shall allow inspection of all work, data, documents, proceedings, and
activities related to this HUD-VASH Special Fees Agreement for a period of three (3) years from
thedateoffinalpaymentto Subcontractorunderthis HUD-VASHSpecialFeesAgreement.
10.CONFIDENTIALITY
IfSubcontractorreceivesfromtheContractorinformationwhichduetothenatureof
such information is reasonably understood to be confidential and/or proprietary, Subcontractor
agrees that it shall not use or disclose such information except in the performance of this HUD-
VASH Special Fees Agreement, and further agrees to exercise the same degree of care it uses to
protectitsowninformationoflikeimportance,butinnoeventlessthanreasonablecare.
includesnotonlywritteninformation,butalsoinformationtransferredorally,visually,
electronically, or by other means.Confidential information disclosed to either party by any
subsidiaryand/oragentoftheotherpartyiscoveredbythisHUD-VASHSpecialFees
Agreement.The foregoing obligations of non-use and nondisclosure shall not apply to any
information that (a) has been disclosed in publicly available sources; (b) is, through no fault of
the Subcontractor disclosed in a publicly available source; (c) is in rightful possession of the
Subcontractorwithoutanobligationofconfidentiality;(d)isrequiredtobedisclosedby
6
EXHIBIT 2
operationoflaw;or(e)isindependentlydevelopedbytheSubcontractorwithoutreferenceto
informationdisclosed bythe Contractor.
11.CONFLICTOFINTEREST CLAUSE
Subcontractor covenants that it presently has no interests and shall not have interests,
direct or indirect, which would conflict in any manner with performance of services specified
underthis HUD-VASH Special FeesAgreement.
12.NON-DISCRIMINATION
Subcontractor shall not discriminate because of race, color, creed, religion, sex, marital
status,sexualorientation,age,nationalorigin,ancestry,ordisability,asdefinedandprohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
otheremploymentrelatedactivities.Subcontractoraffirmsthatitisanequalopportunity
employerandshallcomplywithallapplicable federal, state andlocal laws andregulations.
13.EXCLUSIVITYANDAMENDMENT
ThisHUD-VASHSpecialFeesAgreementrepresentthecompleteandexclusive
statementsbetweentheContractorandSubcontractor,andsupersedeanyandallother
agreements, oral or written, between the parties.This HUD-VASH Special Fees Agreement may
not be modified except by written instrument signed by the Contractor and by an authorized
representative of Subcontractor.The parties agree that any terms or conditions of any purchase
order or other instrument that are inconsistent with, or in addition to, the terms and conditions
hereof, shall not bind or obligate Subcontractor or the Contractor. Each party to this HUD-VASH
SpecialFeesAgreementacknowledgesthatnorepresentations,inducements,promisesor
agreements, orally or otherwise, have been made by any party, or anyone acting on behalf of any
party,which is not embodied herein.
14.ASSIGNMENT
InasmuchasthisHUD-VASHSpecialFeesAgreementisintendedtosecurethe
specializedservicesofSubcontractor,Subcontractormaynotassign,transfer,delegate,or
subcontract any interest herein without the prior written consent of the Contractor and any such
assignment, transfer, delegation or subcontract withouttheContractor'sprior written consent
shall be considered null and void.Nothing in this HUD-VASH Special Fees Agreement shall be
are the subject to this
HUD-VASHSpecialFeesAgreementperformedbyContractorpersonnelorbyother
Subcontractorsretained byContractor.
15.TERMINATION
This HUD-VASH Special Fees Agreement may be terminated by the Contractor upon
thirty (30) days written notice of termination.In such event, Subcontractor shall be entitled to
receive and the Contractor shall pay Subcontractor compensation for all services performed by
Subcontractorpriortoreceipt ofsuchnoticeoftermination,subject tothefollowingconditions:
7
EXHIBIT 2
a.Asaconditionofsuchpayment,theExecutiveDirectormayrequire
Subcontractor to deliver to the Contractor all work product(s) completed as of such date, and in
such case such work product shall be the property oftheContractor unless prohibited by law,
deemsappropriate.
b.Payment need not be made for work that fails to meet the standard of performance
specifiedin theRecitalsof thisHUD-VASH Special FeesAgreement.
16.WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted by the provisions of this HUD-VASH Special Fees Agreement shall be effective unless it
is in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of
anybreach,failureorright,orremedyshallbedeemedawaiverofanyotherbreach,failure,
right or remedy, whether or not similar, nor shall any waiver constitute a continuing waiver
unlessthe writingso specifies.
17.JURISDICTION-VENUE
ThisHUD-VASHSpecialFeesAgreementhasbeenexecutedanddeliveredintheState
of California and the validity, interpretation, performance, and enforcement of any of the clauses
of thisHUD-VASH Special FeesAgreement shallbe determined andgoverned by the laws of
the State of California.Both parties further agree that Orange County, California, shall be the
venue for any action or proceeding that may be brought or arise out of, in connection with or by
reasonof this HUD-VASH Special FeesAgreement.
18.PROFESSIONALLICENSES
Subcontractor shall, throughout the term of this HUD-VASH Special Fees Agreement,
maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the
provision of the services hereunder and required by the laws and regulations ofthe United States,
theStateofCalifornia,theCityofSantaAnaandallothergovernmentalagencies.
Subcontractor shall notify the Contractor immediately and in writing of its inability to obtain or
maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be
causefor termination ofthisHUD-VASH Special FeesAgreement.
19.NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this HUD-
VASH Special Fees Agreement shall be in writing and shall be deemed to be properly given if
delivered in person or mailed by first class or certified mail, postage prepaid, or sent by fax or
othertelegraphiccommunicationinthemannerprovidedinthisSection,tothefollowing
persons:
8
EXHIBIT 2
CONTRACTOR:SUBRECIPIENT:
HongloanJ HullBecksHeyhoe
OperationsSupervisorExecutiveDirector
CityofSanta AnaUnitedtoEndHomelessness
CommunityDevelopmentAgency(M-25)Orange County United Way
20CivicCenterPlaza18012 Mitchell South
P.O.Box1988Irvine,CA92614
SantaAna, CA92702-1988(949)263-6112
(714)667-2247becksh@unitedwayoc.org
(714)547-5411FAX
hhull@santa-ana.org
A party may change its address by giving notice in writing to the other party.Thereafter, any
communicationshallbeaddressedandtransmittedtothenewaddress.Ifsentbymail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited inthe United Statesmail,duly registeredorcertified,withpostageprepaid,and
addressed as set forth above.If sent by fax, communication shall beeffective or deemed to have
been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above.For purposes of calculating these
timeframes, weekends, federal,state, Countyor Cityholidays shall be excluded.
20.MISCELLANEOUSPROVISIONS
a.Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of this HUD-
VASH Special Fees Agreement, and shall indemnify Contractor fully, including reasonable costs
poweris not, in fact, heldbythe signatoryor is withdrawn.
b.All Exhibits referenced herein and attached hereto shall be incorporated as if fully
setforth in the bodyof thisHUD-VASHSpecial FeesAgreement.
{Signatureson followingpage}
9
EXHIBIT 2
IN WITNESS WHEREOF, the parties hereto have executed this HUD-VASH Special Fees Agreement on
thedateand yearfirstwritten above.
ATTESTHOUSING AUTHORITY OF THE CITY
OFSANTA ANA
DAISYGOMEZSTEVENA. MENDOZA
RecordingSecretaryExecutiveDirector
APPROVEDASTO FORMORANGECOUNTYUNITEDWAY
SONIAR.CARVALHO
AuthorityGeneral Counsel
By:_
RYANO.HODGEEmileeTello
AssistantCounselChiefFinancialOfficer
We have no further revisions to this agreement.
10
EXHIBIT 2
EXHIBIT A
U.S.DEPARTMENTOFHOUSINGANDURBANDEVELOPMENT
WASHINGTON,DC20410-5000
OFFICEOFPUBLICANDINDIANHOUSING
SpecialAttentionof:PIHNotice2021-10
OfficeDirectorsofPublicHousing;
RegionalDirectors:PublicHousingIssued:March24,2021
Agencies
Expires:Thisnoticeremainsin
effect until amended, superseded, or
rescinded.
Cross References: P IH Notice 2021-08, PIH
Notice 2020-17, PIH Notice 2020-04, PIH Notice
2020-19,PIHNotice2020-01, PIHNotice2019-
01/H-2019-02,PIHNotice2019-20,PIHNotice
2018-12,PIHNotice2018-09, PIHNotice2017-
06,PIHNotice 2015-17,PIHNotice 2013-28,
PIHNotice 2011-28
SUBJECT: Implementation of the Federal Fiscal Year (FFY) 2021 Funding Provisions for
the Housing Choice Voucher Program, and Availability of FFY 2020 Housing Assistance
Payments (HAP) Set-Aside Funds for Second Round Per Unit Cost (PUC) Increases due to
Unforeseen Circumstances
1.Purpose. This notice implements the Housing Choice Voucher (HCV) program funding
provisionsoftheConsolidatedAppropriationsAct,2021(P.L.116-260),referredtohereafter
methodology for calculating housing assistance payments (HAP) renewal funds, new
incrementalvouchers and administrativefees.
This notice also sets forth the second-round application process for HAP set-aside funds
remaining from the Further Consolidated Appropriations Act, 2020 (P.L. 116-94, hereafter
ref
increasesthatoccurredin calendaryear(CY)2020 asaresultofunforeseen circumstances,
includingbut not limited to theCOVID-19pandemic.
2.Organization. This notice is grouped into two parts. Sections 3 through 16 describe the
funding made available under the 2021 Act, the 2020 Act HAP set-aside second round, and
provisions related to the allocation of that funding. Sections 17 through 23 provide other
HCVProgram.
3.Summaryg is
provided through the 2021 Act, which HUD allocates to PHAs in accordance with such Act
asdescribedinthisnotice.The2021ActrequiresHUDtoproviderenewalfundingbasedon
validated Voucher Management System (VMS) leasing and cost data for the prior calendar
year (CY) (January 1, 2020 December 31, 2020). The CY 2021 total amount appropriated
byCongress tofund the HCVProgramis split upby budgetlineitemsas follows:
EXHIBIT 2
2
CY2021Appropriations
1
HAPRenewalFunding$23,075,000,000
2
TenantProtectionVouchers$116,000,000
AdministrativeFees$2,159,000,000
1
TribalHUD-VASH$5,000,000
MainstreamVouchers$314,000,000
VeteransAffairsSupportiveHousing$40,000,000
FamilyUnificationProgram$25,000,000
HousingStabilityVouchers$43,439,000
TotalAvailableCY2021Appropriations$25,777,439,000
This notice provides information on how HUD calculates HAP renewal funding for the
the calculations or this notice, the PHA should contact its Financial Analyst (FA) at the
FinancialManagement Center(FMC).
PHAs administering the HCV Program and/or Mainstream Vouchers are encouraged to pay
particular attention to the set-aside funding provisions (listed in Section 5 and Section 13 and
Appendix H,Application for $110 Million Set-Aside for Categories 2b Portability; 3-
Project-Based Vouchers (PBVs); 4 HUD-VASH; and/or 5Lower-than-average Leasing.
Appendix G, Application for $110 Million Set-Aside for Category 2a Unforeseen
Circumstances; and Appendix J,Application for $110 Million Set-Aside for Category 6 -
Disaster).
4.CalculationofCY2021HAPRenewalFunding.The2021ActrequiresthatHUDapplya
re-benchmarking renewal formula based on validated leasing and cost data in VMS for CY
2020
The renewal provisions of the Act are stated in Appendix A, Consolidated Appropriations
Act,2021 (PublicLaw 116-260).
HUDisprovidingrenewalfundingasfollows:
Step1:AnewHAPfundingbaselineisestablishedbasedonallvalidatedleasingandcost
data(nottoexceedunitmonthsavailableundertheAnnualContributionsContract
1
The2021Actprovidesthatof the$23.08billionforHAPRenewalFunding,up to$5millionisforTribalHUD-
VASHrenewalgrants.Theamountfor HAPRenewalshasbeenreducedhereaccordingly.
2
replacement of housing units that are demolished or disposed of pursuant to section 18 of the Act, conversion of
section 23 projects to assistance under section 8, the family unification program under section 8(x) of the Act,
relocation of witnesses in connection with efforts to combat crime in public and assisted housing pursuant to a
request from a law enforcement or prosecution agency, enhanced vouchers under any provision of law authorizing
such assistance under section 8(t) of the Act, Choice Neighborhood vouchers, mandatory and voluntary
conversions, and tenant protection assistance including replacement and relocation assistance or for project-based
assistance to prevent the displacement of unassisted elderly tenants currently residing in section 202 properties
financedbetween1959 and 1974 thatarerefinanced pursuantto PublicLaw106569, as
EXHIBIT 2
3
3
(ACC)inVMSforCY2020).
Step 2: As required by the 2021 Act, HUD adjusts allocations for the first-time
renewals of tenant protection vouchers and special purpose vouchers (SPVs), such as
HUD Veterans Affairs Supportive Housing (HUD-VASH) vouchers, Family
Unification Program (FUP), Foster Youth to Independence (FYI), and Non-Elderly
Disabled (NED) vouchers for which the initial increment expires in CY 2021. Affected
provided for CY 2021 for first-time increments not initially funded for twelve months.
Note: Reissuance of vouchers originally issued to families under the Disaster Voucher
Program/Disaster Housing Assistance Payments-IKE (DVP/DHAP-IKE) is not
permitted. For DVP/DHAP-IKE vouchers, as with vouchers issued under the sunset
provisions identified in Section 6 ofPIH Notice 2018-09,
Annual Contributions Contract (CACC) unit authorizations and CY 2021 renewal
funding allocations reflect a reduction in units based on the number of such families
underassistanceas reported in VMSas ofDecemberof2020.
Step 3: The Renewal Funding Inflation Factor (RFIF), adjusted for localities, is applied
-month renewal requirement after all adjustments have been
ice of
Policy, Development and Research (PD&R) and can be found at
https://www.huduser.gov/portal/datasets/rfif/rfif.html.
Step 4: HUD determines the total HAP renewal funding eligibility for all PHAs and
compares that amount to the total HAP renewal funds available per the 2021 Act to
2021 eligibility. A proration of less than 100% is applied if the nationwide eligibility
exceedstheavailableHAP renewal funding.
Step 5
Net Position (RNP), including HUD-held
program reserves (in accordance with VMS data in CY 2020 that is verifiable and
complete), as determined by the Secretary. PIH will perform a small offset (impacting a
limited number of PHAs) for reallocation in CY 2021 to ensure the national HAP
prorationiscloserto100%.GiventhefundingprovidedfromtheAmerican RescuePlan
Act (ARPA) for the adjustment of PUC cost increases and to prevent the termination of
rental assistance for families as the result of insufficient funding, PIH may reconsider to
offsetaportionoftheprogramreservestosupplement theHAP shortfallcategory.
Detailed calculations of the offsets will be provided to impacted PHAs in the renewal
allocation enclosure. Offsets will come from excess program reserves reconciled
December 31, 2020 and will protect multiple categories of eligibility. In accordance with
PIH Notice 2020-17, amounts originating from CARES Act HAP awards are not
included with program reserves. Appendix B to this notice,CY2021 Offset
Reallocation,is anexampleoftheoffset enclosuresthat willbeprovided
3
In rare instances where vouchers were transferred from one PHA to another during the re-benchmarking period,
the leasing and cost data of the PHAs will be adjusted to ensure that the leasing and costs represented by the
transferredvouchersareproperlyaccountedfor intheeligibility determinations.
EXHIBIT 2
4
to PHAs and specifically describes this calculation as well as the protected categories of
eligibility.
5.Set-aside of up to $110 million to Adjust PHA Allocations. HUD has authority to provide
eligible PHAs in accordance with need, as determined by HUD, following an application by
the PHA as described in Section 13 of this notice. Awards could be reduced, in whole or in
part, if PHAs have available reserves RNP and/or HUD-held reserves) above a reasonable
threshold, as defined by the Secretary, and/or prorated if the $110 million is insufficient to
cover all awards. Additionally, HUD reserves the right to fund one, some, or all of the
categories.
Set-AsideCategories:
Category1:PreventionofTerminationsDuetoInsufficientFunding(Shortfall)
Category2a:UnforeseenCircumstances
Category2b:Portability
Category3:Project-BasedVouchers(PBV)
Category4:HUD-VASH
Category5:Lower-than-averageLeasing
Category6:Disaster
The above numbering of the categories does not reflect priority; however, HUD reserves the
righttoprioritize or limitCategory1:Preventionof TerminationsDue toInsufficient
Funding. Please refer to Section 13 of this notice for more details about theset-aside
categories, eligibility requirements, and submission deadlines. PHAs may apply for more than
one category of funding and the funding provided within categories 2 6 does not impact the
awardamount oftheothercategories(applicableonlyto categories 26).
PHAs administering Mainstream Vouchers may apply for categories 1, 2a, and 2b. For
additionaldetails on how toapply, pleasereferto Section13.
6.TenantProtectionVouchers(TPVs).
a.Definition. TPVs are provided to protect HUD-assisted families from hardship as the
-Rent) and
Multifamily Housing portfolios. Therefore, if the PHA applies for and is awarded
replacementTPVs,itmustofferthereplacementTPVsintheformoftenant-basedoras
4
project-basedassistancetoeligiblefamiliesimpactedbytheconversion.Undercurrent
HUDpolicy,asfurtherdescribedbelow,replacementTPVsarealsoprovidedforvacant
unitsthatwereoccupiedbyanassistedfamilyintheprevious24months.Relocation
4
Thisstatementsupersedesthelastsentenceinfootnotes5and6ofPIH2018-09,whichstatedthataPHAcannot
offerimpactedresidentsanotherformofcomparablehousing(i.e.anotherpublichousingunit,aRADunit)ifit
applies forandreceivesTPVsforthePublicHousingaction.WhilethePHAisrequiredtoofferthereplacement
TPVtotheeligibleimpactedfamily,inthecontextofPublicHousingconversions,thePHAhasdiscretion,atthe
time oftheTPVoffer,toinformallfamiliesthatthefamilyis notrequiredtoaccepttheTPV,andthat,ifthe
familychooses,atthesolediscretion,nottoaccepttheTPV,thePHAintendstoofferthefamilyanother
formofhousing.
EXHIBIT 2
5
TPVs must only be used by the family impacted by the conversion action as described in
5
Section6 ofPIH2018-09.
b.Funding.Asnotedabove,the2021Actprovides$116millionforTPVs.
c.Continued Applicability of PIH Notice 2018-09. Except as specifically revised in
Section6aand6dofthisnotice,theprogrammaticandpolicyguidanceinSection6of
PIH Notice 2018-09, Implementation of the Federal Fiscal Year (FFY) 2018 Funding
ProvisionsfortheHousingChoiceVoucherProgram,continuestoapplytoTPVs.
d.Eligibility for Replacement TPVs (Vacant Units)
in PIH 2018-09, was to provide replacement TPVs only for occupied units. This policy
was revised in the FY 2019 HCV Funding Notice and continues to apply under this
notice, so that, in addition to providing replacement TPVs for occupied units, HUD will
also provide replacement TPVs for vacant units that were occupied by an assisted family
within the previous 24 months that are no longer available as assisted housing, subject to
theavailabilityoffunding.Theexamplesbelowexplainhowthis policywill work:
i.For Public Housing Actions, vacant units that were occupied by an assisted family
withintheprevious24monthsfromthetimeoftheSpecialApplicationCenter(SAC)
approval or the Choice Neighborhoods Initiative (CNI) award date. For example: on
February 1, 2021, PHA A was approved for demolition/disposition of 25 public
housing units. Of 25 units in property A, 5 of those units were last occupied on
February 1, 2019. The remainder of the units continue to be occupied. Replacement
TPV funding may be provided for all 25 units (vacant and occupied) because the 5
vacantunitswerelastoccupiedlessthan24monthsfromtheSACapproval.
ii.For Multifamily Housing Actions, vacant units that were occupied within the
previous 24 months from the eligibility event. For example: on February 1, 2021, the
prepayment of a section 236 mortgage in property A triggered eligibility for TPVs.
Of 25 units in property A, 5 were last occupied on February 1, 2019. The remainder
of the units continue to be occupied. Replacement TPV funding may be provided for
all 25 units (vacant and occupied) because the 5 vacant units were last occupied
within24 months from theeligibility event.
e.TPV Set-Aside. The 2021 Act provides that at least $5,000,000of the $116 million
appropriated for TPVs may be set-aside to provide TPVs to certain at-risk households in
low-vacancy areas. On February 15, 2019, HUD issuedPIH Notice 2019-01/H-2019-02,
FundingAvailabilityforSet-AsideTenantProtectionVouchers.HUDhasdeterminedthat
the continued use of this notice is fully consistent with congressional directives on this
subject.
5
neverincludevouchersforvacantunits.ForinformationonreplacementandrelocationTPVallocations,seeSection
6 ofPIH 2018-09.
EXHIBIT 2
6
6
f.TPVFunding.HUDcalculatesTPVfundingforalleligibleTPVactions(including
thoseinthePublicHousingandMultifamilyHousingportfolios)basedontheaverage
PerUnitCost(PUC)intheHCVprogram.IfthePHAthatwilladministerthe
TPVshasconcernsregardingthesufficiencyoftheTPVfundingbasedonitsaverage
PUC,thePHAcaneither:(a)requestanupfrontincreasedPUCalongwiththeTPV
fundingapplication,or(b)requesthigherTPVfundingafterthePHAhasalready
submittedtheTPVfundingapplication,ifatthetimethatthePHAsubmitstheTPV
fundingapplicationthePHAisunsureifitwillneedadditionalfunding(e.g.thePHAis
unsureoftheactualcoststhatjustifyanincreasedPUC).Ineithercase,thePHAmust
submittherequestbyemailtothePortfolioManagementSpecialistattheHUD
PIHFieldOffice,withcopytotheFieldPublicHousingDirector.IfthePHA
doesnotknowtheirassignedPortfolioManagementSpecialist,thePHAmayemailthe
FieldPublicHousingDirectorforassistance.ThePHAmustjustifythe
requestedincreasebyprovidingevidenceofrentamountsthatresultinhigherHAPcosts
andajustificationexplainingthattherentsarereasonable.7 Ataminimum,thePHAmust
submititsrentreasonablenessanalysisandabudgetauthoritygapanalysisthatincludes
thefollowingdata:
UnitType/BedroomSize
CountofUnitsbyType/BedroomSize
ContractRent
UtilityAllowance(ifownerpaid)
MonthlyTotal(ContractRent+UtilityAllowance)
ResidentRent
Monthly/Annualsubsidyneedbyunitandproperty
and/or projected subsidy costs are appropriately calculated and may follow-up with the
PHAifadditionalinformationisneeded.IftheFieldOfficedeterminesthattheincreased
PUC is appropriate, they will notify HCV FMD of the revised need via a Field Office
documentation (and the TPV funding application, if applicable), to
PIHConversionActions@hud.gov.
The following additional requirements also apply where the PHA is submitting its request
forincreased TPVfunding subsequentto theTPVaward:
The following additional information must be submitted with the request: Housing
Assistance Payments contract(s), Monthly/Annual subsidy provided in the TPV
award,and ACC letterreflecting theTPVaward.
PHAscanapplyforhigherPUCsduringthetimeoftheirinitialfundingincrement.
The effective date for TPV increments is provided in the amended ACC letter sent
from the FMC to PHAs. Once the initial funding increment is renewed, no
additionalPUC will beprovided.
6
The provided in this section applies to all TPV actions, including those in the Public Housing and Multifamily
Housing portfolios.
7
Rentreasonablerequirementsarefoundinregulationat24CFR982.507and24CFR983.303,asapplicable.Rent
reasonablenessguidance maybe found intheRentReasonablenessChapter oftheHCV Guidebook.
EXHIBIT 2
7
Note that all additional TPV funding is subject to available appropriations. Questions
concerning the TPV adjustment process described above may be sent to
PIHConversionActions@hud.gov.
g.FosterYouthtoIndependencenolongerfundedthroughTPVs.OnJuly26,2019,
HUDissuedNoticePIH2019-20,TenantProtectionVouchersforFosterYouthto
IndependenceInitiative.ThenoticeannouncedaninitiativetoprovideTPVsforyouth
eligibleundertheFamilyUnificationProgram(FUP)incommunitiesthatdonot
administerFUP.HUDisnolongerprocessingrequestsforTPVsunderthatnoticefor
FUP-eligibleyouth.TPVsawardedunderNoticePIH2019-20mustcontinuetooperate
under therequirementsofthenotice.Thisincludesturnoverrequirementsandthe
requirementtoinformHUDshouldayouthnotuseavoucherorleavetheprogram.On
October6,2020,HUDissuedNoticePIH2020-28,FosterYouthtoIndependence
Initiative,whichexplainstheeligibilityandapplicationrequirementsforFYIvouchers
tobemadeavailableforeligibleyouthnon-competitively.Additionally,HUD
announcedtheFYICompetitiveNoticeofFundingAvailability(NOFA)onJanuary19,
2021,making$20millionavailablecompetitivelyforFYI,withanapplicationdeadline
ofMarch 22,2021.
7.Funding for Administrative Costs. The 2021 Act provides $2,159,000,000 for
administrative expenses of PHAs administering the HCV Program (see Appendix A for
Appropriations text). Of the appropriated amount, no less than $2,129,000,000will be
availableforongoingadministrativefeesandfeesfornewvouchersandupto$30,000,000
will be made available to allocate to PHAs that need additional funds to administer their
COVID-19eligibleexpensesasauthorizedinCY2020bytheCARESAct.
A.Ongoing Administrative Fees and Administrative Fees for New Vouchers.
Ongoing administrative fees and administrative fees for new vouchers are allocated
based on leasing. These administrative fees are calculated for CY 2021 as provided
for by Section 8(q) of the United States Housing Act, and related Appropriation Act
provisions, as in effect immediately before the enactment of the Quality Housing and
Work Responsibility Act (QHWRA) of 1998 (P. L. 105-276). Under this calculation,
PHAs are allocated a fee amount for each voucher that is under HAP contract as of
the first day of each month. Administrative fees for new incremental vouchers are
alsoallocated based on leasing.
1.Proration and Reconciliation of Administrative Fees: HUD is developing and
will post administrative fee rates for each PHA to enable PHAs to calculate
potential fee eligibility. An announcement will be made when they become
http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housin
g/programs/hcv.
HUDdisbursesadministrativefeestoPHAseachmonthbasedonactualleasing
reconciled after every quarter based on actual reported leasing, adjusted by an
estimatedprorationbasedontotalannualfundingforadministrativefees.HUD
EXHIBIT 2
8
th
eligibility for administrative fees to one quarter (1/4) of the appropriated amount
available for ongoing administrative fees. HUD will disburse any amount due to
the PHA and will offset any amount due from the PHA via a reduction from a
subsequent administrative fee payment. A final reconciliation will be completed
after the December 2021 leasing data is reported in VMS, at which time the final
pro-ration for the calendar year (CY) will be determined. It is likely that HUD
will start using IMS-PIC leasing data to determine HAP and administrative fee
monthly disbursements as we transition to the Enterprise Voucher Management
System (eVMS) in CY 2021. HUD will alert each PHA when their payments will
becalculated based onIMS-PICleasing data.
2.BlendedRateAdministrativeFeesandHigherAdministrativeFeeRates:
a.BlendedRateAdministrativeFees:PHAsservingmultiple
administrativefeeareasmay,inlieuofthefeedeterminedfortheir
agency, request a blended rate based on the actual location of their assisted
units.Theblended ratewill beused fortheentireCY2021.
How to Submit Requests (new):Due to the COVID-19 pandemic, PHAs
must submit applications electronically as HUD employees are currently
on mandatory telework and are not able to access regular mail on a
consistentbasis.
ElectronicMail(email)Requests:
PHA requests for Blended Rate Fees must be submitted to HUD at the
followingmailbox:PIHFinancialManagementDivision@hud.gov.
Thesubjectlineofthe e-mailmustreadas follows:
PHA Number, Request for Blended Rate Administrative Fees (e.g.,
TX001,2021Request forBlended RateAdministrativeFees).
Deadline to Submit Requests: Requests for Blended Rate Administrative
Fees must be received
Friday,May 28, 2021.
b.HigherAdministrativeFeeRates:APHAthatoperatesoveralarge
geographicarea,definedastwoormorecounties,mayrequesthigher
administrativefees.Anapprovedhigheradministrativefeeratewillapply
onlytoCY2021andisapplicabletotheHCV ProgramandMainstream
Vouchers.ThePHAwillberequiredtosubmitevidenceofactualcostsat
theendoftheCYtoenableHUDtodetermine iftheentireapproved
increasewasneeded.ExcessfundswillbeoffsetbyHUDviaareductionin
afuturedisbursement.
Submission Requirements for Higher Administrative Fee Rates (New):
To request higher fees, an agency must submit the following financial
documentationto theFAat theFMC:
EXHIBIT 2
9
Actual Unrestricted Net Position (UNP) (formerly referred to as
Unrestricted Net Assets or administrative fee reserves) balance as of
December31, 2020.
Actual administrative costs for the HCV Program for CY 2020
insufficient detail to allowforreview.
ncluding
anticipated reasonable and necessary administrative costs broken out in
sufficient detail to allow for review (positions and salaries, detailed
travel costs, overhead and pro-rations, etc.). There is no HUD form, nor
amandated format, forthis budget.
An explanation of why the unit month and budget authority utilization
in CY 2020 was below 95 percent of the unit month and budget
authorityavailableforrenewal units (ifthis occurred).
If the PHA has made withdrawals from the Administrative Fee reserves
per official guidance provided inPIH Notice 2015-17:Uses and
ReportingofAdminFeeReserves, certificationisrequired.Shouldthere
be no withdrawals at this point, a statement that none were made is
required.
An explanation as to why the projected CY 2021 administrative fees
areinsufficienttocoverexpectedprogramoperating costs.
CertificationbytheexecutivedirectorofthePHAthatthedataisaccurate.
HUDreservestherighttoreducethedocumentationrequired.
To request a higher administrative fee rate, PHAs must provide the above
information to the FMC. The required information must be received no later
.PHAs must
submitapplications electronically.
Electronic Mail (email) Requests: PHA requests for a higher
administrativefee ratemust besubmittedtoHUDatthefollowingmailbox:
FinancialManagementCenter@hud.gov.Subjectlinemustreadas
follows:PHA Number, (e.g., TX001) 2021 Request for Higher
AdministrativeFee.
B.SpecialFees.Asstatedabove,HUD willmake upto$30,000,000availabletoallocate
to PHAs that need additional funds to administer their Section 8 programs. A portion
of the $30,000,000 set-aside may be used for ongoing administrative fees to increase
the national fee proration, should HUD determine during the course of the calendar
year (after the submission deadlines outlines below) that the entire $30,000,000 may
not be needed for extraordinary costs. HUD will consider requests for other
unanticipated increases in Administrative Fees on a case-by-case basis. Please note
that requests for additional fees because of a lower national fee proration will not be
accepted. Special fees are not applicable to Mainstream Vouchers. These funds may
beprovided forthefollowing non-exclusivepurposes:
EXHIBIT 2
10
1.HCV Homeownership Fees: HUD provides a $200 special fee for every
homeownership closingreportedinthePublicHousingInformationCenter
(PIC) for HCV families who have become homeowners through the HCV
Homeownership program, Moving To Work (MTW) Homeownership program,
and the Family Self-Sufficiency program (HCV only). These special fees are
allocated to the PHAs administering the vouchers, or FSS participation, after the
FMC staff. PHAs do not need to apply for these funds as HUD provides these
fees automatically based on PIC data and closing dates confirmations. HUD will
also fund a one-time $500 special fee for each newly created HCV
HomeownershipProgram at any PHAin CY2021.
2.SpecialFeesforPHAsthatAdministerTPVsinConnectionwithMultifamily
Housing Conversion Actions: For multifamily housing conversions, a special
(one-time) fee of $200 will be provided for each unit occupied on the date of the
eligibility event. PHAs do not need to apply for these funds as HUD provides
thesefeesautomaticallybasedonPICdata.Thisspecialfeewillalsobeallocated
to PHAs that agree to administer vouchers on behalf of a Multifamily Choice
NeighborhoodsGrantee.
3.SpecialFeesforPortability:ReceivingPHAswithnumbersofportability
vouchersthatcompriseasignificantportionoftheirvouchersunderleaseare
eligibleforaspecialfee.PHAsmusthavebeenadministeringanumberofport-
invouchersequalto20%ormoreofthetotalnumberofleasedvouchers
asofDecember31,2020tobeeligiblefor specialportabilityfees.Foreach
eligibleport-invoucher,thereceivingPHAwillreceive12monthsoffunding
equalto15%ofthe2021ColumnArateforadministrativefees.Thisis
aone-timeawardofspecialfeesandwillbecalculatedbasedonPHAportability
datafoundinPICforactionsthroughDecember31,2020andleaseddatafrom
theVMSasofDecember31,2020(fromthe sameVMSdatabaseusedto
determine the2020HCVrenewalallocations).PHAsdonotneedtoapplyfor
thesefundsasHUDprovidesthesefeesautomaticallybasedonPICdataandthe
VMSdatausedforthe2020renewalallocation.PHAswereadvisedviaemail
onFebruary9,2021,ofthedeadlinedateofnolaterthan5p.m.,perthe
st
timezone,Monday,March31,2021toensureallPICdataisupdated
and successfullysubmitted.
4.SpecialFeesfor AuditCostsforDeclaringMajorHCVProgramsper
Notice 2021-08, and for HCV Voluntary Transfers per PIH Notice 2018-12:
Please refer to Section 4,PIH Notice 2021-08or a superseding notice published
by HUD: Financial Reporting requirements for the HCV Program Submitted
through the Financial Assessment Subsystem (FASS) for Public Housing and the
Voucher Management System (VMS), and Section 6,PIH Notice 2018-12:
Process for PHA Voluntary Transfers and Consolidations of Housing Choice
Vouchers, Mainstream Vouchers, PBV and Project-Based Certificates, for the
eligibilityrequirementsandprocesstorequestspecialfeesunderthiscategory.
PIHNotice2021-08,Section4.Forthosegeneral-purposegovernmentsthathave
notdeclaredtheirHCVrelatedprogramsasamajorfundforfinancialstatement
EXHIBIT 2
11
purposes or as a major enterprise fund under Code of Federal Regulations
(CFR), Title 2, Subtitle A, Chapter II, Part 200, Subpart F; Audit Requirements,
the audit obtained may not be sufficient for HUD to properly monitor its
financialandcompliance interest in theseentities.
Therefore, for HUD to gain an acceptable level of assurance, these PHAs may be
directed to procure Independent Public Accountant (IPA) services for financial
and compliance proceduresasspecifiedby HUD.Thisadditionalworkis
Housing Voucher Programs (OHVP), Financial Management Division (FMD) at
PIHFinancialManagementDivision@hud.govto confirm whether they must
procure an IPA service. If the PIH OHVP, FMD determines that IPA services
must be performed, HUD will provide set-aside funding, if available, to reimburse
the agency for any additional audit costs unless sufficient Unrestricted Net
Position (UNP) exists, in which case these funds may be used for the special
purposeaudit cost.
PIH Notice 2018-12, Section 6. While reviewing the transfer of UNP to the
receiving/consolidated PHA, the HUD Field Office will ensure the divesting PHA
has properly procured and entered into a contract with an independent public
accountant to conduct its close-out audit, and has the funds available to cover it,
HUD may assign extraordinary administrative fees (EAF). This is subject to
availabilityoffundsandjustifiablecircumstances,fromtheAdministrativeFeeset-
aside funds to cover close-out audit costs and may conduct a finalclose-out or
forensic audit of a divesting PHA, either prior to or following to the
transfer/consolidation. The HUD Field Offices must contact the Housing Voucher
Financial Management Division at PIHFinancialManagementDivision@hud.govto
confirmavailabilityofEAF;however,thedivestingavailableadministrative
fee,UNP,and/orothernon-federalfundsmustbeconsideredfirstandrestrictedfor
thispurpose.
