Berkeley City Council
April 26, 2022

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(2) A review of the decision, in which the program participant is given the opportunity to present written or oral objections before a person other than the person (or a subordinate of that person) who made or approved the termination decision; and
(3) Prompt written notice of the final decision to the program participant. (c) Ability to provide further assistance. Termination under this section does not bar the recipient or subrecipient from providing further assistance at a later date to the same family or individual.

§ 576.403 Shelter and housing standards.
(a) Lead-based paint remediation and disclosure. The Lead-Based Paint Poisoning Prevention Act (42 U.S.C. 4821– 4846), the Residential Lead-Based Paint Hazard Reduction Act of 1992 (42 U.S.C. 4851–4856), and implementing regulations in 24 CFR part 35, subparts A, B, H, J, K, M, and R apply to all shelters assisted under ESG program and all housing occupied by program participants.
(b) Minimum standards for emergency shelters. Any building for which Emergency Solutions Grant (ESG) funds are used for conversion, major rehabilitation, or other renovation, must meet state or local government safety and sanitation standards, as applicable, and the following minimum safety, sanitation, and privacy standards. Any emergency shelter that receives assistance for shelter operations must also meet the following minimum safety, sanitation, and privacy standards.

The recipient may also establish standards that exceed or add to these minimum standards. (1) Structure and materials. The shelter building must be structurally sound to protect residents from the elements and not pose any threat to health and safety of the residents. Any renovation (including major rehabilitation and conversion) carried out with ESG assistance must use Energy Star and Water Sense products and appliances. (2) Access. The shelter must be accessible in accordance with Section 504 of the Rehabilitation Act (29 U.S.C. 794) and implementing regulations at 24 CFR part 8; the Fair Housing Act (42 U.S.C. 3601 et seq.) and implementing regulations at 24 CFR part 100; and Title II of the Americans with Disabilities Act (42 U.S.C. 12131 et seq. ) and 28 CFR part 35; where applicable.
(3) Space and security. Except where the shelter is intended for day use only, the shelter must provide each program participant in the shelter with an acceptable place to sleep and adequate space and security for themselves and their belongings.
(4) Interior air quality. Each room or space within the shelter must have a natural or mechanical means of ventilation.

The interior air must be free of pollutants at a level that might threaten or harm the health of residents. (5) Water supply. The shelter’s water supply must be free of contamination. (6) Sanitary facilities. Each program participant in the shelter must have access to sanitary facilities that are in proper operating condition, are private, and are adequate for personal cleanliness and the disposal of human waste. (7) Thermal environment. The shelter must have any necessary heating/ cooling facilities in proper operating condition.
(8) Illumination and electricity. The shelter must have adequate natural or artificial illumination to permit normal indoor activities and support health and safety. There must be sufficient electrical sources to permit the safe use of electrical appliances in the shelter.
(9) Food preparation. Food preparation areas, if any, must contain suitable space and equipment to store, prepare, and serve food in a safe and sanitary manner.
(10) Sanitary conditions. The shelter must be maintained in a sanitary condition. (11) Fire safety. There must be at least one working smoke detector in each occupied unit of the shelter. Where possible, smoke detectors must be located near sleeping areas. The fire alarm system must be designed for hearing - impaired residents. All public areas of the shelter must have at least one working smoke detector. There must also be a second means of exiting the building in the event of fire or other emergency. (c) Minimum standards for permanent housing. The recipient or subrecipient cannot use ESG funds to help a program participant remain or move into housing that does not meet the minimum habitability standards provided in this paragraph (c). The recipient may also establish standards that exceed or add to these minimum standards. (1) Structure and materials. The structures must be structurally sound to protect residents from the elements and not pose any threat to the health and safety of the residents. (2) Space and security. Each resident must be provided adequate space and security for themselves and their belongings. Each resident must be provided an acceptable place to sleep. (3) Interior air quality. Each room or space must have a natural or mechanical means of ventilation. The interior air must be free of pollutants at a level that might threaten or harm the health of residents.

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(4) Water supply. The water supply must be free from contamination. (5) Sanitary facilities. Residents must have access to sufficient sanitary facilities that are in proper operating condition, are private, and are adequate for personal cleanliness and the disposal of human waste. (6) Thermal environment. The housing must have any necessary heating/cooling facilities in proper operating condition.
(7) Illumination and electricity. The structure must have adequate natural or artificial illumination to permit normal indoor activities and support health and safety. There must be sufficient electrical sources to permit the safe use of electrical appliances in the structure.
(8) Food preparation. All food preparation areas must contain suitable space and equipment to store, prepare, and serve food in a safe and sanitary manner.
(9) Sanitary conditions. The housing must be maintained in a sanitary condition. (10) Fire safety. (i) There must be a second means of exiting the building in the event of fire or other emergency. (ii) Each unit must include at least one battery-operated or hard-wired smoke detector, in proper working condition, on each occupied level of the unit. Smoke detectors must be located, to the extent practicable, in a hallway adjacent to a bedroom. If the unit is occupied by hearing impaired persons, smoke detectors must have an alarm system designed for hearing-impaired persons in each bedroom occupied by a hearing-impaired person. (iii) The public areas of all housing must be equipped with a sufficient number, but not less than one for each area, of battery-operated or hard-wired smoke detectors. Public areas include, but are not limited to, laundry rooms, community rooms, day care centers, hallways, stairwells, and other common areas.

§ 576.404 Conflicts of interest.
(a) Organizational conflicts of interest. The provision of any type or amount of ESG assistance may not be conditioned on an individual’s or family’s acceptance or occupancy of emergency shelter or housing owned by the recipient, the subrecipient, or a parent or subsidiary of the subrecipient. No subrecipient may, with respect to individuals or families occupying housing owned by the subrecipient, or any parent or subsidiary of the subrecipient, carry out the initial evaluation required under § 576.401 or administer homelessness prevention assistance under § 576.103. (b) Individual conflicts of interest. For the procurement of goods and services, the recipient and its subrecipients must comply with the codes of conduct and conflict of interest requirements under 24 CFR 85.36 (for governments) and 24 CFR

84.42 (for private nonprofit organizations). For all other transactions and activities, the following restrictions apply:
(1) Conflicts prohibited. No person described in paragraph (b)(2) of this section who exercises or has exercised any functions or responsibilities with respect to activities assisted under the ESG program, or who is in a position to participate in a decision-making process or gain inside information with regard to activities assisted under the program, may obtain a financial interest or benefit from an assisted activity; have a financial interest in any contract, subcontract, or agreement with respect to an assisted activity; or have a financial interest in the proceeds derived from an assisted activity, either for him or herself or for those with whom he or she has family or business ties, during his or her tenure or during the one -year period following his or her tenure.
(2) Persons covered. The conflict-of- interest provisions of paragraph (b)(1) of this section apply to any person who is an employee, agent, consultant, officer, or elected or appointed official of the recipient or its subrecipients. (3) Exceptions. Upon the written request of the recipient, HUD may grant an exception to the provisions of this subsection on a case-by-case basis, taking into account the cumulative effects of the criteria in paragraph (b)(3)(ii) of this section, provided that the recipient has satisfactorily met the threshold requirements of paragraph (b)(3)(i) of this section. (i) Threshold requirements. HUD will consider an exception only after the recipient has provided the following documentation:
(A) If the recipient or subrecipient is a government, disclosure of the nature of the conflict, accompanied by an assurance that there has been public disclosure of the conflict and a description of how the public disclosure was made; and (B) An opinion exception is sought would not violate state or local law. (ii) Factors to be considered for exceptions. In determining whether to grant a requested exception after the recipient has satisfactorily met the threshold requirements under paragraph (b)(3)(i) of this section, HUD must conclude that the exception will serve to further the purposes of the ESG program and the effective and efficient administration of the recipient’s or subrecipient’s program or project, taking into account the cumulative effect of the following factors, as applicable:
(A) Whether the exception would provide a significant cost benefit or an essential degree of expertise to the program or project that would otherwise not be available;

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(B) Whether an opportunity was provided for open competitive bidding or negotiation; (C) Whether the affected person has withdrawn from his or her functions, responsibilities or the decision-making process with respect to the specific activity in question; (D) Whether the interest or benefit was present before the affected person was in the position described in paragraph (b)(1) of this section;
(E) Whether undue hardship results to the recipient, the subrecipient, or the person affected, when weighed against the public interest served by avoiding the prohibited conflict; and (F) Any other relevant considerations.
(c) Contractors. All contractors of the recipient or subrecipient must comply with the same requirements that apply to subrecipients under this section.

§ 576.405 Homeless participation.
(a) Unless the recipient is a State, the recipient must provide for the participation of not less than one homeless individual or formerly homeless individual on the board of directors or other equivalent policy- making entity of the recipient, to the extent that the entity considers and makes policies and decisions regarding any facilities, services, or ot her assistance that receive funding under Emergency Solutions Grant (ESG). (b) If the recipient is unable to meet requirement under paragraph (a), it must instead develop and implement a plan to consult with homeless or formerly homeless individuals in considering and making policies and decisions regarding any facilities, services, or other assistance that receive funding under Emergency Solutions Grant (ESG). The plan must be included in the annual action plan required under 24 CFR 91.220. (c) To the maximum extent practicable, the recipient or subrecipient must involve homeless individuals and families in constructing, renovating, maintaining, and operating facilities assisted under ESG, in providing services assisted under ESG, and in providing services for occupants of facilities assisted under ESG. This involvement may include employment or volunteer services.

§ 576.406 Faith-based activities.
(a) Organizations that are religious or faith-based are eligible, on the same basis as any other organization, to receive ESG funds. Neither the Federal Government nor a State or local government receiving funds under ESG shall discriminate against an organization on the basis of the organization’s religious character or affiliation. (b) Organizations that are directly funded under the ESG program may not engage in inherently religious activities, such as worship, religious instruction, or proselytization as part of the programs or services funded under ESG . If an organization conducts these activities, the activities must be offered separately, in time or location, from the programs or services funded under ESG, and participation must be voluntary for program participants. (c) Any religious organization that receives ESG funds retains its independence from Federal, State, and local governments, and may continue to carry out its mission, including the definition, practice, and expression of its religious beliefs, provided that the religious organization does not use direct ESG funds to support any inherently religious activitie s, such as worship, religious instruction, or proselytization. Among other things, faith -based organizations may use space in their facilities to provide ESG-funded services, without removing religious art, icons, scriptures, or other religious symbols.

In addition, an ESG-funded religious organization retains its authority over its internal governance, and the organization may retain religious terms in its organization’s name, select its board members on a religious basis, and include religious references in its organization’s mission statements and other governing documents. (d) An organization that receives ESG funds shall not, in providing ESG assistance, discriminate against a program participant or prospective program participant on the basis of religion or religious belief. (e) ESG funds may not be used for the rehabilitation of structures to the extent that those structures are used for inherently religious activities. Solutions ESG funds may be used for the rehabilitation of structures only to the extent that those structures are used for conducting eligible activities under the ESG program. Where a structure is used for both eligible and inherently religious activities, ESG funds may not exceed the cost of those portions of the rehabilitation that are attributable to eligible activities in accordance with the cost accounting requirements applicable to ESG funds.

Sanctuaries, chapels, or other rooms that an ESG-funded religious congregation uses as its principal place of worship, however, are ineligible for funded improvements under the program. Disposition of real property after the term of the grant, or any change in use of the property during the term of the grant, is subject to government -wide regulations governing real property disposition (see 24 CFR parts 84 and 85). (f) If the recipient or a subrecipient that is a local government voluntarily contributes its own funds to supplement

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federally funded activities, the recipient or subrecipient has the option to segregate the Federal funds or commingle them.

However, if the funds are commingled, this section applies to all of the commingled funds.

§ 576.407 Other Federal requirements.
(a) General. The requirements in 24 CFR part 5, subpart A are applicable, including the nondiscrimination and equal opportunity requirements at 24 CFR 5.105(a). Section 3 of the Housing and Urban Development Act of 1968, 12 U.S.C. 1701u, and implementing regulations at 24 CFR part 135 apply, except that homeless individuals have priority over other Section 3 residents in accordance with § 576.405(c).
(b) Affirmative outreach. The recipient or subrecipient must make known that use of the facilities, assistance, and services are available to all on a nondiscriminatory basis. If it is unlikely that the procedures that the recipient or subrecipient intends to use to make known the availability of the facilities, assistance, and services will to reach persons of any particular race, color, religion, sex, age, national origin, familial status, or disability who may qualify for those facilities and services, the recipient or subrecipient must establish additional procedures that ensure that those persons are made aware of the facilities, assistance, and services. The recipient and its subrecipients must take appropriate steps to ensure effective communication with persons with disabilities including, but not limited to, adopting procedures that will make available to interested persons information concerning the location of assistance, services, and facilities that are accessible to persons with disabilities. Consistent with Title VI and Executive Order 13166, recipients and subrecipients are also required to take reasonable steps to ensure meaningful access to pr ograms and activities for limited English proficiency (LEP) persons.
(c) Uniform Administrative Requirements. The requirements of 24 CFR part 85 apply to the recipient and subrecipients that are units of general purpose local government, except that 24 CFR 85.24 and 85.42 do not apply, and program income is to be used as match under 24 CFR 85.25(g). The requirements of 24 CFR part 84 apply to subrecipients that are private nonprofit organizations, except that 24 CFR 84.23 and 84.53 do not apply, and program income is to be used as the nonfederal share under 24 CFR 84.24(b). These regulations include allowable costs and non-Federal audit requirements. (d) Environmental review responsibilities. (1) Activities under this part are subject to environmental review by H UD under 24 CFR part 50. The recipient shall supply all available, relevant information necessary for HUD to perform for each property any environmental review required by 24 CFR part 50. The recipient also shall carry out mitigating measures required by HUD or select alternate eligible property. HUD may eliminate from consideration any application that would require an Environmental Impact Statement (EIS).
(2) The recipient or subrecipient, or any contractor of the recipient or subrecipient, may not acqui re, rehabilitate, convert, lease, repair, dispose of, demolish, or construct property for a project under this part, or commit or expend HUD or local funds for eligible activities under this part, until HUD has performed an environmental review under 24 CFR part 50 and the recipient has received HUD approval of the property.
(e) Davis-Bacon Act. The provisions of the Davis-Bacon Act (40 U.S.C. 276a to 276a–5) do not apply to the ESG program.
(f) Procurement of Recovered Materials. The recipient and its contractors must comply with Section 6002 of the Solid Waste Disposal Act, as amended by the Resource Conservation and Recovery Act. The requirements of Section 6002 include procuring only items designated in guidelines of the Environmental Protection Agency (EPA) at 40 CFR part 247 that contain the highest percentage of recovered materials practicable, consistent with maintaining a satisfactory level of competition, where the purchase price of the item exceeds $10,000 or the value of the quantity acquired by the prece ding fiscal year exceeded $10,000; procuring solid waste management services in a manner that maximizes energy and resource recovery; and establishing an affirmative procurement program for procurement of recovered materials identified in the EPA guidelines.

Subpart F— Grant Administration
§ 576.500 Recordkeeping and reporting requirements.
(a) In general. The recipient must have policies and procedures to ensure the requirements of this part are met. The policies and procedures must be established in writing and implemented by the recipient and its subrecipients to ensure that ESG funds are used in accordance with the requirements. In addition, sufficient records must be established and maintained to enable the recipient and HUD to determine whether ESG requirements are being met. (b) Homeless status. The recipient must maintain and follow written intake procedures to ensure compliance with the homeless definition in § 576.2. The procedures must require documentation at intake of the evidence relied upon to establish and verify homeless status. The procedures must establish the order of priority for obtaining evidence as third-

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party documentation first, intake worker observations second, and certification from the person seeking assistance third.

However, lack of third- party documentation must not prevent an individual or family from being immediately admitted to emergency shelter, receiving street outreach services, or being immediately admitted to shelter or receiving services provided by a victim service provider. Records contained in an HMIS or comparable database used by victim service or legal service providers are acceptable evidence of third-party documentation and intake worker observations if the HMIS retains an auditable history of all entries, including the person who entered the data, the date of entry, and the change made; and if the HMIS prevents overrides or changes of the dates on which entries are made. (1) If the individual or family qualifies as homeless under paragraph (1)(i) or (ii) of the homeless definition in § 576.2, acceptable evidence includes a written observation by an outreach worker of the conditions where the individual or family was living, a written referral by another housing or service provider, or a certification by the individual or head of household seeking assistance. (2) If the individual qualifies as homeless under paragraph (1)(iii) of the homeless definition in § 576.2, because he or she resided in an emergency shelter or place not meant for human habitation and is exiting an institution where he or she resided for 90 days or less, acceptable evidence includes the evidence described in paragraph (b)(1) of this section and one of the following:
(i) Discharge paperwork or a written or oral referral from a social worker, case manager, or other appropriate official of the institution, stating the beginning and end dates of the time residing in the institution. All oral statements must be recorded by the intake worker; or
(ii) Where the evidence in paragraph (b)(2)(i) of this section is not obtainable, a written record of the intake worker’s due diligence in attempting to obtain the evidence described in paragraph (b)(2)(i) and a certification by the individual seeking assistance that states he or she is exiting or has just exited an institution where he or she resided for 90 days or less.
(3) If the individual or family qualifies as homeless under paragraph (2) of the homeless definition in § 576.2, because the individual or family will imminently lose their housing, the evidence must include:
(i)(A) A court order resulting from an eviction action that requires the individual or family to leave their residence within 14 days after the date of their application for homeless assistance; or the equivalent notice under applicable state law, a Notice to Quit, or a Notice to Terminate issued under state law; (B) For individuals and families whose primary nighttime residence is a hotel or motel room not paid for by charitable organizations or federal, state, or local government programs for low- income individuals, evidence that the individual or family lacks the resources necessary to reside there for more than 14 days after the date of application for homeless assistance; or
(C) An oral statement by the individual or head of household that the owner or renter of the housing in which they currently reside will not allow them to stay for more than 14 days after the date of application for homeless assistance. The intake worker must record the statement and certify that it was found credible. To be found credible, the oral statement must either:
(I) be verified by the owner or renter of the housing in which the individual or family resides at the time of application fo r h
omeless assistance and documented by a written certification by the owner or renter or by the intake worker’s recording of the owner or renter’s oral statement; or (II) if the intake worker is unable to contact the owner or renter, be documented by a written certification by the intake worker of his or her due diligence in attempting to obtain the owner or renter’s verification and the written certification by the individual or head of household seeking assistance that his or her statement was true and complete;
(ii) Certification by the individual or head of household that no subsequent residence has been identified; and (iii) Certification or other written documentation that the individual or family lacks the resources and support networks needed to obtain other permanent housing.
(4) If the individual or family qualifies as homeless under paragraph (3) of the homeless definition in § 576.2, because the individual or family does not otherwise qualify as homeless under the homeless definition but is an unaccompanied youth under 25 years of age, or homeless family with one or more children or youth, and is defined as homeless under another Federal statute or section 725(2) of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11434a(2)), the evidence must include:
(i) For paragraph (3)(i) of the homeless definition in § 576.2, certification of homeless status by the local private nonprofit organization or state or local governmental entity responsible for administering assistance under the Runaway and Homeless Youth Act (42 U.S.C. 5701 et seq.), the Head Start Act (42 U.S.C. 9831 et seq.), subtitle N of the Violence Against Women Act of 1994 (42 U.S.C. 14043e et seq.), section 330 of the Public Health Service Act (42 U.S.C. 254b), the

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Food and Nutrition Act of 2008 (7 U.S.C. 2011 et seq.), section 17 of the Child Nutrition Act of 1966 (42 U.S.C. 1786), or subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.), as applicable; (ii) For paragraph (3)(ii) of the homeless definition in § 576.2, referral by a housing or service provider, written observation by an outreach worker, or certification by the homeless individual or head of household seeking assistance; (iii) For paragraph (3)(iii) of the homeless definition in § 576.2, certification by the individual or head of household and any available supporting documentation that the individual or family moved two or more times during the 60- day period immediately preceding the date of application for homeless assistance, including: recorded statements or records obtained from each owner or renter of housing, provider of shelter or housing, or social worker, case worker, or other appropriate official of a hospital or institution in which the individual or family resided; or, where these statements or records are unobtainable, a written record of the intake worker’s due diligence in attempting to obtain these statements or records.

Where a move was due to the individual or family fleeing domestic violence, dating violence, sexual assault, or stalking, then the intake worker may alternatively obtain a written certification from the individual or head of household seeking assistance that they were fleeing that situation and that they resided at that address; and (iv) For paragraph (3)(iv) of the homeless definition in § 576.2, written diagnosis from a professional who is licensed by the state to diagnose and treat that condition (or intake staff- recorded observation of disability that within 45 days of date of the application for assistance is confirmed by a professional who is licensed by the state to diagnose and treat that condition); employment records; department of corrections records; literacy, English proficiency tests; or other reasonable documentation of the conditions required under paragraph (3)(iv) of the homeless definition. (5) If the individual or family qualifies under paragraph (4) of the homeless definition in § 576.2, because the individual or family is fleeing domestic violence, dating violence, sexual assault, stalking, or other dangerous or life - threatening conditions related to violence, then acceptable evidence includes an oral statement by the individual or head of household seeking assistance that they are fleeing that situation, that no subsequent residence has been identified and that they lack the resources or support networks, e.g., family, friends, faith-based or other social networks, needed to obtain other housing. If the individual or family is receiving shelter or services provided by a victim service provider, the oral statement must be documented by either a certification by the individual or head of household; or a certification by the intake worker. Otherwise, the oral statement that the individual or head of household seeking assistance has not identified a subsequent residence and lacks the resources or support networks, e.g., family, friends, faith-based or other social networks, needed to obtain housing must be documented by a certification by the individual or head of household that the oral statement is true and complete, and, where the safety of the individual or family would not be jeopardized, the domestic violence, dating violence, sexual assault, stalking, or other dangerous or life-threatening condition must be verified by a written observation by the intake worker or a written referral by a housing or service provider, social worker, legal assistance provider, health-care provider, law enforcement agency, legal assistance provider, pastoral counselor, or any other organization from whom the individual or head of household has sought assistance for domestic violence, dating violence, sexual assault, or stalking. The written referral or obser vation need only include the minimum amount of information necessary to document that the individual or family is fleeing, or attempting to flee domestic violence, dating violence, sexual assault, and stalking.
(c) At risk of homelessness status. For each individual or family who receives Emergency Solutions Grant (ESG) homelessness prevention assistance, the records must include the evidence relied upon to establish and verify the individual or family’s ‘‘at risk of homelessness’’ status. This evidence must include an intake and certification form that meets HUD specifications and is completed by the recipient or subrecipient. The evidence must also include:
(1) If the program participant meets the criteria under paragraph (1) of the ‘‘at risk of homelessness’’ definition in § 576.2:
(i) The documentation specified under this section for determining annual income; (ii) The program participant’s certification on a form specified by HUD that the program participant has insufficient financial resources and support networks; e.g., family, friends, faith-based or other social networks, immediately available to attain housing stability and meets one or more of the conditions under paragraph (1)(iii) of the definition of ‘‘at risk of homelessness’’ in § 576.2;
(iii) The most reliable evidence available to show that the program participant does not have sufficient resources or support networks; e.g., family, friends, faith-based or other social networks, immediately available to prevent them from moving to an emergency shelter or another place described in paragraph (1) of the ‘‘homeless’’ definition. Acceptable evidence includes:
(A) Source documents (e.g., notice of termination from employment, unemployment compensation statement, bank statement, health-care bill showing arrears, utility bill showing arrears);