5.Special Fees Needed for Administration of Section 8 Tenant-Based Rental
Assistance Program: PHAs experiencing increased administrative expenses that
need additional funds to administer their Section 8 HCV Programs, including as a
result of administration of tenant protection rental assistance, disaster related
vouchers,HUD-VASHvouchers,andotherspecialpurposeincrementalvouchers,
as shown in this section under Guidance for Special Fee Applications Per
Category,canrequest special fees.
To qualify for additional funding under these categories, PHAs must experience
increased administrative expenses as a result of the administration of tenant
protectionrentalassistance,HUD-VASHvouchers,FUPincludingFYI,disaster-
related vouchers, and other special purpose incremental vouchers. Requests for
other unanticipated administrative fee funding increases will be considered on a
case-by-
applicableapplicationcriteriawhenpreparingyourapplicationforthesefunds.
EXHIBIT 2
12
Please note, HUD will limit the total award amount for all categories combined
below:
Maximum
Number ofAward
PHASizeUnitsPercentage
Small1-24912%
Medium2504996%
Large500ormore4%
Additionally,HUDreservestherighttodenyorlimittheawardamountbasedon
funds.HUDreservesthe right tofund one,some, orall thecategories.
Reporting and recording of awarded Special Fees are included as part of
theHCVadministrativefinancialrecordsunderCFDA14.871.
Applications for Special Fees under the HUD-VASH and FUP categories must
be received
2021. Applications for Special Fees under the
Discretion categories must be
time zone, Friday, October 29, 2021. All applications must be sent to
2021SpecialFees@hud.gov.ThesubjectlineoftheemailshouldincludethePHA
Number and the specific Special Fee category of applications, for example,
clarification of items provided with the application. Clarifications or corrections
mustbereceivedby HUDwithinthetimeframe specifiedin thenotification.
The following information must be included for each category the PHA applies
tobeconsideredforfunding undereach requestedcategory:
The application page that identifies the categories for application that
iscertifiedbysignature(formatAppendix Ctothis document);
A letter signed by the appropriate PHA official, clearly indicating the
amountbeingrequested, thecalculationusedtodeterminetheamountof
the request, and the estimated UNP (Administrative fee reserve) balance
asoftheday oftherequest;
Astatementdescribinganactivitythatisbeingproposed,underwayorhas
beencompleted;
Adescriptionofthelocalneedthattheactivitywillserve;
Dataonthenumberoffamiliesthattheactivitywill help;
How the activity will lead to an increase in leasing success rates and/or
reduceprocessing time;
Documentation to support the cost of the activity; the supporting
documentationcouldbeaninvoice/receipt,jobposting,anestimatebased
EXHIBIT 2
13
on what the activity has cost in a prior year along with documentation of
theprioryearcosts, etc.;and
Budget justification to support the request. The budget justification must
supporttheneedforadditionaladministrativeexpenses.Theexpensesmust
ongoingadministrativefeesfortheyear.Foryourconvenience,anexample
budgetjustificationisprovidedinAppendixDtothisdocument.
GuidanceforSpecialFeeApplicationsperCategory:
A.Category1HUD-VASHSpecialFees
PurposeoftheHUD-VASHProgram:
For eligible homeless veterans and their families, the HUD-VASH Program combines the
HUD HCV rental assistance program with case management and clinical services
provided The Department of Veterans Affairs (VA) at its medical centers and community
clinics.HUD-VASH assists homeless veterans and their families afford decent, safe, and
sanitary housing through the distribution of housing vouchers. Beneficiaries are selected
based on certain requirements including health care eligibility, homelessness status, and
income.
Award Information. HUD will reserve up to $5,000,000 for HUD-VASH Special Fees
(HUD-VASH).
Eligible Activities/Expenses. Under this notice, PHAs may apply for HUD-VASH
Special Fees to support necessary additional or extraordinary related administrative
expenses incurred to increase lease-up success rates or decrease the time it takes for a
veteran to locate and move-in to a unit. To apply for these funds, applicants must justify
ordocumentactions specificallyforadministeringtheHUD-VASHprogram.
Underthisnotice,eligibleactivities/expensescouldinclude,butarenotlimitedto:
Hiringtemporarystaffto processRequestforTenancyApprovals(RFTA)forms;
HiringtemporarystafftoconductHousingQualityStandards(HQS)inspections,
orpre-inspect unitsthat HUD-VASHclientsarelikelyto rent;
Hiring temporary staff to provide HUD-VASH clients with housing search
assistance;
Hiringtemporarystafftoserveas aPortabilityCoordinatorforHUD-
VASHclients;
-VASH-stopresource for intake,issuingprovisional
vouchers,etc.;
Hosting Landlord Recruitment Fairs and other activities to engage landlords to
participatein theHUD-VASHprogram;
HoldingextrabriefingsforHUD-VASHclients;and
OtherservicestoensurethatHUD-VASHclientscanmoveintotheirnewhomes
withavoucherin theshortest time-period possible.
EXHIBIT 2
14
B.Category2FamilyUnificationProgramSpecialFees
PurposeoftheFUP:
FUPisaprogramunder whichHCVsareprovidedtotwodifferentpopulations:
1.Familiesforwhomthe lackofadequatehousing isaprimaryfactorin:
a.Theimminentplacementofthechildorchildreninout-of-
homecare, or
b.Thedelayinthedischargeofthechildor childrentothefamilyfrom
out-of-homecare.
2.For a period not to exceed 36 months, otherwise eligible youths who have
attained at least 18 years and not more than 24 years of age and who have left
foster care, or will leave foster care within 90 days, in accordance with a
transition plan described in section 475(5)(H) of the Social Security Act, and is
homeless or is at risk of becoming homeless at age 16 or older. PHAs administer
FUP in partnership with Public Child Welfare Agencies (PCWAs) who are
responsible for referring FUP families and youths to the PHA for determination
ofeligibility forrental assistance.
3.The 2020 and 2021 Acts included assistance to be targeted to foster youth.
HUDreferstothistargetedFUPassistanceastheFosterYouthtoIndependence
(FYI) program. FYI is a program under which HCV assistance is provided for a
period not to exceed 36 months, to otherwise eligible youths who have attained
atleast18yearsandnotmorethan24yearsofageandwhohaveleftfostercare,
or will leave foster care within 90 days, in accordance with a transition plan
described in section 475(5)(H) of the Social Security Act, and is homeless or is
at risk of becoming homeless at age 16 or older. PHAs administer FYI in
partnership with PCWAs who are responsible for referring youths to the PHA
fordetermination ofeligibility forrental assistance.
AwardInformation.HUDwillreserveupto$5,000,000forFUPSpecialFees,to
include FYI. Additional funds may become available for FUP Special Fees at the
discretionoftheSecretary.
Eligible Activities/Expenses. Under this notice, PHAs may apply for FUP Special Fees
to support necessary additional or extraordinary related administrative expenses incurred
toachieveeitherofthefollowing activities:
Full(100%)FUP/FYIvoucherutilization;and
Increaseaccesstotheprogramfor FUP-eligibleyouth.
To apply for these funds, applicants must justify or document actions specifically for
administering the FUP/FYI. Under this notice, eligible activities/expenses could include,
butarenotlimitedto:
Establishing a new/revised Memorandum of Understanding (MOU) with
thePCWAand otherpartners;
EXHIBIT 2
15
Working with community partners to establish and implement a system to
with the Continuum of Care (CoC), including integrating the prioritization and
referral process for eligi
localCoC's coordinatedentry process;
Hiringtemporarystaffto processRFTAforms;
Hiring temporary staff to conduct HQS inspections or pre-inspect units
thatFUP/FYIclients arelikelyto rent;
Hiringtemporarystaffto provideFUP/FYIclients withhousingsearchassistance;
-stop resource for intake, issuing
provisionalvouchers, etc.;
Hosting Landlord Recruitment Fairs and other activities to engage landlords to
participatein FUP/FYI;
HoldingextrabriefingsforFUP/FYIclients;
OtherservicestoensurethatFUP/FYIclientscanmoveintotheirnewhomes
withavoucherin theshortesttimeperiod possible; and
Training PCWA, CoC, and other community partners on FUP/FYI and the HCV
Program.
C.Category3DisasterRelatedSpecialFees
In the event of a future allocation of disaster vouchers during CY 2021, PIH will
provideeligibilityandapplicationguidancefordisasterrelatedspecialfees
atthat time.
D.Category 4 Application for other Special Fees under The
Discretion
PurposeoftheDiscretionSet-aside:
The purpose of this set-aside is to provide Extraordinary Administrative Fee (EAF)
to cover administrative expenses incurred as the result of a situation outside of the
specific categories described within this notice. HUD will consider requests for
other unanticipated increases in Administrative Fees on a case-by-case basis.
Please note that requests for additional fees because of a lower national fee proration
willnot beaccepted.
Award Information. HUD will reserve up to $5,000,000 for other unanticipated
increasesin AdministrativeFeesona case-by-casebasis.
Eligible Activities/Expenses. Activities and expenses considered eligible under
Administrative Fees that are not covered under another special fee category are
eligibleforfunding undertheDiscretion.
Due to the limited nature of Special Feefunds available, payments made directly
to assisted families or individuals, such as transportation reimbursement, security
depositassistance, etc.,arenotconsidered eligibleexpenses.
EXHIBIT 2
16
8.HUD-VASH Funding. The 2021 Act provides $40,000,000 for new incremental vouchers
fortheHUD-VASHprogram.Asprovidedbythe 2021Act,voucherswillbeawardedbased
on geographic need and PHA administrative performance. HUD will issue comprehensive
guidanceon the2021 HUD-VASHallocationatalaterdate.
All PHAs are responsible for tracking new units and funding for special purpose vouchers
(SPVs), such as HUD-VASH vouchers, to include new incremental vouchers and renewals.
HUD-VASH funds can only be used for the intended purposes and are not subject to MTW
fungibilityprovisions.
9.Tribal HUD-VASH Renewals. The 2021 Act provides up to $5,000,000 of the amounts
forHAPRenewalsfortheTribalHUD-VASHprogram,whichprovidesrental
assistance and supportive services to Native American Veterans who are homeless or at-
risk of homelessness living in Indian Country. Guidance on the Tribal HUD-VASH
programis providedbyOfficeofNativeAmericanPrograms.
10.Mainstream Vouchers. The 2021 Act provides $314,000,000 for renewal funding and
administrative fees for Mainstream units. The renewal funding will be re-benchmarked
during CY 2021. Renewals are calculated based on validated Mainstream Vouchers leasing
and HAP expenses reported in VMS for the period January 1, 2020 to December 31, 2020.
PHA funding for Mainstream units is limited to such calendar year eligibility and HUD-held
Mainstream reserves. As with the regular voucher program, PHAs may not over-lease. (See
Section 22, below, for more information on over-leasing.) As in previous appropriations
Acts, the 2021 Act further clarifies that all existing Mainstream Voucher assistance shall be
provided to non-elderly persons with disabilities upon turnover.PIH Notice 2020-01
providesfurtherguidance.
AdministrativefeesaredisbursedbasedonthemostrecentMainstreamVoucherleasing
data in VMS and fee reconciliations are performed on a quarterly basis. In addition, the 2021
Act requires that the administrative and other non-HAP expenses of the PHAs administering
these vouchers shall be funded under the same terms and be subject to the same pro rata
administrative fee reductions that apply to all other PHAs administering vouchers under the
HCV Program. Consistent with the HCV Program, PHAs are not eligible to receive
reimbursementforhard-to-housefees and audit costs.
All PHAs are responsible for tracking new units and new funding for SPVs. Mainstream
funds can only be used for the intended purposes. These funds are not subject to MTW
fungibilityprovisions.
The 2021 Act provides that the $110 million HAP set-aside for regular HCVs may also
be used to make adjustments to Mainstream Voucher renewal allocations for the
followingeligibility categories:
(1)Category1Prevention ofTerminationsDuetoInsufficient
Funding(Shortfall);
(2)Category2aUnforeseenCircumstances;and
(3)Category2bPortability.
EXHIBIT 2
17
Please see section 13 below for further details and the Mainstream PHA
applicationrequirements.
11.Family Unification Program (FUP). The 2021 Act provides $25,000,000 for new
incrementalvoucher assistancefor theFUP.Ofthisamount,$20,000,000islimitedtouse
on behalf of FUP-eligible youth under FYI, up to $10,000,000of which may be made
available non-competitively. HUD included the $10,000,000 in the Foster Youth to
IndependenceCompetitive Notice of Funding Availability (NOFA), published on January
19,2021.Anyamountstobemadeavailablenon-competitivelywillbeannouncedthrougha
PIH notice under the FYI initiative (See Section 6). The remaining $5,000,000 will be used
to make awards under the 2019 FUP NOFA. These funds may be used on behalf of FUP-
eligiblefamilies and FUP-eligibleyouth.
The 2021 Act also provides that any PHA administering voucher assistance appropriated in
a prior Act under the FUP, or competitively under the 2021 Act, that determines that it no
longer has an identified need for such assistance upon turnover, shall notify the Secretary,
and the Secretary shall recapture such assistance from the agency and reallocate it to any
other PHA(s) based on need for FUP voucher assistance. This includes assistance made
non-competitive amounts and awards and will recapture and reallocate any unused amounts
inaccordancewiththe2021Act.HUDwillimplementtheseprovisionsthroughguidanceat
alaterdate.
All PHAs are responsible for tracking new units and new funding for Special Purpose
Vouchers.FUPfunds,includingthosemadeavailableundertheFYIinitiative,canonlybe
usedfortheintendedpurposes.ThesefundsarenotsubjecttoMTWfungibilityprovisions.
12.Housing Stability Vouchers. The 2021 Act provides $43,439,000for new incremental
voucherstargetedtoindividualsandfamiliesexperiencinghomelessnessandthoseat-risk
of homelessness as those terms are defined in the McKinney Vento Homeless Assistance
Act.HUDwill provide additional information at alaterdate.
13.InstructionsforApplyingforFundswithinthe$110MillionHAPSet-Aside.
HOW TO SUBMIT REQUESTS-PHAs must submit requests via electronic mail
(email)withtheappropriatesignedAppendicesF,G,H,I,andJalongwithallrequired
documentation and calculations (if applicable) must be submitted to HUD at the
followingmailbox: 2021Set-AsideApplications@hud.gov.
The subject line of the email must include the following: PHA Number, 2021 Set-Aside
Application(e.g., TX001, 2021 Set-AsideApplication).
HUD will automatically reject incomplete applications, including those missing
signatures. PHAs may resubmit complete applications within the application acceptance
period.
Additional Information as the 2021 Set-aside Relates to the American Rescue Plan
Act(ARPA)-HUDhasauthorityunderARPA(P.L.117-2),whichwasenactedon
EXHIBIT 2
18
funding allocation, including mainstream vouchers, for public housing agencies that
experience a significant increase in voucher per-unit costs due to extraordinary
circumstances or that, despite taking reasonable cost savings measures, would otherwise
be
Accordingly, HUD will use its discretion to prioritize the 2021 HAP set-aside or ARPA
funds for Shortfall Prevention and PUC Increases (referred to as Category 1 Prevention
of Terminations Due to Insufficient Funding (Shortfall) and Category 2a Unforeseen
Circumstances in this notice). Finally, the FMD will accept both Appendices under the
2021 HCV Funding Notice HAP set aside, Appendix F for Category 1 and Appendix G
for Category 2a) and the forthcoming ARPA Notice for these purposes, to ensure PHAs
donot haveto resubmit applicationsunderPUCIncreaseorShortfalls.
SET-ASIDECATEGORIESANDELIGIBILITYANDSUBMISSION
REQUIREMENTS:
A.Category 1 Prevention of Terminations Due to Insufficient Funding (Shortfall)
This category of HAP set-aside is for PHAs that, despite taking reasonable cost
savings measures as determined by the Secretary, would otherwise be required to
terminate participating families from the program due to insufficient funds, also
known as funding shortfalls. Note that there are two options related to shortfalls for
which PHAs may be eligible for funding under this category: the regular HCV
Programand/orMainstream Vouchers.
To be eligible forfunding under this category, the PHA mustmeet the criteria
outlined below andmust submit 2021 Appendix F PHA Application for
Category1,PreventionofTerminationsDueto InsufficientFunding(Shortfall)and
PHA Certification of Reasonable Cost Savings Measures Undertaken to Prevent
TerminationofHCVParticipants DuetoInsufficientFunds.
In addition to preventing terminations in the regular HCV Program due to insufficient
funding, this set-aside funding is also available to prevent terminations of Mainstream
Vouchers. A PHA administering Mainstream Vouchers may apply for and receive
shortfallfunds inaccordancewith therequirements described below.
In cases where the Mainstream PHA also administers regular HCVs, the shortfall
determination is program specific (e.g., in determining whether the PHA is in a
confirmed shortfall with respect to Mainstream Vouchers, only Mainstream
Voucherfundingistakenintoconsideration,nottheregularHCVfunding).
A PHA that is experiencing a shortfall in the regular HCV Program and Mainstream
Vouchers must indicate the application is covering a request for funds for both
Mainstream and regular HCVs by checking both boxes on Appendix F Set-aside
funding awarded to the PHA is specific to either the Mainstream Vouchers or regular
HCVs and may not be used interchangeably by the PHA. For example, shortfall
funding awarded for Mainstream Vouchers may not be used for regular HCVs. HUD
willindicatethespecific amountandthetypeofvoucherthe fundingisdesignatedfor
intheaward letter.
EXHIBIT 2
19
Note: In determining a shortfall for HCV and/or Mainstream Vouchers and the
amount of funding to be provided, HUD will use the HCV Two-Year Projection
Tool. PHAs should refer to Appendix E of the notice, which provides the criteria
HUD will use to determine if the PHA has a HUD-confirmed shortfall and the
-Year Forecasting Tool and the
instructions for it can be found through a link on theOffice of Housing Vouchers
website.
Depending on the number of applications and amount of total eligibility, HUD
reserves the right to prioritize awards for the Prevention of Terminations Due to
Insufficient Funding (Shortfall) category and may need to prorate eligibility for other
categoriesoftheset-aside.
Inegregious situations, for PHAsnot followingHUD Shortfall Prevention
Team(SPT)guidanceonvoucherreissuance,HUDreservestherighttofurther
requireaPHAtorescindrecentlyissuedvoucherstoattainfullset-aside
eligibility.
PHAs with specific questions related to the calculation and determination of a HUD-
confirmed shortfall should contact the SPT at: 2021ShortfallInquiries@hud.gov.The
subjectlineoftheemailmustincludethenumber(for example,TX001).
PHAs applying for shortfall funding must send their application to
2021Shortfallapplications@hud.gov.The subject line of the email must include the
Application -HCV) and indicate if the application is for the regular HCV Program
and/orMainstream Vouchers orboth.
SUBMISSION:AppendixFasapplicable.
DEADLINE:The application period will remain open. PHAs may apply at any
time during the application period. PHAs that receive set-aside funds based on their
current HAP costs may find additional funding is needed later in the year; however,
theydonotneedtoreapplytoreceive additionalfunding.TheSPTwillautomatically
d
additional funding in accordance with its established set-aside funding priorities and
available funding. PHAs that have concerns about potential shortfalls should be in
contactwith the HUD field office or SPT, regardless of whether they are currently in
ashortfall situation.
B.Category 2a -Unforeseen Circumstances: PHAs should be aware that an unforeseen
circumstance is an occurrence within or after the re-benchmarking period which the PHA
adjustments for this category are based on cost increases occurring in CY 2021.
MainstreamVouchersareeligibleto applyforthiscategoryofset-aside funding.
EXHIBIT 2
20
i.PHA Eligibility. The 2021 Act provides that the cost increase must be significant,
as defined by the Secretary, for the PHA to be eligible for the unforeseen
-aide. HUD is establishing the
followingcriteria forsignificantcost increase:
Thelatestvalidated2021PUCperVMS mustbe102percentorgreater
(theCY2021 Renewal PUC)to beeligibleforfunding.
ii.Funding Award Calculations for PHAs. For PHAs (both Non-MTW and
MTW),thefundingaward amountwill becalculated asfollows:
a.
CY 2021 HAP renewal PUC. The increased PUC is calculated by dividing
HAP costs by unit months leased (UMLs) for the most recent month of total
HAP based on the most recent month provided by the PHA as part of the
HCV renewal Enclosure A, line 28, described as CY 2021 Inflated Per Unit
Cost.
amounton the
b.
and then by the remaining months in 2021 to determine the total funding
amount.
In the absence of PUC and UML data provided by the PHA, HUD will use the
mostrecentvalidatedVMS data availableto calculatePHAeligibility.
PHAExample:UnforeseenCircumstancesHAPSet-asideAward
In the absence of the PHA
providing the most recent
Most Recent Month's PUC
month'sPUC, HUDwilluse the
provided by the PHA (in this
most recent validated month of
1example,$500
VMSreporting
MTW renewal enclosures have a
CY2021PUC(2021HCV
different format. PUC
RenewalEnclosureA,line28for
informationcanbe foundbythe
Non-MTW,describedasCY2021
2$405proratedeligibilityamount.
InflatedPerUnitCost)
3DifferencebetweenthePUCs$95
Is the difference between to the 2
PUCs 2% or greater than the CY
2021PUC(Line1dividedbyLine
42,mustbegreaterthan1.02)?23%
In the absence of the PHA
providing the most recent
month's UML, HUD will use
themost recentvalidatedmonth
ofVMSreporting
5MostRecentMonth'sUnitsleased300
EXHIBIT 2
21
Unit months leased (Line 5 * 6Multiplied by the number of
61,800
Months)month'sremaininginCY2021.
7TotalRequest(Line3*Line6)$171,000
criteria for application review due to significant increased costs. The PHA is
eligible for $171,000. The next step is to ascertain if this is a Priority Application
-
RegularApplicationtodeterminewhenthefundingwill bemadeavailable.
iii.Priority Status. If
expenses,the PHAapplicationqualifiesforprioritystatus.Forthisexercise,
HUD determines the amount of PHA HAP reserve
reconciled December 31, 2020 HAP reserve balance and adjusting it to account
for the validated CY 2021 VMS data for HAP expenses and the budget authority
disbursed to the PHA for the same period. HUD will then take the most recent
validated month of expenses from VMS or the expense data provided by the PHA
(if it was included within their application) and adjust it by adding a 2 percent
margin to calculate adjusted HAP expenses. The adjusted reserve balance is
divided by the adjusted HAPexpenses to determine if the PHA reserve balance is
lessthan theequivalentoftwo (2)months of HAPexpenses.
HUD will fully fund the priority applications before considering applications that
do not qualify as priority applications. If funding is insufficient to fully fund the
priority applications, HUD will prorate the funding awards for the priority
applications and will not fund non-priority applications. If there is funding
remaining after the priority applications have been fully funded, HUD will prorate
the funding for the non-priority applications if the remaining funding is
insufficientto fully fund thoseapplications.
withfour(4)months ormoreofreserveswill notbeconsideredforany
fundingunderthis category at this time.
SUBMISSION:To be eligible for funding under this category, a PHA must
submitthefollowing:
a.Completed Appendix G Application for $110 Million Set-Aside for Category
2aUnforeseenCircumstancestoincludePUCinformationwiththe
providedtables.
b.If the PHA is applying for a PUC increase related to an unforeseen
circumstance other than COVID-19, the PHA must also include a written
narrative describing the unforeseen circumstances that significantly increased
renewal costs in CY 2021. This narrative is not required if the unforeseen
circumstanceis related toCOVID-19.
For applications under the unforeseen circumstances Category 2a, it is important to
notethatPHAsmustsubmit allitems(a.andb.)abovebytheapplicationdeadlinefor
EXHIBIT 2
22
the application to be considered. Failure to provide any of the required documents
and informationwill resultin denial oftheapplication.
2021.
B.Category2b -Portability:Tobeeligibleforfundingunderthiscategory,thePHAmust
have experienced a significant increase in renewal costs due to portability for tenant-
basedrental assistanceunderSection8(r)oftheAct.
The 2021 Act provides that the set-aside is also available to assist PHAs that have
experienced a significant increase in Mainstream renewal costs due to portability. A
PHA may apply for and receive set-aside funds for Mainstream Vouchers under this
portabilitycategory.
In cases where the Mainstream PHA also administers the regular HCVs, the increased
cost due to portability determination is voucher funding specific (e.g., for Mainstream
Vouchers, HUD will consider only Mainstream Voucher portability costs and
A PHA that is experiencing increased renewal costs due to portability for both the
regular HCVs and their Mainstream Vouchers must check off both types on their
applicationattachment.
Set-asidefundingawardedtothePHAisvoucherspecificandmaynotbeused
interchangeably by the PHA. For example, HAP set-aside portability funding
awardedforMainstreamVouchersmaynotbeusedfortheirregularHCVs.
To determine eligibility and calculate funding under this category for regular HCVs,
HUD will compare the average HAP Per Unit Cost (PUC) for the re-benchmarking
period(January1,2020toDecember31,2020)to theaveragePort-outVouchersHAP
PUC based on year-to-date reporting in PIC (as of April 1, 2021). If the portability
average HAP exceeds 110% of the HCV Program-wide average HAP PUC for the re-
benchmarking period, the PHA will be eligible for set-aside funding. The difference
between the portability average PUC and 110% of the program-wide average PUC is
multiplied by the year-to-
reported in PIC, extrapolated to12 months.
To determine eligibility and calculate funding under this category for Mainstream
Vouchers, HUD will follow the same process, only all the PUCs and UMLs used will
beforMainstream Vouchers insteadoftheregularHCVs.
SUBMISSION: HUD calculates eligibility under this category, therefore, no
additional documentation will be required or accepted other than Appendix H, which
mustbecompleted, signed andsubmitted by thedeadlinedate.
2021.
EXHIBIT 2
23
C.Category 3 -PBVs: To be eligible for funding under this category, a PHA must show that
vouchers were withheld from use during the CY 2020 re-benchmarking periodto be
available to meet a commitment for PBV assistance under Section 8(o)(13) of the Act.
Adjustments only apply to vouchers withheld pursuant to a PBV Agreement to Enter into
a Housing Assistance Payments Contract (AHAP) for newly constructed or rehabilitated
housing. Adjustments do not apply to existing housing, as there is no waiting period for
existing housing PBV commitments and accordingly, there is no need to withhold
vouchers for such commitments. Adjustments will not be made under any circumstances
forunitsunderanAHAPcommitmentthat,whenaddedtounitsunderleaseforCY2020,
been able to lease those withheld vouchers during CY 2021 due to the restriction on over-
leasing.)
MainstreamVouchersarenoteligibleforset-asidefundsunder category3-PBVs.
The 2021 Act provides that in addition to vouchers that were not in use during the
previous 12-month period in order to be available to meet a PBV commitment, an
previous calendar year for a MTW-eligible activity to develop affordable housing for an
agency added to the MTW demonstration under the expansion authority provided in
section239 of the Transportation, Housing and Urban Development, and Related
Agencies Appropriations Act, 2016 (division L of Public Law 114
because the first PHAs selected for the MTW expansion under the 2016 Act did not
formally join the MTW demonstration until CY 2021, no such MTW-eligible activity
funding obligation could have been made in CY 2020. Consequently, this expansion
MTW PHA adjustment will not factor into the FY 2021 HAP renewal set-aside funding
award process. It is anticipated that this category will be available in CY 2022, subject to
appropriations.Additional informationwill beprovidedat alaterdate.
SUBMISSION:PHAsaretosubmitthedocumentsbelowasfollows:
1.AHAP:ForeachPBVcommitmentforwhicha requestisbeingmadeunderthis
category, the PHA must provide, fromPart 1 of the executed Agreement to
Enter into a HAP Contract (AHAP) for New Constructions/Rehabilitation,
thefollowing:
a.The page which identifies the parties to the AHAP (both the Housing
Authorityand theowner);
b.Identificationoftheproject;
c.Section1.1Awhichidentifiestheeffectivedateof theagreement;
d.Section1.1Bwhichidentifiesthedateofthecommencementofthe work;
e.Section1.1Cwhichidentifiesthetimeforcompletionofthework;
f.Exhibit C which identifies the units by size and applicable initial contract
rentsfortheunits to beproject-based;
g.If the project is to be completed in stages: Exhibit E that identifies the
schedule of completion of stages (if applicable). (This exhibitshall identify
theunits in each stage.);and
EXHIBIT 2
24
h.SignaturepagethatprovidesthesignatureofboththeHousingAuthorityand
theownerandthedates theAHAPwas signed.
2.HAP Contract: To be eligible for set-aside funding, the HAP contract must be
executed within CY 2021. If the HAP Contract has not been executed by the
application submission date, the PHA must state when the HAP contract will be
executed. If the HAP contract has been executed by the application
submission date, the PHA must provide, fromPART 1 of the HAP Contract
forNewConstructionsorRehabilitation,thefollowing:
a.The page which identifies the parties to the HAP Contract (both the Housing
Authorityand theowner);
b.ExhibitAwhichidentifiesthetotalnumberofunitsintheproject coveredby
the HAP Contract; the initial Contract Rent to owner, and the number and
descriptionofthecontract units;
c.If the project is to be completed in stages: in addition to item b. described in
phasecovered by theHAP Contract;
d.Exhibit B which identifies the services, maintenance and utilities to be
providedby theowner;
e.ExhibitCwhichidentifiestheutilitiesavailableinthecontractunit,including
a listing of utility services to be paid by the owner (without charges in
additionto therent toowner)and utilitiesto bepaid by thetenant;
f.Section2awhichidentifiestheinitialtermofthecontract;and
g.Signature page which provides the signature of both the Housing
Authorityandtheowner andthedatestheHAPwassigned.
3.CompletedandsignedAppendixI,PBVData(foreachproject-based
commitment).
2021.
E.Category 4 -HUD-VASH: For PHAs administering HUD-VASH vouchers that can
demonstrateaneedforadjustmentfundingforatleastoneofthefollowingsituations:
1.PUC Increase: For PHAs whose program-wide funded CY 2021 HAP PUC is
less than their current HUD-VASH HAP PUC, based on their latest HUD-
VASH HAP expenses in CY 2021. HUD will calculate eligibility under this
category. Eligibility is determined by comparing the highest HUD-VASH PUC
for CY 2021 to the program-wide funded prorated HAP PUC, then multiplying
thedifferencebetween thePUCs by thefundedUMLs.
2.Leasing Increase: For PHAs whose total HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their renewal funding, plus the leasing that
will be supported by the RNP and HUD-Held Program Reserves, HUD will
calculateeligibilityunderthiscategory.Eligibilityisdeterminedbyadding
EXHIBIT 2
25
UMLs for all the CY 2021validated VMS data available to a projection for the
remainder of the CY and comparing that total to the initial funded HUD-
VASH UMLs (limited to 100% of the PHAs UMAs), then multiplied by the
CY2021 PUC.
SUBMISSION: No additional documentation will be required or accepted other
thana completedand signed AppendixH.
2021oruntil funding isdepleted.
F.Category 5 Lower-than-average Leasing: To be eligible for funding under this
category, the PHA must be leasing a lower-than-average percentageof their
authorized vouchers, have low amounts of budget authority in their net restricted
assetaccountsandHUD-heldprogrammaticreserves,relativetootheragenciesand
arenot participating in theMTWdemonstration.
Eligibility for this category of set-aside funding will be determined using December
31, 2020 leasing and reserves, by first separating PHAs by size, small (0 249 units),
medium (250 499 units) and large (500 or more units). Second, determining the
average leasing as well as average reserves based on PHA size. Next, the eligibility
th
will be limited to PHAs that are below both the 25percentile of average leasing and
th
below the 25percentile of median reserves based on PHA size. Regardless of PHA
si
units.
PHAs must lease additional vouchers with this award. If PHAs need assistance
withthenumberofvouchersforreissuance,theymaycontacttheirlocalFieldoffice
representative. The field will be able to assist with developing a leasing plan to
maximize the use of this award. PHAs receiving awards under the Lower-than-
average Leasing category that also experience a Shortfall in CY 2021, please see the
list ofexceptions provided in Appendix F.
Note: The link that accompanies this notice provides a list of PHAs that are eligible
toapply forthis categoryofset-asidefunding.
TheawardamountwillbedeterminedbyofPHAneed.
SUBMISSION: To be eligible for funding under this category, a PHA must submit
thefollowing:
a.SignedAppendixHApplicationfor$110MillionSet-AsideforCategory 5
Lower-than-AverageLeasing;
b.A written narrative that describes leasing need. This narrative will include the
following:
1.The amount of inventory of units in their jurisdiction, with the source
ofthis information identified;
2.Thetotalnumberoffamiliesontheirwaitinglist;and
EXHIBIT 2
26
3.Assertion that the PHA has the administrative capacity to issue the
vouchersand get thefamilies intotheunits.
2021.
NOTE: PHAs that apply for Category 5 set-aside funding may come in for
that do not have the required administrative capacity nor the administrative reserves
necessary to get these vouchers leased. Please refer to the following sectionfor
detailsonhow toapply:Section7.FundingforAdministrative Costs,B.Special
Fees, 5. Special Fees Needed for Administration of Section 8 Tenant-Based Rental
Assistance Program, D. Category 4Application for Other Special Fee Under The
SecretaDiscretion.
G.Category 6 Disaster: To be eligible for funding under this category, the PHA must
have experienced increased costs or loss of units in an area for which the President
declared a disaster under title IV of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. 5170 et seq.) in CY 2020 or CY 2021, except
for the COVID-19 declaration. The funding provided through this category will
addresstheimpact disasters havehad on CY2021expenses.
1.Loss of Units Due to Disaster. This adjustment is provided to assist the PHA in
authorizedunits,tohelpaddresshousingneedsintheimpactedcommunity.HUD
willusethemostrecentlyreportedandvalidatedVMSdatatodetermine
the number of units currently under lease. HUD will use the higher of: (1) the
-
monthaverageforthemostrecentreportedandvalidatedVMSdatatodetermine
the PUC to calculate the funding adjustment. However, if the PHA requests and
s request for an increased PUC, the approved PUC will
be used to calculate the increased leasing adjustment, as well as to make the
increasedPUCadjustmentfortheHCVProgramasawhole.
SUBMISSION: To be eligible for funding under the Loss of Units due to
Disastercategory, aPHAmust submitthefollowing:
a.Appendix J CY 2021 Housing Choice Voucher Program Request for
DisasterSet-aside;
b.Written narrative, detailing the impact of the disaster that has caused a loss of
PHAsjurisdiction,adescriptionofanyplansinthe jurisdictiontoincrease
-
base additional vouchers to increase the supply of units available to voucher
andifthewaiting listiscurrently open orclosed;
c.Evidencetosupportthenarrative;and
d.Thenumberofmonthsimpacted in CY2021 by theloss ofunits.
EXHIBIT 2
27
2.Increased Costs. The PHA may request an adjustment for a higher PUC. The
requested PUC must be higher than the higher of the most recent reported and
validated PUC in VMS or the most recent three-month average reported and
validated in VMS. The requested adjustment must be supported by
documentation that the PHA is required to include with their application. For
example, the PHA may provide data supporting the higher requested PUC by
providingPICdataforrecentnew admissionsand/orrecentmoversorotherdata
supportingits requestforafunding adjustment.