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(B) To the extent that source documents are unobtainable, a written statement by the relevant third party ( e.g., former employer, public administrator, relative) or the written certification by the recipient’s or subrecipient’s intake staff of the oral verification by the relevant third party that the applicant meets one or both of the criteria under paragraph (1)(ii) of the definition of ‘‘at risk of homelessness’’ in § 576.2; or (C) To the extent that source documents and third-party verification are unobtainable, a written statement by the recipient’s or subrecipient’s intake staff describing the efforts taken to obtain the required evidence; and (iv) The most reliable evidence available to show that the program participant meets one or more of the conditions under paragraph (1)(iii) of the definition of ‘‘at risk of homelessness’’ in § 576.2. Acceptable evidence includes:
(A) Source documents that evidence one or more of the conditions under paragraph (1)(iii) of the definition (e.g., eviction notice, notice of termination from employment, bank statement); (B) To the extent that source documents are unobtainable, a written statement by the relevant third party ( e.g., former employer, owner, primary leaseholder, public administrator, hotel or motel manager) or the written certification by the recipient’s or subrecipient’s intake staff of the oral verification by the relevant third party that the applicant meets one or more of the criteria under paragraph (1)(iii) of the definition of ‘‘at risk of homelessness’’; or To the extent that source documents and third-party verification are unobtainable, a written statement by the recipient’s or subrecipient’s intake staff that the staff person has visited the applicant’s residence and determined that the applicant meets one or more of the criteria under paragraph (1)(iii) of the definition or, if a visit is not practicable or relevant to the determination, a wri tten statement by the recipient’s or subrecipient’s intake staff describing the efforts taken to obtain the required evidence; or (2) If the program participant meets the criteria under paragraph (2) or (3) of the ‘‘at risk of homelessness’’ definition in § 576.2, certification of the child or youth’s homeless status by the agency or organization responsible for administering assistance under the Runaway and Homeless Youth Act (42 U.S.C. 5701 et seq. ), the Head Start Act (42 U.S.C. 9831 et seq.), subtitle N of the Violence Against Women Act of 1994 (42 U.S.C. 14043e et seq.), section 330 of the Public Health Service Act (42U.S.C. 254b), the Food and Nutrition Act of 2008 (7 U.S.C. 2011 et seq.), section 17 of the Child Nutrition Act of 1966 (42 U.S.C. 1786) or subtitle B of title VII of the McKinney-Vento Homeless Assistance Act (42 U.S.C. 11431 et seq.), as applicable.
(d) Determinations of ineligibility. For each individual and family determined ineligible to receive Emergency Solutions Grant (ESG) assistance, the record must include documentation of the reason for that determination. (e) Annual income. For each program participant who receives homelessness prevention assistance, or who receives rapid re-housing assistance longer than one year, the following documentation of annual income must be maintained:
(1) Income evaluation form containing the minimum requirements specified by HUD and completed by the recipient or subrecipient; and
(2) Source documents for the assets held by the program participant and income received over the most recent period for which representative data is available before the date of the evaluation ( e.g., wage statement, unemployment compensation statement, public benefits statement, bank statement); (3) To the extent that source documents are unobtainable, a written statement by the relevant third party ( e.g., employer, government benefits administrator) or the written certification by the recipient’s or subrecipient’s intake staff of the oral verification by the relevant third party of the income the program participant received over the most recent period for which representative data is available; or
(4) To the extent that source documents and third party verification are unobtainable, the written certification by the program participant of the amount of income the program participant received for the most recent period representative of the income that the program participant is reasonably expected to receive over the 3 -month period following the evaluation.
(f) Program participant records. In addition to evidence of homeless status or ‘‘at risk of homelessness’’ status, as applicable, records must be kept for each program participant that document:
(1) The services and assistance provided to that program participant, including, as applicable, the security deposit, rental assistance, and utility payments made on behalf of the program participant; (2) Compliance with the applicable requirements for providing services and assistance to that program participant under the program components and eligible activities provisions at § 576.101 through § 576.106, the provision on determining eligibility and amount and type of assistance at § 576.401(a) and (b), and the provision on using appropriate assistance and services at § 576.401(d) and (e); and
(3) Where applicable, compliance with the termination of assistance requirement in §576.402. (g) Centralized or coordinated assessment systems and procedures. The recipient and its subrecipients must keep documentation evidencing the use of, and written intake procedures for, the centralized or coordinated assessment

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system(s) developed by the Continuum of Care(s) in accordance with the requirements established by HUD. (h) Rental assistance agreements and payments. The records must include copies of all leases and rental assistance agreements for the provision of rental assistance, documentation of payments made to owners for the provision of rental assistance, and supporting documentation for these payments, including dates of occupancy by program participants. (i) Utility allowance. The records must document the monthly allowance for utilities (excluding telephone) used to determine compliance with the rent restriction.
(j) Shelter and housing standards. The records must include documentation of compliance with the shelter and housing standards in § 576.403, including inspection reports. (k) Emergency shelter facilities. The recipient must keep records of the emergency shelters assisted under the ESG program, including the amount and type of assistance provided to each emergency shelter. As applicable, the recipient’s records must also include documentation of the value of the building before the rehabilitation of an existing emergency shelter or after the conversion of a building into an emergency shelter and copies of the recorded deed or use restrictions. (l) Services and assistance provided. The recipient must keep records of the types of essential services, ren tal assistance, and housing stabilization and relocation services provided under the recipient’s program and the amounts spent on these services and assistance. The recipient and its subrecipients that are units of general purpose local government must keep records to demonstrate compliance with the maintenance of effort requirement, including records of the unit of the general purpose local government’s annual budgets and sources of funding for street outreach and emergency shelter services.
(m) Coordination with Continuum(s) of Care and other programs. The recipient and its subrecipients must document their compliance with the requirements of § 576.400 for consulting with the Continuum(s) of Care and coordinating and integrating ESG assistance with programs targeted toward homeless people and mainstream service and assistance programs.
(n) HMIS. The recipient must keep records of the participation in HMIS or a comparable database by all projects of the recipient and its subrecipients.
(o) Matching. The recipient must keep records of the source and use of contributions made to satisfy the matching requirement in § 576.201. The records must indicate the particular fiscal year grant for which each matching contribution is counted. The records must show how the value placed on third- party, noncash contributions was derived. To the extent feasible, volunteer services must be supported by the same methods that the organization uses to support the allocation of regular personnel costs.
(p) Conflicts of interest. The recipient and its subrecipients must keep records to show compliance with the organizational conflicts-of-interest requirements in § 576.404(a), a copy of the personal conflicts of interest policy or codes of conduct developed and implemented to comply with the requirements in § 576.404(b), and records supporting exceptions to the personal conflicts of interest prohibitions. (q) Homeless participation. The recipient must document its compliance with the homeless participation requirements under § 576.405.
(r) Faith-based activities. The recipient and its subrecipients must document their compliance with the faith- based activities requirements under § 576.406.
(s) Other Federal requirements. The recipient and its subrecipients must document their compliance with the Federal requirements in § 576.407, as applicable, including:
(1) Records demonstrating compliance with the nondiscrimination and equal opportunity requirements under § 576.407(a), including data concerning race, ethnicity, disability status, sex, and family characteristics of persons and households who are applicants for, or program participants in, any program or activity funded in whole or in part with ESG funds and the affirmative outreach requirements in §576.407(b). (2) Records demonstrating compliance with the uniform administrative requirements in 24 CFR part 85(for governments) and 24 CFR part 84 (for nonprofit organizations). (3) Records demonstrating compliance with the environmental review requirements, including flood insurance requirements.
(4) Certifications and disclosure forms required under the lobbying and disclosure requirements in 24 CFR part 87. (t) Relocation. The records must include documentation of compliance with the displacement, relocation, and acquisition requirements in § 576.408.
(u) Financial records. (1) The recipient must retain supporting documentation for all costs charged to the ESG grant. (2) The recipient and its subrecipients must keep documentation showing that ESG grant funds were spent on allowable costs in accordance with the requirements for eligible activities under § 576.101-§ 576.109 and thecost

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principles in OMB Circulars A–87 (2 CFR part 225) and A–122 (2 CFR part 230). (3) The recipient and its subrecipients must retain records of the receipt and use of program income. (4) The recipient must keep documentation of compliance with the expenditure limits in § 576.100 and the expenditure deadline in § 576.203.
(v) Subrecipients and contractors. (1) The recipient must retain copies of all solicitations of and agreements with subrecipients, records of all payment requests by and dates of payments made to subrecipients, and documentation of all monitoring and sanctions of subrecipients, as applicable. If the recipient is a State, the recipient must keep records of each recapture and distribution of recaptured funds under §576.501. (2) The recipient and its subrecipients must retain copies of all procurement contracts and documentation of compliance with the procurement requirements in 24 CFR 85.36 and 24 CFR 84.40–84.48. (3) The recipient must ensure that its subrecipients comply with the recordkeeping requirements specified by the recipient and HUD notice or regulations.
(w) Other records specified by HUD. The recipient must keep other records specified by HUD. (x) Confidentiality. (1) The recipient and its subrecipients must develop and implement written procedures to ensure:
(i) All records containing personally identifying information (as defined in HUD’s standards for participation, data collection, and reporting in a local HMIS) of any individual or family who applies for and/or receives ESG assistance will be kept secure and confidential;
(ii) The address or location of any domestic violence, dating violence, sexual assault, or stalking shelter project assisted under the ESG will not be made public, except with written authorization of the person responsible for the operation of the shelter; and
(iii) The address or location of any housing of a program participant will not be made public, except as provided under a preexisting privacy policy of the recipient or subrecipient and consistent with state and local laws regarding privacy and obligations of confidentiality.
(2) The confidentiality procedures of the recipient and its subrecipients must be in writing and must be maintained in accordance with this section.
(y) Period of record retention. All records pertaining to each fiscal year of ESG funds must be retained for the greater of 5 years or the period specified below. Copies made by microfilming, photocopying, or similar methods may be substituted for the original records.
(1) Documentation of each program participant’s qualification as a family or individual at risk of homelessness or as a homeless family or individual and other program participant records must be retained for 5 years after the expenditure of all funds from the grant under which the program participant was served; (2) Where ESG funds are used for the renovation of an emergency shelter involves costs charged to the ESG grant that exceed 75 percent of the value of the building before renovation, records must be retained until 10 years after the date that ESG funds are first obligated for the renovation; and (3) Where ESG funds are used to convert a building into an emergency shelter and the costs charged to the ESG grant for the conversion exceed 75 percent of the value of the building after conversion, records must be retained until 10 years after the date that ESG funds are first obligated for the conversion. (z) Access to records. (1) Federal government rights. Notwithstanding the confidentiality procedures established under paragraph (w) of this section, HUD, the HUD Office of the Inspector General, and the Comptroller General of the United States, or any of their authorized representatives, must have the right of access to all books, documents, papers, or other records of the recipient and its subrecipients that are pertinent to the ESG grant, in order to make audits, examinations, excerpts, and transcripts. These rights of access are not limited to the required retention period but last as long as the records are retained.

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Alameda County
Priority Home Partnership
(PHP)
City of Berkeley

Emergency Solutions Grant
Rapid Rehousing and Prevention
Assistance
Policies and Procedures Manual

Version 2
January 2014

870
ii

Priority Home ESG
Policies and Procedures Manual

Table of Contents

Introduction ................................................................................................................... 3 Program Purpose......................................................................................................... 3 Interim Guidelines ........................................................................................................ 3 Structure of the Manual ............................................................................................... 4 1: Participant Eligibility ................................................................................................ 5 Eligibility Determination ............................................................................................... 6 2: Enrollment ................................................................................................................ 7 Budget and Housing Stability Plan............................................................................... 7 3: Financial Assistance for Housing ........................................................................... 7 Eligible Financial Assistance Expenses ....................................................................... 7 Determining the Amount of Financial Assistance ........................................................ 8 4: Supportive Services and Connection to Mainstream Resources ........................ 9 Links to Mainstream Services .................................................................................... 10 Legal Services ........................................................................................................... 11 5: Housing Unit Requirements ................................................................................... 11 A. Rent Reasonableness and Compliance with Fair Market Rent ............................ 12 B. Housing Inspection ................................................................................................ 13 C. Rental Assistance Agreement ............................................................................... 13 6: Three Month Reassessment of Eligibility ............................................................. 14 7: Termination of Housing Assistance or Program Participation ........................... 14 Grievances and Appeals ............................................................................................ 15 8: Program Exit ............................................................................................................ 15 Appendix of Forms and Documents .......................................................................... 17 ESG Client File Document Check List .................................................................... 18 ESG Application for Assistance and Eligibility Determination Form ....................... 19 ESG Program Participation Agreement .................................................................. 27 Sample Budgeting Worksheet ................................................................................ 28 ESG Housing Stability Plan ...................................... Error! Bookmark not defined.

ESG Financial Assistance Calculation Form .......................................................... 30 Rent Reasonableness and FMR Certification ........................................................ 33 Habitability Standards Inspection Form .................................................................. 34 Rental Assistance Agreement Letter ...................................................................... 41 Three Month Reassessment of Eligibility ............................................................... 42 Notification of Termination of ESG Assistance ....................................................... 46 ESG Income Eligibility Calculation Worksheet ....................................................... 42

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Introduction

The Emergency Solutions Grant (ESG) is a federal program that provides funding to states and local governments for emergency services and housing supports for homeless and at-risk households. Under the 2009 HEARTH Act, eligible activities under ESG were expanded from traditional shelter and outreach services to also include rapid rehousing and targeted homeless prevention. Per the ESG regulations (§576.400) ESG recipients must consult with the Continuum of Care entity in their region to determine how to allocate ESG funds, develop performance standards and evaluate the outcomes of projects and activities funded with ESG. They also must develop written policies and procedures for determining which households will receive assistance and for determining the type, amount, and length of assistance to be offered to eligible households.

Program Purpose
The primary purpose of local ESG-funding for prevention and/or rapid rehousing is to serve households as close to the “front door” of homelessness as possible – either by diverting them from entry into homelessness, and particularly to shelter, through prevention assistance, or assisting persons as soon as possible after becoming homeless, including after entering shelter, to end their homelessness quickly and shorten lengths of stay in shelter and time spent homeless. In some cases, particular subpopulations may be targeted for this assistance, consistent with plans to end homelessness.

This manual of policies and procedures covers all ESG recipients and subrecipients operating prevention and/or rapid rehousing programs in Alameda County, as these areas are all contained in HUD-recognized Continuum of Care 502. ESG entitlement recipients in Alameda County currently include the Cities of Berkeley and Oakland and the County of Alameda on behalf of the Urban County. Additional ESG subrecipients within the County may be selected by the State of California or, from time to time, additional cities may become entitlement for ESG. This manual was developed collaboratively by the CoC Entity, EveryOne Home, and all current entitlement recipients and State ESG subrecipients.

Interim Guidelines
The ESG and CoC regulations require that the Continuum of Care develop and implement a centralized or coordinated assessment system, and a set of written standards for CoC funded activities. Once coordinated assessment is established, each ESG-funded program or project must use the assessment system, and recipients and subrecipients must work with the Continuum of Care to ensure that screening, assessment and referral of program participants are consistent with the written standards required for ESG programs. This manual and the written standards contained herein for prevention and rapid rehousing are considered interim for the period until a broader coordinated assessment system and written standards for assistance have been developed and adopted across the Continuum.

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A complete version of the ESG Interim Regulations can be found here:
https://www.onecpd.info/resources/documents/HEARTH_ESGInterimRule&ConPlanCon formingAmendments.pdf
Structure of the Manual
This manual is for ESG recipients, subrecipients, and interested parties. It provides a detailed description of the steps that will be taken to determine eligibility, calculate financial assistance, recertify for eligibility, provide support and terminate ESG assistance for rapid rehousing and prevention. Required and/or recommended forms and documents are provided in an Appendix of Forms and Documents at the end of the manual. In some cases, recipients or subrecipients may target their programs more specifically to subpopulations, such as survivors of domestic violence or seniors who are otherwise eligible.

Items in bold italics that are highlighted in grey, are changes to the manual specific to how the City of Berkeley will implement the program.

A document icon appears by every form that is referred to and clicking on the highlighted hyperlinks on the names of the form will take the reader directly to the referenced documents in the Appendix.

 Some key forms and information are entered into the county-wide InHOUSE Homeless Management Information System. Forms that are provided by InHOUSE are not included in this manual but are indicated by a computer icon.

Acknowledgments: The development of the ESG Manual was supported by Alameda County EveryOne Home and the City of Berkeley. For more information related to the ESG Manual or about the Priority Home Partnership, please contact Elaine DeColigny, EveryOne Home Director, at (510) 670-5944 or email [email protected] . The
manual was prepared by Katharine Gale Consulting with input from local government and community agency staff including the following persons: Kerry Abbot, Erika Bernheimer, Elaine DeColigny, Geoff Green, Kristin Lee, Susan Shelton, Liz Varela, Jennifer Vasquez, and Riley Wilkerson.

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1: Participant Eligibility

As stated above, the primary purpose of ESG-funded rapid rehousing and prevention is to reduce entries into homelessness and/or shorten stays in homelessness to the greatest extent feasible.

To be eligible to receive ESG prevention or rapid rehousing assistance, participant households in Alameda County must meet both national and local requirements, and this eligibility must be documented with an application and supporting documentation kept in a client file. These requirements include:
• Participants must be homeless or at imminent risk of homelessness, per the applicable HUD definitions in the ESG regulation (§576.2) supported by documentation;
• P articipants must be one of the locally targeted populations for the program, as specified on the application and eligibility determination form; • P articipants must be willing to participate in the program and to meet the terms of a self-developed Housing Stability Plan;
• Participants may not have already received 24 months of ESG assistance during the past 36 months (§576.105(c));
• Participants must meet the local asset policy, including having cash or equivalent assets of less than $2,000 per single individual and $3,000 per couple;

In addition:
• Participants receiving prevention assistance must have incomes at or below 30% of the Area Median Income (§576.103).

Eligibility for Rapid Rehousing

Rapid rehousing provides financial assistance and supportive services to individuals or families that are literally homeless, staying in shelter or transitional housing or on the streets or other places not suitable for human habitation, or exiting institutions and having entered from one of these locations. Eligibility for rapid rehousing includes those fleeing domestic violence who are living in one of the places named above.

In keeping with the intentions of the program, rapid rehousing assistance will be used primarily to serve households that are:
1) Adults or family households able to be rehoused rapidly without anticipation of an ongoing subsidy, with ESG financial assistance anticipated to be of six months or less duration;
2) Adults or family households able to be rehoused rapidly with an ongoing subsidy from another source anticipated within six months of ESG program participation
3) Transition-age youth, especially those recently discharged from foster care, who are able to be rehoused rapidly without anticipation of an ongoing subsidy, with ESG assistance of eighteen months or less duration.

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Eligibility for Prevention Assistance

Prevention assistance will be directed to persons who are not literally homeless but are at imminent risk of homelessness per the HUD Homeless definition (Category 2).

Prevention assistance may include support to a household to retain its current housing or to move to other housing without having to become literally homeless. While the ESG regulations allow for ESG prevention to be provided to those categorized as “at- risk” but not necessarily at “imminent risk”, Alameda County ESG programs will target prevention services specifically to those that are at “immediate risk” defined as:
“An individual or family who will imminently lose their primary nighttime residence, provided that:
- the primary nighttime residences will be lost within 14 days of the day of application for homeless assistance;
- no subsequent residence has been identified; and,
- the individual or family lacks the resources of support networks, e.g., family, friends, faith-based or other social networks, needed to obtain other permanent housing.”

Within the category of “imminent risk” special attention and outreach will be done to target those households that are:
1) doubled up with family and friends, must move within 14 days and are seeking to enter shelter;
2) living in a hotel or motel using their own resources , must leave within 14 days, and are seeking to enter shelter;
3) living in their own housing, are being evicted for non-payment of rent, must leave within 14 days, and are seeking shelter; Not eligible under the City of Berkeley Priority Home Partnership (PHP). These households may be eligible for the Housing Retention Program (HRP).
4) fleeing domestic violence;
5) imminently leaving foster care, or have recently left foster care and are at imminent risk of losing their current housing.

Eligibility Determination
Program operators must determine that potential participants are eligible for assistance, and document this eligibility, including verifying income and housing status. The Program Application and Eligibility Determination Form contains key questions and documentation requirements.

A copy of the ESG Program Application and Eligibility Determination Form can be found in the Appendix. This document and all supporting documentation should be placed in the Participant’s File.
A cover sheet for participant files with a list of all of the program documents can be found here.

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Ineligible applicants: If a household is assessed and determined to be ineligible, the program operator must notify the household that they have been determined to be ineligible, provide them with appropriate referrals which should be noted on the application form, and create a client file documenting the assessment process and determination.
2: Enrollment

Once found eligible, to enroll the head of household must sign the ESG Participation Agreement complete the HMIS ROI and staff must complete an HMIS Standard Intake Form (SIF) for all household members.

A copy of the ESG Program Participation Agreement can be found in the appendix, immediately following the Application form.

 The HMIS Release of Information (ROI), and the Standardized Intake Form (SIF) are developed and updated by the InHOUSE staff at Alameda County Housing and Community Development Department, in accordance with HUD regulations. Housing Agency staff must ensure that the forms in use are the most recent ones, as HUD and local requirements change periodically. If you are unsure that the forms are the most recent, email [email protected]
.

Budget and Housing Stability Plan

The purpose of ESG Prevention and/or Rapid Rehousing assistance is to provide the support necessary to help the household retain or gain housing in the shortest period of time possible. Critical to being able to retain the housing is a budget and a housing plan. The budget is also needed to determine the amount of financial assistance to be provided.

The Housing Stability Plan should be updated as frequently as necessary to reflect changing situations. Once a participant has moved into housing, the housing specialist and participant should prepare a new Housing Stability Plan that emphasizes those steps or actions needed to retain housing.

A Sample Budgeting Worksheet and a sample Housing Stability Plan format can be found in the Appendix of Forms. ESG-funded programs may use another version of these forms if approved by the recipient. Be sure to make a copy of the Budget and Housing Plan for the participant and insert a signed copy in the participant’s file. 3: Financial Assistance for Housing
Eligible Financial Assistance Expenses

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The ESG program has the ability to provide temporary financial assistance to participants on a short or medium-term basis. This assistance may include:

Security Deposits: The housing agency may provide a maximum of two times the monthly rent for a unit as a security deposit to assist a participant to secure housing. At such time as the participant may leave the unit and the landlord return all or part of the deposit to the participant, the participant may retain any balance to use toward a new housing situation.

Utility Deposits: If, in order to begin utility service, the household must provide a deposit to a utility company, the program may assist with this deposit.

Rental Assistance payments: If the participant cannot currently afford to rent a unit in the community but is reasonably anticipated to have sufficient income, either through employment or benefits, within approximately six months the program may provide a rental subsidy for the participant. Such subsidies will be as low as possible:
 If the participant has an income he/she is expected to contribute at least 50% of his/her income toward the rent, unless the participant is expect to receive a permanent housing subsidy within approximately six months, in which case the participant may pay only 30% of their income. Documentation of the expectation of a permanent subsidy should be included in the file.
 If the participant has no income, the program may subsidize the entire rent for the first three months.

Rental assistance may be conditioned on the participant fulfilling his or her agreements as part of the Housing Stability Plan and is never offered for more than three months at a time. To continue rental assistance after three months, the program must recertify the participant. See Section 6: Three Month Reassessment of Eligibility

Past due rent arrears: If in order for a household to retain their housing they must pay past due rent the program will cover up to three months of rent arrears not to exceed $3,000 Not eligible under the City of Berkeley PHP.

Past due utility arrears: In rare cases, the ESG program will provide funding for past due utilities. The program will only provide such funding for prevention clients if failure to do so will result in the loss of utilities and under the terms of the participants lease this would be grounds for eviction. The program will only provide utility arrears assistance to rapid rehousing clients if utility arrears mean that then household will be unable to establish utility service in their new housing.

In addition, ESG funds may be used to cover the costs of rental applications provided this is a fee that is charge by the owner to all applicants.