SUBMISSION: To be eligible for funding under this category, a PHA must
submitthefollowing:
a.AppendixJCY2021HousingChoiceVoucherProgramRequestforDisaster
Set-aside;
b.Written narrative detailing the impact the disaster had in causing the increased
costs,thePUC requested;
c.Evidence to support the narrative (how the requested PUC was determined);
and
d.Thenumberofunit monthsimpactedby theincreasedcosts.
For applications under the disaster category, category 6, it is important to note that
PHAs must submit all items (a. through e.) above by the application deadline for
the application to be considered. Failure to provide any of the required
documents, including the PHA calculation of the increased costs, will result in
denialoftheapplication.
2021 or until funding has been depleted. The Secretary reserves the right to
accept additional applications for this category of HAP Set-aside for
PresidentiallyDeclaredDisasters thatoccurafterOctober1,2021.
QuickReferenceand TimelineSheet forHAP Set-AsideFunds:
CategoryDeadlinePHAsmustsubmitAre Mainstream
VouchersEligible?
Yes
1.ShortfallFundsWillremainopen
2021Appendix F
Yes
2a. Unforeseen
05/14/2021
2021CompletedAppendix G
Circumstances
WrittennarrativedescribingtheU/Cincases
wheretheU/CisnotrelatedtoCOVID-19
2b.Portability05/14/2021Yes
2021Appendix H
No
2021Appendix H
3.PBV
05/14/2021
AppendixI for eachproject
EXHIBIT 2
28
AHAPForeachPBVproject:
Identification of the project;
fromPart1of theAHAP;
ThepagethatidentifiesthepartiestotheAHAP
(boththeHousingAuthorityandtheowner);
Section 1.1A which identifies the effective date of
theagreement;
Section 1.1B which identifies the date of the
commencementofthe work;
Section 1.1C which identifies the time for
completionofthe work;
Exhibit C which identifies the units by size and
applicable initial contract rents for the units to be
project-based;
If the project is to be completed in stages: Exhibit
E which identifies the schedule of completion of
stages (if applicable) (This exhibit shall identify
theunitsineachstage);and
Signature page which provides the signature of
both the Housing Authority and the owner and the
datesthe AHAP wassigned.
HAP Contract: Tobeeligibleforset-asidefunding,
the HAP contract must be executed within CY2021. If
the HAP Contract has not been executed by the
application submission date, the PHA must state when
the HAP contract will be executed. If the HAP
contracthas been executed by the application
submission date, the PHA must provide, fromPART
1 of the HAP Contract for New Constructions or
Rehabilitation,the following;
The page which identifies the parties to the
HAP Contract (both the Housing Authority and
the owner);
Exhibit A which identifies the total number of
units in the project covered by the HAP Contract;
the initial Contract Rent to owner, and the number
and descriptionof the contractunits;
If the project is to be completed in stages: in
addition to item b. described in the above AHAP
section that states the requirement for the
also identify the units to be completed in each
phasecoveredby the HAPContract;
Exhibit B which identifies the services,
maintenance and utilities to be provided by
the owner;
Exhibit C which identifies the utilities available in
the contract unit, including a listing of utility
services to be paid by the owner (without charges
in addition to the rent to owner) and utilities to be
paid bythe tenant;
Section 2a which identifies the initial term of the
contract;and
Signaturepagewhich providesthe signature
ofboththeHousingAuthorityandtheowner
andthedatestheHAPwassigned.
EXHIBIT 2
29
CategoryDeadlinePHAsmust submitAre Mainstream
VouchersEligible?
Note:Failuretoprovidetherequireddocumentation
listedabovewillresultin denialoftheapplicationfor
fundsunderthiscategory.
4.HUD-VASH
10/1/2021No
AppendixHwith a. and/orb.marked.
a.Per Unit Cost Increase: For PHAs whose
program-wide funded CY 2021 HAP
PUC is less than their current HUD-
VASH HAP PUC based on their latest
HUD-VASH HAP expenses in CY 2021,
HUD will calculate eligibility under this
category. Therefore, no additional
documentation will be required or
accepted other than Appendix H, which
must be completed, signed and submitted
bythedeadlinedate.
and/or
b.Leasing Increase: For PHAs whose
HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their
renewalfunding,plustheleasingthatwill
be supported by the RNP and HUD-Held
Program Reserves, HUD will calculate
eligibility under this category. Therefore,
no additional documentation will be
requiredoracceptedotherthanAppendix
H, which must be completed, signed and
submittedbythedeadlinedate.
5. Lower-than-
05/14/2021No
Signed Appendix H Application for $110
Averageleasing
Million Set-Aside for Category 5 Lower-than-
AverageLeasing;
o A written narrative that describes
leasing
need. This narrative will include the
following:
Theamountofinventoryofunits
in their jurisdiction, to include
thesourceofthisinformation;
The total families on
theirwaitinglist;and
Assertion that the PHA has the
administrative capacity to get the
familiesintothe unit.
resultinarejectionoftheapplicationforLower-
than-Averageleasing.
EXHIBIT 2
30
Are Mainstream
CategoryDeadlinePHAsmust submit
VouchersEligible?
6.Disaster
10/1/2021
No
LossofUnitsCategoryofDisaster:Completed
Appendix J CY 2021 Housing Choice Voucher
ProgramRequestforDisasterSet-aside;
Written narrative, detailing the impact of the
disasterthathascausedalossofunits,the
assessment of the availability of rental housing
stock in the PHAs jurisdiction, a description of
any plans in the jurisdiction to increase the
availabilityofrentalstock,whichmayincludethe
plantoproject-baseadditionalvouchersto
increase the supply of units available to voucher
families, and the number of families currently on
theHCVwaitinglistandifthewaitinglist
iscurrentlyopenorclosed;
Evidencetosupportthenarrative;and
The number of months impacted in CY 2021
by the lossofunits.
Increased Costs Category of Disaster:
CompletedAppendixJCY2021HousingChoice
VoucherProgramRequestforDisasterSet-aside;
Written narrative detailing the impact the
disaster had in causing the increased costs, the
PUCrequested;
Evidencetosupportthenarrative(howthe
requestedPUCwasdetermined);and
The number of months impacted in CY 2021 by
thelossofunits.
Failuretoprovidetheitemsidentifiedabove,WILL
resultina rejectionoftheapplicationfor
Disaster.
14.FY2020HAPSet-AsideFundsPUCIncreasesduetoUnforeseenCircumstances
Round2:ELIGIBILITYANDSUBMISSIONREQUIREMENTS
A.Background. The Further Consolidated Appropriations Act, 2020 (P.L. 116-94,
to set-aside up to $100 million of the HAP renewal appropriations to make funding
newal funding allocations for certain specified reasons. One of
the eligible categories for set-aside HAP funding under the 2020 Act was an adjustment
for PHAs that experienced a significant increase, as determined by the Secretary, in
renewal costs of vouchers resulting from unforeseen circumstances or portability.PIH
Notice 2020-04,Implementation of the FFY 2020 Funding Provisions for the HCV
Program, issued March 31, 2020 provided details about the set-aside categories,
eligibility requirements and submission deadlines. The deadline to submit an application
for a funding adjustment for a significant increase in voucher costs resulting from
unforeseencircumstances(category2aunderPIH Notice2020-04)wasMay15,2020.
EXHIBIT 2
31
Increasedcostsattributabletoportabilitywereaddressedthroughaseparateapplication
andfunding process, 2b-Portability,underthePIHNotice-2020-04.
Approximately $60 million remains from the $100 million originally set aside by HUD
with the 2020 Act. Due to the unprecedented increase in voucher costs during CY 2020
and the continued impact of the COVID-19 pandemic, HUD has decided to provide a
second
2020 HAP costs may be eligible to apply for and receive funding from the CY 2020 set-
asidefunding underthissecond round.
This Second Round 2020 Unforeseen Circumstances funding is available to provide
adjustments for increased costs that the PHA experienced in CY 2020. PHAs that
experience increased costs in CY 2021 must apply for an adjustment for those increased
costsfromtheCY2021HAPset-aside(seesection13.B.,Category2a,above).Sincethis
funding is being awarded after the calendar year for which the funding adjustment is
beingmade,HUDisrevisingtheprocesssetforthforinPIHNotice2020-04forboththe
VMSforCY2020todeterminetheadjustmentnecessarytocovertheincreasedcosts.
B.Applications.PHAswillbeconsideredforSecondRound2020Unforeseen
Circumstancesfunding in oneoftwo ways:
8
(1)Unfunded CARES Act applications.In this instance, the PHA previously
submitted an eligible application for CARES Act supplemental HAP funding for
HCV PUC increases in accordance withPIH Notice 2020-17but the application was
not funded because there was insufficient CARES Act funding remaining to do so.
These PHAs will automatically be considered for Second Round 2020 Unforeseen
increased costs in CY 2020 must meet the increased cost threshold described below.
Additionally,thefundingawardissubjecttoalltherequirements,includingthe
fundingcalculationandprioritystatusdetermination,outlinedlaterinthissection.
Mainstream Vouchers are not eligible for adjustments under the 2020 set-aside.
Consequently,requestsforMainstreamVoucherPUCadjustmentsarenoteligiblefor
Second Round 2020 Unforeseen Circumstances funding, regardless of whether the
PHApreviouslysubmittedanunfundedCARESActapplicationunderPIHNotice
8
Congress appropriated $400 million in supplemental HAP funding in the Coronavirus Aid, Relief, and Economic
SecurityAct(CARESAct)(PublicLaw116-136),enactedonMarch27,2020.ThissupplementalHAPfundingwas
made available for PHAs that either (1) experience a significant increase in voucher PUC due to extraordinary
circumstances, or (2) despite taking reasonable cost saving measures, as determined by the Secretary, would otherwise be
requiredtoterminaterentalassistanceforfamiliesasaresultofinsufficientfunding.HUDissuedPIHNotice2020-17,
CARESActHousingChoiceVoucher(HCV)ProgramHousingAssistancePayments(HAP)SupplementalFunding,
onJuly30,2020,whichprovidedinformationonhowPHAscouldapplythatfunding.TheCARESActsupplemental
HAPfundinghasbeenawardedinaccordancewiththatnotice,however,HUDwasunabletofundalleligibleapplications
forincreasedPUCbecausetheneedexceededtheavailablefunding.
EXHIBIT 2
32
2020-17. PHAs that submitted a CARES Act application that covered both regular
HCV and Mainstream Vouchers will be considered for Second Round 2020
Unforeseen Circumstances funding but only with respect to the 2020 increased costs
fortheirregularvouchers.
(2)Appendix K application submitted by the PHA. All other PHAs may choose to
apply directly for Second Round 2020 Unforeseen Circumstances funding in
accordance with the application submission requirements listed below, with the
exception of PHAs wishing to apply for increased costs for Mainstream Vouchers.
MainstreamVouchersarenoteligibletoreceive2020 HAP set-asidefunds.
The PHA may apply for funding for its HAP cost increase in CY 2020 if the
unforeseen circumstance wasCOVID-19 or if the unforeseen circumstance
wasunrelated to COVID-19.
Applicationsubmissionrequirements.ThePHAmustsubmit:
A completed and signed Appendix K, Second Round CY 2020 HAP Set-Aside
Remaining $60 Million for Category 2aUnforeseen Circumstances, which is
attachedto this notice.
If the PHA is applying for a PUC increase related to an unforeseen circumstance
other than COVID-19, the PHA must also include a written narrative describing
the unforeseen circumstances that significantly increased renewal costs in CY
2020.ThisnarrativeisnotrequirediftheunforeseencircumstanceisCOVID-19.
DEADLINE:Nolater than5p.m.,perthetimezone,Friday,May14,2021.
HOW TO SUBMIT REQUESTS -PHAs must submit requests via electronic mail
(email) with the signed Appendix K along with all required documentation (if
applicable)to:2020COVIDHCV@hud.gov.
The subject line of the email must include the following: PHA Number, CY 2020
Set-AsideApplicationSecondRound(e.g.,TX001,CY2020Set-AsideApplication
Second Round).
C.IncreasedCostThreshold.The 2020Actprovidesthatthecostincreasemustbe
significant,asdeterminedbytheSecretary,forthe PHAtobeeligibleforset-aside
fundingduetounforeseencircumstances.FortheSecondRound2020Unforeseen
Circumstancesfunding,HUDisestablishingthefollowingcriteriaforthecostincrease
to besignificant:
UMLs reported and validated in VMS) must be 102 percent or greater than the PUC
RenewalPUC)to beeligibleforfunding.
EXHIBIT 2
33
D.FundingAwardCalculationsforPHAs.Thefundingawardamountwillbecalculated
asfollows:
CY2020 HAP renewal PUC.
TheActual2020PUCiscalculatedbydividingthetotalCY2020
HAPcosts by total CY2020 UMLs.
renewalEnclosureAonline29,whereitisdescribedastheCY2020
InflatedPUC.
fundingamount.
If the PHA was previously awarded funding under either the CY 2020-Unforeseen
Circumstances category or the CARES Act HAP Supplemental Funding for PUC
Increases,thepreliminaryfundingamountwillbereducedbytheamountoftheprevious
fundingaward(s)to determinethefundingeligibility.
ExampleFundingEligibilityCalculation
1Actual2020PUC$800
2CY2020 PUC(2020HCV$705
RenewalEnclosureA, line29,
described as CY 2020 Inflated Per
Unit Cost)
3DifferencebetweenthePUCs$95
4Is the difference between to the twoYes
13.4%
PUCs 2% or greater than the CY
(800/705=1.134)
2020PUC(Line1dividedbyLine2,
mustbegreaterthan1.02)?
5CY2020UnitMonthsLeased4800
6EligibleFunding(Line3*Line5)$456,000
7PreviouslyAwardedCARES$0
ActHAPSupplementalFunding
and 2020 Set-aside Round One
UnforeseenCircumstances
8Fundingeligibility(Line7Line8)$456,000
E.Priority Status
12/31/2020 HAP reserve balance. HUD will then divide the total validated 2020 HAP
expenses from VMS by 12 to determine the CY 2020 average monthly HAP expenses. If
thatamountmultipliedby2exceedsthe2020HAPreservebalance,thePHAapplication
qualifiesforPriority Status.
EXHIBIT 2
34
HUD will fully fund the priority applications before considering applications that do not
qualify as priority applications. If funding is insufficient to fully fund the priority
applications, HUD will prorate the funding awards for the priority applications and will
not fund non-priority applications. If there is funding remaining after the priority
applications have been fully funded, HUD will prorate the funding for the non-priority
applicationsiftheremainingfundingisinsufficienttofullyfundthoseapplications.
15.Moving To Work Agencies
determined pursuant to their Standard MTW Agreements and appropriations requirements.
HUD is directed by the 2021 Act to apply the same proration factor to the HCV HAP renewal
allocations and administrative fee eligibility for MTW agencies as is applied to all other PHAs.
All MTW agencies may utilize their funds in accordance with their Standard MTW Agreements
ortheMTWOperationsNotice.
16.ExcludedPrograms.Theprovisionsimplementedbythisnoticedonotapplytorenewal
fundingfortheModerateRehabilitationProgramorSingleRoomOccupancy(SRO).
17.HCV Financial Management. HUD is focused on ensuring that PHAs appropriately
manage their HCV Programs within the funding provided for the CY and existing Restricted Net
Position (RNP) and HUD-Held Program Reserves. PHAs are encouraged to use the Two-Year
ForecastingTool to assist them in theirbudgeting and leasing plans.
18.HAP Disbursements and Frontloading. PHAs receive monthly disbursements from their
budgetaryallocationsinaccordancewiththecashmanagementprocedures inPIHNotice2017-
06.PHAs may request a frontload when monthly disbursements and available RNP and HUD-
held reserves will not cover expenses for the month. PHAs may request a frontload via the two-
year tool or by submitting a request to the FMC FA. PHAs will be required to provide HAP
expenses not yet reported in VMS and actual HAP expenses for the period requested. The
frontload will be limited to the amount necessary to cover the actual HAP expenses. PHAs in
need of a frontload during the year and have excess SPV funding available in their RNP, will be
provided with a frontload that does not consider their available SPV funds as SPV funds may
only be used for their intended purposes. PHAs must remember that frontloading early in the
CYaffects theamounts availablein latermonths in theCY.
19.UseofHAPandHAPRNP/HUD-HeldProgramReserves.PHAsareremindedthatfunds
in the HAP RNP account and HUD-Held Program Reserves shall only be used for eligible HAP
needs in the current CY. CACC requires PHAs to use HAP funding to cover housing assistance
payments. HAP and/or PHA reserves (HAP RNP and HUD-held reserves) shall not under any
circumstances be used for any other purpose, such as to cover administrative expenses or be
loaned, advanced, or transferred (referred to as operating transfers due to/due from) to other
component units or other programs such as the Low-Rent (Public Housing) program. Use of
HAPforanypurposeotherthaneligibleHAPneedsisaviolationoflaw,andsuchillegalusesor
transfers may result in sanctions and possible declaration of breach of the ACC. Current year
fundingmaynotbeusedforprioryearcosts,includingbyMTWagencies.
IninstanceswhereaPHAisfoundtohavemisappropriatedHAPand/orHAPRNP/HUD-held
reservefundsbyusingthefundsforanypurposeotherthanvalidHAPexpensesforunitsupto
thebaseline,HUDrequirestheimmediatereturnofthefundstotheHAPorHAPRNP/HUD-
EXHIBIT 2
35
held reserves account. HUD may take action, including suspension and debarment, against a
PHA or any party that has used HAP funds and/or the HAP RNP/HUD-held reserves account
fornon-HAP purposes.
20.UsesofAdministrativeFees.ForproperusesandreportingofAdministrativeFeesand
-17:Use and Reporting of Administrative Fee
Reserves.
21.VMS/FASSReportingandDataIntegrity.PHAsmustcontinuetosubmitrequired
financialdocumentsincluding,butnotlimitedto,monthlyVMSandannualFASSelectronic
submissions.PHAsthatdonotsubmittherequireddatabythereportingdeadlinemaybe
sanctionedasprovidedby24CFR982.152(d),andinaccordancewiththeproceduresoutlined
inPIHNotice2021-08oranysuccessornotice.PHAsthatfailtomeetthesubmission
requirementsmaybesubjecttoadministrativeactions,includingbutnotlimitedto,an
impositionofapenaltyagainstthemonthlyadministrativefeesuntilthePHAcomplies
withtheserequirements.ThispenaltyrepresentsapermanentreductionforthecurrentCYthat
shallnotbereversed.
22.Prohibition on Over-leasing. The 2021 Act prohibits the use of appropriated HAP funds
by any PHA, except for PHAs in the MTW demonstration, to lease units above their CACC
baseline units during any CY, even if the PHA has sufficient budget authority (BA) and/or
RNP to support the additional units. If a PHA engages in over-leasing, it must identify other
eligible sources to pay for the over-leasing, and the PHA must take immediate steps to
eliminate any current over-leasing. Renewal funding allocations will not include over-leased
units. Renewal funding eligibility will be reduced based on the number of over-leased unit
months and the average PUC during the re-benchmark period. PHAs must still report all over-
leasinginVMSandmust alsoreport$0 HAPsin theappropriatecategoriesinVMS.
23.Use of Outside Sources of Funds. HUD issuedPIH Notice 2013-28,Guidance on the Use
of Outside Sources of Funds in the HCV Program. HUD recommends that all PHAs carefully
reviewtheinformation contained in thenotice.
24.Paperwork Reduction Act. The additional information collection requirements contained
in this document are approved by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The OMB control number is 2577-
0169.InaccordancewiththePaperworkReductionAct,HUDmaynotconductorsponsor,
and a person is not required to respond to, a collection of information unless the collection
displaysacurrently valid OMBcontrol number.
EXHIBIT 2
36
25.FurtherInformation.AnyquestionsconcerningthisNoticeshouldbedirectedtoHousing
VoucherFinancialManagementDivision,Office ofPublicHousingandVoucherPrograms,at
(202)708-2934(thisisnotatoll-freenumber).
Personswithhearingorspeechimpairmentsmay accessthesenumbersviaTTYbycalling
thetoll-freeFederalInformation RelayServiceat (800)877-8339.
/s/
DominiqueBlom
GeneralDeputyAssistantSecretary
forPublicandIndianHousing
EXHIBIT 2
37
Appendix A
FurtherConsolidated AppropriationsAct, 2021(PublicLaw116-260)
Tenant-BasedRentalAssistanceOverallFundingandRenewals:
For activities and assistance for the provision of tenant-based rental assistance authorized under the
not otherwise provided for, $21,777,439,000, to remain available until expended, which shall be
available on October 1, 2020 (in addition to the $4,000,000,000 previously appropriated under this
heading that shall be available on October 1, 2020), and 5 $4,000,000,000, to remain available until
expended, which shall be available on October 1, 2021: Provided, That the amounts made available
under this headingare provided as follows: (1) $23,080,000,000 shall be available for renewals of
expiring section 8 tenant-based annual contributions contracts (including renewals of enhanced
vouchers under any provision of law authorizing such assistance under section 8(t) of the Act) 14 and
including renewal of other special purpose incremental vouchers: Provided, That notwithstanding any
other provision of law, from amounts provided under this paragraph and any carryover, the Secretary
forthe calendaryear2021 fundingcycleshallproviderenewalfundingfor eachpublichousing
agency based on validated voucher management system (VMS) leasing and cost data for the prior
calendar year and by applying an inflation factor as established by the Secretary, by notice published
intheFederalRegister,andbymakinganynecessaryadjustments forthecostsassociatedwiththe
first time renewal of vouchers under this paragraph including tenant protection and Choice
Neighborhoods vouchers: Provided further, That none of the funds provided under this paragraph may
authorized levelofunits under contract,exceptforpublichousing agencies participatinginthe
Moving to Work (MTW) demonstration, which are instead governed in accordance with the
requirements of the MTW demonstration program or their MTW agreements, if any: Provided further,
That the Secretary shall, to the extent necessary to stay within the amount specified under this
allocation otherwise established pursuant to this paragraph: Provided further, That except asprovided
in the following provisos, the entire amount specified under this paragraph (except as otherwise
modified under this paragraph) shall be obligated to the public housing agencies based on the
allocation and pro rata method described above, and theSecretary shall notify public housing agencies
of their annual budget by the latter of 60 days after enactment of this Act or March 1, 2021: Provided
further, That the Secretary may extend the notification period with the prior written approval of the
House and Senate Committees on Appropriations: Provided further, That public housing agencies
participating in the MTW demonstration shall be funded in accordance with the requirements of the
MTW demonstration program or their MTW agreements, if any, and shall be subject to the same pro
rata adjustments under the previous provisos: Provided further, That the Secretary may offset public
accounts, including HUD-held programmatic reserves (in accordance
with VMS data in calendar year 2020 that is verifiable and complete), as determined by the Secretary:
Provided further, That public housing agencies participating in the MTW demonstration shall also be
subject to the offset, as determined by the Secretary, excluding amounts subject to the single fund
funding allocation: Provided further, That the Secretary shall use any offset referred to in the previous
two provisos throughout thecalendar yearto preventtheterminationof rentalassistanceforfamilies
as the result of insufficient funding, as determined by the Secretary, and to avoid or reduce the
proration of renewal funding allocations: Provided further, That up to $110,000,000 shall be available
only:(1) for adjustmentsin the
EXHIBIT 2
38
allocationsforpublichousingagencies,afterapplicationforanadjustmentbyapublichousing
agency that experienced a significant increase, as determined by the Secretary, in renewal costs of
vouchers (including Mainstream vouchers) resulting from unforeseen circumstances or from
portability under section 8(r) of the Act; (2) for vouchers that were not in use during the previous 12-
month period in order to be available to meet a commitment pursuant to section 8(o)(13) of the Act, or
an adjustment for a funding obligation not yet expended in the previous calendar year for a MTW-
eligible activity to develop affordable housing for an agency added to the MTW demonstration under
the expansion authority provided in section 239 of the Transportation, Housing and Urban
Development,andRelatedAgenciesAppropriationsAct,2016(divisionL ofPublicLaw114113);
(3) for adjustments for costs associated with HUDVeterans Affairs Supportive Housing (HUD
VASH) vouchers; (4) for public housing agencies that despite taking reasonable cost savings
measures, as determined by the Secretary, would otherwise be required to terminate rental assistance
for families, including Mainstream families, as a result of insufficient funding; (5) for adjustments in
the allocations for public housing agencies that (i) are leasing a lower-than average percentage of their
authorized vouchers, (ii) have low amounts of budget authority in their net restricted assets accounts
and HUD-held programmatic reserves, relative to other agencies, and (iii) are not participating in the
Moving to Work demonstration, to enable such agencies to lease more vouchers; and (6) for public
housing agencies that have experienced increased costs or loss of units in an area for which the
President declared a disaster under title IV of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5170 et seq.): Provided further, That the Secretary shall allocate amounts
underthepreviousproviso based onneed,asdeterminedby theSecretary;
TenantProtection:
$116,000,000 shall be for section 8 rental assistance for relocation and replacement of housing units
that are demolished or disposed of pursuant to section 18 of the Act, conversion of section 23 projects
to assistance under section 8, the family unification program under section 8(x) of the Act, relocation
of witnesses (including victims of violent crimes) in connection with efforts to combat crime in public
and assisted housing pursuant to a request from a law enforcement or prosecution agency, enhanced
vouchers under any provision of law authorizing such assistance under section 8(t) of the Act, Choice
Neighborhood vouchers, mandatory and voluntary conversions, and tenant protection assistance
including replacement and relocation assistance or for project-based assistance to prevent the
displacement of unassisted elderly tenants currently residing in section 202 properties financed
between 1959 and 1974 that are refinanced pursuant to Public Law 106569, as amended, or under the
authority as provided under this Act: Provided, That when a public housing development is submitted
for demolition or disposition under section 18 of the Act, the Secretary may provide section 8 rental
assistance when the units pose an imminent health and safety risk to residents: Provided further, That
the Secretary may 23 provide section 8 rental assistance from amounts made available under this
paragraph for units assisted under a project-based subsid-Based
units pose an imminent health and safety risk to residents: Provided further, That to the extent that the
Secretary determines that such units are not feasible for continued rental assistance payments or
transfer of the subsidy contract associated with such units to another project or projects and owner or
owners, any remaining amounts associated with such units under such contract shall be recaptured and
used to reimburse amounts used under this paragraph for rental assistance under the previous proviso:
Providedfurther,Thatoftheamountsmadeavailableunderthisparagraph,atleast$5,000,000may
be available to provide tenant protection assistance, not otherwise provided under this paragraph, to
residents residing in low vacancy areas and who may have to pay rents greater than 30 percent of
household income, as the result of: (A) the maturity of a HUD-insured, HUD held or section 202 loan
that requires the permission of the Secretary prior to loan prepayment; (B) the expiration of a rental
assistance contract forwhich thetenantsarenot
EXHIBIT 2
39
eligibleforenhancedvoucherortenantprotectionassistanceunderexistinglaw;or(C)theexpiration
of affordability restrictions accompanying a mortgage or preservation program administered by the
Secretary:Providedfurther,Thatsuchtenantprotectionassistancemadeavailableundertheprevious
proviso may be provided under the authority of section 8(t) or section 8(o)(13) of the United States
HousingActof1937(42U.S.C.81437f(t)):Providedfurther,ThattheSecretaryshallissue
guidance to implement the previous provisos, including, but not limited to, requirements for defining
eligible at-risk households within 60 days of the enactment of this Act: Provided further, That any
tenant protection voucher made available from amounts under this paragraph shall not be reissued by
any public housing agency, except the replacement vouchers as defined by the Secretary by notice,
when the initial family that received any such voucher no longer receives such voucher, and the
authority for any public housing agency to issue any such voucher shall cease to exist: Provided
further, That the Secretary may only provide replacement vouchers for units that were occupied
within the previous 24 months that cease to be available as assisted housing, subject only to the
availabilityof funds;
AdministrativeFees:
$2,159,000,000 shall be for administrative and other expenses of public housing agencies in
administering the section 8 tenant-based rental assistance program, of which up to $30,000,000 shall
be available to the Secretary to allocate to public housing agencies that need additional funds to
administer their section 8 programs, including fees associated with section 8 tenant protection rental
assistance, the administration of disaster related vouchers, HUDVASH vouchers, and other special
purposeincrementalvouchers:Provided,Thatnolessthan$2,129,000,000oftheamountprovidedin
this paragraph shall be allocated to public housing agencies for the calendar year 2021 funding cycle
based on section 8(q) of the Act (and related Appropriation Act provisions) as in effect immediately
before the enactment of the Quality Housing and Work Responsibility Act of 1998 (Public Law 105
276):Providedfurther,Thatiftheamountsmadeavailableunderthisparagraphareinsufficienttopay
theamountsdeterminedunderthepreviousproviso,theSecretarymaydecreasetheamountsallocated
toagenciesbyauniformpercentageapplicabletoallagenciesreceivingfundingunderthisparagraph
or may, to the extent necessary to provide full payment of amounts determined under the previous
proviso, utilize unobligated balances, including recaptures and carryover, remaining from funds
appropriated to the Department of Housing and Urban Developmentunder this heading from prior
fiscal years, excluding special purpose vouchers, notwithstanding the purposes for which such
amounts were appropriated: Provided further, That all public housing agencies participating in the
MTWdemonstrationshallbefundedinaccordancewiththerequirementsoftheMTW
demonstration program or their MTW agreements, if any, and shall be subject to the same uniform
percentage decrease as under the previous proviso: Provided further, That amounts provided under
this paragraphshall be only for activities related to the provision of tenant-based rental assistance
authorizedunder section8, includingrelateddevelopmentactivities;
MainstreamVouchers:
$314,000,000 for the renewal of tenant based assistance contracts under section 811 of the Cranston-
Gonzalez National Affordable Housing Act (42 U.S.C. 8013), including necessary administrative
expenses: Provided, That administrative and other expenses ofpublic housing agencies in
administering the special purpose vouchers in this paragraph shall be funded under the same terms
and be subject to the same pro rata reduction as the percent decrease for administrative and other
expenses to public housing agencies under paragraph (3) of this heading: Provided further, That upon
turnover, section 811 special purpose vouchers funded under this heading in this or prior Acts, or
underanyotherheadinginpriorActs,shallbe providedtonon-elderlypersonswithdisabilities;
EXHIBIT 2
40
TribalHUD-VASHRenewals:
Oftheamountsprovidedunderparagraph(1)upto$5,000,000shallbeforrentalassistanceand
associatedadministrativefeesforTribalHUDVASHtoserveNativeAmericanveteransthatare
homelessorat-riskofhomelessnesslivingonornearareservationorotherIndianareas:Provided,
Thatsuchamountshallbemadeavailableforrenewalgrantstorecipientsthatreceivedassistance
underpriorActsundertheTribalHUDVASHprogram:Providedfurther,ThattheSecretaryshall
beauthorizedtospecifycriteriaforrenewalgrants,includingdataontheutilizationofassistance
reportedbygrantrecipients:Providedfurther,Thatsuchassistanceshallbeadministeredin
accordancewithprogramrequirementsundertheNativeAmericanHousingAssistanceandSelf-
DeterminationActof1996andmodeledaftertheHUDVASHprogram:Providedfurther,Thatthe
Secretaryshallbeauthorizedtowaive,orspecifyalternativerequirementsforanyprovisionofany
statuteorregulationthattheSecretaryadministersinconnectionwiththeuseoffundsmade
availableunderthisparagraph(exceptforrequirementsrelatedtofairhousing,nondiscrimination,
laborstandards,andtheenvironment),uponafindingbytheSecretarythatanysuchwaiversor
alternativerequirementsarenecessaryfortheeffectivedeliveryandadministrationofsuch
assistance:Providedfurther,ThatgrantrecipientsshallreporttotheSecretaryonutilizationofsuch
rentalassistanceandotherprogramdata,asprescribedbytheSecretary:Providedfurther,Thatthe
Secretarymayreallocate,asdeterminedbytheSecretary,amountsreturnedorrecapturedfrom
awardsundertheTribalHUDVASHprogramunderpriorActstoexistingrecipientsunderthe
TribalHUDVASHprogram;
HUD-VASHProgram:
$40,000,000 for incremental rental voucher assistance for use through a supported housing program
administered in conjunction with the Department of Veterans Affairs as authorized under section
8(o)(19) of the United States Housing Act of 1937: Provided, That the Secretary of Housing and
Urban Development shall make such funding available, notwithstanding section 203 (competition
provision) of 4this title, to public housing agencies that partner with eligible VA Medical Centers or
other entities as designated by the Secretary of the Department of Veterans Affairs, based on
geographical need for such assistance as identified by the Secretary of the Department of Veterans
Affairs, public housing agency administrative performance, and other factors as specified by the
Secretary of Housing and Urban Development in consultation with the Secretary of the Department
of Veterans Affairs: Provided further, That the Secretary of Housing and Urban Development may
waive, or specify alternative requirements for (in consultation with the Secretary of the Department
of Veterans Affairs), any provision of any statute or regulation that the Secretary of Housing and
Urban Development administers in connection with the use of funds made available under this
paragraph (except for requirements related to fair housing, nondiscrimination, labor standards, and
the environment), upon a finding by the Secretary that any such waivers or alternative requirements
are necessary for the effective delivery and administration of such voucher assistance: Provided
further, That assistance made available under this paragraph shall continue to remain available for
homelessveteransuponturn-over;
FamilyUnificationProgram:
$25,000,000shallbemadeavailableforthefamilyunificationprogramasauthorizedundersection
8(x) of the Act: Provided, That the amounts made available under this paragraph are provided as
follows: (A) $5,000,000 shall be for new incremental voucher assistance: Provided, That the
assistance made available under this subparagraph shall continue to remain available for family
unification upon turnover; and (B) $20,000,000 shall be for new incremental voucher assistance to
assisteligibleyouthasdefinedbysuchsection8(x)(2)(B):Provided,Thatassistancemadeavailable
EXHIBIT 2
41
under this subparagraph shall continue to remain available for such eligible youth upon turnover:
Provided further, That of the total amount made available under this subparagraph, up to $10,000,000
shall be available on a noncompetitive basis to public housing agencies that partner with public child
welfare agencies to identify such eligible youth, that request such assistance to timely assist such
eligibleyouth,andthatmeetanyothercriteriaasspecifiedbytheSecretary:Providedfurther,Thatthe
Secretary shall review utilization of the assistance made available under the previous proviso, at an
interval to be determined by the Secretary, and unutilized voucher assistance that is no longer needed
shallberecapturedbytheSecretaryandreallocatedpursuanttothepreviousproviso:Providedfurther,
ThatforanypublichousingagencyadministeringvoucherassistanceappropriatedinapriorActunder
the family unification program, or made available and competitively selected under this paragraph,
thatdeterminesthatitnolongerhasanidentifiedneedforsuchassistanceuponturnover,suchagency
shall notify the Secretary, and the Secretary shall recapture such assistance from the agency and
reallocate it to any other public housing agency or agencies based on need for voucher assistance in
connectionwithsuchspecifiedprogramoreligibleyouth,asapplicable;
HomelessVouchers-DomesticViolence:
$43,439,000 shall be for incremental rental voucher assistance under section 8(o) of the United States
Housing Act of 1937 for use by individuals and families who are homeless, as defined in section
103(a) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11302(a)), at risk of
homelessness,asdefinedinsection401(1)ofthe McKinney-VentoHomelessAssistance Act(42
U.S.C. 11360(1)), fleeing, or attempting to flee, domestic violence, dating violence, sexual assault, or
stalking,orveterans andfamiliesthatinclude aveteranfamilymemberthatmeetoneofthe
precedingcriteria:Provided,Thatassistancemadeavailableunderthisparagraphshallcontinueto
remainavailableforsucheligibleindividualsandfamiliesuponturnover:Providedfurther,Thatthe
Secretaryshallmakesuchfundingavailable,notwithstandingsection203ofthistitle(competition
provision)topublichousingagenciesthatpartnerwitheligiblecontinuumsofcareorotherentities
asdesignatedbytheSecretary,basedongeographicalneedofsuchassistance,publichousing
agencyadministrativeperformance,andotherfactorsasspecifiedbytheSecretary:Provided
further,ThattheSecretaryshallreviewutilizationoftheassistancemadeavailableunderthe
precedingproviso,atanintervaltobedeterminedbytheSecretary,andunutilizedvoucher
assistancethatisnolongerneededshallberecapturedbytheSecretaryandreallocatedpursuantto
theprecedingproviso:Providedfurther,That,theSecretaryshallgivepreferencetoapplicantsthat
demonstrateastrategytocoordinateassistancewithservicesavailableinthecommunity:Provided
further,Thatnoneofthefunds providedinthisparagraphmaybeusedtorequirepeople
experiencinghomelessnesstoreceivetreatmentorperformanyotherprerequisiteactivitiesasa
conditionforreceivingshelter,housingorotherservices:Providedfurther,ThattheSecretaryshall
issueguidancetoimplementtheprecedingproviso;and
TrackingofSpecialPurposeVouchers:
TheSecretaryshallseparatelytrackallspecialpurposevouchersfundedunderthisheading.
EXHIBIT 2
42
AppendixB
CY2021OffsetReallocation
HANumber:
HAName:
CY2020EndofYearReserves
PROTECTEDCATEGORIES
A.DifferencebetweenthePHA'sEligibilityandProratedEligibility
B.CY2021AmountsneededtofullyleaseVASHunits
UnfundedVASHUMAs(Capped)
VASHPUC
TotalUnfundedVASHUMAsProtected
C.Difference between higher of December 2020 UMLs x 12 or CY 2020 UMLs up to baseline on units
underCACC
DecemberUMLs(Capped)
InflatedPUC
TotalDecemberUMLsProtected
D.CY2020NewincrementalBA-1/2of Eligibility
E.CY2020SetAsideProtection-1/2ofEligibility
F.CARESActHAPAwardsprotection-TotalEligibility
G.PortionofCY2021RenewalEligibility(Basedon unitsunderCACC):
5&.611boebcpwfvojut
7&.361up!5::vojut
23&.Mfttuibo361vojut
H.PHAswith CY2020inflationfactorsthatwerehigherthantheCY2020nationalweightedaverage
inflator
Difference of CY 2020 Inflated Renewal Funding compared to CY 2021 Inflated Renewal funding
isprotected
I.Protect 1/2ofRAD1HAPforProjectsin their1stFullofYearofFundingduringCY2020
J.TotalFundsAvailableforOffset
K.OffsetAmount(TotalFundsAvailableforOffsetxdetermined%)
.ProratedEligibilityAfterOffset
PHA'sthatreceived2020ShortfallSet-Asidefundsareexemptfromthis offset.
thatreceived2020Lower-than-averageLeasingfundsareexemptfromthis offset.
EXHIBIT 2
43
AppendixC
CY2021HousingChoiceVoucherProgram
SpecialFees
Application for $30 Million Set-Aside for some Categories of Special Fees 1 HUD-VASH;
2FUP;3Disaster;and/or4
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECKALLBOXESTHATAPPLY
HUD-VASH
FUP
Disaster-Related
SpecialFeesUnderTheDiscretion
Documentation requirements and Deadlines for each of the above categories are contained
withinthedocumentthis pageis attached.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification:Iherebycertifythatallthe informationstatedherein,aswellasanyinformation
providedintheaccompanimentherewith,istrueandaccurate.Ialsocertifythatshouldfunding
beawardedunderanyoftheselectedspecialfeecategoriesperthispage,thatIwillkeepclear
andorganizedrecordsonhowallawardedthefundswerespentshouldHUDrequesttoreview
theoutcomesofthisfeefunding.Warning:Anyonewhoknowinglysubmitsafalseclaimor
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforup
to5years,fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31
U.S.C.§3729,3802).
SignatureofExecutiveDirectorand Date
ContactNameandPhoneNumber
EXHIBIT 2
44
ExampleBudgetJustificationAppendix D
TOTAL FY22 BUDGET
WITH PROPOSED
Proposed HUD-VASH
Budget FYE
EXTRA FEES
6/30/22 Extraordinary Fees
Description
RECEIPTS
AMIN FEE EARNED 1,028,855 52,749 1,081,604
INTEREST ON RESERVE 800 800
OTHER 10,000 10,000
TOTAL OP RECPTS 1,039,655 52,749 1,092,404
EXPENSE
ADMIN SALARIES 607,254 - 607,254
EMP BENEFITS 268,410 -
268,410
TEMP HUD-VASH
COORDINATOR 35,360 35,360
LEGAL 2,000 2,000
TRAINING 10,000 3,784 13,784
AUDIT & ACCOUNTING 5,000 5,000
PHONES/MOBILE PHONES 10,000 600 10,600
POSTAGE 8,000 1,147 9,147
OFFICE SUPPLIES & EQUIP. 12,000 1,033 13,033
PUB. & MEMBERSHIPS 3,500 - 3,500
FSS EXPENSES 10,200 - 10,200
-
PORTABILE ADMIN FEE 16,500 16,500
SUNDRY ADMIN 22,000 22,000
EXTRA HUD-VASH ACTIVITIES:
10,825 10,825
HUD-VASH DAY
3600
LANDLORD RECRUIT 2400
TRANSPORTATION 4825
INSURANCE 10,359 - 10,359
TOTAL ADMIN EXP 985,223 52,749 1,037,972
CONTRACTS 35,000 - -
TOTAL ORDINARY MAINT 35,000 - -
TOTAL OPERATING EXP 1,020,223 52,749 1,072,972
RESIDUAL RCPT/DEF 19,432 - 19,432
HSG ASSIST PYMTS 9,453,345
HSG FUNDS RECEIVED 9,453,345
RESTRICTED FUNDS -
Calculation of Admin Fees earned
@95% Lease Rate
Total # of HCV (PUM) 1,444 1,372 16,462
Col A
Rate Col B Rate
Proration Rate Admin Fee
Unit Months 7,200 9,262
CY 2021: $82.19 $76.72 79% $1,028,855
EXHIBIT 2
Appendix E
Calculation ofHUD-ConfirmedShortfallandShortfallAmount
The amount that a PHA will be eligible to receive from the $110,000,000 set-aside will be
-Year Forecasting Tool (see link) and the most
Two-Year Forecasting Tool can be found at theOffice of Housing Choice Vouchers
websitethat includes alink tothetwo-yeartool instruction page.
The two-year tool compares all resources available (including CARES Act HAP for PUC
2021projectedthrough theend oftheCYbasedupon thebest informationavailable.
Resources are calculated using the HUD-calculated RNP as of 12/31/2020, the HUD-held
r
2021, and any new voucher incremental funding applicable to CY 2021 or set-aside
amountsawarded orexpected to beawarded in2021.
HAP expenses are calculated based on current leasing and expense data, projected through
-aside
funds, adjusted for accuracy if the PHA has more recent information that will impact the
attrition rate in future months, as reported in PIC, and considering any updated information
suppliedby thePHA.
The requirement to suspend general voucher issuance is subject to the following
exclusions:
1.VouchersissuedtocurrentHCVparticipantstoallowthemtomove.
2.ThereissuanceofturnovervoucherslosttoattritiononlyduringtheperiodthePHA
is impacted by COVID 19; however, PHAs must not exceed the number of units
leased at the time of the SPT confirmed shortfall. This unit cap may only be
exceededbytheSPVslistedinitem4belowandvouchersreissuedfromtheLower-
than-averageLeasingaward.
In general, a PHA may reissue the turnover voucher to a family from the PHA
waiting list, except for eligible VASH turnovers where a referral is provided by
the Veterans Administration Medical Centers (VAMC), issue the voucher to a
family moving from a Project-Based Voucher (PBV) unit in accordance with 24
CFR983.261,orusethe vouchertoabsorbafamilyunderportability.However, a
PBV family that has the right to move in accordance with 24 CFR 983.261 and
wishesto do so has priority fortheturnovervoucher.
3.Instances in which the PHA is leasing under the HUD-VASH program up to
the baseline level of units under all HUD-VASH allocations (not just recent
allocations),including turnoverofHUD-VASHvouchers.
EXHIBIT 2
46
4.Vouchers issued to program applicants under special-purpose voucher increments
awarded in CY 2020 or CY 2021. These special-purpose vouchers (SPVs) include
Family Unification Program (FUP), Non-Elderly Disabled (NED), Foster the
Youth to Independence (FYI)Initiative, and Tenant Protection vouchers initially
awardedin 2020 and/or2021, toincludeSet-asidefunding.
5.Project-BasedVouchers(PBV)undertheRentalAssistanceDemonstration(RAD)
1,in theirfirst full yearoffunding through theHCVProgram.
6.PHAs may allow applicants to move into PBV units to allow the PHA to meet its
contractualobligationtofillPBVAHAPunitsbeingplacedunderHAPforthefirst
time,andPBVunitscurrentlyunderHAPthatarevacatedbyprogramparticipants.
7.
against a PHA. PHAs must request approval to continue leasing Litigation
Vouchers and submit supporting documentation. HUD will review and decide on
a case-by-case basis usingthe supporting documentation received as the basis for
thedecision.
8.Vouchers issued using funds awarded under the Lower-than-average Leasing HAP
Set-Asidecategory.
9.TheSecretaryreservestherighttoconsideradditionalexceptionsonacase-by-case
basis.
PHAs cannot issue vouchers and/or execute HAP contracts for families that do not meet
any of the exceptions through the end of CY 2021, or until advised in writing by the SPT
thatthey no longerhaveashortfall.
The application period for shortfall set-aside funding will remain open until SPT has
reconciled Shortfalls for all PHAs for CY 2021, subject to funding availability. PHAs that
receive set-aside funds based on their current HAP costs are encouraged to maintain
contact with the SPT to ensureall shortfall needs are met. Similarly, PHAs that do not
initially qualify for shortfall funding because they have suspended leasing and expect to
decrease leasing by attrition are also encouraged to maintain contact with the local Field
Office and theSPTiftheattrition failsto resolvetheirshortfall.
AllPHAsapplyingfortheshortfallset-asidemustbeworkingwithSPTatthetime
leasing and expense data to date, to determine whether the PHA has a shortfall and the
amount needed to resolve the shortfall. The PHA will continue to work with the SPT
throughouttheyeartomonitorthefinancialpositionandtoimplementcostsavings
measuresoutlinedinPIHNotice2011-28orasupersedingnoticepublishedbyHUDto
EXHIBIT 2
47
decrease the possibility of an increased shortfall. PHAs must adhere to the eligibility
requirementsdetailed inSection 13ofthisNoticeorasupersedingnotice.
Factors considered by the SPT to determine the amount of a potential shortfall will be
determinedas follows:
a.Cash Supported Total Reserves as of 12/31/2020: SPT will use the Cash
Supported Total Reserves as of 12/31/2020, which consists of the HUD-Held
Reserve, and the lower of HUD-Estimated RNP, PHA Reported RNP as of
12/31/2020, or the actual amount of cash on hand to support the RNP. If there is a
discrepancy with any of these amounts the PHA will be required to provide
documentationas requestedbeforethis adjustmentwill bemade.
b.CARES Act HAP awards for PUC increases:Unspent but available
untilDecember31, 2021.
c.HUD-held reserve as of 12/31/2020: SPT will use the balance reported to SPT by
FMC.
d.2021RenewalABA:ActualrenewalABAawardsforCY2021.
e.SPV and tenant protection funding and set-asides: FMC will provide amounts to
be made available to the PHA in CY 2021 for special-purpose voucher and tenant
protection funding increments applicable to any portion of CY 2021, and for any
set-aside funding previously awarded in CY 2021. If necessary, the SPT will make
adjustments to the shortfall set-aside award to ensure that new increment funding
for Mainstream, SPVs, Lower-than-average Leasing Set-aside,and/or TPVs
remains available to lease the newly awarded number of SPVs and/or TPVs, rather
thanbeing used to coverthegeneral shortfall.
f.Unit months leased: The unit months leased (UML) for CY 2021 will be projected
by taking the number of units reported in VMS in the last month available and
projecting that number through the end of the year. Reductions to projected leasing
willbemadetoadjustforattrition,inaccordancewiththeannualturnoverrateused
inthetwo-yeartool.ThisrateisderivedfromthePICdataonfamiliesendof
participation(EOP).Increasestoprojectedleasingwillbemadeforvouchersissued
prior to the date of the notification by the SPT of a potential shortfall and for
additional leasing resulting from the admission of families described in exception
categories 2 and 3 above families receiving new special-purpose vouchers, and
families moving into new or vacant PBV units. No adjustments will be made for
moverfamilieswhoreceivevouchersinaccordancewithcategory1above.
EXHIBIT 2
48
g.Total HAP expense: Total HAP expense for CY 2021 will be based on a
projectionoftheunitmonthsleasedforCY2021(describedineabove)attheper-
months, and the PHA again determines that it is in danger of a shortfall, an
additionalshortfall awardmay bemadewithout theneed toreapply.
h.Vouchers issued or projected to be issued: The number of vouchers issued as of
VMS report, will be used to determine future leasing, if any, from vouchers issued
prior to the date of notification by the SPT of a potential shortfall. PHAs can only
reissue turnover vouchers after receiving SPT notification of a potential
shortfall to maintain their leasing levels during the period theprogram is impacted
by COVID-19. Planned issuances for vouchers exempt from the suspension will be
shown in the months they will be issued. The projected HAP costs for these units
will be affected by the voucher success rate provided by the PHA and average time
from issuance of the voucher to the HAP effective date. HUD has the right to
suspendleasing altogetherifnecessary.
i.OtherPlannedAdditionsorReductionstoLeasedUnits:Thisfieldincorporates
into the leasing schedule other planned additions to leasing with fixed start dates,
such as the dates that PBV units currently under AHAP are scheduled to come
under HAP. The calculated HAP cost for these units is not subject to the success
ratecalculation.
j.2021Year-EndTotalHAPReserveBalance:AnyPHAwithanegative projected
2021 year-end balance will be considered a shortfall PHA. PHAs with year-end
balances of $0 or above will not be considered shortfall PHAs or eligible to receive
shortfallset-asidefunds.
k.Available UNP and Other Non-Federal Cash:In cases where the needed shortfall
amount is hard to determine due to factors like many potential voucher lease ups
still to occur, rapidly changing PUCs, unclear attrition rates, etc., the SPT will
consider the availability UNP or other non-federal cash that the PHA could use to
temporarily cover HAP payments and may reduce the shortfall award amount
accordingly. If the shortfall award does not fully meet the need, the PHA then has
UNP or othernon-federalfunds toensurealllandlords getpaid ontime, andthe
SPT can provide an additional shortfall award at the appropriate time to make the
HCV or Mainstream Vouchers whole, allowing the PHA to repay the UNP or other
non-
reduce the number of shortfall awards that are estimated and end up more than the
PHAactually needed.
EXHIBIT 2
49
Appendix F
CY2021HousingChoiceVoucherProgramApplicationforFundsfrom the$110MillionSet-Aside
PHAApplicationforCategory1,PreventionofTerminationsDuetoInsufficientFunding(Shortfall)
and PHA Certification of Reasonable Cost Savings Measures Undertaken to Prevent Termination of
HCV ParticipantsDue toInsufficientFunds.
NameofPHA:_PHANumber:
ExecutiveDirector:
The above referenced agency is applying for Shortfall Funds and has undertaken reasonable cost savings
measuresto prevent termination ofHCVParticipantsduetoinsufficientfunds.
PleasecheckRegularHCVProgram and/orMainstreamVouchersfortheprogram/vouchersimpactedbythe
Shortfall. The applicationmustbe signedby the appropriatePHA official.
ShortfallappliestotheRegularHCVProgram,and/or
ShortfallappliestoMainstreamVouchers
I,,herebycertifytothefollowing:
(1)At the time of application, the PHA is working with the HUD Shortfall Prevention Team (SPT)
and SPT has confirmed the PHA is in a shortfall position. (PHAs that are not currently working with
the SPT but believe they are in a shortfall position should immediately contact their HUD Field
Officeforassistance.)
(2)ThePHAhasceasedissuingvoucherstoapplicantsasofthedateofnotificationbytheSPTof
a potentialshortfall.Pleasenote thatthisrestriction doesnot applyto:
Vouchersissued tocurrentHCVparticipantstoallowthemtomove.
The reissuance of turnover vouchers lost to attrition only during the period the PHA is impacted
by COVID 19; however, PHAs may not exceed the number of units leased at the time of the SPT
th
confirmed shortfall. This unit cap may only be exceeded by the SPVs listed in the 4bullet point
within thislistand vouchersreissued fromtheLower-than-averageLeasing award.
In general, a PHA may reissue the turnover voucher to a family from the PHA waiting list, except
for eligible VASH turnovers where a referral is provided by the VAMC, issue the voucher to a
family moving from a PBV unit in accordance with 24 CFR 983.261, or use the voucher to absorb a
family under portability. However, a PBV family that has the right to move in accordance with 24
CFR983.261and wishesto doso haspriority fortheturnovervoucher.
Instances in which thePHA is leasing under the HUD-VASH program up to the baseline level of
units under all HUD-VASH allocations (not just recent allocations), including turnover of HUD-
VASHvouchers.
EXHIBIT 2
50
Vouchers issued to program applicants under special-purpose voucher increments awarded in CY
2020 or CY 2021. These SPVs include FUP, NED, FYI Initiative, and Tenant Protection vouchers
initially awardedin 2020and/or2021, toincludeSet-aside funding.
PBVs undertheRentalAssistanceDemonstration(RAD)1,intheirfirstfull yearoffundingthrough
theHCV Program.
PHAs may allow applicants moving into PBV units to allow the PHA to meet its contractual
obligation to fill PBV AHAP units being placed under HAP for the first time, and PBV units
currentlyunderHAP thatarevacatedbyprogramparticipants.
PHAs must request approval to continuing leasing Litigation Vouchers and submit supporting
documentation. HUD will review and decide on a case-by-case basis using the supporting
documentation receivedasthebasisfor the decision.
Vouchersreissued usingawardsunderLower-than-averageLeasingHAPSet-Asidecategory.
TheSecretaryreservestherighttoconsideradditionalexceptionsonacase-by-casebasis.
Certification: I hereby certify that all the information stated herein, as well as any information provided in the
accompaniment herewith, is true and accurate. Warning: Anyone who knowinglysubmits a false claim or
makes a false statement is subject to criminal and/or civil penalties, including confinement for up to 5 years,
fines,and civilandadministrativepenalties(18 U.S.C.§§287,1001,1010,1012;31 U.S.C.§3729, 3802).
Signature of Executive Director and Date
ContactNameandPhoneNumber
EXHIBIT 2
51
CY2021HousingChoiceVoucherProgramandMainstreamVouchersAppendix G
Applicationfor$110Million Set-AsideforCategory2aUnforeseenCircumstances
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECK ALL BOXES THAT APPLY in Sections 1 & 2. Complete the table(s) that applies to this
request. PHAs applying under both programs must ensure they complete each table with the data that
applies to that program. Ensure completion of the month of your request. Ensure that you check the
appropriatebox inSection 2ontheapplicable circumstancefortheapplication.
SECTION1:
Category2a:UnforeseenCircumstancesforMainstreamVouchers.
TotalHAP ExpensesandUMLsforthemonthof,2021
Most recent month of TotalUMLs for the most recentHAP Expenses divided by
HAPExpensesmonthofHAPExpensesUMLs= PUC
$$
Category2a:UnforeseenCircumstancesfortheHCVProgram.
TotalHAP ExpensesandUMLsforthemonthof,2021
Most recent month of TotalUMLs for the most recentHAP Expenses divided by
HAPExpensesmonthofHAPExpensesUMLs= PUC
$$
SECTION2:
UnforeseenCircumstanceisduetoCOVID-19;or,
Unforeseen Circumstance is due to a circumstance unrelated to COVID-19,
whichisdescribed withinattached narrative.
Documentation requirements and Deadlines for each of the above categories are contained in Section
13 ofthisnotice.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification:I,, hereby certify that the HCV Program and/or Mainstream Vouchers
experienced increased renewal costs in CY 2021 due to the unforeseen circumstances of COVID-19 or those
described intheattachednarrative,as applicable.
Iadditionallyherebycertifythatalltheinformationstatedherein,aswellasanyinformationprovidedinthe
accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforupto5years,
fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
ContactNameandPhoneNumber
EXHIBIT 2
52
AppendixH
CY2021HousingChoiceVoucherProgram
Application for $110 Million Set-Aside for Category 2b Portability; 3 Project-Based Vouchers; 4 -
HUD-VASH;and/or5Lower-than-average Leasing.
NameofPHA:
PHANumber:_________________________________________
ExecutiveDirector:
CHECKALLBOXES THATAPPLY
Category2b:Portability(Pleasealsochecka.and/orb.belowasapplicable):
a.RegularHCVProgram,and/or
b.MainstreamVouchers
Category3:Project-BasedVouchers.
Category4:HUD-VASH(Pleasealsocheck a.and/orb.below,asapplicable):a.PerUnit
Cost Increase: PHAs whose program-wide funded CY 2021 HAP PUC is less than their
current HUD-VASH HAP PUC based on their latest HUD-VASH HAP expenses in CY
2020,and/or
b. Leasing Increase: PHAs whose total HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their renewal funding plus the leasing that will be
supportedbytheRNPandHUD-HeldProgram Reserves.
Category5:Lower-than-averageLeasing.
DocumentationrequirementsandDeadlinesforeachoftheabovecategoriesarecontainedin
Paragraph13ofthisnotice.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification: I hereby certify that all the information stated herein, as well as any information provided in
the accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makes a false statement is subject to criminal and/or civil penalties, including confinement for up to 5 years,
fines,and civiland administrativepenalties(18U.S.C. §§287, 1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
ContactName and Phone Number
53
2
EXHIBIT
I
20
-
Dec
20
-
UNITS
Appendix
Nov
OF
#
20
-
DATE:
BEING
Oct
IS
20
-
DATE):
Sep
20
-
FUNDING
Aug
COMPLETION
Y/N
20
-
ASIDE
Jul
COMPLETION
-
RENT
20
-
SET
PROJECT
Jun
TO
PBV
20
-
HAP
UTILITIES INCLUDED IN GROSS
May
REHABILITATION:
NAME:
OF
WHICH
FOR
DATE
PROJECT
CONSTRUCTION/REHAB
of 2)
RENT
1
CATEGORY
AHAP:
NEW
PROJECT
OF
OF
EFFECTIVE
(Page
THIS
-
GROSS
NAME:
EACH
DATE
FOR
(DATE
FROM
PHA
DATA
FOR
I
CONSTRUCTION:
PBVDATE
DAYS
20
-
-
NEW
EFFECTIVE
#OFEND
INELIGIBLE
20 Apr
ASIDE
IS
RENT
-
APPENDIX
-
Mar
SET
20
-
-
HOUSING
Feb
PROJECTS
Jan
COMPLETEON
20
BEDROOM
SIZE
$110 MILLION
-
of
EXISTING
PLEASE
UNIT
UNITS:
2021
OF
PROJECTTYPE:
NOTE:PERIODALLOWED:
CYNOTE:REQUESTED
#
PHA#:#INFORMATION AHAP:
54
2
EXHIBIT
civil
.
returned
and
official
PHA
2)
of
2
(Page
appropriate
the
by
and accurate.
#:
DIRECTOR:
signed
be
PHONE
must
AND
EXECUTIVE
herewith, is true
: I hereby certify that all the information stated herein, as well as any information provided in the
OF
1012; 31 U.S.C. §3729, 3802).
NAME
BEDROOMBEDROOMBEDROOMBEDROOMBEDROOM
certification
SIGNATUREDATE:CONTACT
COMMENTS:
ThisCertificationaccompanimentWarning: Anyone who knowingly submits a false claim or makes a false statement is subject to criminal and/orpenalties, including confinement for up to 5
years, fines, and civil and administrative penalties (18 U.S.C. §§ 287,1001, 1010,
EXHIBIT 2
55
AppendixJ
CY2021HousingChoiceVoucherProgram RequestforDisasterSet-aside
NameofPHA:
PHANumber:
ExecutiveDirector:
The PHA may request both the additional leasing adjustment and the per unit cost adjustment
ormay request only oneadjustment. Pleasechecktheboxes that apply.
PresidentiallyDeclaredDisasterthatimpactedyourPHA:
LossofUnits
Unitsloss,needingfunding:
ThenumberofCY2021monthsimpactedby theloss ofunits:
IncreasedCosts
RequestedPUCAmount:
ThenumberofCY2021monthsimpactedby theloss ofunits:
Certification:Ihereby certifythatalltheinformationstatedherein,aswellasanyinformation
provided in the accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a
false claim or makes a false statement is subject to criminal and/or civil penalties, including confinement for up
to5years,fines,and civilandadministrativepenalties(18 U.S.C.§§287,1001, 1010,1012;31U.S.C.§3729,
3802).
SignatureofExecutiveDirectorand Date
ContactNameandPhoneNumber
EXHIBIT 2
56
AppendixK
SecondRoundCY2020HAPSet-AsideRemaining$60MillionforCategory2aUnforeseen
Circumstances
AdjustmentsforIncreasedCostsfromCY2020Category2a-UnforeseenCircumstances
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECKALLBOXESTHATAPPLY
Category2a:UnforeseenCircumstances
UnforeseenCircumstanceis duetoCOVID-19.
Unforeseen Circumstance is due to a circumstance unrelated to COVID-19, which is described within the
attachednarrative.
Documentation requirements and Deadlines for each of the above categories are contained in Section 14
ofthis notice.
ThiscertificationmustbesignedbytheappropriatePHAofficialand returned.
Certification:I,, hereby certify that the HCV Program experienced increased renewal costs
in CY 2020 due to the unforeseen circumstances of COVID-19 or those described in the attached narrative, as
applicable.
Iadditionallyherebycertifythatalltheinformationstatedherein,aswellasanyinformationprovidedinthe
accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforupto5years,
fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
Contact Nameand PhoneNumber
EXHIBIT 2
EXHIBIT B
SCOPE OFWORK
Subcontractor will utilize HUD-
WelcomeHomeOClandlordincentiveprograminhousingtheSantaAnaHousing
VASHvoucher holders.
WelcomeHomeOChelpshomeless individuals withrentalvouchersto securehousinginprivate
market apartments with the goals of (1) increasing available rental units through landlord
outreach, engagement and incentives, (2) reducing the length of time between voucher issuance
to increase voucher lease up success rate and (4) permanently
housinghomeless households.
HUD-VASH Special Fees will support necessary administrative expenses incurred to increase
lease-upsuccessrates or decreasethe timeit takesforaVeterantolocate andmove-in toaunit.
Subcontractor will provide the following eligible activities with the $84,017.00 in HUD-VASH
SpecialFees funding:
StafftoprovideHUD-VASHclientswithhousingsearchassistance
Landlord Recruitment activities to engage landlords to participate in the HUD-VASH
program
Contractor shall make payments to Subcontractor not to exceed $5,000 for each HUD-VASH
voucherleased, up to themaximum amountof eligiblefunding.
Subcontractor will provide quarterly reports and invoices to the Contractor. Contractor is
responsibleforreportingandrecordingofawardedSpecialFeesaspartoftheHCV
administrativefinancial records under CFDA14.871
12
EXHIBIT 2
EXHIBIT C
BUDGET
13
EXHIBIT 3
HOUSINGCHOICEVOUCHERPROGRAM
FUP/FYISPECIALFEES
SUBCONTRACTORAGREEMENTBETWEEN
THE HOUSINGAUTHORITY OFTHECITY OFSANTAANA AND
ORANGECOUNTYUNITED WAY
THISGRANTAGREEMENTSpecialFeesisherebymade
and entered into this November 2, 2021, by and between the Housing Authority of the City of
aCalifornia nonprofit organization
RECITALS:
A.
Appropriations Act, 2021 (P.L. 116-
establishestheallocationmethodologyforcalculatinghousingassistance
paymentsfunds, newincrementalvouchers andadministrative fees.
TheFUP fundingis for FYI;HUD usesFUPandFYIinterchangeably.
B.Contractor is the recipient of the HCV Special Fees funds from the U.S.Department of
HousingandUrban Developmentof PublicandIndianHousing.
C.Subcontractor has beenmade aware of theHUD HCV programandagrees tocomply
withalltheconditionsoftheFUP/FYI SpecialFeesAgreementandtheapplicable
requirementsgoverningthe useofFUP/FYISpecialFees funds.
D.Contractor now approves the provision of FUP/FYI Special Fees funds to Subcontractor
inanamountnottoexceed$84,017.00,tobeusedintheoperationofthe
WelcomeHomeOC Program
E.Subcontractor represents that it has the requisite qualifications, expertise, and experience
in the provision of the Program and is willing to use said FUP/FYI Special Fees funds to
operatesaid Program.
F.This FUP/FYI Special Fees Agreement is contingent upon the award ofHCV Special
Feesfunds fromHUD.
G.Contractor and Subcontractor have duly executed this FUP/FYI Special Fees Agreement
forthe expenditureand utilizationof saidFUP/FYISpecial Fees funds.
NOW THEREFORE, it is agreed by and between the parties that the foregoing Recitals
are a substantive part of this FUP/FYI Special Fees Agreement, and the following terms and
conditions are approved and together with all exhibits and attachments hereto, shall constitute the
entireFUP/FYISpecialFeesAgreementbetweenthe Contractorand Subcontractor:
1
EXHIBIT 3
1.SCOPEOFSERVICES
Subcontractor shall perform during the term of thisFUP/FYI Special FeesAgreement,
thetasksandobligations,includingalllabor,materials,tools,equipment,andincidental
customaryworkrequiredtofullyandadequatelycompletetheservicesnecessaryforthe
Program,in accordancewiththeScopeof Workattached hereto asExhibitB.
2.TERM
This FUP/FYI Special FeesAgreement shall take effect on the date firstwritten above
and shall terminate on June 30, 2023, unless otherwise cancelled or modified according to the
termsof this FUP/FYISpecial FeesAgreement.
3.DISBURSEMENTANDFUNDS
A.Contractor wasallocated$84,017.00 inFUP/FYI Special Fees funds from HUD
tobe expended by June 30, 2023.Contractor agrees to pay to Subcontractor when, if and to the
extentFUP/FYISpecialFeesfundsarereceivedasumnottoexceed$84,017.00for
he term of
this FUP/FYISpecialFeesAgreement,inaccordance withthe Budget attachedheretoasExhibit
C. Contractor shall make payments to Subcontractor not to exceed $14,002.83 for each FUP/FYI
voucher leased as detailed in Exhibit B, up to the maximumamount of eligiblefunding.Said
sum shall be paid after Contractor receives invoices submitted by Subcontractor asprovided
herein.
th
B.Subcontractor shall submit quarterly invoices (on or before the 15day of April,
July,October, andJanuary) ina formprescribedby theContractor,detailing suchexpenses.
Such schedule may be modified with the approval of the Contractor.This Agreement shall also
cover any andall services provided by the Subcontractor to the FUP/FYI voucher holder since
the effective dateof theFUP/FYI Special Feesawarded to theSanta Ana Housing Authority
fromHUD.
C.Payment is subject to the receipt and approval of such invoices and quarterly
activity reports. Contractor shall pay such invoices within thirty (30) days after receipt thereof,
provided Contractor is satisfied that such expenses have been incurred within the scope of this
FUP/FYI Special Fees Agreement and that the Subcontractor is in compliance with the terms and
conditions of this FUP/FYI Special Fees Agreement.The thirty (30) day period will discontinue
if the reimbursementrequest is determinedtobe incompleteand willrestartthe thirty-day
timeline once the remaining required elements have been submitted. Failure to provide any of
the required documentation willcause the Contractor to withhold all or a portion of a request for
reimbursementuntilsuchdocumentationhasbeenreceivedandapproved bytheContractor.
D.Subcontractor agrees to use said funds pursuant to this FUP/FYI Special Fees
Agreement to pay for necessary and reasonable costsallowable under state law and regulations
to operate said HCV FUP/FYI Program only. Said amounts shall include and will be limited to
theoperationoftheWelcomeHomeOCprogramonly.failuretoperformas
2
EXHIBIT 3
requiredmay,inadditiontootherremediessetforthinthisFUP/FYISpecialFeesAgreement,result
in readjustment of the amount of funds the Contractor is otherwise obligated to pay to the
Subcontractorpursuanttothetermshereof,orterminationofthisFUP/FYISpecialFees
Agreement.
4.HUDAGREEMENT
A.Contractoradherestothe2021Act,whichestablishestheallocationmethodology
for calculating HAP renewal funds, new incremental vouchers and administrative fees.A true and
correct copy of the HUD PIH Notice 2021-10 recognizing $84,017.00 in FUP/FYI Special Fees
grant funds to be used by Contractor to address immediate homeless challengesis attached
hereto as Exhibit A.Subcontractor has been made aware of the HUD PIH Notice 2021-10and
agrees to comply with all the conditions of the HUD-PIH Notice 2021-10 and the applicable
HUDrequirementsgoverningthe useofFUP/FYI Special Feesgrant funds.
B.Pursuanttothe HUDPIH Notice2021-10,Subcontractorisrequiredto:
i.Perform the work in accordance with Federal, State and Local housing and
buildingcodes, asapplicable.
ii.Maintain at least the minimum State-
thoseemployees who will perform thework oranypart ofit.
iii.Maintain,asrequiredbylaw,unemploymentinsurance,disability
insurance,andliabilityinsuranceinanamountthatisreasonableto
compensateanyperson,firmorcorporationwhomaybeinjuredor
damaged bythe Subcontractor in performing the work or anypart ofit.
iv.Agree to include all the terms of the HUD PIH Notice 2021-10 in each
subcontract.
5.INDEPENDENTCONTRACTOR
Subcontractor shall, during the entire term of this FUP/FYI Special Fees Agreement, be
construed to be an independent contractor and not an employee of the Contractor.This FUP/FYI
Special Fees Agreement is not intended nor shall it be construed to create an employer-employee
relationship, a joint venture relationship, or to allow the Contractor to exercise discretion or
control over the professional manner in which Subcontractor performs the services which are the
subject matter of this FUP/FYI Special Fees Agreement; however, the services to be provided by
Subcontractorshallbeprovidedinamannerconsistentwithallapplicablestandardsand
regulations governing such services. Subcontractor shall pay all salaries and wages, employer's
social security taxes, unemployment insurance and similar taxes relating to employees and shall
beresponsible for all applicable withholdingtaxes.
3
EXHIBIT 3
6.OWNERSHIPOF MATERIALS
This FUP/FYI Special Fees Agreement creates a non-exclusive and perpetual license for
Contractor to copy, use, modify, reuse, or sublicense any and all copyrights, designs, and other
intellectual property embodied in plans, specifications, studies, drawings, estimates, and other
documents or works of authorship fixed in any tangible medium of expression, including but not
limited to, physical drawings or data magnetically or otherwise recorded on computer diskettes,
which are prepared or caused to be prepared by Subcontractor under this FUP/FYI Special Fees
Subcontractor shall require all subcontractors to agree in
writing that Contractor is granted a non-exclusive and perpetual license for any Documents &
Data the subcontractor prepares under this FUP/FYI Special Fees Agreement.Subcontractor
represents and warrants that Subcontractor has the legal right to license any and all Documents &
Data.Subcontractor makes no such representation and warranty in regard to Documents & Data
which were provided to Subcontractor by the Contractor.Contractor shall not be limited in any
way in its use of the Documents and Data at any time, provided that any such use not within the
purposesintendedbythis FUP/FYISpecialFees Agreementshall be atsolerisk.