Determining the Amount of Financial Assistance

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The amount of financial assistance is determined by the amount needed to secure the housing and by the amount of contribution the household is able to make toward the housing costs.

For one-time costs, such as security deposits, and rent and utility arrears, the program will pay the entire amount if the household will have less than 50% of income available after paying rent, the household’s budget does not contain any disposable income, and the household assets are less than $500.00. If the household has assets greater than $500, and/or the household budget indicates income is available to make a portion of the payment, the household should be required to provide a portion of the deposit and/or arrears. The household’s payment may be made through a payment plan with the landlord or utility company if that is possible.

For rental assistance payments, households with any income are expected to contribute either 50% of their income, or 50% of the rent, whichever is lower. An exception to this rule may be made for persons with disabilities who are anticipated to receive a permanent subsidy within six months of their ESG program enrollment.

With agency supervisor approval, households may be permitted to contribute less toward the rent for a brief period to cover other extraordinary costs. The program may pay the entire rent on behalf of households that have no income.

The ESG Financial Assistance Calculation Form can be found in the appendix.

The program should complete the form with the participant and the participant should sign it. This calculation needs to be prepared every three months for households receiving medium-term rental assistance.

 All financial assistance provided must be recorded in HMIS. 4: Supportive Services and Connection to Mainstream Resources Whether covered by ESG funds or other sources, ESG programs are expected to assist clients with housing stability case management and with housing search and placement services as needed.

Housing stability case management includes:
• conduct ing the official evaluation of eligibility and need, including verifying and documenting eligibility
• counseling
• developing, securing, and coordinating services and assistance in obtaining Federal, state and local benefits
• monitoring and evaluating participant progress;
• providing information and referral to other providers; • developing an individualized housing plan to permanent housing stability; and • conducting reevaluations.

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These services may not exceed 30 days during the period the program participant is seeking permanent housing, and may be provided for up to a total of 24 months within a 36 month period.

While providing prevention or rapid rehousing financial assistance, the program must ensure that the participant meets with a case manager not less than once per month to assist the participant in ensuring long-term housing stability. Case management should be provided more frequently if needed.

Housing search assistance are those services intended to assist program participants in locating, obtaining, and retaining suitable permanent housing, and are expected to be offered to all participants receiving rapid rehousing assistance or prevention assistance that includes moving to another unit. These include:
• assessment of housing barriers, needs, and preferences; • development of a plan for locating housing;
• housing search;
• outreach and negotiations with landlords; and
• assistance with submitting rental applications and understanding leases.

Links to Mainstream Services

As part of the stability case management, each participant is expected to be assisted, as needed to obtain other services and mainstream benefits including:
• appropriate supportive services including assistance in obtaining permanent housing, medical health treatment, mental health treatment, counseling, supervision, and other services essential for achieving independent living, and • other federal, state, local, and private assistance available to assist the program participant in obtaining housing stability, including
o Medi-Cal or other medical insurance
o TANF
o Food stamps/Supplemental nutrition assistance (SNAPS) o WIC
o U nemployment insurance
o SSI/SSDI
o Child and adult care food program
o O ther mainstream benefit programs from which the participant household could benefit.

While no specific form is provided for this documentation, all case management meetings must be documented in the participant file, and/or in the HMIS case management module. Documentation should include evidence of assistance provided to obtain mainstream resources and the results of that assistance. Subrecipients are encouraged to check with the recipient for approval of documentation.

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Legal Services

ESG funds may be used for legal services that are necessary to resolve a legal problem that prohibits the program participant from obtaining permanent housing or will likely result in the program participant losing the permanent housing in which the program participant currently resides. More detail on eligible legal services activities can be found at (§576.102 (a)(1)(vi)) and (§576.105(b)(4)).

While legal services providers that do not provide financial assistance are not required to complete the financial assistance calculation form, they must ensure that all households assisted meet program eligibility (Section 1 above) including completing the
application for assistance to document participant eligibility, and must ensure that the units assisted meet the habitability standards in Section 5 below. 5: Housing Unit Requirements
In addition to the household being eligible, the unit to be assisted must also meet eligibility requirements. These include that the rent is both reasonable and at or below the Fair Market Rent market rent, and that the unit meets habitability standards.

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A. Rent Reasonableness and Compliance with Fair Market Rent

ESG programs must perform both a rent reasonableness determination and document that the rent falls at or below the Fair Market Rent on every unit assisted, whether for prevention or rehousing.

“Rent reasonableness” means that the total rent charged for a unit must be reasonable in relation to the rents being charged during the same time period for comparable units in the private unassisted market and must not be in excess of rents being charged by the owner during the same time period for comparable non-luxury unassisted units.

To make this determination, the recipient or subrecipients should consider (a) the location, quality, size, type, and age of the unit; and (b) any amenities, housing services, maintenance and utilities to be provided by the owner.

Comparable rents can be checked by using a market study, by reviewing comparable units advertised for rent, or with a note from the property owner verifying the comparability of charged rents to other units owned (for example, the landlord would document the rents paid in other units). NOTE that not every element in the suggested list of nine things to check for must be known to establish a comparable unit. See more guidance at http://portal.hud.gov/hudportal/documents/huddoc?id=DOC_11753.pdf

The Fair Market Rent (FMR) is a benchmark established by HUD for regions. For ESG, the FMR is the maximum rent permitted even if other similar units rent for more.

Final FY 2013 FMRs By Unit Bedrooms
Oakland-Fremont, CA HUD Metro FMR Area (Alameda and Contra Costa Counties) SRO Studio/Efficiency 1-bedroom 2-bedroom 3-bedroom 4-
bedroom
$776 $1,035 $1,255 $1,578 $2,204 $2,704
Source: http://www.huduser.org/portal/datasets/fmr.html

The above chart displays the Fair Market Rents applicable during FY2013. Fair Market Rents are updated and published by HUD every year. Programs must ensure that they are using the FMR’s in effect at the time of their determination.

A copy of a Rent Reasonableness and FMR Certification form can be found in the forms appendix. Subrecipients may use an alternative rent reasonableness determination form meets the requirements of the ESG regulations §576.106 and has been approved by the ESG recipient.

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B. Housing Inspection

In order to ensure that ESG funds are used in housing that meets minimum habitability standards, an inspection must be performed on every unit assisted, whether for prevention or rehousing. This inspection includes compliance with the Lead Paint Poisoning Prevention Act.

A copy of a suggested Habitability Standards Inspection Form can be found in the forms appendix. Subrecipients may use an alternative inspection form as long as it covers all of topic areas required under ESG regulations §576.403 and has been approved by the ESG recipient.

C. Rental Assistance Agreement

Relationships with landlords are a central component of the program. The housing specialist assists both the participant and the landlord to make the housing successful.

Once a unit has been identified and inspected, the housing agency must ensure that:
a) The tenant receives a written lease or rental agreement from the landlord which clearly outlines the terms of tenancy and conforms with applicable California and local law; and
b) The landlord is apprised of the nature of the program, the anticipated support to the participant, the obligations of the landlord, and the manner in which the landlord may contact the program if there are concerns.

At a minimum, the housing agency will provide the landlord with a copy of the Rental Assistance Agreement Letter describing the program and outlining the basic support the participant is anticipated to receive. The landlord must sign the letter and return it to the agency. Some agencies may prefer to use a contract or housing assistance payments (HAP) agreement that outlines in greater detail the rights and obligations of the parties.

Use of such an agreement is fine if it covers all requirements in the ESG regulations §576.106 and has been approved in advance by the ESG recipient.

In order to determine that the landlord named on the lease is the legitimate owner of the property, the housing agency will use a database service, such as Realquest, or another manner to verify and document the ownership. In addition, the housing agency shall collect a W-9 from the landlord or property management agency and follow all IRS reporting requirements.

A copy of the Rental Assistance Agreement Letter is included in the appendix. A copy of this letter or an acceptable substitute agreement should be kept in the participants file, along with a copy of the tenant’s lease and printout from the database used to verify the ownership of the unit and a copy of the W-9. The original W-9 must be given to the housing agency’s finance division the City of Berkeley. The City of Berkeley will verify property ownership.

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6: Three Month Reassessment of Eligibility

Any participant who receives more than three months of assistance from the program needs to be formally reassessed. This is distinguished from the more frequent check- ins and meetings with the client, which should occur frequently and as needed, and are recorded in case notes.

During the reassessment process, the program is, at a minimum, confirming:
• The participant has not received more than 24 months of assistance, including any arrears coverage.
• The participant’s income level is such that there is still a need to provide financial assistance in order to maintain housing stability.
o Income is not greater than 30%of the Area Median Income (AMI) o Rent is more than 50% of participant income (unless the participant is awaiting a permanent subsidy and is currently paying 30% of income.) • The participant is making documented progress on their housing plan and taking the steps needed towards housing stability without program financial assistance. • The participant lacks the financial resources or support networks to secure their housing without continued assistance.

The three month reassessment is also used to update the participant’s HMIS record with current information about housing and income.

Once the three month reassessment of eligibility is completed, the household should be notified whether they will continue to receive assistance or not, including signing the reassessment form. If continuing to receive assistance, new documents, including an updated housing stability plan, budget and financial assistance calculation should be prepared and discussed with the client.

A copy of the Three Month Reassessment of Eligibility is included in the appendix.

The Reassessment requires updated documentation of income, which should be attached to the form and included in the file.
 Key pieces of information from the Three Month Reassessment Form, including any change in income or address is to be entered into HMIS. (In the future, the Three Month Reassessment may be an HMIS provided form.)
7: Termination of Housing Assistance or Program Participation

Housing assistance under this program is intended to be temporary and to help participants secure housing that they can remain in without long-term financial support.

Any housing assistance is contingent on the participant’s active participation in carrying out the terms of his/her Housing Stability Plan. Failure to take steps agreed to in the plan, such as seeking work, applying for benefits, looking for housing or accepting housing that meets the participant’s criteria are a reasonable basis for recommending termination of financial assistance.

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15 COB ESG Manual and Forms - Ver 2 Jan. 2014

If a program participant is found to be violating the participation agreement, reasonable efforts will be made and documented by staff to assist the participant to address the issue or correct the violation prior to terminating services. Violations that endanger staff, any other participant, any other person, or the viability of the program as a whole will be acted upon immediately.

If a participant is determined to be in continued or grave violation of the program rules, a written Notice of Termination of Assistance will be provided to the program participant containing a clear statement of the reasons for termination, the date on which the termination will become effective, and the process for appealing the decision.

Participants receiving a Notice may request that the decision to terminate participation be reviewed by making a request to the designated supervisor within the agency. This request must be made in writing and must be reviewed within 14 calendar days. A written notice of the final decision will be issued to the participant.

The program may also resume assistance to a program participant whose assistance was previously terminated with the approval of the agency supervisor.

A sample Notification of Termination of ESG Assistance is provided in the Appendix of Forms. Subrecipients may use an alternative Termination form as long as it covers all of topic areas required under ESG regulations §576.402 and has been approved by the ESG recipient, the City of Berkeley.

Grievances and Appeals

Agencies ESG subrecipients must notify participants of the agency’s grievance policy at the time of program enrollment, including providing them with a written copy of the policy and keeping a copy of a signed version of the policy or other notification in the participant file. Housing agencies will follow their agency grievance and appeals process, through to the level of the highest ranking staff member of the agency or as may be otherwise specified in the agency’s approved policy and procedures.

If there is a grievance specific to the ESG which has not been resolved through the agency grievance process, ESG program participants may appeal to the local recipient, the City of Berkeley. Recipients will follow their appeal process.

8: Program Exit
Upon completion of the program, or upon termination prior to completion, all members of the household should be exited from the program in HMIS. At this time all information including household income, final address and housing status are recorded and updated.

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16 COB ESG Manual and Forms - Ver 2 Jan. 2014
 The Exit Form is an HMIS-provided form. A printed copy of the form(s) should be kept in the participant file and all data entered into HMIS.