7.INSURANCE
Prior to undertaking performance of work under this FUP/FYI Special Fees Agreement,
Subcontractor shall maintain and shall require its subcontractors, if any, to obtain and maintain
insurance as described below:
a.CommercialGeneralLiabilityInsurance.Subcontractorshallmaintain
commercial general liability insurance naming the Contractor, its officers, employees, agents,
volunteers and representatives as additional insured(s) and shall include, but not be limited to
protectionagainstclaimsarising frombodily andpersonalinjury,including deathresulting
therefromanddamagetoproperty,resultingfromanyactoroccurrencearisingoutof
operationsintheperformanceofthisFUP/FYISpecialFeesAgreement,
including, without limitation, acts involving vehicles.The amounts of insurance shall be not less
than the following: single limit coverage applying to bodily and personal injury, including death
resultingtherefrom,andpropertydamage,inthe totalamountof$1,000,000per occurrence,with
$2,000,000intheaggregate.Suchinsuranceshall(a)nametheContractor,itsofficers,
employees,agents,andrepresentativesasadditionalinsured(s);(b)beprimaryandnot
contributory with respect to insurance or self-insurance programs maintained by the Contractor;
and(c)contain standardseparation ofinsureds provisions.
b.Businessautomobile liability insurance,orequivalentform,witha combined
single limit of not less than $1,000,000 per occurrence. Such insurance shall include coverage
forowned, hired and non-owned automobiles.
c.In accordance with the provisions of Section
3700 of the Labor Code, Subcontractor, if Subcontractor has any employees, is required to be
-insurance.Prior to
commencingtheperformanceoftheworkunderthisFUP/FYISpecialFeesAgreement,
4
EXHIBIT 3
Subcontractoragreestoobtainandmaintainanyliabilityinsurancewithlimitsnot
lessthan $1,000,000 peraccident.
d.If Subcontractor is or employs a licensed professional such as an architect or
engineer: Professional liability (errors and omissions) insurance, with a combined single limit of
notless than $1,000,000 per claim with $2,000,000 intheaggregate.
e.Thefollowingrequirementsapplytotheinsurancetobeprovidedby
Subcontractorpursuant to this section:
i.Subcontractor shall maintain all insurance required above in full force and
effectfortheentireperiodcoveredbythisFUP/FYISpecialFees
Agreement.
ii.CertificatesofinsuranceshallbefurnishedtotheContractorupon
execution of this FUP/FYI Special Fees Agreement and shall be approved
bythe Contractor.
iii.Certificates and policiesshall state that the policies shall not be canceled
or reduced in coverage or changed in any other material aspect without
thirty(30)days priorwritten noticeto theContractor.
iv.Where the amounts or coverage provided by the certificates of insurance
provides coverage greater than those listed by this FUP/FYI Special Fees
Agreement, the amounts provided by the certificates of insurance shall be
incorporatedbyreferenceinto theFUP/FYISpecial FeesAgreement.
v.Subcontractorshallsupply Contractorwitha fully executed additional
insuredendorsement.
f.If Subcontractor fails or refuses to produce or maintain the insurance required by
this section or fails or refuses to furnish the Contractor with required proof that insurance has
election, to forthwith terminate this FUP/FYI Special Fees Agreement.Such termination shall
notaffectrighttobepaidforitstimeandmaterialsexpendedpriorto
notification of termination. Subcontractor waives the right to receive compensation and agrees
to indemnify the Contractorfor any work performed prior to approvalof insurance by the
Contractor.
8.INDEMNIFICATION
Subcontractor agrees to defend, and shall indemnify and hold harmless the Contractor, its
officers, agents,employees, contractors, special counsel,and representatives fromliability:(1)
for personal injury, damages, just compensation,restitution, judicial or equitable relief arising
out of claims for personal injury, including death, and claims for property damage, which may
arise from the negligentoperations of theSubcontractor, its subcontractors, agents,employees,
orotherpersonsactingonitsbehalfwhichrelatestotheservicesdescribedinsection1ofthis
5
EXHIBIT 3
FUP/FYI Special Fees Agreement; and (2) from any claim that personal injury, damages, just
compensation, restitution, judicial or equitable relief is due by reason of the terms of or effects
arisingfromthisFUP/FYISpecialFeesAgreement.Thisindemnityandholdharmless
agreement applies to all claims for damages, just compensation, restitution, judicial or equitable
reliefsuffered,orallegedtohavebeensuffered,byreasonoftheeventsreferredtointhis
Sectionorbyreasonofthetermsof,oreffects,arisingfromthisFUP/FYISpecialFees
Agreement.The Subcontractor further agrees to indemnify, hold harmless, and pay all costs for
the defense of the Contractor, including fees and costs for special counsel to be selected by the
Contractor,regardingany actionby athirdparty challenging thevalidity ofthisFUP/FYI
SpecialFeesAgreement,orassertingthatpersonalinjury,damages,justcompensation,
restitution, judicial or equitable relief due to personal or property rights arises by reason of the
terms of, or effects arising from thisFUP/FYI Special Fees Agreement.Contractor may make
allreasonabledecisionswithrespecttoitsrepresentationinanylegalproceeding.
Section2782.8,theabove indemnity shallbe limited,to theextentrequiredby CivilCode
Section 2782.8, to claims that arise out of, pertain to, or relate to the negligence, recklessness, or
willfulmisconduct of theSubcontractor.
9.RECORDS
Subcontractorshallkeeprecordsandinvoicesinconnectionwiththeworktobe
performed under this FUP/FYI Special Fees Agreement.Subcontractor shall maintain complete
andaccuraterecordswithrespecttothecostsincurredunderthisFUP/FYISpecialFees
Agreement and any services, expenditures, and disbursements charged to the Contractor for a
minimum period of three (3) years, or for any longer period required by law, from the date of
final payment to Subcontractor under this FUP/FYI Special Fees Agreement.All such records
and invoices shall be clearly identifiable.Subcontractor shall allow a representative of the
Contractor to examine, audit, and make transcripts or copies of such records and any other
documents created pursuant to this FUP/FYI Special Fees Agreement during regular business
hours.Subcontractor shall allow inspection of all work, data, documents, proceedings, and
activities related to this FUP/FYI Special Fees Agreement for a period of three (3) years from the
dateoffinalpaymenttoSubcontractorunder thisFUP/FYISpecialFeesAgreement.
10.CONFIDENTIALITY
IfSubcontractorreceivesfromtheContractorinformationwhichduetothenatureof
such information is reasonably understood to be confidential and/or proprietary, Subcontractor
agreesthatitshallnot use or disclose suchinformationexceptinthe performance of this
FUP/FYI Special Fees Agreement, and further agrees to exercise the same degree of care it uses
to protect its own information of like importance, but in no event less than reasonable care.
includesnotonlywritteninformation,butalsoinformationtransferredorally,visually,
electronically, or by other means.Confidential information disclosed to either party by any
subsidiary and/or agent of the other party is covered by this FUP/FYI Special Fees Agreement.
Theforegoingobligationsofnon-useandnondisclosureshallnotapplytoanyinformationthat
(a)hasbeendisclosedinpubliclyavailablesources;(b)is,throughnofaultoftheSubcontractor
6
EXHIBIT 3
disclosed in a publicly available source; (c) is in rightful possession of the Subcontractor without
an obligation of confidentiality; (d) is required to be disclosed by operation of law; or (e) is
independently developed by the Subcontractor without reference to information disclosed by the
Contractor.
11.CONFLICTOFINTEREST CLAUSE
Subcontractor covenants that it presently has no interests and shall not have interests,
direct or indirect, which would conflict in any manner with performance of services specified
underthis FUP/FYISpecial FeesAgreement.
12.NON-DISCRIMINATION
Subcontractor shall not discriminate because of race, color, creed, religion, sex, marital
status,sexualorientation,age,nationalorigin,ancestry,ordisability,asdefinedandprohibited
by applicable law, in the recruitment, selection, training, utilization, promotion, termination or
otheremploymentrelatedactivities.Subcontractoraffirmsthatitisanequalopportunity
employerandshallcomplywithallapplicable federal, state andlocal laws andregulations.
13.EXCLUSIVITYANDAMENDMENT
This FUP/FYI Special Fees Agreement represent the complete and exclusive statements
between the Contractor and Subcontractor, and supersede any and all other agreements, oral or
written, between the parties.This FUP/FYI Special Fees Agreement may notbe modified except
bywritteninstrumentsignedbytheContractorandbyanauthorizedrepresentativeof
Subcontractor.The parties agree that any terms or conditions of any purchase order or other
instrument that are inconsistent with, or in addition to,the terms and conditions hereof, shall not
bind or obligate Subcontractor or the Contractor. Each party to this FUP/FYI Special Fees
Agreementacknowledgesthatnorepresentations,inducements,promisesoragreements,orally
or otherwise, have been made by any party, or anyone acting on behalf of any party, which is not
embodiedherein.
14.ASSIGNMENT
Inasmuch as this FUP/FYI Special Fees Agreement is intended to secure the specialized
services of Subcontractor, Subcontractor may not assign, transfer, delegate, or subcontract any
interest herein without the prior written consent of the Contractor and any such assignment,
transfer,delegationorsubcontractwithouttheContractor'spriorwrittenconsentshallbe
considered null and void. Nothing in this FUP/FYI Special Fees Agreement shall be construed
Special Fees Agreement performed by Contractor personnel or by other Subcontractors retained
byContractor.
15.TERMINATION
ThisFUP/FYISpecialFeesAgreementmaybeterminatedbytheContractoruponthirty
(30)dayswrittennoticeoftermination.Insuchevent,Subcontractorshallbeentitledtoreceive
7
EXHIBIT 3
andtheContractorshallpaySubcontractorcompensationforallservicesperformedby
Subcontractorpriorto receiptofsuch noticeof termination,subjectto thefollowingconditions:
a.Asaconditionofsuchpayment,theExecutiveDirectormayrequire
Subcontractor to deliver to the Contractor allwork product(s) completed as of such date, and in
such case such work product shall be the property oftheContractor unless prohibited by law,
deemsappropriate.
b.Payment need not be made for work that fails to meet the standard of performance
specifiedin theRecitalsof thisFUP/FYISpecialFeesAgreement.
16.WAIVER
No waiver of breach, failure of any condition, or any right or remedy contained in or
granted bythe provisions of this FUP/FYI Special Fees Agreement shall be effective unless it is
in writing and signed by the party waiving the breach, failure, right or remedy. No waiver of any
breach, failure or right, or remedy shall be deemed a waiver of any other breach, failure, right or
remedy, whether or not similar, nor shall any waiver constitute a continuing waiver unless the
writingso specifies.
17.JURISDICTION-VENUE
This FUP/FYI Special Fees Agreement has been executed and delivered in the State of
California and the validity, interpretation, performance, and enforcement of any of the clauses of
this FUP/FYI Special Fees Agreement shall be determined and governed by the laws of the State
of California.Both parties further agree that Orange County, California, shall be the venue for
any action or proceeding that may be brought or arise out of, in connection with or by reason of
thisFUP/FYISpecialFeesAgreement.
18.PROFESSIONALLICENSES
Subcontractorshall,throughoutthetermofthisFUP/FYISpecialFeesAgreement,
maintain all necessary licenses, permits, approvals, waivers, and exemptions necessary for the
provision of the services hereunder and required by the laws and regulations of the United States,
theStateofCalifornia,theCityofSantaAnaandallothergovernmentalagencies.
Subcontractor shall notify the Contractor immediately and in writing of its inability to obtain or
maintain such permits, licenses, approvals, waivers, and exemptions. Said inability shall be
causefor termination ofthisFUP/FYISpecialFeesAgreement.
19.NOTICE
Any notice, tender, demand, delivery, or other communication pursuant to this FUP/FYI
Special Fees Agreement shall be in writing and shall be deemed to be properly given if delivered
in person or mailed by first class or certified mail, postage prepaid, or sent by fax or other
telegraphic communicationin themanner providedin thisSection, tothefollowingpersons:
8
EXHIBIT 3
CONTRACTOR:SUBRECIPIENT:
HongloanJ HullBecksHeyhoe
OperationsSupervisorExecutiveDirector
CityofSanta AnaUnitedtoEndHomelessness
CommunityDevelopmentAgency(M-25)Orange County United Way
20CivicCenterPlaza18012 Mitchell South
P.O.Box1988Irvine,CA92614
SantaAna, CA92702-1988(949)263-6112
(714)667-2247becksh@unitedwayoc.org
(714)547-5411FAX
hhull@santa-ana.org
A party may change its address by giving notice in writing to the other party.Thereafter, any
communicationshallbeaddressedandtransmittedtothenewaddress.Ifsentbymail,
communication shall be effective or deemed to have been given three (3) days after it has been
deposited inthe United Statesmail,duly registeredorcertified,withpostageprepaid,and
addressed as set forth above.If sent by fax, communication shall be effective or deemed to have
been given twenty-four (24) hours after the time set forth on the transmission report issued by the
transmitting facsimile machine, addressed as set forth above.For purposes of calculating these
timeframes, weekends, federal, state, CountyorCityholidays shall beexcluded.
20.MISCELLANEOUSPROVISIONS
a.Each undersigned represents and warrants that its signature herein below has the
power, authority and right to bind their respective parties to each of the terms of this FUP/FYI
Special Fees Agreement, and shall indemnify Contractor fully, including reasonable costs and
at such authority or
poweris not, in fact, heldbythe signatoryor is withdrawn.
b.All Exhibits referenced herein and attached hereto shall be incorporated as if fully
setforth in the bodyof thisFUP/FYISpecial FeesAgreement.
{Signaturesonfollowingpage}
9
EXHIBIT 3
INWITNESS WHEREOF, thepartiesheretohave executedthisFUP/FYISpecial FeesAgreementonthe
dateand yearfirstwrittenabove.
ATTESTHOUSING AUTHORITY OF THE CITY
OFSANTA ANA
DAISYGOMEZSTEVENA. MENDOZA
RecordingSecretaryExecutiveDirector
APPROVEDASTO FORMORANGECOUNTY UNITEDWAY
SONIAR.CARVALHO
AuthorityGeneral Counsel
By:_
RYANO.HODGEEmileeTello
AssistantCounselChiefFinancialOfficer
We have no further revisions to this agreement.
10
EXHIBIT 3
EXHIBIT A
U.S.DEPARTMENTOFHOUSINGANDURBANDEVELOPMENT
WASHINGTON,DC20410-5000
OFFICEOFPUBLICANDINDIANHOUSING
SpecialAttentionof:PIHNotice2021-10
OfficeDirectorsofPublicHousing;
RegionalDirectors:PublicHousingIssued:March24,2021
Agencies
Expires:Thisnoticeremainsin
effect until amended, superseded, or
rescinded.
Cross References: P IH Notice 2021-08, PIH
Notice 2020-17, PIH Notice 2020-04, PIH Notice
2020-19,PIHNotice2020-01, PIHNotice2019-
01/H-2019-02,PIHNotice2019-20,PIHNotice
2018-12,PIHNotice2018-09, PIHNotice2017-
06,PIHNotice 2015-17,PIHNotice 2013-28,
PIHNotice 2011-28
SUBJECT: Implementation of the Federal Fiscal Year (FFY) 2021 Funding Provisions for
the Housing Choice Voucher Program, and Availability of FFY 2020 Housing Assistance
Payments (HAP) Set-Aside Funds for Second Round Per Unit Cost (PUC) Increases due to
Unforeseen Circumstances
1.Purpose. This notice implements the Housing Choice Voucher (HCV) program funding
provisionsoftheConsolidatedAppropriationsAct,2021(P.L.116-260),referredtohereafter
methodology for calculating housing assistance payments (HAP) renewal funds, new
incrementalvouchers and administrativefees.
This notice also sets forth the second-round application process for HAP set-aside funds
remaining from the Further Consolidated Appropriations Act, 2020 (P.L. 116-94, hereafter
increasesthatoccurredin calendaryear(CY)2020 asaresultofunforeseen circumstances,
includingbut not limited to theCOVID-19pandemic.
2.Organization. This notice is grouped into two parts. Sections 3 through 16 describe the
funding made available under the 2021 Act, the 2020 Act HAP set-aside second round, and
provisions related to the allocation of that funding. Sections 17 through 23 provide other
HCVProgram.
3.Summary
provided through the 2021 Act, which HUD allocates to PHAs in accordance with such Act
asdescribedinthisnotice.The2021ActrequiresHUDtoproviderenewalfundingbasedon
validated Voucher Management System (VMS) leasing and cost data for the prior calendar
year (CY) (January 1, 2020 December 31, 2020). The CY 2021 total amount appropriated
byCongress tofund the HCVProgramis split upby budgetlineitemsas follows:
EXHIBIT 3
2
CY2021Appropriations
1
HAPRenewalFunding$23,075,000,000
2
TenantProtectionVouchers$116,000,000
AdministrativeFees$2,159,000,000
1
TribalHUD-VASH$5,000,000
MainstreamVouchers$314,000,000
VeteransAffairsSupportiveHousing$40,000,000
FamilyUnificationProgram$25,000,000
HousingStabilityVouchers$43,439,000
TotalAvailableCY2021Appropriations$25,777,439,000
This notice provides information on how HUD calculates HAP renewal funding for the
calculations attached. If a PHA has questions related to
the calculations or this notice, the PHA should contact its Financial Analyst (FA) at the
FinancialManagement Center(FMC).
PHAs administering the HCV Program and/or Mainstream Vouchers are encouraged to pay
particular attention to the set-aside funding provisions (listed in Section 5 and Section 13 and
Appendix H,Application for $110 Million Set-Aside for Categories 2b Portability; 3-
Project-Based Vouchers (PBVs); 4 HUD-VASH; and/or 5Lower-than-average Leasing.
Appendix G, Application for $110 Million Set-Aside for Category 2a Unforeseen
Circumstances; and Appendix J,Application for $110 Million Set-Aside for Category 6 -
Disaster).
4.CalculationofCY2021HAPRenewalFunding.The2021ActrequiresthatHUDapplya
re-benchmarking renewal formula based on validated leasing and cost data in VMS for CY
2020
The renewal provisions of the Act are stated in Appendix A, Consolidated Appropriations
Act,2021 (PublicLaw 116-260).
HUDisprovidingrenewalfundingasfollows:
Step1:AnewHAPfundingbaselineisestablishedbasedonallvalidatedleasingandcost
data(nottoexceedunitmonthsavailableundertheAnnualContributionsContract
1
The2021Actprovidesthatof the$23.08billionforHAPRenewalFunding,up to$5millionisforTribalHUD-
VASHrenewalgrants.Theamountfor HAPRenewalshasbeenreducedhereaccordingly.
2
replacement of housing units that are demolished or disposed of pursuant to section 18 of the Act, conversion of
section 23 projects to assistance under section 8, the family unification program under section 8(x) of the Act,
relocation of witnesses in connection with efforts to combat crime in public and assisted housing pursuant to a
request from a law enforcement or prosecution agency, enhanced vouchers under any provision of law authorizing
such assistance under section 8(t) of the Act, Choice Neighborhood vouchers, mandatory and voluntary
conversions, and tenant protection assistance including replacement and relocation assistance or for project-based
assistance to prevent the displacement of unassisted elderly tenants currently residing in section 202 properties
financedbetween1959 and 1974 thatarerefinanced pursuantto PublicLaw106569, as
EXHIBIT 3
3
3
(ACC)inVMSforCY2020).
Step 2: As required by the 2021 Act, HUD adjusts allocations for the first-time
renewals of tenant protection vouchers and special purpose vouchers (SPVs), such as
HUD Veterans Affairs Supportive Housing (HUD-VASH) vouchers, Family
Unification Program (FUP), Foster Youth to Independence (FYI), and Non-Elderly
Disabled (NED) vouchers for which the initial increment expires in CY 2021. Affected
ndicate the amount of additional funding
provided for CY 2021 for first-time increments not initially funded for twelve months.
Note: Reissuance of vouchers originally issued to families under the Disaster Voucher
Program/Disaster Housing Assistance Payments-IKE (DVP/DHAP-IKE) is not
permitted. For DVP/DHAP-IKE vouchers, as with vouchers issued under the sunset
provisions identified in Section 6 ofPIH Notice 2018-09,
Annual Contributions Contract (CACC) unit authorizations and CY 2021 renewal
funding allocations reflect a reduction in units based on the number of such families
underassistanceas reported in VMSas ofDecemberof2020.
Step 3: The Renewal Funding Inflation Factor (RFIF), adjusted for localities, is applied
to th-month renewal requirement after all adjustments have been
Policy, Development and Research (PD&R) and can be found at
https://www.huduser.gov/portal/datasets/rfif/rfif.html.
Step 4: HUD determines the total HAP renewal funding eligibility for all PHAs and
compares that amount to the total HAP renewal funds available per the 2021 Act to
2021 eligibility. A proration of less than 100% is applied if the nationwide eligibility
exceedstheavailableHAP renewal funding.
Step 5:
-held
program reserves (in accordance with VMS data in CY 2020 that is verifiable and
complete), as determined by the Secretary. PIH will perform a small offset (impacting a
limited number of PHAs) for reallocation in CY 2021 to ensure the national HAP
prorationiscloserto100%.GiventhefundingprovidedfromtheAmerican RescuePlan
Act (ARPA) for the adjustment of PUC cost increases and to prevent the termination of
rental assistance for families as the result of insufficient funding, PIH may reconsider to
offsetaportionoftheprogramreservestosupplement theHAP shortfallcategory.
Detailed calculations of the offsets will be provided to impacted PHAs in the renewal
allocation enclosure. Offsets will come from excess program reserves reconciled
December 31, 2020 and will protect multiple categories of eligibility. In accordance with
PIH Notice 2020-17, amounts originating from CARES Act HAP awards are not
included with program reserves. Appendix B to this notice,CY2021 Offset
Reallocation,is anexampleoftheoffset enclosuresthat willbeprovided
3
In rare instances where vouchers weretransferred from one PHA to another during the re-benchmarking period,
the leasing and cost data of the PHAs will be adjusted to ensure that the leasing and costs represented by the
transferredvouchersareproperlyaccountedfor intheeligibility determinations.
EXHIBIT 3
4
to PHAs and specifically describes this calculation as well as the protected categories of
eligibility.
5.Set-aside of up to $110 million to Adjust PHA Allocations. HUD has authority to provide
or the categories outlined below. Awards will be made to
eligible PHAs in accordance with need, as determined by HUD, following an application by
the PHA as described in Section 13 of this notice. Awards could be reduced, in whole or in
part, if PHAs have available reserves RNP and/or HUD-held reserves) above a reasonable
threshold, as defined by the Secretary, and/or prorated if the $110 million is insufficient to
cover all awards. Additionally, HUD reserves the right to fund one, some, or all of the
categories.
Set-AsideCategories:
Category1:PreventionofTerminationsDuetoInsufficientFunding(Shortfall)
Category2a:UnforeseenCircumstances
Category2b:Portability
Category3:Project-BasedVouchers(PBV)
Category4:HUD-VASH
Category5:Lower-than-averageLeasing
Category6:Disaster
The above numbering of the categories does not reflect priority; however, HUD reserves the
righttoprioritize or limitCategory1:Preventionof TerminationsDue toInsufficient
Funding. Please refer to Section 13 of this notice for more details about the set-aside
categories, eligibility requirements, and submission deadlines. PHAs may apply for more than
one category of funding and the funding provided within categories 2 6 does not impact the
awardamount oftheothercategories(applicableonlyto categories 26).
PHAs administering Mainstream Vouchers may apply for categories 1, 2a, and 2b. For
additionaldetails on how toapply, pleasereferto Section13.
6.TenantProtectionVouchers(TPVs).
a.Definition. TPVs are provided to protect HUD-assisted families from hardship as the
-Rent) and
Multifamily Housing portfolios. Therefore, if the PHA applies for and is awarded
replacementTPVs,itmustofferthereplacementTPVsintheformoftenant-basedoras
4
project-basedassistancetoeligiblefamiliesimpactedbytheconversion.Undercurrent
HUDpolicy,asfurtherdescribedbelow,replacementTPVsarealsoprovidedforvacant
unitsthatwereoccupiedbyanassistedfamilyintheprevious24months.Relocation
4
Thisstatementsupersedesthelastsentenceinfootnotes5and6ofPIH2018-09,whichstatedthataPHAcannot
offerimpactedresidentsanotherformofcomparablehousing(i.e.anotherpublichousingunit,aRADunit)ifit
applies forandreceivesTPVsforthePublicHousingaction.WhilethePHAisrequiredtoofferthereplacement
TPVtotheeligibleimpactedfamily,inthecontextofPublicHousingconversions,thePHAhasdiscretion,atthe
time oftheTPVoffer,toinformallfamiliesthatthefamilyis notrequiredtoaccepttheTPV,andthat,ifthe
familychooses,atthesolediscretion,nottoaccepttheTPV,thePHAintendstoofferthefamilyanother
formofhousing.
EXHIBIT 3
5
TPVs must only be used by the family impacted by the conversion action as described in
5
Section6 ofPIH2018-09.
b.Funding.Asnotedabove,the2021Actprovides$116millionforTPVs.
c.Continued Applicability of PIH Notice 2018-09. Except as specifically revised in
Section6aand6dofthisnotice,theprogrammaticandpolicyguidanceinSection6of
PIH Notice 2018-09, Implementation of the Federal Fiscal Year (FFY) 2018 Funding
ProvisionsfortheHousingChoiceVoucherProgram,continuestoapplytoTPVs.
d.Eligibility for Replacement TPVs (Vacant Units)
in PIH 2018-09, was to provide replacement TPVs only for occupied units. This policy
was revised in the FY 2019 HCV Funding Notice and continues to apply under this
notice, so that, in addition to providing replacement TPVs for occupied units, HUD will
also provide replacement TPVs for vacant units that were occupied by an assisted family
within the previous 24 months that are no longer available as assisted housing, subject to
theavailabilityoffunding.Theexamplesbelowexplainhowthis policywill work:
i.For Public Housing Actions, vacant units that were occupied by an assisted family
withintheprevious24monthsfromthetimeoftheSpecialApplicationCenter(SAC)
approval or the Choice Neighborhoods Initiative (CNI) award date. For example: on
February 1, 2021, PHA A was approved for demolition/disposition of 25 public
housing units. Of 25 units in property A, 5 of those units were last occupied on
February 1, 2019. The remainder of the units continue to be occupied. Replacement
TPV funding may be provided for all 25 units (vacant and occupied) because the 5
vacantunitswerelastoccupiedlessthan24monthsfromtheSACapproval.
ii.For Multifamily Housing Actions, vacant units that were occupied within the
previous 24 months from the eligibility event. For example: on February 1, 2021, the
prepayment of a section 236 mortgage in property A triggered eligibility for TPVs.
Of 25 units in property A, 5 were last occupied on February 1, 2019. The remainder
of the units continue to be occupied. Replacement TPV funding may be provided for
all 25 units (vacant and occupied) because the 5 vacant units were last occupied
within24months from theeligibility event.
e.TPV Set-Aside. The 2021 Act provides that at least $5,000,000of the $116 million
appropriated for TPVs may be set-aside to provide TPVs to certain at-risk households in
low-vacancy areas. On February 15, 2019, HUD issuedPIH Notice 2019-01/H-2019-02,
FundingAvailabilityforSet-AsideTenantProtectionVouchers.HUDhasdeterminedthat
the continued use of this notice is fully consistent with congressional directives on this
subject.
5
TPV allocations qualify as
neverincludevouchersforvacantunits.ForinformationonreplacementandrelocationTPVallocations,seeSection
6 ofPIH 2018-09.
EXHIBIT 3
6
6
f.TPVFunding.HUDcalculatesTPVfundingforalleligibleTPVactions(including
thoseinthePublicHousingandMultifamilyHousingportfolios)basedontheaverage
PerUnitCost(PUC)intheHCVprogram.IfthePHAthatwilladministerthe
TPVshasconcernsregardingthesufficiencyoftheTPVfundingbasedonitsaverage
PUC,thePHAcaneither:(a)requestanupfrontincreasedPUCalongwiththeTPV
fundingapplication,or(b)requesthigherTPVfundingafterthePHAhasalready
submittedtheTPVfundingapplication,ifatthetimethatthePHAsubmitstheTPV
fundingapplicationthePHAisunsureifitwillneedadditionalfunding(e.g.thePHAis
unsureoftheactualcoststhatjustifyanincreasedPUC).Ineithercase,thePHAmust
submittherequestbyemailtothePortfolioManagementSpecialistattheHUD
PIHFieldOffice,withcopytotheFieldPublicHousingDirector.IfthePHA
doesnotknowtheirassignedPortfolioManagementSpecialist,thePHAmayemailthe
FieldPublicHousingDirectorforassistance.ThePHAmustjustifythe
requestedincreasebyprovidingevidenceofrentamountsthatresultinhigherHAPcosts
andajustificationexplainingthattherentsarereasonable.7 Ataminimum,thePHAmust
submititsrentreasonablenessanalysisandabudgetauthoritygapanalysisthatincludes
thefollowingdata:
UnitType/BedroomSize
CountofUnitsbyType/BedroomSize
ContractRent
UtilityAllowance(ifownerpaid)
MonthlyTotal(ContractRent+UtilityAllowance)
ResidentRent
Monthly/Annualsubsidyneedbyunitandproperty
and/or projected subsidy costs are appropriately calculated and may follow-up with the
PHAifadditionalinformationisneeded.IftheFieldOfficedeterminesthattheincreased
PUC is appropriate, they will notify HCV FMD of the revised need via a Field Office
documentation (and the TPV funding application, if applicable), to
PIHConversionActions@hud.gov.
The following additional requirements also apply where the PHA is submitting its request
forincreased TPVfunding subsequentto theTPVaward:
The following additional information must be submitted with the request: Housing
Assistance Payments contract(s), Monthly/Annual subsidy provided in the TPV
award,and ACC letterreflecting theTPVaward.
PHAscanapplyforhigherPUCsduringthetimeoftheirinitialfundingincrement.
The effective date for TPV increments is provided in the amended ACC letter sent
from the FMC to PHAs. Once the initial funding increment is renewed, no
additionalPUC will beprovided.
6
The provided in this section applies to all TPV actions, including those in the Public Housing and Multifamily
Housing portfolios.
7
Rentreasonablerequirementsarefoundinregulationat24CFR982.507and24CFR983.303,asapplicable.Rent
reasonablenessguidance maybe found intheRentReasonablenessChapter oftheHCV Guidebook.
EXHIBIT 3
7
Note that all additional TPV funding is subject to available appropriations. Questions
concerning the TPV adjustment process described above may be sent to
PIHConversionActions@hud.gov.
g.FosterYouthtoIndependencenolongerfundedthroughTPVs.OnJuly26,2019,
HUDissuedNoticePIH2019-20,TenantProtectionVouchersforFosterYouthto
IndependenceInitiative.ThenoticeannouncedaninitiativetoprovideTPVsforyouth
eligibleundertheFamilyUnificationProgram(FUP)incommunitiesthatdonot
administerFUP.HUDisnolongerprocessingrequestsforTPVsunderthatnoticefor
FUP-eligibleyouth.TPVsawardedunderNoticePIH2019-20mustcontinuetooperate
under therequirementsofthenotice.Thisincludesturnoverrequirementsandthe
requirementtoinformHUDshouldayouthnotuseavoucherorleavetheprogram.On
October6,2020,HUDissuedNoticePIH2020-28,FosterYouthtoIndependence
Initiative,whichexplainstheeligibilityandapplicationrequirementsforFYIvouchers
tobemadeavailableforeligibleyouthnon-competitively.Additionally,HUD
announcedtheFYICompetitiveNoticeofFundingAvailability(NOFA)onJanuary19,
2021,making$20millionavailablecompetitivelyforFYI,withanapplicationdeadline
ofMarch 22,2021.
7.Funding for Administrative Costs. The 2021 Act provides $2,159,000,000 for
administrative expenses of PHAsadministering the HCV Program (see Appendix A for
Appropriations text). Of the appropriated amount, no less than $2,129,000,000will be
availableforongoingadministrativefeesandfeesfornewvouchersandupto$30,000,000
will be made available to allocate to PHAs that need additional funds to administer their
COVID-19eligibleexpensesasauthorizedinCY2020bytheCARESAct.
A.Ongoing Administrative Fees and Administrative Fees for New Vouchers.
Ongoing administrative fees and administrative fees for new vouchers are allocated
based on leasing. These administrative fees are calculated for CY 2021 as provided
for by Section 8(q) of the United States Housing Act,and related Appropriation Act
provisions, as in effect immediately before the enactment of the Quality Housing and
Work Responsibility Act (QHWRA) of 1998 (P. L. 105-276). Under this calculation,
PHAs are allocated a fee amount for each voucher that is under HAP contract as of
the first day of each month. Administrative fees for new incremental vouchers are
alsoallocated based on leasing.
1.Proration and Reconciliation of Administrative Fees: HUD is developing and
will post administrative fee rates for each PHA to enable PHAs to calculate
potential fee eligibility. An announcement will be made when they become
http://portal.hud.gov/hudportal/HUD?src=/program_offices/public_indian_housin
g/programs/hcv.
HUDdisbursesadministrativefeestoPHAseachmonthbasedonactualleasing
eligibility is
reconciled after every quarter based on actual reported leasing, adjusted by an
estimatedprorationbasedontotalannualfundingforadministrativefees.HUD
EXHIBIT 3
8
national
th
eligibility for administrative fees to one quarter (1/4) of the appropriated amount
available for ongoing administrative fees. HUD will disburse any amount due to
the PHA and will offset any amount due from the PHA via a reduction from a
subsequent administrative fee payment. A final reconciliation will be completed
after the December 2021 leasing data is reported in VMS, at which time the final
pro-ration for the calendar year (CY) will be determined. It is likely that HUD
will start using IMS-PIC leasing data to determine HAP and administrative fee
monthly disbursements as we transition to the Enterprise Voucher Management
System (eVMS) in CY 2021. HUD will alert each PHA when their payments will
becalculated based onIMS-PICleasing data.
2.BlendedRateAdministrativeFeesandHigherAdministrativeFeeRates:
a.BlendedRateAdministrativeFees:PHAsservingmultiple
administrativefeeareasmay,inlieuofthefeedeterminedfortheir
agency, request a blended rate based on the actual locationof their assisted
units.Theblended ratewill beused fortheentireCY2021.
How to Submit Requests (new):Due to the COVID-19 pandemic, PHAs
must submit applications electronically as HUD employees are currently
on mandatory telework and are not able to access regular mail on a
consistentbasis.
ElectronicMail(email)Requests:
PHA requests for Blended Rate Fees must be submitted to HUD at the
followingmailbox:PIHFinancialManagementDivision@hud.gov.
Thesubjectlineofthe e-mailmustreadas follows:
PHA Number, Request for Blended Rate Administrative Fees (e.g.,
TX001,2021Request forBlended RateAdministrativeFees).
Deadline to Submit Requests: Requests for Blended Rate Administrative
Fees must be received
Friday,May 28, 2021.
b.HigherAdministrativeFeeRates:APHAthatoperatesoveralarge
geographicarea,definedastwoormorecounties,mayrequesthigher
administrativefees.Anapprovedhigheradministrativefeeratewillapply
onlytoCY2021andisapplicabletotheHCV ProgramandMainstream
Vouchers.ThePHAwillberequiredtosubmitevidenceofactualcostsat
theendoftheCYtoenableHUDtodetermine iftheentireapproved
increasewasneeded.ExcessfundswillbeoffsetbyHUDviaareductionin
afuturedisbursement.