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City of Berkeley
ESG Rapid Rehousing and
Prevention

Appendix of Forms and Documents

(click here to return to the main section of manual)

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City of Berkeley
ESG Client File Document Check List
(click here to return to relevant section of manual)

Last Name: ____________________ First Name: ________________ HMIS ID: ________

I. Eligibility Documentation (check or indicate date completed in blank to left) _____ Application for Assistance and Eligibility Screening Form ____ Homeless Status/At-Risk Housing Status and Back up Documentation ____ Income Eligibility Determination and Back up Documentation ____ Asset Verification Documentation
_____ Intake on Head of Household (HMIS SIF form)
_____ Intake(s) on other household members (if applicable) (HMIS SIF form) Intake on other adult ___________ Intake on other adult ____________ Intake on child: _______________ Intake on child:_________________ _____ Other: __________________________
_____ Current ROI ___________ Date:____________

II. Documentation on the Housing Unit and/or Utilities (check or indicate date completed in blank to left)
_____ Documentation of rent or utility arrears (if applicable) _____ Rent Reasonableness and Payment Standard determination for rental unit _____ Habitability Inspection (includes Lead Assessment) _____ Lease between Participant and Landlord
_____ Rental Assistance Agreement with Landlord
_____ W- 9 Form
_____ Other: __________________________
_____ RealQuest or other owner verification documentation

III. Documentation of Assistance/Ongoing Services (check or indicate date completed in blank to left)
_____ Household Budget
_____ Housing Stability Plan
_____ Financial Assistance Calculation Form
_____ Links to Mainstream Resources
_____ Case Management Notes
Three Month Reassessment(s) (if applicable, insert dates)

1. _____________ 2. ______________ 3.____________ 4.______________ _____ Exit Form (HMIS form)
_____ Termination of Housing Assistance Form (if applicable) _____ Other: __________________________

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City of Berkeley
ESG Application for Assistance and Eligibility Determination Form (click here to return to relevant section of the manual)

Complete this form and have the head of household sign it. This form will determine eligibility and act as an application by the household for assistance.

Assessment Date: __ __ / __ __ / __ __ __ __

Staff: ___________________________________ Agency: ______________________________

A. General Information

1. Head of Household:

First: ___________________ Middle: ____________ Last: __________________ Suffix:____

Complete ROI for Head of Household or check here _________if current ROI on file

2. Other Members of Household

First Name Last Name Age Relationship to Head
of Household

Total number of persons in household: ________

If applicant is determined to be eligible for assistance, you must complete an HMIS Standard Intake Form (SIF) for every household member.

3. Why are you seeking assistance? Please choose an option, then describe below.

I am living on
the streets, or a
place not meant
for human
habitation

I am in a shelter or TH
housing program and have
been referred for rapid re-
housing
 I am applying for
shelter because I
must leave where I
am currently staying
I want to keep the
housing I have and
am at imminent risk of
losing it Not eligible
under the City of
Berkeley PHP

Explanation:
______________________________________________________________________________

I understand that I am applying for assistance from the federally-funded Emergency Solutions Grant Program. I understand that I am required to certify that all information in this application is true and to provide all required documents to determine eligibility and to enter into a housing stability plan if I am eligible for assistance. I also understand that financial assistance is not guaranteed, is time-limited, and may be terminated or adjusted at any time. I declare that all information I have provided in this application is true to the best of my knowledge.

Head of Household Signature: _________________________ Date: _________________

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20 COB ESG Manual and Forms - Ver 1.1 2/20/13

B . Rapid Rehousing Assessment (Cross through and skip this section if applicant household is applying for prevention assistance)
Homeless Status Documentation: To receive rapid rehousing assistance, clients must be homeless by the HUD Homeless Definition and eligible for assistance under certain categories. Use this portion of the form if the applicant clien t household is Literally Homeless (Category 1), or is fleeing/attempting to flee domestic violence (Category 4) and also meets the category of Literally Homeless. Otherwise, complete Section B. of this form for Homeless Prevention.

1. Is household among the eligible target population for this program?  Living/staying in a shelter.
 Living on the streets, a car, an encampment or a place not meant for human habitation.  Living/staying in transitional housing.
 Exiting an institution where s(he) resided for 90 days or less and previously resided in a shelter or the streets of place not mean for human habitation.
 Fleeing or attempting to flee domestic violence and also meets one of the above conditions.

Documentation
Literally Homeless – on the streets or
in a shelter
(in order of preference for documentation)
 Written observation by an outreach worker (attached), or  Written referral by another housing or service provider (attached) HMIS intake for shelter/TH, or
 Self- certification that s(he) was living on the streets or in a shelter (attached)

Exiting an institution and entered from
literal homelessness
One of the forms of evidence above and
 Discharge paperwork or written/ or documented oral referral (attached), or  Written report of intake workers due diligence to obtain above evidence and certification by the individual that they exited institution (attached) Be sure to attach the supporting documentation to the application in file.

2. This household is a candidate for ESG rapid rehousing because:
 They are homeless but have adequate income to afford a place if assisted to obtain one with short-term assistance (deposit and up to one to three month’s rent subsidy).  They are homeless and don’t currently have adequate income for housing but have potential to increase income to be self sustainable within approximately 6 months and are willing to commit to a housing stability plan.
 They are currently homeless but with assistance can move into a stable situation with friends or family or another situation that doesn’t require an increase in income and will be included on a lease.  They are currently homeless and are expected to receive a housing subsidy within six months from another source but need financial assistance to gain housing and/or support services

Subsidy anticipated:
 OPRI  VASH  Shelter Plus Care  Other: __________________________

 Benefit anticipated: SSI Date expected: __________Verified by 3rd Party: _______________

Note: ESG funds may not be used to cover any cost covered by another subsidy source. For rapid rehousing candidates with a subsidy, ESG may only be used to pay security deposit and utility deposits if needed to secure housing.

 Current Subsidy ______________ pays for:
___________________________________________________________

 No other subsidy currently
Proceed to Part D: Income Verification Section

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C. Homelessness Prevention (Cross through and skip this section if applicant household is applying for Rapid Rehousing)

To receive Prevention assistance, clients may either be homeless under certain categories of the HUD Homeless Definition or At risk of Homelessness under any category of that definition. Use this portion of the form if the applicant client household is at Imminent Risk of Homelessness (Category 2), fleeing/attempting to flee domestic violence but does not meet the category of Literally Homeless (Category 4) or is At Risk of Homelessness. Households who do not qualify for rapid rehousing or prevention assistance under these definitions are not eligible for ESG assistance under this program.

1. This household is a candidate for prevention assistance because:
 They are currently seeking shelter, and have been staying with family or friends who will no longer let them remain there. (Must be required to leave within 14 days.)  They are staying in a hotel or motel using their own resources, have no other residence and lack the resource and support networks to obtain other permanent housing.  They are fleeing or attempting to flee domestic violence, have no other residence and lack the resource and support networks to obtain other permanent housing.
 They have a place to live with their name on the lease from which they are being evicted (must be required to leave within 14 days.) Not eligible under the City of Berkeley PHP.  The are about to be discharged from foster care, or have recently been discharged from foster care, and the residence where they are currently living will be lost within 14 days

Documentation
Imminent Risk of Homelessness  A court order resulting from an eviction action notifying the individual or family that they must leave (attached), or  Leaving a hotel or motel – evidence that household has been staying in hotel/ motel (attached), and this application documents lack of resources
 A documented and verified oral statement that residence will be lost within 14 days of the date of this application (attached), and this application documents lack of resources.

Leaving an institution, including
foster care
One of the forms of evidence above and
 Discharge paperwork or written/oral referral (attached), or  Written report of intake workers due diligence to obtain above evidence and certification by the individual that they exited an institution or foster care (attached)
Fleeing domestic violence For victim services providers:
 An oral statement, by the individual or head of household self- certified or certified by the intake worker, which states they are fleeing and have no subsequent resident or resources.

For non-victim services providers:
An oral statement, by the individual or head of household self which states they are fleeing and have no subsequent resident or resources. Where the safety of the individual or family is not jeopardized, the oral statement must be verified.

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2. Housing Assessment (Prevention Only) Households with a lease in their name are not eligible for the City of Berkeley PHP assistance. Please go to section II of this page.

I. If household intends to keep current housing, what is the monthly rent? _____________

If the household intends to remain in their current unit, does the rent amount exceed the FMR payment standard (based on the chart below)?
No: Proceed to next page.
Yes: Client is not eligible to be subsidized in their current unit. Ask the client if they are interested in relocating to less expensive housing and if so, proceed with assessment. Otherwise, stop here; client is not eligible. Proceed to end of form

Final FY 2013 FMRs By Unit Bedrooms
Oakland-Fremont, CA HUD Metro FMR Area
SRO Studio/Efficiency 1-bedroom 2-bedroom 3-bedroom 4-bedroom $776 $1,035 $1,255 $1,578 $2,204 $2,704
Source: http://www.huduser.org/portal/datasets/fmr.html 2/5/12 Is your name on a rental agreement?
No Yes

If you owe back rent, how much do you owe? __________ Not eligible under the City of Berkeley PHP.

How many month’s rent is that?
One Two Three Four Five Six or more Don’t Know

Is your landlord willing to accept rent from you?
No Yes Don’t Know Does Not Apply

If you are at risk of eviction, where are you in the eviction process? Have not been
served formal
notice
Served a 3-day
notice to pay rent or
quit
Served an Unlawful
Detainer summons
Eviction judgment has
been issued
Does not apply
--------------------------------------------------------------------------------------------------------------------------------------------------- II. If your name is not on a rental agreement, are you living with someone who has a rental agreement and who has
notified you in writing that you must leave?
No Yes

Do you currently receive any type of housing or utility subsidy or assistance from any other source? No Yes
Subsidy pays for: ____________________________________________________________

Note: ESG funds cannot be used to cover any cost covered by another subsidy source. For prevention candidates with a housing subsidy, ESG may only be used to pay the tenant portion of overdue back rent.

Be sure to attach housing status verification form and supporting documentation in file. Proceed to Part D: Income Verification Section

D. Income Verification

What is the combined income of this applicant household? ______________

Household size: __________

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23 COB ESG Manual and Forms - Ver 1.1 2/20/13

Alameda County, California
FY2013 Income Limits
Household Size 1
Person
2 Person
3 Person
4 Person
5 Person
6 Person
7 Person
8 Person
Extremely Low Income
(30% of AMI) $18,750 $21,400 $24,100 $26,750 $28,900 $31,050 $33,200 $35,350 Source: http://www.huduser.org/portal/datasets/il/il2013/2013summary.odn 12/11/12

 At or below 30% AMI for household size

 Above 30% AMI for household size and seeking rapid rehousing assistance. The City of Berkeley authorization of recipient may be is required to proceed.

Required Authorization: ____________________________ (if applicable)

 Above 30% AMI for household size and seeking prevention assistance– INELIGIBLE: Proceed to end of form.

You may use the ESG Income Eligibility Calculation Form or another similar form to determine income. Be sure to include income verification form and supporting documentation for determination in file.

E. Resources, Networks and Asset Determination

In addition to meeting the housing status and income requirements, applicants must demonstrate that they do not have sufficient support or resources to retain or gain housing on their own.

ii. Asset Assessment

To determine whether the applicant household has resources that could be used to prevent or end their homelessness, and to determine the amount of financial assistance to be provided, the program must review their assets. This portion of the form applies to all adults in the household listed on page 1.

 No Bank accounts

Bank Accounts (attach appropriate third party documentation for all accounts listed below)

1. Name of Financial Institution: _______________________ Type of account:_____________ Name(s) on Account: __________________________________________________________ Acct #:______________ Acct. Balance:_______________________ as of ____/_____/_____

2. Name of Financial Institution: _______________________ Type of account:_____________ Name(s) on Account: __________________________________________________________ Acct #:______________ Acct. Balance:_______________________ as of ____/_____/_____

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24 COB ESG Manual and Forms - Ver 1.1 2/20/13

Investment Accounts (obtain appropriate third party documentation for all accounts listed below)

1. Name of Financial Institution: _______________________ Type of account:_____________ Name(s) on Account: __________________________________________________________ Acct #:______________ Acct. Balance:_______________________ as of ____/_____/_____ Other Assets
# of Vehicles:_____  No Vehicles

Make: ______________________ Model: ________________Year:________

Make: ______________________ Model: ________________Year:________

For cars that are 2007 or newer, note blue book value: ____________________________

Property (describe and note value): ___________________________________________

Other (describe):
____________________________________________________________________________

Be sure to attached copies of bank statements or other asset verification If assets exceed $2,000 per individual or $3,000 per couple, if any vehicle is worth more than $10,000, or if household has more working cars than adult drivers, the household is ineligible.

 No  Yes: ineligible. Proceed to end of form

ii. Personal Resource and Networks

Other subsequent housing options

What steps have you taken to identify other appropriate housing options that you can afford without any assistance from this program?

Summary of assessment:

Does the household have any other appropriate housing options?  Yes  No

2) Financial Resources

Do you have any other resources that you could use to help your household gain housing or remain in your housing? (See asset assessment; discuss use of participants personal resources to resolve situation.)

Summary of assessment:

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25 COB ESG Manual and Forms - Ver 1.1 2/20/13

Does the household have other financial resources sufficient to obtain other appropriate subsequent housing or remain in their existing housing?  Yes  No

3) Support Networks

Do you have any other support networks that could help you gain housing or remain in your housing? (This would include family or friends who can lend or give money, a faith-based organization that can assist you, someone with whom you can live, etc.)?

Summary of assessment:

Does the household have support networks needed to obtain other appropriate subsequent housing or remain in their existing housing?  Yes  No

F. Approach to housing stability
How did your current situation of homelessness or housing instability come about?

Describe:

Are you currently doing anything to increase your household income or decrease your costs?

No Yes Does Not Apply

Describe:

If you are to be assisted, are you willing to participate in services to increase your income or decrease your costs?
No Yes Does Not Apply

If household is not currently working toward increasing income or decreasing costs and is unwilling to do so, the household may be determined as ineligible. (Note that households with a fixed income may not need to increase income to remain stable.)

Please add any other information pertinent to eligibility determination:

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26 COB ESG Manual and Forms - Ver 1.1 2/20/13

FOR STAFF USE ONLY:

Last Name: ____________________ First Name: ________________ HMIS ID: ________

Eligibility Determination

A. Household is not eligible to receive ESG assistance due to:
 Not among target population for local program
 Ineligible Housing Status
 Over Income
 Households Assets exceed asset limit
 Household is already receiving a subsidy for the same cost for which the household is seeking assistance  Adults in household unwilling to engage in activities or participate in services designed to support housing stability plan
 Household as already received 24 months of ESG assistance in last 36 months If client is not eligible, inform client of determination and refer client to other programs that may be able to assist the household. Programs referred to:

1. Program: ______________________ How was referral made?:______________________

2. Program: ______________________ How was referral made?:______________________

3. Program: ______________________ How was referral made?:______________________

4. Program: ______________________ How was referral made?:______________________ B. Household is eligible to receive ESG assistance.

 Eligibility for rapid rehousing verified; household will be enrolled and housing search assistance will begin.
 Eligibility for prevention assistance verified; new housing has been identified or current housing is to be retained and program will proceed to check on unit eligibility and to offer financial assistance and housing stability support.

Staff signature:_________________________________ Date: _________________

Proceed to enroll collect the below documents from the Household:

• Complete ROI and HMIS Intake
• Enter data into HMIS
• S ign the Participation Agreement
• Complete the Household Budget
• D evelop Housing Stability Plan
• Complete Request for Tenancy Approval
• C omplete Financial Assistance Calculation
Form

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27 COB ESG Manual and Forms - Ver 1.1 1/7/2022
City of Berkeley
ESG Program Participation Agreement
(click here to return to relevant section of the manual)

The ESG Program provides support services and limited financial resources to help households gain housing or remain housed. I understand that this program may provide me with some or all of the following services:
 Assistance finding and obtaining housing
 Assistance developing a housing plan
 Assistance to stay in housing I currently occupy, including legal assistance and/or negotiations with family members, friends or landlords;
 One-time or short-term financial assistance to support gaining or retaining housing which may include rental deposits, rental or utility arrears, or short to medium term rental assistance payments designed to secure or retain housing;
 Referrals and support to apply for benefits for which I or a member of my household may be eligible.
 Other services related to securing housing, such as, but not limited to, assistance getting identification, preparing housing applications, searching for housing, negotiating with landlords and other services.

I agree to do the following:
 Provide accurate and honest information to my housing specialist and other program staff.  Work with a housing specialist to develop a housing plan.  Take all necessary steps to achieve the goals outlined in the plan.  Meet with my housing specialist at intervals established in my housing plan, and not less than monthly during my participation in the program.
 Permit home visits and inspections of my housing during my participation in the program. (Advance notice will be provided.)
 Provide current proof of income when requested.
 Pay my portion of rent on time every month and immediately advise the housing specialist if I have any trouble in doing so.
 Provide any documentation required by the housing specialist as it pertains to progress on my housing plan, my rent status or income (i.e. attendance record for job training program, proof of application for benefits, etc.)
 Be contacted for follow-up phone calls about my participation in ESG for up to 24 months after I complete the program.

I understand that neither ___________________ (agency name) nor any party to the ESG Program is responsible for my rent or lease. I understand that assistance will only be provided if I am in compliance with the program requirements including the terms of my Housing Stability Plan.

Client Name:___________________________ Client Signature: __________________ Date: _________ Housing Specialist: ______________________ Agency Name : ___________________ Date: ________

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City of Berkeley
Sample Budgeting Worksheet
(click here to return to relevant section of the manual)

Participant Name: Date:

Actual (with current income) Proposed (with anticipated income and/or subsidy)
Housing Expenses
Rent
PG&E
Water
Other:

Car Expenses
Loan payment
Insurance
Gas
Maintenance & repairs
Debt
Creditor 1
Creditor 2
Miscellaneous
Groceries, Lunches, meals
Childcare
School supplies
Prescriptions
Cable TV
Internet Connection
Telephone
Clothing
Hair supplies/Toiletries
Other:

Other:

Expense Total

Income
Earnings
Social Security related $
Unemployment
Food Stamps
Other:

Other:

Income Total
Total Income Minus
Expenses

Participant Signature:_____________________________ Date: ______________

Case Manager/Housing Specialist Name_____________________ Signature________________ Date

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29 COB ESG Manual and Forms - Ver 1.1 1/7/2022
City of Berkeley
ESG Housing Stability Plan

Client/Head of Household Name: ___________________________ Initial Plan Date _______________

My 30 day housing goal is: _______________________________________________________________________________________________

If different, my 90 day goal is ____________________________________________________________________________________________

If different, my permanent housing goal is __________________________________________________________________________________

I have or will have the following resources to help me achieve my goals:

1. 2.

3. In order to reach these goals, I commit to take the following steps:

Step Actions What I’ll do/Help I’ll Receive 30 day progress 60day progress 90 day progress 1 referrals to mainstream
resources

CM Sign:

Date:

CM Sign:

Date:

CM sign:

Date:
2 referrals to mainstream
resources

CM Sign:

Date:

CM Sign:

Date:

CM sign:

Date:
3 referrals to mainstream
resources

CM Sign:

Date:

CM Sign:

Date:

CM sign:

Date:

Client Signature: Date: Housing Specialist: _________________________________ Date: ________

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City of Berkeley
ESG Financial Assistance Calculation Form
(click here to return to relevant section of the manual)

Before preparing this calculation, complete the budget form with the Head of Household. Use this form and information from the application, the budget and the lease and/or arrears documentation to determine the amount of financial assistance that the household will receive. This form must be prepared every three months during the time in which the household receives financial assistance.

Head of Household : ________________________________ Service Point ID: ________________

Assessment date: ______________________ Staff: __________________________________

 First financial assistance calculation  Reassessment of financial assistance

A. GENERAL

Enter the information below from the budget and assets form to determine the amount of financial assistance

Combined Household income: _________________ (from application) Rent: _____________ (from lease)

Income minus Rent: * Percent of income for rent without subsidy:

Total Expenses ___________________ (from budget)

* Difference between income and expenses: _______________________

* Current Assets: ______________________ (from application)

Use information indicated with * to determine financial assistance below

B. SECURITY DEPOSIT (skip if not applicable)

New residence requires a Security Deposit of: ____________________ (This may include up to two months rent if required as deposit but should not include first month’s rent in this calculation. Assistance with First month’s rent should be part of the Rental Assistance in section C. below)

Based on income and assets, household will make:

 No contribution to the deposit without jeopardizing housing stability (household has less than 50% of income left after paying rent and household budget has no disposable income; household has assets of less than $500.)

 A one-time payment toward the security deposit of:_______ (household has assets of greater than $500 and/or budget indicates disposable income available for a payment.)

Program will make a payment on behalf of household of: _________

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C. UTILITY DEPOSIT (cross through and skip if not applicable)

To receive utilities at the new residence, one or more utility companies require a Utility Deposit of:

Utility: ____________________ Required Deposit: _________________________

Utility: ____________________ Required Deposit: _________________________

Utility: ____________________ Required Deposit: _________________________

Based on income and assets, household will make:

 No contribution to the deposit without jeopardizing housing stability (household has less than 50% of income left after paying rent and household budget has no disposable income; household has assets of less than $500.)

 A one-time payment toward the security deposit of:_______ (household has assets of greater than $500 and/or budget indicates disposable income available for a payment.)

Program will make a payment on behalf of household of: _________

D. SHORT OR MEDIUM TERM RENTAL ASSISTANCE (cross through and skip if not applicable)

Client has no income
 Program will pay 100% of the rent for up to three months or until a change in income occurs

Household has income and will make payments to the landlord of:
 50% of the rent. Amount: _________________

 50% of their income toward the rent: Amount _________________

 Another amount: _________________ (Requires agency supervisor approval.) Authorized Approval: ________________________

 Household is awaiting an anticipated permanent subsidy and will pay 30% of their income for rent:

Subsidy anticipated: __________________ Date anticipated: ____________________

Program will make a monthly rental assistance payment of $ __________ (Rent minus client contribution) for up to three months or until a change in income occurs. Projected length of rental assistance: _____ months.

E. UTILITY ARREARS (skip if not applicable)

This type of support will only be provided if the household will be unable to have utilities in their housing if they do not pay past due arrears.

Household owes __________ in past utility arrears (from documentation of utility arrears) Based on income and assets available, Household will make:

 No payments without jeopardizing housing stability (household pays more than 50% of income for rent and/or household budget has no disposable income; household has assets of less than $500.)

 A one-time payment toward the arrears of:_______ (household has assets of greater than $500 and/or budget indicates disposable income available for a payment.)

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 A monthly payment toward the arrears of: ______________ Payment agreement negotiated with landlord.(budget indicates disposable income available for a payment or household has a housing subsidy – attached copy of payment agreement.)

Program will make a payment on behalf of household of ________________

F. FINANCIAL ASSISTANCE AGREEMENT

The participant and the program agree to the terms of payment designated above. The program will make payments on behalf of the participant as long as the participant is in good standing with their portion of the agreement and making progress on their Housing Stability Plan.

This agreement expires: __________________ (not later than 3 months from first expected payment.)

Participant Signature: ____________________________________ Date: ________________

Housing Specialist Signature: _____________________________ Date: ________________

(Attach this agreement to a copy of lease or occupancy agreement and, if past due rent or utilities, a copy of a record from the landlord/leasor or utility company indicating the amount of arrears.)

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City of Berkeley
Rent Reasonableness and FMR Certification
(click here to return to relevant section of the manual)

CERTIFICATION:

A. Compliance with Payment Standard
____________________ _____________ __________________ Proposed Contract Rent + Utility Allowance = Proposed Gross Rent

Approved rent does not exceed applicable Payment Standard of $_____________.

B. Rent Reasonableness

Based upon a comparison with rents for comparable units, I have determined that the proposed rent for the unit [ ] is [ ] is not reasonable.