Submission Requirements for Higher Administrative Fee Rates (New):
To request higher fees, an agency must submit the following financial
documentationto theFAat theFMC:
EXHIBIT 3
9
Actual Unrestricted Net Position (UNP) (formerly referred to as
Unrestricted Net Assets or administrative fee reserves) balance as of
December31, 2020.
Actual administrative costs for the HCV Program for CY 2020
insufficient detail to allowforreview.
anticipated reasonable and necessary administrative costs broken out in
sufficient detail to allow for review (positions and salaries, detailed
travel costs, overhead and pro-rations, etc.). There is no HUD form, nor
amandated format, forthis budget.
An explanation of why the unit month and budget authority utilization
in CY 2020 was below 95 percent of the unit month and budget
authorityavailableforrenewal units (ifthis occurred).
If the PHA has made withdrawals from the Administrative Fee reserves
per official guidance provided inPIH Notice 2015-17:Uses and
ReportingofAdminFeeReserves, certificationisrequired.Shouldthere
be no withdrawals at this point, a statement that none were made is
required.
An explanation as to why the projected CY 2021 administrative fees
areinsufficienttocoverexpectedprogramoperating costs.
CertificationbytheexecutivedirectorofthePHAthatthedataisaccurate.
HUDreservestherighttoreducethedocumentationrequired.
To request a higher administrative fee rate, PHAs must provide the above
information to the FMC. The required information must be received no later
.PHAs must
submitapplications electronically.
Electronic Mail (email) Requests: PHA requests for a higher
administrativefee ratemust besubmittedtoHUDatthefollowingmailbox:
FinancialManagementCenter@hud.gov.Subjectlinemustreadas
follows:PHA Number, (e.g., TX001) 2021 Request for Higher
AdministrativeFee.
B.SpecialFees.Asstatedabove,HUD willmake upto$30,000,000availabletoallocate
to PHAs that need additional funds to administer their Section 8 programs. A portion
of the $30,000,000 set-aside may be used for ongoing administrative fees to increase
the national fee proration, should HUD determine during the course of the calendar
year (after the submission deadlines outlines below) that the entire $30,000,000 may
not be needed for extraordinary costs. HUD will consider requests for other
unanticipated increases in Administrative Fees on a case-by-case basis. Please note
that requests for additional fees because of a lower national fee proration will not be
accepted. Special fees are not applicable to Mainstream Vouchers. These funds may
beprovided forthefollowing non-exclusivepurposes:
EXHIBIT 3
10
1.HCV Homeownership Fees: HUD provides a $200 special fee for every
homeownership closingreportedinthePublicHousingInformationCenter
(PIC) for HCV families who have become homeowners through the HCV
Homeownership program, Moving To Work (MTW) Homeownership program,
and the Family Self-Sufficiency program (HCV only). These special fees are
allocated to the PHAs administering the vouchers, or FSS participation, after the
gs are reported in PIC and closing dates are provided to the
FMC staff. PHAs do not need to apply for these funds as HUD provides these
fees automatically based on PIC data and closing dates confirmations. HUD will
also fund a one-time $500 special fee foreach newly created HCV
HomeownershipProgram at any PHAin CY2021.
2.SpecialFeesforPHAsthatAdministerTPVsinConnectionwithMultifamily
Housing Conversion Actions: For multifamily housing conversions, a special
(one-time) fee of $200 will be provided for each unit occupied on the date of the
eligibility event. PHAs do not need to apply for these funds as HUD provides
thesefeesautomaticallybasedonPICdata.Thisspecialfeewillalsobeallocated
to PHAs that agree to administer vouchers on behalf of a Multifamily Choice
NeighborhoodsGrantee.
3.SpecialFeesforPortability:ReceivingPHAswithnumbersofportability
vouchersthatcompriseasignificantportionoftheirvouchersunderleaseare
eligibleforaspecialfee.PHAsmusthavebeenadministeringanumberofport-
invouchersequalto20%ormoreofthetotalnumberofleasedvouchers
asofDecember31,2020tobeeligiblefor specialportabilityfees.Foreach
eligibleport-invoucher,thereceivingPHAwillreceive12monthsoffunding
equalto15%ofthe2021ColumnArateforadministrativefees.Thisis
aone-timeawardofspecialfeesandwillbecalculatedbasedonPHAportability
datafoundinPICforactionsthroughDecember31,2020andleaseddatafrom
theVMSasofDecember31,2020(fromthe sameVMSdatabaseusedto
determine the2020HCVrenewalallocations).PHAsdonotneedtoapplyfor
thesefundsasHUDprovidesthesefeesautomaticallybasedonPICdataandthe
VMSdatausedforthe2020renewalallocation.PHAswereadvisedviaemail
onFebruary9,2021,ofthedeadlinedateofnolaterthan5p.m.,perthe
st
timezone,Monday,March31,2021toensureallPICdataisupdated
and successfullysubmitted.
4.SpecialFeesfor AuditCostsforDeclaringMajorHCVProgramsper
Notice 2021-08, and for HCV Voluntary Transfers per PIH Notice 2018-12:
Please refer to Section 4,PIH Notice 2021-08or a superseding notice published
by HUD: Financial Reporting requirements for the HCV Program Submitted
through the Financial Assessment Subsystem (FASS) for Public Housing and the
Voucher Management System (VMS), and Section 6,PIH Notice 2018-12:
Process for PHA Voluntary Transfers and Consolidations of Housing Choice
Vouchers, Mainstream Vouchers, PBV and Project-Based Certificates, for the
eligibilityrequirementsandprocesstorequestspecialfeesunderthiscategory.
PIHNotice2021-08,Section4.Forthosegeneral-purposegovernmentsthathave
notdeclaredtheirHCVrelatedprogramsasamajorfundforfinancialstatement
EXHIBIT 3
11
purposes or as a major enterprise fund under Code of Federal Regulations
(CFR), Title 2, Subtitle A, Chapter II, Part 200, Subpart F; Audit Requirements,
the audit obtained may not be sufficient for HUD to properly monitor its
financialandcompliance interest in theseentities.
Therefore, for HUD to gain an acceptable level of assurance, these PHAs may be
directed to procure Independent Public Accountant (IPA) services for financial
and compliance proceduresasspecifiedby HUD.Thisadditionalworkis
Housing Voucher Programs (OHVP), Financial Management Division (FMD) at
PIHFinancialManagementDivision@hud.govto confirm whether they must
procure an IPA service. If the PIH OHVP, FMD determines that IPA services
must be performed, HUD will provide set-aside funding, if available, to reimburse
the agency for any additional audit costs unless sufficient Unrestricted Net
Position (UNP) exists, in which case these funds may be used for the special
purposeaudit cost.
PIH Notice 2018-12, Section 6. While reviewing the transfer of UNP to the
receiving/consolidated PHA, the HUD Field Office will ensure the divesting PHA
has properly procured and entered into a contract with an independent public
accountant to conduct its close-out audit, and has the funds available to cover it,
HUD may assign extraordinary administrative fees (EAF). This is subject to
availabilityoffundsandjustifiablecircumstances,fromtheAdministrativeFeeset-
aside funds to cover close-out audit costs and may conduct a final close-out or
forensic audit of a divesting PHA, either prior to or following to the
transfer/consolidation. The HUD Field Offices must contact the Housing Voucher
Financial Management Division at PIHFinancialManagementDivision@hud.govto
confirmavailabilityofEAF;however,thedivestingavailableadministrative
fee,UNP,and/orothernon-federalfundsmustbeconsideredfirstandrestrictedfor
thispurpose.
5.Special Fees Needed for Administration of Section 8 Tenant-Based Rental
Assistance Program: PHAs experiencing increased administrative expenses that
need additional funds to administer their Section 8 HCV Programs, including as a
result of administration of tenant protection rental assistance, disaster related
vouchers,HUD-VASHvouchers,andotherspecialpurposeincrementalvouchers,
as shown in this section under Guidance for Special Fee Applications Per
Category,canrequest special fees.
To qualify for additional funding under these categories, PHAs must experience
increased administrative expenses as a result of the administration of tenant
protectionrentalassistance,HUD-VASHvouchers,FUPincludingFYI,disaster-
related vouchers, and other special purpose incremental vouchers. Requests for
other unanticipated administrative fee funding increases will be considered on a
case-by-
applicableapplicationcriteriawhenpreparingyourapplicationforthesefunds.
EXHIBIT 3
12
Please note, HUD will limit the total award amount for all categories combined
maximum percentage of the award will be
below:
Maximum
Number ofAward
PHASizeUnitsPercentage
Small1-24912%
Medium2504996%
Large500ormore4%
Additionally,HUDreservestherighttodenyorlimittheawardamountbasedon
administrative fee reserves to ensure fair and reasonable distribution of
funds.HUDreservesthe right tofund one,some, orall thecategories.
Reporting and recording of awarded Special Fees are included as part of
theHCVadministrativefinancialrecordsunderCFDA14.871.
Applications for Special Fees under the HUD-VASH and FUP categories must
be received
2021. Applications for Special Fees under the
Discretion categories must be
time zone, Friday, October 29, 2021. All applications must be sent to
2021SpecialFees@hud.gov.ThesubjectlineoftheemailshouldincludethePHA
Number and the specific Special Fee category of applications, for example,
clarification of items provided with the application. Clarifications or corrections
mustbereceivedby HUDwithinthetimeframe specifiedin thenotification.
The following information must be included for each category the PHA applies
tobeconsideredforfunding undereach requestedcategory:
The application page that identifies the categories for application that
iscertifiedbysignature(formatAppendix Ctothis document);
A letter signed by the appropriate PHA official, clearly indicating the
amountbeingrequested, thecalculationusedtodeterminetheamountof
the request, andthe estimated UNP (Administrative fee reserve) balance
asoftheday oftherequest;
Astatementdescribinganactivitythatisbeingproposed,underwayorhas
beencompleted;
Adescriptionofthelocalneedthattheactivitywillserve;
Dataonthenumberoffamiliesthattheactivitywill help;
How the activity will lead to an increase in leasing success rates and/or
reduceprocessing time;
Documentation to support the cost of the activity; the supporting
documentationcouldbeaninvoice/receipt,jobposting,anestimatebased
EXHIBIT 3
13
on what the activity has cost in a prior year along with documentation of
theprioryearcosts, etc.;and
Budget justification to support the request. The budget justification must
supporttheneedforadditionaladministrativeexpenses.Theexpensesmust
ongoingadministrativefeesfortheyear.Foryourconvenience,anexample
budgetjustificationisprovidedinAppendixDtothisdocument.
GuidanceforSpecialFeeApplicationsperCategory:
A.Category1HUD-VASHSpecialFees
PurposeoftheHUD-VASHProgram:
For eligible homeless veterans and their families, the HUD-VASH Program combines the
HUD HCV rental assistance program with case management and clinical services
provided The Department of Veterans Affairs (VA) at its medical centers and community
clinics. HUD-VASH assists homeless veterans and their families afford decent, safe, and
sanitary housing through the distribution of housing vouchers. Beneficiaries are selected
based on certain requirements including health care eligibility, homelessness status, and
income.
Award Information. HUD will reserve up to $5,000,000 for HUD-VASH Special Fees
(HUD-VASH).
Eligible Activities/Expenses. Under this notice, PHAs may apply for HUD-VASH
Special Fees to support necessary additional or extraordinary related administrative
expenses incurred to increase lease-up success rates or decrease the time it takes for a
veteran to locate and move-into a unit. To apply for these funds, applicants must justify
ordocumentactions specificallyforadministeringtheHUD-VASHprogram.
Underthisnotice,eligibleactivities/expensescouldinclude,butarenotlimitedto:
Hiringtemporarystaffto processRequestforTenancyApprovals(RFTA)forms;
HiringtemporarystafftoconductHousingQualityStandards(HQS)inspections,
orpre-inspect unitsthat HUD-VASHclientsarelikelyto rent;
Hiring temporary staff to provide HUD-VASH clients with housing search
assistance;
Hiringtemporarystafftoserveas aPortabilityCoordinatorforHUD-
VASHclients;
-VASH-stopresource for intake,issuingprovisional
vouchers,etc.;
Hosting Landlord Recruitment Fairs and other activities to engage landlords to
participatein theHUD-VASHprogram;
HoldingextrabriefingsforHUD-VASHclients;and
OtherservicestoensurethatHUD-VASHclientscanmoveintotheirnewhomes
withavoucherin theshortest time-period possible.
EXHIBIT 3
14
B.Category2FamilyUnificationProgramSpecialFees
PurposeoftheFUP:
FUPisaprogramunder whichHCVsareprovidedtotwodifferentpopulations:
1.Familiesforwhomthe lackofadequatehousing isaprimaryfactorin:
a.Theimminentplacementofthechildorchildreninout-of-
homecare, or
b.Thedelayinthedischargeofthechildor childrentothefamilyfrom
out-of-homecare.
2.For a period not to exceed 36 months, otherwise eligible youths who have
attained at least 18 years and not more than 24 years of age and who have left
foster care, or will leave foster care within 90 days, in accordance with a
transition plan described in section 475(5)(H) of the Social Security Act, and is
homeless or is at risk of becoming homeless at age 16 or older. PHAs administer
FUP in partnership with Public Child Welfare Agencies (PCWAs) who are
responsible for referring FUP families and youths to the PHA for determination
ofeligibility forrental assistance.
3.The 2020 and 2021 Acts included assistance to be targeted to foster youth.
HUDreferstothistargetedFUPassistanceastheFosterYouthtoIndependence
(FYI) program. FYI is a program under which HCV assistance is provided for a
period not to exceed 36 months, to otherwise eligible youths who have attained
atleast18yearsandnotmorethan24yearsofageandwhohaveleftfostercare,
or will leave foster care within 90 days, in accordance with a transition plan
described in section 475(5)(H) of the Social Security Act, and is homeless or is
at risk of becoming homeless at age 16 or older. PHAs administer FYI in
partnership with PCWAs who are responsible for referring youths to the PHA
fordetermination ofeligibility forrental assistance.
AwardInformation.HUDwillreserveupto$5,000,000forFUPSpecialFees,to
include FYI. Additional funds may become available for FUP Special Fees at the
discretionoftheSecretary.
Eligible Activities/Expenses. Under this notice, PHAs may apply for FUP Special Fees
to support necessary additional or extraordinary related administrative expenses incurred
toachieveeitherofthefollowing activities:
Full(100%)FUP/FYIvoucherutilization;and
Increaseaccesstotheprogramfor FUP-eligibleyouth.
To apply for these funds, applicants must justify or document actions specifically for
administering the FUP/FYI. Under this notice, eligible activities/expenses could include,
butarenotlimitedto:
Establishing a new/revised Memorandum of Understanding (MOU) with
thePCWAand otherpartners;
EXHIBIT 3
15
Working with community partners to establish and implement a system to
with the Continuum of Care (CoC), including integrating the prioritization and
referral process for eli
localCoC's coordinatedentry process;
Hiringtemporarystaffto processRFTAforms;
Hiring temporary staff to conduct HQS inspections or pre-inspect units
thatFUP/FYIclients arelikelyto rent;
Hiringtemporarystaffto provideFUP/FYIclients withhousingsearchassistance;
-stop resource for intake, issuing
provisionalvouchers, etc.;
Hosting Landlord Recruitment Fairs and other activities to engage landlords to
participatein FUP/FYI;
HoldingextrabriefingsforFUP/FYIclients;
OtherservicestoensurethatFUP/FYIclientscanmoveintotheirnewhomes
withavoucherin theshortesttimeperiod possible; and
Training PCWA, CoC, and other community partners on FUP/FYI and the HCV
Program.
C.Category3DisasterRelatedSpecialFees
In the event of a future allocation of disaster vouchers during CY 2021, PIH will
provideeligibilityandapplicationguidancefordisasterrelatedspecialfees
atthattime.
D.Category 4 Application for other Special Fees under The
Discretion
PurposeoftheDiscretionSet-aside:
The purpose of this set-aside is to provide Extraordinary Administrative Fee (EAF)
to cover administrative expenses incurred as the result of a situation outside of the
specific categories described within this notice. HUD will consider requests for
other unanticipated increases in Administrative Fees on a case-by-case basis.
Please note that requests for additional fees because of a lower national fee proration
willnot beaccepted.
Award Information. HUD will reserve up to $5,000,000 for other unanticipated
increasesin AdministrativeFeesona case-by-casebasis.
Eligible Activities/Expenses. Activities and expensesconsidered eligible under
Administrative Fees that are not covered under another special fee category are
eligibleforfunding undertheDiscretion.
Due to the limited nature of Special Fee funds available, payments made directly
toassisted families or individuals, such as transportation reimbursement, security
depositassistance, etc.,arenotconsidered eligibleexpenses.
EXHIBIT 3
16
8.HUD-VASH Funding. The 2021 Act provides $40,000,000 for new incremental vouchers
fortheHUD-VASHprogram.Asprovidedbythe 2021Act,voucherswillbeawardedbased
on geographic need and PHA administrative performance. HUD will issue comprehensive
guidanceon the2021 HUD-VASHallocationatalaterdate.
All PHAs are responsible for tracking new units and funding for special purpose vouchers
(SPVs), such as HUD-VASH vouchers, to include new incremental vouchers and renewals.
HUD-VASH funds can only be used for the intended purposes and are not subject to MTW
fungibilityprovisions.
9.Tribal HUD-VASH Renewals. The 2021 Act provides up to $5,000,000 of the amounts
forHAPRenewalsfortheTribalHUD-VASHprogram,whichprovidesrental
assistance and supportive services to Native American Veterans who are homeless or at-
risk of homelessness living in Indian Country. Guidance on the Tribal HUD-VASH
programis providedbyOfficeofNativeAmericanPrograms.
10.Mainstream Vouchers. The 2021 Act provides $314,000,000 for renewal funding and
administrative fees for Mainstream units. The renewal funding will be re-benchmarked
during CY 2021. Renewals are calculated based on validated Mainstream Vouchers leasing
and HAP expenses reported in VMS for the period January 1, 2020 to December 31, 2020.
PHA funding for Mainstream units is limited to such calendar year eligibility and HUD-held
Mainstream reserves. As with the regular voucher program, PHAs may not over-lease. (See
Section 22, below, for more information on over-leasing.) As in previous appropriations
Acts, the 2021 Act further clarifies that all existing Mainstream Voucher assistance shall be
provided to non-elderly persons with disabilities upon turnover.PIH Notice 2020-01
providesfurtherguidance.
AdministrativefeesaredisbursedbasedonthemostrecentMainstreamVoucherleasing
data in VMS and fee reconciliations are performed on a quarterly basis. In addition, the 2021
Act requires that the administrative and other non-HAP expenses of the PHAs administering
these vouchers shall be funded under the same terms and be subject to the same pro rata
administrative fee reductions that apply to all other PHAs administering vouchers under the
HCV Program. Consistent with the HCV Program, PHAs are not eligible to receive
reimbursementforhard-to-housefees and audit costs.
AllPHAs are responsible for tracking new units and new funding for SPVs. Mainstream
funds can only be used for the intended purposes. These funds are not subject to MTW
fungibilityprovisions.
The 2021 Act provides that the $110 million HAP set-aside for regular HCVs may also
be used to make adjustments to Mainstream Voucher renewal allocations for the
followingeligibility categories:
(1)Category1Prevention ofTerminationsDuetoInsufficient
Funding(Shortfall);
(2)Category2aUnforeseenCircumstances;and
(3)Category2bPortability.
EXHIBIT 3
17
Please see section 13 below for further details and the Mainstream PHA
applicationrequirements.
11.Family Unification Program (FUP). The 2021 Act provides $25,000,000 for new
incrementalvoucher assistancefor theFUP.Ofthisamount,$20,000,000islimitedtouse
on behalf of FUP-eligible youth under FYI, up to $10,000,000of which may be made
available non-competitively. HUD included the $10,000,000 in the Foster Youth to
IndependenceCompetitive Notice of FundingAvailability (NOFA), published on January
19,2021.Anyamountstobemadeavailablenon-competitivelywillbeannouncedthrougha
PIH notice under the FYI initiative (See Section 6). The remaining $5,000,000 will be used
to make awards under the 2019 FUPNOFA. These funds may be used on behalf of FUP-
eligiblefamilies and FUP-eligibleyouth.
The 2021 Act also provides that any PHA administering voucher assistance appropriated in
a prior Act under the FUP, or competitively under the 2021 Act, that determines that it no
longer has an identified need for such assistance upon turnover, shall notify the Secretary,
and the Secretary shall recapture such assistance from the agency and reallocate it to any
other PHA(s) based on need for FUP voucher assistance. This includes assistance made
non-competitive amounts and awards and will recapture and reallocate any unused amounts
inaccordancewiththe2021Act.HUDwillimplementtheseprovisionsthroughguidanceat
alaterdate.
All PHAs are responsible for tracking new units and new funding for Special Purpose
Vouchers.FUPfunds,includingthosemadeavailableundertheFYIinitiative,canonlybe
usedfortheintendedpurposes.ThesefundsarenotsubjecttoMTWfungibilityprovisions.
12.Housing Stability Vouchers. The 2021 Act provides $43,439,000for new incremental
voucherstargetedtoindividualsandfamiliesexperiencinghomelessnessandthoseat-risk
ofhomelessness as those terms are defined in the McKinney Vento Homeless Assistance
Act.HUDwill provide additional information at alaterdate.
13.InstructionsforApplyingforFundswithinthe$110MillionHAPSet-Aside.
HOW TO SUBMIT REQUESTS-PHAs must submit requests via electronic mail
(email)withtheappropriatesignedAppendicesF,G,H,I,andJalongwithallrequired
documentation and calculations (if applicable) must be submitted to HUD at the
followingmailbox: 2021Set-AsideApplications@hud.gov.
The subject line of the email must include the following: PHA Number, 2021 Set-Aside
Application(e.g., TX001, 2021 Set-AsideApplication).
HUD will automatically reject incomplete applications, including those missing
signatures. PHAs may resubmit complete applications within the application acceptance
period.
Additional Information as the 2021 Set-aside Relates to the American Rescue Plan
Act(ARPA)-HUDhasauthorityunderARPA(P.L.117-2),whichwasenactedon
EXHIBIT 3
18
funding allocation, including mainstream vouchers, for public housing agencies that
experience a significant increase in voucher per-unit costs due to extraordinary
circumstances or that, despite taking reasonable cost savings measures, would otherwise
Accordingly, HUD will use its discretion to prioritize the 2021 HAP set-aside or ARPA
funds for Shortfall Prevention and PUC Increases (referred to as Category 1 Prevention
of Terminations Due to Insufficient Funding (Shortfall) and Category 2a Unforeseen
Circumstances in this notice). Finally, the FMD will accept both Appendices under the
2021 HCV Funding Notice HAP set aside, Appendix F for Category 1 and Appendix G
for Category 2a) and the forthcoming ARPA Notice for these purposes, to ensure PHAs
donot haveto resubmit applicationsunderPUCIncreaseorShortfalls.
SET-ASIDECATEGORIESANDELIGIBILITYANDSUBMISSION
REQUIREMENTS:
A.Category 1 Prevention of Terminations Due to Insufficient Funding (Shortfall)
This category of HAP set-aside is for PHAs that, despite taking reasonable cost
savings measures as determined by the Secretary, would otherwise be required to
terminate participating families from the program due to insufficient funds, also
known as funding shortfalls. Note that there are two options related to shortfalls for
which PHAs may be eligible for funding under this category: the regular HCV
Programand/orMainstream Vouchers.
To be eligible for funding under this category, the PHA mustmeet the criteria
outlined below andmust submit 2021 Appendix F PHA Application for
Category1,PreventionofTerminationsDueto InsufficientFunding(Shortfall)and
PHA Certification of Reasonable Cost Savings Measures Undertaken to Prevent
TerminationofHCVParticipants DuetoInsufficientFunds.
In addition to preventing terminations in the regular HCV Program due to insufficient
funding, this set-aside funding is also available to prevent terminations of Mainstream
Vouchers. A PHA administering Mainstream Vouchers may apply for and receive
shortfallfunds inaccordancewith therequirements described below.
In cases where the Mainstream PHA also administers regular HCVs, the shortfall
determination is program specific (e.g., in determining whether the PHA is in a
confirmed shortfall with respect to Mainstream Vouchers, only Mainstream
Voucherfundingistakenintoconsideration,nottheregularHCVfunding).
A PHA that is experiencing a shortfall in the regular HCV Program and Mainstream
Vouchers must indicate the application is covering a request for funds for both
Mainstream and regular HCVs by checking both boxes on Appendix F Set-aside
funding awarded to the PHA is specific to either the Mainstream Vouchers or regular
HCVs and may not be used interchangeably by the PHA. For example, shortfall
funding awarded for Mainstream Vouchers may not be used for regular HCVs. HUD
willindicatethespecific amountandthetypeofvoucherthe fundingisdesignatedfor
intheaward letter.
EXHIBIT 3
19
Note: In determining a shortfall for HCV and/or Mainstream Vouchers and the
amount of funding to be provided, HUD will use the HCV Two-Year Projection
Tool. PHAs should refer to Appendix E of the notice, which provides the criteria
HUD will use to determine if the PHA has a HUD-confirmed shortfall and the
calculat-Year Forecasting Tool and the
instructions for it can be found through a link on theOffice of Housing Vouchers
website.
Depending on the number of applications and amount of total eligibility, HUD
reserves the rightto prioritize awards for the Prevention of Terminations Due to
Insufficient Funding (Shortfall) category and may need to prorate eligibility for other
categoriesoftheset-aside.
Inegregious situations, for PHAsnot followingHUD Shortfall Prevention
Team(SPT)guidanceonvoucherreissuance,HUDreservestherighttofurther
requireaPHAtorescindrecentlyissuedvoucherstoattainfullset-aside
eligibility.
PHAs with specific questions related to the calculation and determination of a HUD-
confirmed shortfall should contact the SPT at: 2021ShortfallInquiries@hud.gov.The
subjectlineoftheemailmustincludethenumber(for example,TX001).
PHAs applying for shortfall funding must send their application to
2021Shortfallapplications@hud.gov.The subject line of the email must include the
Application -HCV) and indicate if the application is for the regular HCV Program
and/orMainstream Vouchers orboth.
SUBMISSION:AppendixFasapplicable.
DEADLINE:The application period will remain open. PHAs may apply at any
time during the applicationperiod. PHAs that receive set-aside funds based on their
current HAP costs may find additional funding is needed later in the year; however,
theydonotneedtoreapplytoreceive additionalfunding.TheSPTwillautomatically
ity for additional funding and HUD will provide the
additional funding in accordance with its established set-aside funding priorities and
available funding. PHAs that have concerns about potential shortfalls should be in
contact with the HUD field office or SPT, regardless of whether they are currently in
ashortfall situation.
B.Category 2a -Unforeseen Circumstances: PHAs should be aware that an unforeseen
circumstance is an occurrence within or after the re-benchmarking period which the PHA
could not
adjustments for this category are based on cost increases occurring in CY 2021.
MainstreamVouchersareeligibleto applyforthiscategoryofset-aside funding.
EXHIBIT 3
20
i.PHA Eligibility. The 2021 Act provides that the cost increase must be significant,
as defined by the Secretary, for the PHA to be eligible for the unforeseen
-aide. HUD is establishing the
followingcriteria forsignificantcost increase:
Thelatestvalidated2021PUCperVMS mustbe102percentorgreater
(theCY2021 Renewal PUC)to beeligibleforfunding.
ii.Funding Award Calculations for PHAs. For PHAs (both Non-MTW and
MTW),thefundingaward amountwill becalculated asfollows:
a.
CY 2021 HAP renewal PUC. The increased PUC is calculated by dividing
HAP costs by unit months leased (UMLs) for the most recent month of total
HAP based on the most recent month provided by the PHA as part of the
HCV renewal Enclosure A, line 28, described as CY 2021 Inflated PerUnit
Cost.
amounton the
b.
and then by the remaining months in 2021 to determine the total funding
amount.
In the absence of PUC and UML data provided by the PHA, HUD will use the
mostrecentvalidatedVMS data availableto calculatePHAeligibility.
PHAExample:UnforeseenCircumstancesHAPSet-asideAward
In the absence of the PHA
providing the most recent
Most Recent Month's PUC
month'sPUC, HUDwilluse the
provided by the PHA (in this
most recent validated month of
1example,$500
VMSreporting
MTW renewal enclosures have a
CY2021PUC(2021HCV
different format. PUC
RenewalEnclosureA,line28for
informationcanbe foundbythe
Non-MTW,describedasCY2021
2$405proratedeligibilityamount.
InflatedPerUnitCost)
3DifferencebetweenthePUCs$95
Is the difference between to the 2
PUCs 2% or greater than the CY
2021PUC(Line1dividedbyLine
42,mustbegreaterthan1.02)?23%
In the absence of the PHA
providing the most recent
month's UML, HUD will use
themost recentvalidatedmonth
ofVMSreporting
5MostRecentMonth'sUnitsleased300
EXHIBIT 3
21
Unit months leased (Line 5 * 6Multiplied by the number of
61,800
Months)month'sremaininginCY2021.
7TotalRequest(Line3*Line6)$171,000
meets the eligibility
criteria for application review due to significant increased costs. The PHA is
eligible for $171,000. The next step is to ascertain if this is a Priority Application
-) or a
RegularApplicationtodeterminewhenthefundingwill bemadeavailable.
iii.Priority Status
expenses,the PHAapplicationqualifiesforprioritystatus.Forthisexercise,
reconciled December 31, 2020 HAP reserve balance and adjusting it to account
for the validated CY 2021 VMS data for HAP expenses and the budget authority
disbursed to the PHA for the same period. HUD will then take the most recent
validated month of expenses from VMS or the expense data provided by the PHA
(if it was included within their application) and adjust it by adding a 2 percent
margin to calculate adjusted HAP expenses. The adjusted reserve balance is
divided by the adjusted HAP expenses to determine if the PHA reserve balance is
lessthan theequivalentoftwo (2)months of HAPexpenses.
HUD will fully fund the priority applications before considering applications that
do not qualify as priority applications. If funding is insufficient to fully fund the
priority applications, HUD will prorate the funding awards for the priority
applications and will not fund non-priority applications. If there is funding
remaining after the priority applications have been fully funded, HUD will prorate
the funding for the non-priority applications if the remaining funding is
insufficientto fully fund thoseapplications.
withfour(4)months ormoreofreserveswill notbeconsideredforany
fundingunderthis category at this time.
SUBMISSION:To be eligible for funding under this category, a PHA must
submitthefollowing:
a.Completed Appendix G Application for $110 Million Set-Aside for Category
2aUnforeseenCircumstancestoincludePUCinformationwiththe
providedtables.
b.If the PHA is applying for a PUC increase related to an unforeseen
circumstance other than COVID-19, the PHA must also include a written
narrative describing the unforeseen circumstances that significantly increased
renewal costs in CY 2021. This narrative is not required if the unforeseen
circumstanceis related toCOVID-19.
For applications under the unforeseen circumstances Category 2a, it is important to
notethatPHAsmustsubmit allitems(a.andb.)abovebytheapplicationdeadlinefor
EXHIBIT 3
22
the application to be considered. Failure to provide any of the required documents
and informationwill resultin denial oftheapplication.
2021.
B.Category2b -Portability:Tobeeligibleforfundingunderthiscategory,thePHAmust
have experienced a significant increase in renewal costs due to portability for tenant-
basedrental assistanceunderSection8(r)oftheAct.
The 2021 Act provides that the set-aside is also available to assist PHAs that have
experienced a significant increase in Mainstream renewal costs due to portability. A
PHA may apply for and receive set-aside funds for Mainstream Vouchers under this
portabilitycategory.
In cases where the Mainstream PHA also administers the regular HCVs, the increased
cost due to portability determination is voucher funding specific (e.g., for Mainstream
Vouchers, HUD will consider only Mainstream Voucher portability costs and
A PHA that is experiencing increased renewal costs due to portability for both the
regular HCVs and their Mainstream Vouchers must check off both types on their
applicationattachment.
Set-asidefundingawardedtothePHAisvoucherspecificandmaynotbeused
interchangeably by the PHA. For example, HAP set-aside portability funding
awardedforMainstreamVouchersmaynotbeusedfortheirregularHCVs.
To determine eligibility and calculate funding under this category for regular HCVs,
HUD will compare the average HAP Per Unit Cost (PUC) for the re-benchmarking
period(January1,2020toDecember31,2020)to theaveragePort-outVouchersHAP
PUC based on year-to-date reporting in PIC (as of April 1, 2021). If the portability
average HAP exceeds 110% of the HCV Program-wide average HAP PUC for the re-
benchmarking period, the PHA will be eligible for set-aside funding. The difference
between the portability average PUC and 110% of the program-wide average PUC is
multiplied by the year-to-
reported in PIC, extrapolated to12 months.
To determine eligibility and calculate funding under this category for Mainstream
Vouchers, HUD will follow the same process, only all the PUCs and UMLs used will
beforMainstream Vouchers insteadoftheregularHCVs.
SUBMISSION: HUD calculates eligibility under this category, therefore, no
additional documentation will be required or accepted other than Appendix H, which
mustbecompleted, signed andsubmitted by thedeadlinedate.
2021.
EXHIBIT 3
23
C.Category 3 -PBVs: To be eligible for funding under this category, a PHA must show that
vouchers were withheld from use during the CY 2020 re-benchmarking period to be
available to meet a commitment for PBV assistance under Section 8(o)(13) of the Act.
Adjustments only apply to vouchers withheld pursuant to a PBV Agreement to Enter into
a Housing Assistance Payments Contract (AHAP) for newly constructed or rehabilitated
housing. Adjustments do not apply to existing housing, as there is no waiting period for
existing housing PBV commitments and accordingly, there is no need to withhold
vouchers for such commitments. Adjustments will not be made under any circumstances
forunitsunderanAHAPcommitmentthat,whenaddedtounitsunderleaseforCY2020,
been able to lease those withheld vouchers during CY 2021 due to the restriction on over-
leasing.)
MainstreamVouchersarenoteligibleforset-asidefundsunder category3-PBVs.
The 2021 Act provides that in addition to vouchers that were not in use during the
previous 12-month period in order to be available to meet a PBV commitment, an
expended in the
previous calendar year for a MTW-eligible activity to develop affordable housing for an
agency added to the MTW demonstration under the expansion authority provided in
section 239 of the Transportation, Housing and Urban Development, and Related
Agencies Appropriations Act, 2016 (division L of Public Law 114
because the first PHAs selected for the MTW expansion under the 2016 Act did not
formally join the MTW demonstration until CY 2021, no such MTW-eligible activity
funding obligation could have been made in CY 2020. Consequently, this expansion
MTW PHA adjustment will not factor into the FY 2021 HAP renewal set-aside funding
award process. It is anticipated that this category will be available in CY 2022, subject to
appropriations.Additional informationwill beprovidedat alaterdate.
SUBMISSION:PHAsaretosubmitthedocumentsbelowasfollows:
1.AHAP:ForeachPBVcommitmentforwhicha requestisbeingmadeunderthis
category, the PHA must provide, fromPart 1 of the executed Agreement to
Enter into a HAP Contract (AHAP) for New Constructions/Rehabilitation,
thefollowing:
a.The page which identifies the parties to the AHAP (both the Housing
Authorityand theowner);
b.Identificationoftheproject;
c.Section1.1Awhichidentifiestheeffectivedateof theagreement;
d.Section1.1Bwhichidentifiesthedateofthecommencementofthe work;
e.Section1.1Cwhichidentifiesthetimeforcompletionofthework;
f.Exhibit C which identifies the units by size and applicable initial contract
rentsfortheunits to beproject-based;
g.If the project is to be completed in stages: Exhibit E that identifies the
schedule of completion of stages (if applicable). (This exhibit shall identify
theunits in each stage.);and
EXHIBIT 3
24
h.SignaturepagethatprovidesthesignatureofboththeHousingAuthorityand
theownerandthedates theAHAPwas signed.
2.HAP Contract: To be eligible for set-aside funding, the HAP contract must be
executed within CY 2021. If the HAP Contract has not been executed by the
application submission date, the PHA must state when the HAP contract will be
executed. If the HAP contract has been executed by the application
submission date, the PHA must provide, fromPART 1 of the HAP Contract
forNewConstructionsorRehabilitation,thefollowing:
a.The page which identifies the parties to the HAP Contract (both the Housing
Authorityand theowner);
b.ExhibitAwhichidentifiesthetotalnumberofunitsintheproject coveredby
the HAP Contract; the initial Contract Rent to owner, and the number and
descriptionofthecontract units;
c.If the project is to be completed in stages: in addition to item b. described in
also identify the units to be completed in each
phasecovered by theHAP Contract;
d.Exhibit B which identifies the services, maintenance and utilities to be
providedby theowner;
e.ExhibitCwhichidentifiestheutilitiesavailableinthecontractunit,including
a listing of utility services to be paid by the owner (without charges in
additionto therent toowner)and utilitiesto bepaid by thetenant;
f.Section2awhichidentifiestheinitialtermofthecontract;and
g.Signature page which provides the signature of both the Housing
Authorityandtheowner andthedatestheHAPwassigned.
3.CompletedandsignedAppendixI,PBVData(foreachproject-based
commitment).
2021.
E.Category 4 -HUD-VASH: For PHAs administering HUD-VASH vouchers that can
demonstrateaneedforadjustmentfundingforatleastoneofthefollowingsituations:
1.PUC Increase: For PHAs whose program-wide funded CY 2021 HAP PUC is
less than their current HUD-VASH HAP PUC, based on their latest HUD-
VASH HAP expenses in CY 2021. HUD will calculate eligibility under this
category. Eligibility is determined by comparing the highest HUD-VASH PUC
for CY 2021 to the program-wide funded prorated HAP PUC, then multiplying
thedifferencebetween thePUCs by thefundedUMLs.
2.Leasing Increase: For PHAs whose total HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their renewal funding, plus the leasing that
will be supported by the RNP and HUD-Held Program Reserves, HUD will
calculateeligibilityunderthiscategory.Eligibilityisdeterminedbyadding
EXHIBIT 3
25
UMLs for all the CY 2021validated VMS data available to a projection for the
remainder of the CY and comparing that total to the initial funded HUD-
VASH UMLs (limited to 100% of the PHAs UMAs), then multiplied by the
CY2021 PUC.
SUBMISSION: No additional documentation will be required or accepted other
thana completedand signed AppendixH.
DEADLINE: No later than 5 p.m., per t
2021oruntil funding isdepleted.
F.Category 5 Lower-than-average Leasing: To be eligible for funding under this
category, the PHA must be leasing a lower-than-average percentage of their
authorized vouchers, have low amounts of budget authority in their net restricted
assetaccountsandHUD-heldprogrammaticreserves,relativetootheragenciesand
arenot participating in theMTWdemonstration.
Eligibility for this category of set-aside funding will be determined using December
31, 2020 leasing and reserves, by first separating PHAs by size, small (0 249 units),
medium (250 499 units) and large (500 or more units). Second, determining the
average leasing as well as average reserves based on PHA size. Next, the eligibility
th
will be limited to PHAs that are below both the 25percentile of average leasing and
th
below the 25percentile of median reserves based on PHA size. Regardless of PHA
orized
units.
PHAs must lease additional vouchers with this award. If PHAs need assistance
withthenumberofvouchersforreissuance,theymaycontacttheirlocalFieldoffice
representative. The field will be able to assist with developing a leasing plan to
maximize the use of this award. PHAs receiving awards under the Lower-than-
average Leasing category that also experience a Shortfall in CY 2021, please see the
list ofexceptions provided in Appendix F.
Note: The link that accompanies this noticeprovides a list of PHAs that are eligible
toapply forthis categoryofset-asidefunding.
TheawardamountwillbedeterminedbyofPHAneed.
SUBMISSION: To be eligible for funding under this category, a PHA must submit
thefollowing:
a.SignedAppendixHApplicationfor$110MillionSet-AsideforCategory 5
Lower-than-AverageLeasing;
b.A written narrative that describes leasing need. This narrative will include the
following:
1.The amount of inventory of units in their jurisdiction, withthe source
ofthis information identified;
2.Thetotalnumberoffamiliesontheirwaitinglist;and
EXHIBIT 3
26
3.Assertion that the PHA has the administrative capacity to issue the
vouchersand get thefamilies intotheunits.
DEADLINE: No later than 5
2021.
NOTE: PHAs that apply for Category 5 set-aside funding may come in for
that do not have the required administrative capacity nor the administrative reserves
necessary to get these vouchers leased. Please refer to the following section for
detailsonhow toapply:Section7.FundingforAdministrative Costs,B.Special
Fees, 5. Special Fees Needed for Administration of Section 8 Tenant-Based Rental
Assistance Program, D. Category 4Application for Other Special Fee Under The
Discretion.
G.Category 6 Disaster: To be eligible for funding under this category, the PHA must
have experienced increased costs or loss of units in an area for which the President
declared a disaster under title IV of the Robert T. Stafford Disaster Relief and
Emergency Assistance Act (42 U.S.C. 5170 et seq.) in CY 2020 or CY 2021, except
for the COVID-19 declaration. The funding provided through this category will
addresstheimpact disasters havehad on CY2021expenses.
1.Loss of Units Due to Disaster. This adjustment is provided to assist the PHA in
authorizedunits,tohelpaddresshousingneedsintheimpactedcommunity.HUD
willusethemostrecentlyreportedandvalidatedVMSdatatodetermine
the number of units currently under lease. HUD will use the higher of: (1) the
-
monthaverageforthemostrecentreportedandvalidatedVMSdatatodetermine
the PUC to calculate the funding adjustment. However, if the PHA requests and
s request for an increased PUC, the approved PUC will
be used to calculate the increased leasing adjustment, as well as to make the
increasedPUCadjustmentfortheHCVProgramasawhole.
SUBMISSION: To be eligible for funding under the Loss of Units due to
Disastercategory, aPHAmust submitthefollowing:
a.Appendix J CY 2021 Housing Choice Voucher Program Request for
DisasterSet-aside;
b.Written narrative, detailing the impact of the disaster that has caused a loss of
assessment of the availability of rental housing stock in the
PHAsjurisdiction,adescriptionofanyplansinthe jurisdictiontoincrease
-
base additional vouchers to increase the supply of units available to voucher
andifthewaiting listiscurrently open orclosed;
c.Evidencetosupportthenarrative;and
d.Thenumberofmonthsimpacted in CY2021 by theloss ofunits.
EXHIBIT 3
27
2.Increased Costs. The PHA may request an adjustment for a higher PUC. The
requested PUC must be higher than the higher of the most recent reported and
validated PUC in VMS or the most recent three-month average reported and
validated in VMS. The requested adjustment must be supported by
documentation that the PHA is required to include with their application. For
example, the PHA may provide data supporting the higher requested PUC by
providingPICdataforrecentnew admissionsand/orrecentmoversorotherdata
supportingits requestforafunding adjustment.
SUBMISSION: To be eligible for funding under this category, a PHA must
submitthefollowing:
a.AppendixJCY2021HousingChoiceVoucherProgramRequestforDisaster
Set-aside;
b.Written narrative detailing the impact the disaster had in causing the increased
costs,thePUC requested;
c.Evidence to support the narrative (how the requested PUC was determined);
and
d.Thenumberofunit monthsimpactedby theincreasedcosts.
For applications under the disaster category, category 6, it is important to note that
PHAs must submit all items (a. through e.) above by the application deadline for
the application to be considered. Failure to provide any of the required
documents, including the PHA calculation of the increased costs, will result in
denialoftheapplication.
2021 or until funding has been depleted. The Secretary reserves the right to
accept additional applications for this category of HAP Set-aside for
PresidentiallyDeclaredDisasters thatoccurafterOctober1,2021.
QuickReferenceand TimelineSheet forHAP Set-AsideFunds:
CategoryDeadlinePHAsmustsubmitAre Mainstream
VouchersEligible?
Yes
1.ShortfallFundsWillremainopen
2021Appendix F
Yes
2a. Unforeseen
05/14/2021
2021CompletedAppendix G
Circumstances
WrittennarrativedescribingtheU/Cincases
wheretheU/CisnotrelatedtoCOVID-19
2b.Portability05/14/2021Yes
2021Appendix H
No
2021Appendix H
3.PBV
05/14/2021
AppendixI for eachproject
EXHIBIT 3
28
AHAPForeachPBVproject:
Identification of the project;
fromPart1of theAHAP;
ThepagethatidentifiesthepartiestotheAHAP
(boththeHousingAuthorityandtheowner);
Section 1.1A which identifies the effective date of
theagreement;
Section 1.1B which identifies the date of the
commencementofthe work;
Section 1.1C which identifies the time for
completionofthe work;
Exhibit C which identifies the units by size and
applicable initial contract rents for the units to be
project-based;
If the project is to be completed in stages: Exhibit
E which identifies the schedule of completion of
stages (if applicable) (This exhibitshall identify
theunitsineachstage);and
Signature page which provides the signature of
both the Housing Authority and the owner and the
datesthe AHAP wassigned.
HAP Contract: Tobeeligibleforset-asidefunding,
the HAP contract must be executed within CY2021. If
the HAP Contract has not been executed by the
application submission date, the PHA must state when
the HAP contract will be executed. If the HAP
contract has been executed by the application
submission date, the PHA must provide, fromPART
1 of the HAP Contract for New Constructions or
Rehabilitation,the following;
The page which identifies the parties to the
HAP Contract (both the Housing Authority and
the owner);
Exhibit A which identifies the total number of
units in the project covered by the HAP Contract;
the initial Contract Rent to owner, and the number
and descriptionof the contractunits;
If the project is to be completed in stages: in
addition to item b. described in the above AHAP
section that states the requirement for the
also identify the units to be completed in each
phasecoveredby the HAPContract;
Exhibit B which identifies the services,
maintenance and utilities to be provided by
the owner;
Exhibit C which identifiesthe utilities available in
the contract unit, including a listing of utility
services to be paid by the owner (without charges
in addition to the rent to owner) and utilities to be
paid bythe tenant;
Section 2a which identifies the initial term of the
contract;and
Signaturepagewhich providesthe signature
ofboththeHousingAuthorityandtheowner
andthedatestheHAPwassigned.
EXHIBIT 3
29
CategoryDeadlinePHAsmust submitAre Mainstream
VouchersEligible?
Note:Failuretoprovidetherequireddocumentation
listedabovewillresultin denialoftheapplicationfor
fundsunderthiscategory.
4.HUD-VASH
10/1/2021No
AppendixHwith a. and/orb.marked.
a.Per Unit Cost Increase: For PHAs whose
program-wide funded CY 2021 HAP
PUC is less than their current HUD-
VASH HAP PUC based on their latest
HUD-VASH HAP expenses in CY 2021,
HUD will calculate eligibility under this
category. Therefore, no additional
documentation will be required or
accepted other than Appendix H, which
must be completed, signed and submitted
bythedeadlinedate.
and/or
b.Leasing Increase: For PHAs whose
HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their
renewalfunding,plustheleasingthatwill
be supported by the RNP and HUD-Held
Program Reserves, HUD will calculate
eligibility under this category. Therefore,
no additional documentation will be
requiredoracceptedotherthanAppendix
H, which must be completed, signed and
submittedbythedeadlinedate.
5. Lower-than-
05/14/2021No
Signed Appendix H Application for $110
Averageleasing
Million Set-Aside for Category 5 Lower-than-
AverageLeasing;
o A written narrative that describes
leasing
need. This narrative will include the
following:
Theamountofinventoryofunits
in their jurisdiction, to include
thesourceofthisinformation;
The total families on
theirwaitinglist;and
Assertion that the PHA has the
administrative capacity to get the
familiesintothe unit.
resultinarejectionoftheapplicationforLower-
than-Averageleasing.
EXHIBIT 3
30
Are Mainstream
CategoryDeadlinePHAsmust submit
VouchersEligible?
6.Disaster
10/1/2021
No
LossofUnitsCategoryofDisaster:Completed
Appendix J CY 2021 Housing Choice Voucher
ProgramRequestforDisasterSet-aside;
Written narrative, detailing the impact of the
disasterthathascausedalossofunits,the
assessment of the availability of rental housing
stock in the PHAs jurisdiction, a description of
any plans in the jurisdiction to increase the
availabilityofrentalstock,whichmayincludethe
plantoproject-baseadditionalvouchersto
increase the supply of units available to voucher
families, and the number of families currently on
theHCVwaitinglistandifthewaitinglist
iscurrentlyopenorclosed;
Evidencetosupportthenarrative;and
The number of months impacted in CY 2021
by the lossofunits.
Increased Costs Category of Disaster:
CompletedAppendixJCY2021HousingChoice
VoucherProgramRequestforDisasterSet-aside;
Written narrative detailing the impact the
disaster had in causing the increased costs, the
PUCrequested;
Evidencetosupportthenarrative(howthe
requestedPUCwasdetermined);and
The number of months impacted in CY 2021 by
thelossofunits.
Failuretoprovidetheitemsidentifiedabove,WILL
resultina rejectionoftheapplicationfor
Disaster.
14.FY2020HAPSet-AsideFundsPUCIncreasesduetoUnforeseenCircumstances
Round2:ELIGIBILITYANDSUBMISSIONREQUIREMENTS
A.Background. The Further Consolidated Appropriations Act, 2020 (P.L. 116-94,
to set-aside up to $100 million of the HAP renewal appropriations to make funding
the eligible categories for set-aside HAP funding under the 2020 Act was an adjustment
for PHAs that experienced a significant increase, as determined by the Secretary, in
renewal costs of vouchers resulting from unforeseen circumstances or portability.PIH
Notice 2020-04,Implementation of the FFY 2020 Funding Provisions for the HCV
Program, issued March 31, 2020 provided details about the set-aside categories,
eligibility requirements and submission deadlines. The deadline to submit an application
for a funding adjustment for a significant increase in voucher costs resulting from
unforeseencircumstances(category2aunderPIH Notice2020-04)wasMay15,2020.
EXHIBIT 3
31
Increasedcostsattributabletoportabilitywereaddressedthroughaseparateapplication
andfunding process, 2b-Portability,underthePIHNotice-2020-04.
Approximately $60 million remains from the $100 million originallyset aside by HUD
with the 2020 Act. Due to the unprecedented increase in voucher costs during CY 2020
and the continued impact of the COVID-19 pandemic, HUD has decided to provide a
2020 HAP costs may be eligible to apply for and receive funding from the CY 2020 set-
asidefunding underthissecond round.
This Second Round 2020 Unforeseen Circumstances funding is available to provide
adjustments for increased costs that the PHA experienced in CY 2020. PHAs that
experience increased costs in CY 2021 must apply for an adjustment for those increased
costsfromtheCY2021HAPset-aside(seesection13.B.,Category2a,above).Sincethis
funding is being awarded after the calendar year for which the funding adjustment is
beingmade,HUDisrevisingtheprocesssetforthforinPIHNotice2020-04forboththe
VMSforCY2020todeterminetheadjustmentnecessarytocovertheincreasedcosts.
B.Applications.PHAswillbeconsideredforSecondRound2020Unforeseen
Circumstancesfunding in oneoftwo ways:
8
(1)Unfunded CARES Act applications.In this instance, the PHA previously
submitted an eligible application for CARES Act supplemental HAP funding for
HCV PUC increases in accordance withPIH Notice 2020-17but the application was
not funded because there was insufficient CARES Act funding remaining to do so.
These PHAs will automatically beconsidered for Second Round 2020 Unforeseen
increased costs in CY 2020 must meet the increased cost threshold described below.
Additionally,thefundingawardissubjecttoalltherequirements,includingthe
fundingcalculationandprioritystatusdetermination,outlinedlaterinthissection.
Mainstream Vouchers are not eligible for adjustments under the 2020 set-aside.
Consequently,requestsforMainstreamVoucherPUCadjustmentsarenoteligiblefor
Second Round 2020 Unforeseen Circumstances funding, regardless of whether the
PHApreviouslysubmittedanunfundedCARESActapplicationunderPIHNotice
8
Congress appropriated $400 million in supplemental HAP funding inthe Coronavirus Aid, Relief, and Economic
SecurityAct(CARESAct)(PublicLaw116-136),enactedonMarch27,2020.ThissupplementalHAPfundingwas
made available for PHAs that either (1) experience a significant increase in voucher PUC due to extraordinary
circumstances, or (2) despite taking reasonable cost saving measures, as determined by the Secretary, would otherwise be
requiredtoterminaterentalassistanceforfamiliesasaresultofinsufficientfunding.HUDissuedPIHNotice2020-17,
CARESActHousingChoiceVoucher(HCV)ProgramHousingAssistancePayments(HAP)SupplementalFunding,
onJuly30,2020,whichprovidedinformationonhowPHAscouldapplythatfunding.TheCARESActsupplemental
HAPfundinghasbeenawardedinaccordancewiththatnotice,however,HUDwasunabletofundalleligibleapplications
forincreasedPUCbecausetheneedexceededtheavailablefunding.
EXHIBIT 3
32
2020-17. PHAs that submitted a CARES Act application that covered both regular
HCV and Mainstream Vouchers will be considered for Second Round 2020
Unforeseen Circumstances funding but only with respect to the 2020 increased costs
fortheirregularvouchers.
(2)Appendix K application submitted by the PHA. All other PHAs may choose to
apply directly for Second Round 2020 Unforeseen Circumstances funding in
accordance with the application submission requirements listed below, with the
exception of PHAs wishing to apply for increased costs for Mainstream Vouchers.
MainstreamVouchersarenoteligibletoreceive2020 HAP set-asidefunds.
The PHA may apply for funding for its HAP cost increase in CY 2020 if the
unforeseen circumstance was COVID-19 or if the unforeseen circumstance
wasunrelated to COVID-19.
Applicationsubmissionrequirements.ThePHAmustsubmit:
A completed and signed Appendix K, Second Round CY 2020 HAP Set-Aside
Remaining $60 Million for Category 2aUnforeseen Circumstances, which is
attachedto this notice.
If the PHA is applying for a PUC increase related to an unforeseen circumstance
other than COVID-19, the PHA must also include a written narrative describing
the unforeseen circumstances that significantly increased renewal costs in CY
2020.ThisnarrativeisnotrequirediftheunforeseencircumstanceisCOVID-19.
DEADLINE:Nolater than5p.m.,perthetimezone,Friday,May14,2021.
HOW TO SUBMIT REQUESTS -PHAs must submit requests via electronic mail
(email) with the signed Appendix K along with all required documentation (if
applicable)to:2020COVIDHCV@hud.gov.
The subject line of the email must include the following: PHA Number, CY 2020
Set-AsideApplicationSecondRound(e.g.,TX001,CY2020Set-AsideApplication
Second Round).
C.IncreasedCostThreshold.The 2020Actprovidesthatthecostincreasemustbe
significant,asdeterminedbytheSecretary,forthe PHAtobeeligibleforset-aside
fundingduetounforeseencircumstances.FortheSecondRound2020Unforeseen
Circumstancesfunding,HUDisestablishingthefollowingcriteriaforthecostincrease
to besignificant:
UMLs reported and validated in VMS) must be 102 percent or greater than the PUC
HUD used to
RenewalPUC)to beeligibleforfunding.
EXHIBIT 3
33
D.FundingAwardCalculationsforPHAs.Thefundingawardamountwillbecalculated
asfollows:
HUD determines the difference between
CY2020 HAP renewal PUC.
TheActual2020PUCiscalculatedbydividingthetotalCY2020
HAPcosts by total CY2020 UMLs.
renewalEnclosureAonline29,whereitisdescribedastheCY2020
InflatedPUC.
fundingamount.
If the PHA was previously awarded funding under either the CY 2020-Unforeseen
Circumstances category or the CARES Act HAP Supplemental Funding for PUC
Increases,thepreliminaryfundingamountwillbereducedbytheamountoftheprevious
fundingaward(s)to determinethefundingeligibility.
ExampleFundingEligibilityCalculation
1Actual2020PUC$800
2CY2020 PUC(2020HCV$705
RenewalEnclosureA, line29,
described as CY 2020 Inflated Per
Unit Cost)
3DifferencebetweenthePUCs$95
4Isthe difference between to the twoYes
13.4%
PUCs 2% or greater than the CY
(800/705=1.134)
2020PUC(Line1dividedbyLine2,
mustbegreaterthan1.02)?
5CY2020UnitMonthsLeased4800
6EligibleFunding(Line3*Line5)$456,000
7PreviouslyAwardedCARES$0
ActHAPSupplementalFunding
and 2020 Set-aside Round One
UnforeseenCircumstances
8Fundingeligibility(Line7Line8)$456,000
E.Priority Status
that would have
12/31/2020 HAP reserve balance. HUD will then divide the total validated 2020 HAP
expenses from VMS by 12 to determine the CY 2020 average monthly HAP expenses. If
thatamountmultipliedby2exceedsthe2020HAPreservebalance,thePHAapplication
qualifiesforPriority Status.
EXHIBIT 3
34
HUD will fully fund the priority applications before considering applications that do not
qualify as priority applications. If funding is insufficient to fully fund the priority
applications, HUD will prorate the funding awards for the priority applications and will
not fund non-priority applications. If there is funding remaining after the priority
applications have been fully funded, HUD will prorate the funding for the non-priority
applicationsiftheremainingfundingisinsufficienttofullyfundthoseapplications.
15.Moving To Work Agencies
determined pursuant to their Standard MTW Agreements and appropriations requirements.
HUD is directed by the 2021 Act to apply the same proration factor to the HCV HAP renewal
allocations and administrative fee eligibility for MTW agencies as is applied to all other PHAs.
All MTW agencies may utilize their funds in accordance with their Standard MTW Agreements
ortheMTWOperationsNotice.
16.ExcludedPrograms.Theprovisionsimplementedbythisnoticedonotapplytorenewal
fundingfortheModerateRehabilitationProgramorSingleRoomOccupancy(SRO).
17.HCV Financial Management. HUD is focused on ensuring that PHAs appropriately
manage their HCV Programs within the funding provided for the CY and existing Restricted Net
Position (RNP) and HUD-Held Program Reserves. PHAs are encouraged to use the Two-Year
ForecastingTool to assist them in theirbudgeting and leasing plans.
18.HAP Disbursements and Frontloading. PHAs receive monthly disbursements from their
budgetaryallocationsinaccordancewiththecashmanagementprocedures inPIHNotice2017-
06.PHAs may request a frontload when monthly disbursements and available RNP and HUD-
held reserves willnot cover expenses for the month. PHAs may request a frontload via the two-
year tool or by submitting a request to the FMC FA. PHAs will be required to provide HAP
expenses not yet reported in VMS and actual HAP expenses for the period requested. The
frontload will be limited to the amount necessary to cover the actual HAP expenses. PHAs in
need of a frontload during the year and have excess SPV funding available in their RNP, will be
provided with a frontload that does not consider their available SPV funds as SPV funds may
only be used for their intended purposes. PHAs must remember that frontloading early in the
CYaffects theamounts availablein latermonths in theCY.
19.UseofHAPandHAPRNP/HUD-HeldProgramReserves.PHAsareremindedthatfunds
inthe HAP RNP account and HUD-Held Program Reserves shall only be used for eligible HAP
needs in the current CY. CACC requires PHAs to use HAP funding to cover housing assistance
payments. HAP and/or PHA reserves (HAP RNP and HUD-held reserves) shall not under any
circumstances be used for any other purpose, such as to cover administrative expenses or be
loaned, advanced, or transferred (referred to as operating transfers due to/due from) to other
component units or other programs such as the Low-Rent (PublicHousing) program. Use of
HAPforanypurposeotherthaneligibleHAPneedsisaviolationoflaw,andsuchillegalusesor
transfers may result in sanctions and possible declaration of breach of the ACC. Current year
fundingmaynotbeusedforprioryearcosts,includingbyMTWagencies.
IninstanceswhereaPHAisfoundtohavemisappropriatedHAPand/orHAPRNP/HUD-held
reservefundsbyusingthefundsforanypurposeotherthanvalidHAPexpensesforunitsupto
thebaseline,HUDrequirestheimmediatereturnofthefundstotheHAPorHAPRNP/HUD-
EXHIBIT 3
35
held reserves account. HUD may take action, including suspension and debarment, against a
PHA or any party that has used HAP funds and/or the HAP RNP/HUD-held reserves account
fornon-HAP purposes.
20.UsesofAdministrativeFees.ForproperusesandreportingofAdministrativeFeesand
-17:Use and Reporting of Administrative Fee
Reserves.
21.VMS/FASSReportingandDataIntegrity.PHAsmustcontinuetosubmitrequired
financialdocumentsincluding,butnotlimitedto,monthlyVMSandannualFASSelectronic
submissions.PHAsthatdonotsubmittherequireddatabythereportingdeadlinemaybe
sanctionedasprovidedby24CFR982.152(d),andinaccordancewiththeproceduresoutlined
inPIHNotice2021-08oranysuccessornotice.PHAsthatfailtomeetthesubmission
requirementsmaybesubjecttoadministrativeactions,includingbutnotlimitedto,an
impositionofapenaltyagainstthemonthlyadministrativefeesuntilthePHAcomplies
withtheserequirements.ThispenaltyrepresentsapermanentreductionforthecurrentCYthat
shallnotbereversed.
22.Prohibition on Over-leasing. The 2021 Act prohibits the use of appropriated HAP funds
by any PHA, except for PHAs in the MTW demonstration, to lease units above their CACC
baseline units during any CY, even if the PHA has sufficient budget authority (BA) and/or
RNP to support the additional units. If a PHA engages in over-leasing, it must identify other
eligible sources to pay for the over-leasing, and the PHA must take immediate steps to
eliminate any current over-leasing. Renewal funding allocations will not include over-leased
units. Renewal funding eligibility will be reduced based on the number of over-leased unit
months and the average PUC during the re-benchmark period. PHAs must still report all over-
leasinginVMSandmust alsoreport$0 HAPsintheappropriatecategoriesinVMS.
23.Use of Outside Sources of Funds. HUD issuedPIH Notice 2013-28,Guidance on the Use
of Outside Sources of Funds in the HCV Program. HUD recommends that all PHAs carefully
reviewtheinformation contained in thenotice.
24.Paperwork Reduction Act. The additional information collection requirements contained
in this document are approved by the Office of Management and Budget (OMB) under the
Paperwork Reduction Act of 1995 (44 U.S.C. 3501-3520). The OMB control number is 2577-
0169.InaccordancewiththePaperworkReductionAct,HUDmaynotconductorsponsor,
and a person is not required to respond to, a collection of information unless the collection
displaysacurrently valid OMBcontrol number.
EXHIBIT 3
36
25.FurtherInformation.AnyquestionsconcerningthisNoticeshouldbedirectedtoHousing
VoucherFinancialManagementDivision,Office ofPublicHousingandVoucherPrograms,at
(202)708-2934(thisisnotatoll-freenumber).
Personswithhearingorspeechimpairmentsmay accessthesenumbersviaTTYbycalling
thetoll-freeFederalInformation RelayServiceat (800)877-8339.
/s/
DominiqueBlom
GeneralDeputyAssistantSecretary
forPublicandIndianHousing
EXHIBIT 3
37
Appendix A
FurtherConsolidated AppropriationsAct, 2021(PublicLaw116-260)
Tenant-BasedRentalAssistanceOverallFundingandRenewals:
For activities and assistance for the provision of tenant-based rental assistance authorized under the
not otherwise provided for, $21,777,439,000, to remain available until expended, which shall be
available on October 1, 2020 (in addition to the $4,000,000,000 previously appropriated under this
heading that shall be available on October 1, 2020), and 5 $4,000,000,000, to remain available until
expended, which shall be available on October 1, 2021: Provided, That the amounts made available
under this heading are provided as follows: (1) $23,080,000,000 shall be available for renewals of
expiring section 8 tenant-based annual contributions contracts (including renewals of enhanced
vouchers under any provision of law authorizing such assistance under section 8(t) of the Act) 14 and
including renewal of other special purpose incremental vouchers: Provided, That notwithstanding any
other provision of law, from amounts provided under this paragraph and any carryover, the Secretary
forthe calendaryear2021 fundingcycleshallproviderenewalfundingfor eachpublichousing
agency based on validated voucher management system (VMS) leasing and cost data for the prior
calendar year and by applying an inflation factor as established by the Secretary, by notice published
intheFederalRegister,andbymakinganynecessaryadjustments forthecostsassociatedwiththe
first time renewal of vouchers under this paragraph including tenant protection and Choice
Neighborhoods vouchers: Provided further, That none of the funds provided under this paragraph may
authorized levelofunits under contract,exceptforpublichousing agencies participatinginthe
Moving to Work (MTW) demonstration, which are instead governed in accordance with the
requirements of the MTW demonstration program or their MTW agreements, if any: Provided further,
That the Secretary shall, to the extent necessary to stay within the amount specified under this
allocation otherwise established pursuant to this paragraph: Provided further, That except as provided
in the following provisos, the entire amount specified under this paragraph (except as otherwise
modified under this paragraph) shall be obligated to the public housing agencies based on the
allocation and pro rata method described above, and the Secretary shall notify public housing agencies
of their annual budget by the latter of 60 days after enactment of this Act or March 1, 2021: Provided
further, That the Secretary may extend the notification period with the prior written approval of the
House and Senate Committees on Appropriations: Provided further, That public housing agencies
participating in the MTW demonstration shall be funded in accordance with the requirements of the
MTW demonstration program or their MTW agreements, if any, and shall be subject to the same pro
rata adjustments under the previous provisos: Provided further, That the Secretary may offset public
-held programmatic reserves (in accordance
with VMS data in calendar year 2020 that is verifiable and complete), as determined by the Secretary:
Provided further, That public housing agencies participating in the MTW demonstration shall also be
subject to the offset, as determinedby the Secretary, excluding amounts subject to the single fund
funding allocation: Provided further, That the Secretary shall use any offset referred to in the previous
two provisos throughout thecalendar yearto preventtheterminationof rentalassistanceforfamilies
as the result of insufficient funding, as determined by the Secretary, and to avoid or reduce the
proration of renewal funding allocations: Provided further, That up to $110,000,000 shall be available
only:(1) for adjustmentsin the
EXHIBIT 3
38
allocationsforpublichousingagencies,afterapplicationforanadjustmentbyapublichousing
agency that experienced a significant increase, as determined by the Secretary, in renewal costs of
vouchers (including Mainstream vouchers) resulting from unforeseen circumstances or from
portability under section 8(r) of the Act; (2) for vouchers that were not in use during the previous 12-
month period in order to be available to meet a commitment pursuant to section 8(o)(13) of the Act, or
an adjustment for a funding obligation not yet expended in the previous calendar year for a MTW-
eligible activity to develop affordable housing for an agency added to the MTW demonstration under
the expansion authority provided in section 239 of the Transportation, Housing and Urban
Development,andRelatedAgenciesAppropriationsAct,2016(divisionL ofPublicLaw114113);
(3) for adjustments for costs associated with HUDVeterans Affairs Supportive Housing (HUD
VASH) vouchers; (4) for public housing agencies that despite taking reasonable cost savings
measures, as determined by the Secretary, would otherwise be required to terminate rental assistance
for families,including Mainstream families, as a result of insufficient funding; (5) for adjustments in
the allocations for public housing agencies that (i) are leasing a lower-than average percentage of their
authorized vouchers, (ii) have low amounts of budget authority in their net restricted assets accounts
and HUD-held programmatic reserves, relative to other agencies, and (iii) are not participating in the
Moving to Work demonstration, to enable such agencies to lease more vouchers; and (6) for public
housing agencies that have experienced increased costs or loss of units in an area for which the
President declared a disaster under title IV of the Robert T. Stafford Disaster Relief and Emergency
Assistance Act (42 U.S.C. 5170 et seq.): Provided further, That the Secretary shall allocate amounts
underthepreviousproviso based onneed,asdeterminedby theSecretary;
TenantProtection:
$116,000,000 shall be for section 8 rental assistance for relocation and replacement of housing units
that are demolished or disposed of pursuant to section 18 of the Act, conversion of section 23 projects
to assistance under section 8, the family unification program under section 8(x) of the Act, relocation
of witnesses (including victims of violent crimes) in connection with efforts to combat crime in public
and assisted housing pursuant to a request from a law enforcement or prosecution agency, enhanced
vouchers under any provision of law authorizing such assistance under section 8(t) of the Act, Choice
Neighborhood vouchers, mandatory and voluntary conversions, and tenant protection assistance
including replacement and relocation assistance or for project-based assistance to prevent the
displacement of unassisted elderly tenants currently residing in section 202 properties financed
between 1959 and 1974 that are refinanced pursuant to Public Law 106569, as amended, or under the
authority as provided under this Act: Provided, That when a public housing development is submitted
for demolition or disposition under section 18 of the Act, the Secretary may provide section 8 rental
assistance when the units pose an imminent health and safety risk to residents: Provided further, That
the Secretary may 23 provide section 8 rental assistance from amounts made available under this
paragraph for units assisted under a project--Based
units pose an imminent health and safety risk to residents: Provided further, That to the extent that the
Secretary determines that such units are not feasible for continued rental assistance payments or
transfer of the subsidy contract associated with such units to another project or projects and owner or
owners, any remaining amounts associated with such units under such contract shall be recaptured and
used to reimburse amounts used under this paragraph for rental assistance under the previous proviso:
Providedfurther,Thatoftheamountsmadeavailableunderthisparagraph,atleast$5,000,000may
be available to provide tenant protection assistance, not otherwise provided under this paragraph, to
residents residing in low vacancy areas and who may have to pay rents greater than 30 percent of
household income, as theresult of: (A) the maturity of a HUD-insured, HUD held or section 202 loan
that requires the permission of the Secretary prior to loan prepayment; (B) the expiration of a rental
assistance contract forwhich thetenantsarenot
EXHIBIT 3
39
eligibleforenhancedvoucherortenantprotectionassistanceunderexistinglaw;or(C)theexpiration
of affordability restrictions accompanying a mortgage or preservation program administered by the
Secretary:Providedfurther,Thatsuchtenantprotectionassistancemadeavailableundertheprevious
proviso may be provided under the authority of section 8(t) or section 8(o)(13) of the United States
HousingActof1937(42U.S.C.81437f(t)):Providedfurther,ThattheSecretaryshallissue
guidance to implement the previous provisos, including, but not limited to, requirements for defining
eligible at-risk households within 60 days of the enactment of this Act: Provided further, That any
tenant protection voucher made available from amounts under this paragraph shallnot be reissued by
any public housing agency, except the replacement vouchers as defined by the Secretary by notice,
when the initial family that received any such voucher no longer receives such voucher, and the
authority for any public housing agency toissue any such voucher shall cease to exist: Provided
further, That the Secretary may only provide replacement vouchers for units that were occupied
within the previous 24 months that cease to be available as assisted housing, subject only to the
availabilityof funds;
AdministrativeFees:
$2,159,000,000 shall be for administrative and other expenses of public housing agencies in
administering the section 8 tenant-based rental assistance program, of which up to $30,000,000 shall
be available to the Secretary to allocate to public housing agencies that need additional funds to
administer their section 8 programs, including fees associated with section 8 tenant protection rental
assistance, the administration of disaster related vouchers, HUDVASH vouchers, and other special
purposeincrementalvouchers:Provided,Thatnolessthan$2,129,000,000oftheamountprovidedin
this paragraph shall be allocated to public housing agencies for the calendar year 2021 funding cycle
based on section 8(q) of the Act (and related Appropriation Act provisions) as in effect immediately
before the enactment of the Quality Housing and Work Responsibility Act of 1998 (Public Law 105
276):Providedfurther,Thatiftheamountsmadeavailableunderthisparagraphareinsufficienttopay
theamountsdeterminedunderthepreviousproviso,theSecretarymaydecreasetheamountsallocated
toagenciesbyauniformpercentageapplicabletoallagenciesreceivingfundingunderthisparagraph
or may, to the extent necessary to provide full payment of amounts determined under the previous
proviso, utilize unobligated balances, including recaptures and carryover, remaining from funds
appropriated to the Department of Housing and Urban Development under this heading from prior
fiscal years, excluding special purpose vouchers, notwithstanding the purposes for which such
amounts were appropriated: Provided further, That all public housing agencies participating in the
MTWdemonstrationshallbefundedinaccordancewiththerequirementsoftheMTW
demonstration program or their MTW agreements, if any, and shall be subject to the same uniform
percentage decrease as under the previous proviso: Provided further, That amounts provided under
this paragraph shall be only for activities related to the provision of tenant-based rental assistance
authorizedunder section8, includingrelateddevelopmentactivities;
MainstreamVouchers:
$314,000,000 for the renewal of tenant based assistance contracts under section 811 of the Cranston-
Gonzalez National Affordable Housing Act (42 U.S.C. 8013), including necessary administrative
expenses: Provided, That administrative and other expenses of public housing agencies in
administering the special purpose vouchers in this paragraph shall be funded under the same terms
and be subject to the same pro rata reduction as the percent decrease for administrative and other
expenses to public housing agencies under paragraph (3) of this heading: Provided further, That upon
turnover, section 811 specialpurpose vouchers funded under this heading in this or prior Acts, or
underanyotherheadinginpriorActs,shallbe providedtonon-elderlypersonswithdisabilities;
EXHIBIT 3
40
TribalHUD-VASHRenewals:
Oftheamountsprovidedunderparagraph(1)upto$5,000,000shallbeforrentalassistanceand
associatedadministrativefeesforTribalHUDVASHtoserveNativeAmericanveteransthatare
homelessorat-riskofhomelessnesslivingonornearareservationorotherIndianareas:Provided,
Thatsuchamountshallbemadeavailableforrenewalgrantstorecipientsthatreceivedassistance
underpriorActsundertheTribalHUDVASHprogram:Providedfurther,ThattheSecretaryshall
beauthorizedtospecifycriteriaforrenewalgrants,includingdataontheutilizationofassistance
reportedbygrantrecipients:Providedfurther,Thatsuchassistanceshallbeadministeredin
accordancewithprogramrequirementsundertheNativeAmericanHousingAssistanceandSelf-
DeterminationActof1996andmodeledaftertheHUDVASHprogram:Providedfurther,Thatthe
Secretaryshallbeauthorizedtowaive,orspecifyalternativerequirementsforanyprovisionofany
statuteorregulationthattheSecretaryadministersinconnectionwiththeuseoffundsmade
availableunderthisparagraph(exceptforrequirementsrelatedtofairhousing,nondiscrimination,
laborstandards,andtheenvironment),uponafindingbytheSecretarythatanysuchwaiversor
alternativerequirementsarenecessaryfortheeffectivedeliveryandadministrationofsuch
assistance:Providedfurther,ThatgrantrecipientsshallreporttotheSecretaryonutilizationofsuch
rentalassistanceandotherprogramdata,asprescribedbytheSecretary:Providedfurther,Thatthe
Secretarymayreallocate,asdeterminedbytheSecretary,amountsreturnedorrecapturedfrom
awardsundertheTribalHUDVASHprogramunderpriorActstoexistingrecipientsunderthe
TribalHUDVASHprogram;
HUD-VASHProgram:
$40,000,000 for incremental rental voucher assistance for use through a supported housing program
administered in conjunction with the Department of Veterans Affairs as authorized under section
8(o)(19) of the United States Housing Act of 1937: Provided, That the Secretary of Housing and
Urban Development shall make such funding available, notwithstanding section 203 (competition
provision) of 4this title, to public housing agencies that partner with eligible VA Medical Centers or
other entities as designated by the Secretary of the Department of Veterans Affairs, based on
geographical need for such assistance as identified by the Secretary of the Department of Veterans
Affairs, public housing agency administrative performance, and other factors as specified by the
Secretary of Housing and Urban Development in consultation with the Secretary of the Department
of Veterans Affairs: Provided further, That the Secretary of Housing and Urban Development may
waive, or specify alternative requirements for (in consultation with the Secretary of the Department
of Veterans Affairs), any provision of any statute or regulation that the Secretary of Housing and
Urban Development administers in connection with the use of funds made available under this
paragraph (except for requirements related to fair housing, nondiscrimination, labor standards, and
the environment), upon a finding by the Secretary that any such waivers or alternative requirements
are necessary for the effective delivery and administration of such voucher assistance: Provided
further, That assistance made available under this paragraph shall continue to remain available for
homelessveteransuponturn-over;
FamilyUnificationProgram:
$25,000,000shallbemadeavailableforthefamilyunificationprogramasauthorizedundersection
8(x) of the Act: Provided, That the amounts made available under this paragraph are provided as
follows: (A) $5,000,000 shall be for new incremental voucher assistance: Provided, That the
assistance made available under this subparagraph shall continue to remain available for family
unification upon turnover; and (B) $20,000,000 shall be for new incremental voucher assistance to
assisteligibleyouthasdefinedbysuchsection8(x)(2)(B):Provided,Thatassistancemadeavailable
EXHIBIT 3
41
under this subparagraph shall continue to remain available for such eligible youth upon turnover:
Provided further, That of the total amount made available under this subparagraph, up to $10,000,000
shall be available on a noncompetitive basis to public housing agencies that partner with public child
welfare agencies to identify such eligible youth, that request such assistance to timely assist such
eligibleyouth,andthatmeetanyothercriteriaasspecifiedbytheSecretary:Providedfurther,Thatthe
Secretary shall review utilization of the assistance made available under the previous proviso, at an
interval to be determined by the Secretary, and unutilized voucher assistance that is no longer needed
shallberecapturedbytheSecretaryandreallocatedpursuanttothepreviousproviso:Providedfurther,
ThatforanypublichousingagencyadministeringvoucherassistanceappropriatedinapriorActunder
the family unification program, or made available and competitively selected under this paragraph,
thatdeterminesthatitnolongerhasanidentifiedneedforsuchassistanceuponturnover,suchagency
shall notify the Secretary, and the Secretary shall recapture such assistance from the agency and
reallocate it to any other public housing agency or agencies based on need for voucher assistance in
connectionwithsuchspecifiedprogramoreligibleyouth,asapplicable;
HomelessVouchers-DomesticViolence:
$43,439,000 shall be for incremental rental voucher assistance under section 8(o) of the United States
HousingAct of 1937 for use by individuals and families who are homeless, as defined in section
103(a) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11302(a)), at risk of
homelessness,asdefinedinsection401(1)ofthe McKinney-VentoHomelessAssistance Act(42
U.S.C. 11360(1)), fleeing, or attempting to flee, domestic violence, dating violence, sexual assault, or
stalking,orveterans andfamiliesthatinclude aveteranfamilymemberthatmeetoneofthe
precedingcriteria:Provided,Thatassistancemadeavailableunderthisparagraphshallcontinueto
remainavailableforsucheligibleindividualsandfamiliesuponturnover:Providedfurther,Thatthe
Secretaryshallmakesuchfundingavailable,notwithstandingsection203ofthistitle(competition
provision)topublichousingagenciesthatpartnerwitheligiblecontinuumsofcareorotherentities
asdesignatedbytheSecretary,basedongeographicalneedofsuchassistance,publichousing
agencyadministrativeperformance,andotherfactorsasspecifiedbytheSecretary:Provided
further,ThattheSecretaryshallreviewutilizationoftheassistancemadeavailableunderthe
precedingproviso,atanintervaltobedeterminedbytheSecretary,andunutilizedvoucher
assistancethatisnolongerneededshallberecapturedbytheSecretaryandreallocatedpursuantto
theprecedingproviso:Providedfurther,That,theSecretaryshallgivepreferencetoapplicantsthat
demonstrateastrategytocoordinateassistancewithservicesavailableinthecommunity:Provided
further,Thatnoneofthefunds providedinthisparagraphmaybeusedtorequirepeople
experiencinghomelessnesstoreceivetreatmentorperformanyotherprerequisiteactivitiesasa
conditionforreceivingshelter,housingorotherservices:Providedfurther,ThattheSecretaryshall
issueguidancetoimplementtheprecedingproviso;and
TrackingofSpecialPurposeVouchers:
TheSecretaryshallseparatelytrackallspecialpurposevouchersfundedunderthisheading.
EXHIBIT 3
42
AppendixB
CY2021OffsetReallocation
HANumber:
HAName:
CY2020EndofYearReserves
PROTECTEDCATEGORIES
A.DifferencebetweenthePHA'sEligibilityandProratedEligibility
B.CY2021AmountsneededtofullyleaseVASHunits
UnfundedVASHUMAs(Capped)
VASHPUC
TotalUnfundedVASHUMAsProtected
C.Difference between higher of December 2020 UMLs x 12 or CY 2020 UMLs up to baseline on units
underCACC
DecemberUMLs(Capped)
InflatedPUC
TotalDecemberUMLsProtected
D.CY2020NewincrementalBA-1/2of Eligibility
E.CY2020SetAsideProtection-1/2ofEligibility
F.CARESActHAPAwardsprotection-TotalEligibility
G.PortionofCY2021RenewalEligibility(Basedon unitsunderCACC):
5&.611boebcpwfvojut
7&.361up!5::vojut
23&.Mfttuibo361vojut
H.PHAswith CY2020inflationfactorsthatwerehigherthantheCY2020nationalweightedaverage
inflator
Difference of CY 2020 Inflated Renewal Funding compared to CY 2021 Inflated Renewal funding
isprotected
I.Protect 1/2ofRAD1HAPforProjectsin their1stFullofYearofFundingduringCY2020
J.TotalFundsAvailableforOffset
K.OffsetAmount(TotalFundsAvailableforOffsetxdetermined%)
.ProratedEligibilityAfterOffset
PHA'sthatreceived2020ShortfallSet-Asidefundsareexemptfromthis offset.
thatreceived2020Lower-than-averageLeasingfundsareexemptfromthis offset.
EXHIBIT 3
43
AppendixC
CY2021HousingChoiceVoucherProgram
SpecialFees
Application for $30 Million Set-Aside for some Categories of Special Fees 1 HUD-VASH;
2FUP;3Disaster;and/or4
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECKALLBOXESTHATAPPLY
HUD-VASH
FUP
Disaster-Related
SpecialFeesUnderTheDiscretion
Documentation requirements and Deadlines for each of the above categories are contained
withinthedocumentthis pageis attached.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification:Iherebycertifythatallthe informationstatedherein,aswellasanyinformation
providedintheaccompanimentherewith,istrueandaccurate.Ialsocertifythatshouldfunding
beawardedunderanyoftheselectedspecialfeecategoriesperthispage,thatIwillkeepclear
andorganizedrecordsonhowallawardedthefundswerespentshouldHUDrequesttoreview
theoutcomesofthisfeefunding.Warning:Anyonewhoknowinglysubmitsafalseclaimor
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforup
to5years,fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31
U.S.C.§3729,3802).
SignatureofExecutiveDirectorand Date
ContactNameandPhoneNumber
EXHIBIT 3
44
ExampleBudgetJustificationAppendix D
TOTAL FY22 BUDGET
WITH PROPOSED
Proposed HUD-VASH
Budget FYE
EXTRA FEES
6/30/22 Extraordinary Fees
Description
RECEIPTS
AMIN FEE EARNED 1,028,855 52,749 1,081,604
INTEREST ON RESERVE 800 800
OTHER 10,000 10,000
TOTAL OP RECPTS 1,039,655 52,749 1,092,404
EXPENSE
ADMIN SALARIES 607,254 - 607,254
EMP BENEFITS 268,410 -
268,410
TEMP HUD-VASH
COORDINATOR 35,360 35,360
LEGAL 2,000 2,000
TRAINING 10,000 3,784 13,784
AUDIT & ACCOUNTING 5,000 5,000
PHONES/MOBILE PHONES 10,000 600 10,600
POSTAGE 8,000 1,147 9,147
OFFICE SUPPLIES & EQUIP. 12,000 1,033 13,033
PUB. & MEMBERSHIPS 3,500 - 3,500
FSS EXPENSES 10,200 - 10,200
-
PORTABILE ADMIN FEE 16,500 16,500
SUNDRY ADMIN 22,000 22,000
EXTRA HUD-VASH ACTIVITIES:
10,825 10,825
HUD-VASH DAY
3600
LANDLORD RECRUIT 2400
TRANSPORTATION 4825
INSURANCE 10,359 - 10,359
TOTAL ADMIN EXP 985,223 52,749 1,037,972
CONTRACTS 35,000 - -
TOTAL ORDINARY MAINT 35,000 - -
TOTAL OPERATING EXP 1,020,223 52,749 1,072,972
RESIDUAL RCPT/DEF 19,432 - 19,432
HSG ASSIST PYMTS 9,453,345
HSG FUNDS RECEIVED 9,453,345
RESTRICTED FUNDS -
Calculation of Admin Fees earned
@95% Lease Rate
Total # of HCV (PUM) 1,444 1,372 16,462
Col A
Rate Col B Rate
Proration Rate Admin Fee
Unit Months 7,200 9,262
CY 2021: $82.19 $76.72 79% $1,028,855
EXHIBIT 3
Appendix E
Calculation ofHUD-ConfirmedShortfallandShortfallAmount
The amount that a PHA will be eligible to receive from the $110,000,000 set-aside will be
-Year Forecasting Tool (see link) and the most
Two-Year Forecasting Tool can be found at theOffice of Housing Choice Vouchers
websitethat includes alink tothetwo-yeartool instruction page.
The two-year tool compares all resources available (including CARES Act HAP for PUC
2021projectedthrough theend oftheCYbasedupon thebest informationavailable.
Resources are calculated using the HUD-calculated RNP as of 12/31/2020, the HUD-held
2021, and any new voucher incremental funding applicable to CY 2021 or set-aside
amountsawarded orexpected to beawarded in2021.
HAP expenses are calculated based on current leasing and expense data, projected through
suspension of general voucher issuance; and projected
-aside
funds, adjusted for accuracy if the PHA has more recent information that will impact the
attrition rate in future months, as reported in PIC, and considering any updated information
suppliedby thePHA.
The requirement to suspend general voucher issuance is subject to the following
exclusions:
1.VouchersissuedtocurrentHCVparticipantstoallowthemtomove.
2.ThereissuanceofturnovervoucherslosttoattritiononlyduringtheperiodthePHA
is impacted by COVID 19; however, PHAs must not exceed the number of units
leased at the time of the SPT confirmed shortfall. This unit cap may only be
exceededbytheSPVslistedinitem4belowandvouchersreissuedfromtheLower-
than-averageLeasingaward.
In general, a PHA may reissue the turnover voucher to a family from the PHA
waiting list, except for eligible VASH turnovers where a referral is provided by
theVeterans Administration Medical Centers (VAMC), issue the voucher to a
family moving from a Project-Based Voucher (PBV) unit in accordance with 24
CFR983.261,orusethe vouchertoabsorbafamilyunderportability.However, a
PBV family that has the right to move in accordance with 24 CFR 983.261 and
wishesto do so has priority fortheturnovervoucher.
3.Instances in which the PHA is leasing under the HUD-VASH program up to
the baseline level of units under all HUD-VASH allocations (not just recent
allocations),including turnoverofHUD-VASHvouchers.
EXHIBIT 3
46
4.Vouchers issued to program applicants under special-purpose voucher increments
awarded in CY 2020 or CY 2021. These special-purpose vouchers (SPVs) include
Family Unification Program (FUP), Non-Elderly Disabled (NED), Foster the
Youth to Independence (FYI) Initiative, and Tenant Protection vouchers initially
awardedin 2020 and/or2021, toincludeSet-asidefunding.
5.Project-BasedVouchers(PBV)undertheRentalAssistanceDemonstration(RAD)
1,in theirfirst full yearoffunding through theHCVProgram.
6.PHAs may allow applicants to move into PBV units to allow the PHA to meet its
contractualobligationtofillPBVAHAPunitsbeingplacedunderHAPforthefirst
time,andPBVunitscurrentlyunderHAPthatarevacatedbyprogramparticipants.
7.
against a PHA. PHAs must request approval to continue leasing Litigation
Vouchers and submit supporting documentation. HUD will review and decide on
a case-by-case basis using the supporting documentation received as the basis for
thedecision.
8.Vouchers issued using funds awarded under the Lower-than-average Leasing HAP
Set-Asidecategory.
9.TheSecretaryreservestherighttoconsideradditionalexceptionsonacase-by-case
basis.
PHAs cannot issue vouchers and/or execute HAP contracts for families that do not meet
any of the exceptions through the end of CY 2021, or until advised in writing by the SPT
thatthey no longerhaveashortfall.
The application period for shortfall set-aside funding will remain open until SPT has
reconciled Shortfalls for all PHAs for CY 2021, subject to funding availability. PHAs that
receive set-aside funds based on their current HAP costs are encouraged to maintain
contact with the SPT to ensure all shortfall needs are met. Similarly, PHAs that do not
initially qualify for shortfall funding because they have suspended leasing and expect to
decrease leasing by attrition are also encouraged to maintain contact with the local Field
Office and theSPTiftheattrition failsto resolvetheirshortfall.
AllPHAsapplyingfortheshortfallset-asidemustbeworkingwithSPTatthetime
available for 2021 and their
leasing and expense data to date, to determine whether the PHA has a shortfall and the
amount needed to resolve the shortfall. The PHA will continue to work with the SPT
throughouttheyeartomonitorthefinancialpositionandtoimplementcostsavings
measuresoutlinedinPIHNotice2011-28orasupersedingnoticepublishedbyHUDto
EXHIBIT 3
47
decrease the possibility of an increased shortfall. PHAs must adhere to the eligibility
requirementsdetailed inSection 13ofthisNoticeorasupersedingnotice.
Factors considered by the SPT to determine the amount of a potential shortfall will be
determinedas follows:
a.Cash Supported Total Reserves as of 12/31/2020: SPT will use the Cash
Supported Total Reserves as of 12/31/2020, which consists of the HUD-Held
Reserve, and the lower of HUD-Estimated RNP, PHA Reported RNP as of
12/31/2020, or the actual amount of cash on hand to support the RNP. If there is a
discrepancy with any of these amounts thePHA will be required to provide
documentationas requestedbeforethis adjustmentwill bemade.
b.CARES Act HAP awards for PUC increases:Unspent but available
untilDecember31, 2021.
c.HUD-held reserve as of 12/31/2020: SPT will use the balance reported to SPT by
FMC.
d.2021RenewalABA:ActualrenewalABAawardsforCY2021.
e.SPV and tenant protection funding and set-asides: FMC will provide amounts to
be made available to the PHA in CY 2021 for special-purpose voucher and tenant
protection funding increments applicable to any portion of CY 2021, and for any
set-aside funding previously awarded in CY 2021. If necessary, the SPT will make
adjustments to the shortfall set-aside award to ensure that new increment funding
for Mainstream, SPVs, Lower-than-average Leasing Set-aside, and/or TPVs
remains available to lease the newly awarded number of SPVs and/or TPVs, rather
thanbeing used to coverthegeneral shortfall.
f.Unit months leased: The unit months leased (UML) for CY 2021 will be projected
by taking the number of units reported in VMS in the last month available and
projecting that number through the end of the year. Reductions to projected leasing
willbemadetoadjustforattrition,inaccordancewiththeannualturnoverrateused
inthetwo-yeartool.ThisrateisderivedfromthePICdataonfamiliesendof
participation(EOP).Increasestoprojectedleasingwillbemadeforvouchersissued
prior to the date of the notification by the SPT of a potential shortfall and for
additional leasingresulting from the admission of families described in exception
categories 2 and 3 above families receiving new special-purpose vouchers, and
families moving into new or vacant PBV units. No adjustments will be made for
moverfamilieswhoreceivevouchersinaccordancewithcategory1above.
EXHIBIT 3
48
g.Total HAP expense: Total HAP expense for CY 2021 will be based on a
projectionoftheunitmonthsleasedforCY2021(describedineabove)attheper-
report, and considering any
months, and the PHA again determines that it is in danger of a shortfall, an
additionalshortfall awardmay bemadewithout theneed toreapply.
h.Vouchers issued or projected to be issued: The number of vouchers issued as of
VMS report, will be used to determine future leasing, if any, from vouchers issued
prior to the date of notification by the SPT of a potential shortfall. PHAs can only
reissue turnover vouchers after receiving SPT notification of a potential
shortfall to maintain their leasing levels during the period the program is impacted
by COVID-19. Planned issuances for vouchers exempt from the suspension will be
shown in the months they will be issued. The projected HAP costs for these units
will be affected by the voucher success rate provided by the PHA and average time
from issuance of the voucher to the HAP effective date. HUD has the right to
suspendleasing altogetherifnecessary.
i.OtherPlannedAdditionsorReductionstoLeasedUnits:Thisfieldincorporates
into the leasing schedule other planned additions to leasing with fixed start dates,
such as the dates that PBV units currently under AHAP are scheduled to come
under HAP. The calculated HAP cost for these units is not subject to the success
ratecalculation.
j.2021Year-EndTotalHAPReserveBalance:AnyPHAwithanegative projected
2021 year-end balance will be considered a shortfall PHA. PHAs with year-end
balances of $0 or above will not be considered shortfall PHAs or eligible to receive
shortfallset-asidefunds.
k.Available UNP and Other Non-Federal Cash:In cases where the needed shortfall
amount is hard to determine due to factors like many potential voucher lease ups
still to occur, rapidly changing PUCs, unclear attrition rates, etc., the SPT will
consider the availability UNP or other non-federal cash that the PHA could use to
temporarily cover HAP payments and may reduce the shortfall award amount
accordingly. If the shortfall award does not fully meet the need, the PHA then has
UNP or othernon-federalfunds toensurealllandlords getpaid ontime, andthe
SPT can provide an additional shortfall award at the appropriate time to make the
HCV or Mainstream Vouchers whole, allowing the PHA to repay the UNP or other
non-
reduce the number of shortfall awards that areestimated and end up more than the
PHAactually needed.
EXHIBIT 3
49
Appendix F
CY2021HousingChoiceVoucherProgramApplicationforFundsfrom the$110MillionSet-Aside
PHAApplicationforCategory1,PreventionofTerminationsDuetoInsufficientFunding(Shortfall)
and PHA Certification of Reasonable Cost Savings Measures Undertaken to Prevent Termination of
HCV ParticipantsDue toInsufficientFunds.
NameofPHA:_PHANumber:
ExecutiveDirector:
The above referenced agency is applyingfor Shortfall Funds and has undertaken reasonable cost savings
measuresto prevent termination ofHCVParticipantsduetoinsufficientfunds.
PleasecheckRegularHCVProgram and/orMainstreamVouchersfortheprogram/vouchersimpactedbythe
Shortfall. The applicationmustbe signedby the appropriatePHA official.
ShortfallappliestotheRegularHCVProgram,and/or
ShortfallappliestoMainstreamVouchers
I,,herebycertifytothefollowing:
(1)At the time of application, the PHA is working with the HUD Shortfall Prevention Team (SPT)
and SPT has confirmed the PHA is in a shortfall position. (PHAs that are not currently working with
the SPT but believe they are in a shortfall position should immediately contact their HUD Field
Officeforassistance.)
(2)ThePHAhasceasedissuingvoucherstoapplicantsasofthedateofnotificationbytheSPTof
a potentialshortfall.Pleasenote thatthisrestriction doesnot applyto:
Vouchersissued tocurrentHCVparticipantstoallowthemtomove.
The reissuance of turnover vouchers lost to attrition only during the period the PHA is impacted
by COVID 19; however, PHAs may not exceed the number of units leased at the time of the SPT
th
confirmed shortfall. This unit cap may only be exceeded by the SPVs listed in the 4bullet point
within thislistand vouchersreissued fromtheLower-than-averageLeasing award.
In general, a PHA may reissue the turnover voucher to a family from the PHA waiting list, except
for eligible VASH turnovers where a referral is provided by the VAMC, issue the voucher to a
family moving from a PBV unit in accordance with 24 CFR 983.261, or use the voucher to absorb a
family under portability. However, a PBV family that has the right to move in accordance with 24
CFR983.261and wishesto doso haspriority fortheturnovervoucher.
Instances in which the PHA is leasing under the HUD-VASH program up to the baseline level of
units under all HUD-VASH allocations (not just recent allocations), including turnover of HUD-
VASHvouchers.
EXHIBIT 3
50
Vouchers issued to program applicants under special-purpose voucher increments awarded in CY
2020 or CY 2021. These SPVs include FUP, NED, FYI Initiative, and Tenant Protection vouchers
initially awardedin 2020and/or2021, toincludeSet-aside funding.
PBVs undertheRentalAssistanceDemonstration(RAD)1,intheirfirstfull yearoffundingthrough
theHCV Program.
PHAs may allow applicants moving into PBV units to allow the PHA to meet its contractual
obligation to fill PBV AHAP units being placed under HAP for the first time, and PBV units
currentlyunderHAP thatarevacatedbyprogramparticipants.
PHAs must request approval to continuing leasing Litigation Vouchers and submit supporting
documentation. HUD will review and decide on a case-by-case basis using the supporting
documentation receivedasthebasisfor the decision.
Vouchersreissued usingawardsunderLower-than-averageLeasingHAPSet-Asidecategory.
TheSecretaryreservestherighttoconsideradditionalexceptionsonacase-by-casebasis.
Certification: I hereby certify that all the information stated herein, as well as any information provided in the
accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makes a false statement is subject to criminal and/or civil penalties, including confinement for up to 5 years,
fines,and civilandadministrativepenalties(18 U.S.C.§§287,1001,1010,1012;31 U.S.C.§3729, 3802).
Signature of Executive Director and Date
ContactNameandPhoneNumber
EXHIBIT 3
51
CY2021HousingChoiceVoucherProgramandMainstreamVouchersAppendix G
Applicationfor$110Million Set-AsideforCategory2aUnforeseenCircumstances
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECK ALL BOXES THAT APPLY in Sections 1 & 2. Complete the table(s) that applies to this
request. PHAs applying under both programs must ensure they complete each table with the data that
applies to that program. Ensure completion of the month of your request. Ensure that you check the
appropriatebox inSection 2ontheapplicable circumstancefortheapplication.
SECTION1:
Category2a:UnforeseenCircumstancesforMainstreamVouchers.
TotalHAP ExpensesandUMLsforthemonthof,2021
Most recent month of TotalUMLs for the most recentHAP Expenses divided by
HAPExpensesmonthofHAPExpensesUMLs= PUC
$$
Category2a:UnforeseenCircumstancesfortheHCVProgram.
TotalHAP ExpensesandUMLsforthemonthof,2021
Most recent month of TotalUMLs for the most recentHAP Expenses divided by
HAPExpensesmonthofHAPExpensesUMLs= PUC
$$
SECTION2:
UnforeseenCircumstanceisduetoCOVID-19;or,
Unforeseen Circumstance is due to a circumstance unrelated to COVID-19,
whichisdescribed withinattached narrative.
Documentation requirements and Deadlines for each of the above categories are contained in Section
13 ofthisnotice.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification:I,, hereby certify that the HCV Program and/or Mainstream Vouchers
experienced increased renewal costs in CY 2021 due to the unforeseen circumstances of COVID-19 or those
described intheattachednarrative,as applicable.
Iadditionallyherebycertifythatalltheinformationstatedherein,aswellasanyinformationprovidedinthe
accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforupto5years,
fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
ContactNameandPhoneNumber
EXHIBIT 3
52
AppendixH
CY2021HousingChoiceVoucherProgram
Application for $110 Million Set-Aside for Category 2b Portability; 3 Project-Based Vouchers; 4 -
HUD-VASH;and/or5Lower-than-average Leasing.
NameofPHA:
PHANumber:_________________________________________
ExecutiveDirector:
CHECKALLBOXES THATAPPLY
Category2b:Portability(Pleasealsochecka.and/orb.belowasapplicable):
a.RegularHCVProgram,and/or
b.MainstreamVouchers
Category3:Project-BasedVouchers.
Category4:HUD-VASH(Pleasealsocheck a.and/orb.below,asapplicable):a.PerUnit
Cost Increase: PHAs whose program-wide funded CY 2021 HAP PUC is less than their
current HUD-VASH HAP PUC based on their latest HUD-VASH HAP expenses in CY
2020,and/or
b. Leasing Increase: PHAs whose total HUD-VASH leasing for CY 2021 will
exceed the leasing level included in their renewal funding plus the leasing that will be
supportedbytheRNPandHUD-HeldProgram Reserves.
Category5:Lower-than-averageLeasing.
DocumentationrequirementsandDeadlinesforeachoftheabovecategoriesarecontainedin
Paragraph13ofthisnotice.
ThiscertificationmustbesignedbytheappropriatePHAofficialandreturned.
Certification: I hereby certify that all the information stated herein, as well as any information provided in
the accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makes a false statement is subject to criminal and/or civil penalties, including confinement for up to 5 years,
fines,and civiland administrativepenalties(18U.S.C. §§287, 1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
ContactName and Phone Number
53
3
EXHIBIT
I
20
-
Dec
20
-
UNITS
Appendix
Nov
OF
#
20
-
DATE:
BEING
Oct
IS
20
-
DATE):
Sep
20
-
FUNDING
Aug
COMPLETION
Y/N
20
-
ASIDE
Jul
COMPLETION
-
RENT
20
-
SET
PROJECT
Jun
TO
PBV
20
-
HAP
UTILITIES INCLUDED IN GROSS
May
REHABILITATION:
NAME:
OF
WHICH
FOR
DATE
PROJECT
CONSTRUCTION/REHAB
of 2)
RENT
1
CATEGORY
AHAP:
NEW
PROJECT
OF
OF
EFFECTIVE
(Page
THIS
-
GROSS
NAME:
EACH
DATE
FOR
(DATE
FROM
PHA
DATA
FOR
I
CONSTRUCTION:
PBVDATE
DAYS
20
-
-
NEW
EFFECTIVE
#OFEND
INELIGIBLE
20 Apr
ASIDE
IS
RENT
-
APPENDIX
-
Mar
SET
20
-
-
HOUSING
Feb
PROJECTS
Jan
COMPLETEON
20
BEDROOM
SIZE
$110 MILLION
-
of
EXISTING
PLEASE
UNIT
UNITS:
2021
OF
PROJECTTYPE:
NOTE:PERIODALLOWED:
CYNOTE:REQUESTED
#
PHA#:#INFORMATION AHAP:
54
3
EXHIBIT
.
returned
well as any information provided in the
and
official
PHA
2)
of
nes, and civil and administrative penalties (18 U.S.C. §§ 287,
2
(Page
appropriate
the
by
and accurate.
#:
DIRECTOR:
signed
be
PHONE
must
AND
EXECUTIVE
herewith, is true
: I hereby certify that all the information stated herein, as
OF
1012; 31 U.S.C. §3729, 3802).
NAME
BEDROOMBEDROOMBEDROOMBEDROOMBEDROOM
certification
SIGNATUREDATE:CONTACT
COMMENTS:
ThisCertificationaccompanimentWarning: Anyone who knowingly submits a false claim or makes a false statement is subject to criminal and/or civilpenalties, including confinement for up
to 5 years, fi1001, 1010,
EXHIBIT 3
55
AppendixJ
CY2021HousingChoiceVoucherProgram RequestforDisasterSet-aside
NameofPHA:
PHANumber:
ExecutiveDirector:
The PHA may request both the additional leasing adjustment and the per unit cost adjustment
ormay request only oneadjustment. Pleasechecktheboxes that apply.
PresidentiallyDeclaredDisasterthatimpactedyourPHA:
LossofUnits
Unitsloss,needingfunding:
ThenumberofCY2021monthsimpactedby theloss ofunits:
IncreasedCosts
RequestedPUCAmount:
ThenumberofCY2021monthsimpactedby theloss ofunits:
Certification:Ihereby certifythatalltheinformationstatedherein,aswellasanyinformation
provided in the accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a
false claim or makes a false statement is subject to criminal and/or civil penalties, including confinement for up
to5years,fines,and civilandadministrativepenalties(18 U.S.C.§§287,1001, 1010,1012;31U.S.C.§3729,
3802).
SignatureofExecutiveDirectorand Date
ContactNameandPhoneNumber
EXHIBIT 3
56
AppendixK
SecondRoundCY2020HAPSet-AsideRemaining$60MillionforCategory2aUnforeseen
Circumstances
AdjustmentsforIncreasedCostsfromCY2020Category2a-UnforeseenCircumstances
NameofPHA:
PHANumber:
ExecutiveDirector:
CHECKALLBOXESTHATAPPLY
Category2a:UnforeseenCircumstances
UnforeseenCircumstanceis duetoCOVID-19.
Unforeseen Circumstance is due to a circumstance unrelated to COVID-19, which is described within the
attachednarrative.
Documentation requirements and Deadlines for each of the above categories are contained in Section 14
ofthis notice.
ThiscertificationmustbesignedbytheappropriatePHAofficialand returned.
Certification:I,, hereby certify that the HCV Program experienced increased renewal costs
in CY 2020 due to the unforeseen circumstances of COVID-19 or those described in the attached narrative, as
applicable.
Iadditionallyherebycertifythatalltheinformationstatedherein,aswellasanyinformationprovidedinthe
accompaniment herewith, is true and accurate. Warning: Anyone who knowingly submits a false claim or
makesafalsestatementissubjecttocriminaland/orcivilpenalties,includingconfinementforupto5years,
fines,andcivilandadministrativepenalties(18U.S.C.§§287,1001,1010,1012;31U.S.C.§3729,3802).
Signature of Executive Director and Date
Contact Nameand PhoneNumber
EXHIBIT 3
EXHIBIT B
SCOPEOFWORK
Subcontractor will utilize FUP/FYI Special Fees to
WelcomeHomeOClandlordincentiveprograminhousingtheSantaAnaHousing
FYIvoucher holders.
WelcomeHomeOChelpshomelessindividualswithrentalvouchers tosecurehousinginprivate
market apartments withthe goals of (1) increasing available rental units through landlord
outreach, engagement and incentives, (2) reducing the length of time between voucher issuance
ly
housinghomeless households.
FUP/FYISpecialFees willsupport necessaryadministrativeexpenses incurredto increaselease-
upsuccess rates ordecreasethe timeittakes for a familyto locate andmove-in to aunit.
Subcontractor will provide the following eligible activities with the $84,017.00 in FUP/FYI
SpecialFees funding:
StafftoprovideFUP/FYIclientswith housingsearchassistance
Landlord Recruitment activities to engage landlords to participate in the FUP/FYI
program
Contractor shall make payments to Subcontractor not to exceed $14,002.83 for each FUP/FYI
voucherleased, up tothe maximum amount ofeligiblefunding.
Subcontractor will provide quarterly reports and invoices to the Contractor. Contractor is
responsibleforreportingandrecordingofawardedSpecialFeesaspartoftheHCV
administrativefinancial records under CFDA14.871
12
EXHIBIT 3
EXHIBIT C
BUDGET
13