N
AME: SIGNATURE: DATE:

PROPOSED
UNIT

COMPARISON
UNIT #1

COMPARISON
UNIT #2

COMPARISON
UNIT #3

ADDRESS

NUMBER OF BEDROOMS

SQUARE FEET

TYPE OF

UNIT/CONSTRUCTION

HOUSING CONDITION

LOCATION/ACCESSIBILITY

AMENITIES
UNIT:

SITE:

NEIGHBORHOOD:

AGE IN YEARS

UTILITIES (TYPE)

UNIT RENT

UTILITY ALLOWANCE

GROSS RENT

HANDICAP ACCESSIBLE?

902

34 COB ESG Manual and Forms - Ver 1.1 1/7/2022
City of Berkeley
Habitability Standards Inspection Form
(click here to return to relevant section of the manual) (based on HUD’s HQS and the HPRP Notice; Certified HQS Inspectors may use an HQS form instead)

Name of Participant

Participant Phone Number Date of Request (mm/dd/yyyy)
Inspector

Date of Initial Inspection (mm/dd/yyyy)
Type of Inspection
Initial Special Re-
inspection
Date of Last Inspection (mm/dd/yyyy) Agency

A. General Information
INSPECTED UNIT Year Constructed (yyyy):

Full Address

Housing Type (check as appropriate)
Single Family Detached
Duplex or two family
Row House or Town House
Low Rise; 3,4 stories including garden apt.

High Rise; 5 or more stories
Manufactured Home
Congregate
Cooperative
Independent Group Residence
Single Room Occupancy
Shared Housing
Other:
________________________________
Number of Children in Family Under 6:

OWNER NAME

OWNER PHONE

ADDRESS OF OWNER/AGENT

Is Lead Paint inspection required? (unit was constructed prior to 1978 and children under age 6 or a pregnant woman are in the household.) Yes No B. Summary Decision on Unit (to be completed after form is filled out)

Pass
Fail
Inconclusive
Number of
bedrooms
Number of
sleeping
rooms
Signature of Inspector

How to use this form

1. Review each room in the house as listing in the form (1. Living Room; 2. Kitchen; 3. Bathroom; 4. Other Rooms Used for Living or Halls (use as many as needed); 5. All Secondary Rooms Not Used for Living; 6.

Building Exterior; 7. Heating, Plumbing and Installation; 8. General Health and Safety.

Important: For each item numbered on the checklist, check one box only (e.g., check one box only for item 1.4 "Security," in the Living Room).

2. In the space to the right of the item, if the decision is “Fail,” write what repairs are necessary.

3. If the item passes inspection, check the “Pass” box.

4. A final summary page to note repairs needed is provided on the final page. If owner/manager is present at inspection, gather signature on final page.

5. For lead paint inspections, if not required, mark “not applicable.” Otherwise, note if the unit is a “pass” or “fail.”

903

35 COB ESG Manual and Forms - Ver 1.1 1/7/2022

INSPECTION CHECKLIST

1. LIVING ROOM DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

1.1 LIVING ROOM PRESENT

1.2 ELECTRICITY
Are there at least two working outlets or one working
outlet and one working light fixture?

1.3 ELECTRICAL HAZARDS
Is the room free from electrical hazards?

1.4 SECURITY
Are all windows and doors that are accessible from the
outside lockable?

1.5 WINDOW CONDITION
Is there at least one window, are all windows free of signs of severe deterioration or missing or broken out panes?

1.6 CEILING CONDITION
Is the ceiling sound and free from hazardous defects?

1.7 WALL CONDITION
Are the walls sound and free from hazardous defects?

1.8 FLOOR CONDITION
Is the floor sound and free from hazardous defects?

1.9 LEAD PAINT
Are all painted surfaces free of deteriorated paint? If not, do deteriorated surfaces exceed more than two square
feet per from and/or is more than 10% of a component?
Not Applicable

2. KITCHEN DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

2.1 KITCHEN AREA PRESENT

2.2 ELECTRICITY
Is there at least one working electric outlet and one
working, permanently installed light fixture?

2.3 ELECTRICAL HAZARDS
Is the kitchen free from electrical hazards?

2.4 SECURITY
Are all windows and doors that are accessible from the
outside lockable?

2.5 WINDOW CONDITION
Are all windows free of signs of deterioration or missing or broken out panes?

2.6 CEILING CONDITION
Is the ceiling sound and free from hazardous defects?

2.7 WALL CONDITION
Are the walls sound and free from hazardous defects?

2.8 FLOOR CONDITION
Is the floor sound and free from hazardous defects?

2.9 LEAD PAINT
Are all painted surfaces free of deteriorated paint? If not, do deteriorated surfaces exceed more than two square
feet per from and/or is more than 10% of a component?
Not Applicable

2.10 STOVE OR RANGE WITH OVEN
Is there a working oven and a stove (or range) with top burners that work?

2.11 REFRIGERATOR
Is there a refrigerator that works and maintains a
temperature low enough so that food does not spoil over a reasonable period of time?

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36 COB ESG Manual and Forms - Ver 1.1 1/7/2022

2.12 SINK
Is there a kitchen sink that works with hot and cold running water?

2.13 SPACE FOR STORAGE AND

PREPARATION OF FOOD
Is there space to store and prepare food?

3. BATHROOM DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

3.1 BATHROOM PRESENT

3.2 ELECTRICITY
Is there at least one permanently installed light fixture?

3.3 ELECTRICAL HAZARDS
Is the bathroom free from electrical hazards?

3.4 SECURITY
Are all windows and doors that are accessible from the
outside lockable?

3.5 WINDOW CONDITION
Are all windows free of signs of deterioration or missing or broken out panes?

3.6 CEILING CONDITION
Is the ceiling sound and free from hazardous defects?

3.7 WALL CONDITION
Are the walls sound and free from hazardous defects?

3.8 FLOOR CONDITION
Is the floor sound and free from hazardous defects?

3.9 LEAD PAINT
Are all painted surfaces free of deteriorated paint? If not, do deteriorated surfaces exceed more than two square
feet per from and/or is more than 10% of a component?
Not Applicable

3.10 FLUSH TOILET IN ENCLOSED ROOM IN
UNIT Is there a working toilet in the unit for exclusive private use of the tenant?

3.11 FIXED WASH BASIN OR LAVATORY IN
UNIT Is there a working, permanently installed wash
basin with hot and cold running water in the unit?

3.12 TUB OR SHOWER IN UNIT
Is there a working tub or shower with hot and cold running water in the unit?

3.13 VENTILATION
Are there operable windows or a working vent system?

4. OTHER ROOMS USED FOR LIVING OR
HALLS

DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

4.1 ROOM CODE and
ROOM LOCATION:
right/left __________
front/rear __________
floor level __________

ROOM CODES
1 = Bedroom or any other room used for sleeping (regardless of type of room) 2 = Dining Room, or Dining Area
3 = Second Living Room, Family Room, Den, Playroom, TV Room 4 = Entrance Halls, Corridors, Halls, Staircases
5 = Additional Bathroom
6 = Other

4.2 ELECTRICITY
If Room Code = 1, are there at least two working outlets or one working outlet and one working, permanently installed light fixture? If Room Code does not = 1, is there a means of illumination?

4.3 ELECTRICAL HAZARDS
Is the room free from electrical hazards?

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37 COB ESG Manual and Forms - Ver 1.1 1/7/2022

4.4 SECURITY
Are all windows and doors that are accessible from the
outside lockable?

4.5 WINDOW CONDITION
If Room Code = 1, is there at least one window? And,
regardless of Room Code, are all windows free of signs of severe deterioration or missing or broken out panes?

4.6 CEILING CONDITION
Is the ceiling sound and free from hazardous defects?

4.7 WALL CONDITION
Are the walls sound and free from hazardous defects?

4.8 FLOOR CONDITION
Is the floor sound and free from hazardous defects?

4.9 LEAD PAINT
Are all painted surfaces free of deteriorated paint? If not, do deteriorated surfaces exceed more than two square
feet per from and/or is more than 10% of a component?
Not Applicable

4.10 SMOKE DETECTORS
Are smoke detectors in each room used for sleeping? Are they working?

4. OTHER ROOMS USED FOR LIVING OR
HALLS

DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

4.1 ROOM CODE and
ROOM LOCATION:
right/left __________
front/rear __________
floor level __________

ROOM CODES
1 = Bedroom or any other room used for sleeping (regardless of type of room) 2 = Dining Room, or Dining Area
3 = Second Living Room, Family Room, Den, Playroom, TV Room 4 = Entrance Halls, Corridors, Halls, Staircases
5 = Additional Bathroom
6 = Other

4.2 ELECTRICITY

4.3 ELECTRICAL HAZARDS

4.4 SECURITY

4.5 WINDOW CONDITION

4.6 CEILING CONDITION

4.7 WALL CONDITION

4.8 FLOOR CONDITION

4.9 LEAD PAINT Not Applicable

4.10 SMOKE DETECTORS

4. OTHER ROOMS USED FOR LIVING OR
HALLS

DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

4.1 ROOM CODE and
ROOM LOCATION:
right/left __________
front/rear __________
floor level __________

ROOM CODES
1 = Bedroom or any other room used for sleeping (regardless of type of room) 2 = Dining Room, or Dining Area
3 = Second Living Room, Family Room, Den, Playroom, TV Room 4 = Entrance Halls, Corridors, Halls, Staircases
5 = Additional Bathroom
6 = Other

4.2 ELECTRICITY

4.3 ELECTRICAL HAZARDS

4.4 SECURITY

4.5 WINDOW CONDITION

4.6 CEILING CONDITION

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38 COB ESG Manual and Forms - Ver 1.1 1/7/2022

4.7 WALL CONDITION

4.8 FLOOR CONDITION

4.9 LEAD PAINT Not Applicable

4.10 SMOKE DETECTORS

5. ALL SECONDARY ROOMS NOT USED

FOR LIVING

DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

5.1 NONE. GO TO PART 6

5.2 SECURITY
Are all windows and doors that are accessible from the
outside lockable in each room?

5.3 ELECTRICAL HAZARDS
Are all these rooms free from electrical hazards?

5.4 OTHER POTENTIALLY HAZARDOUS

FEATURES IN ANY OF THESE ROOMS
Are all of these rooms free of any other potentially
hazardous features? For each room with an "other
potentially hazardous feature" explain hazard and means of control of interior access to room.

6. BUILDING EXTERIOR DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

6.1 CONDITION OF FOUNDATION
Is the foundation sound and free from hazards?

6.2 CONDITION OF STAIRS, RAILS, AND

PORCHES
Are all the exterior stairs, rails and porches sound and free from hazards?

6.3 CONDITION OF ROOF AND GUTTERS
Are the roof, gutters and downspouts sound and free from hazards?

6.4 CONDITION OF EXTERIOR SURFACES
Are exterior surfaces sound and free from hazards?

6.5 CONDITION OF CHIMNEY
Is the chimney sound and free from hazards?

6.6 LEAD PAINT: EXTERIOR SURFACES
Are all painted surfaces free of deteriorated paint? If not, do deteriorated surfaces exceed 20 square feet of total exterior surface area?
Not Applicable

6.7 MANUFACTURED HOMES: TIE DOWNS
If the unit is a mobile home, it is properly placed and tied down? If not a mobile home, check "Not Applicable."

7. HEATING, PLUMBING AND INSULATION DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

7.1 ADEQUACY OF HEATING EQUIPMENT
a. Is the heating equipment capable of
providing adequate heat (either directly or
indirectly) to all rooms used for living?

b. Is the heating equipment oversized by
more than 15%?

c. Are pipes and ducts located in
unconditioned space insulated?

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39 COB ESG Manual and Forms - Ver 1.1 1/7/2022

7.2 SAFETY OF HEATING EQUIPMENT
Is the unit free from unvented fuel burning space heaters, or any other types of unsafe heating conditions?

7.3 VENTILATION AND ADEQUACY OF

COOLING
Does this unit have adequate ventilation and cooling by means of operable windows or a working cooling system?

7.4 HOT WATER HEATER
Is hot water heater located, equipped, and installed in a safe manner?

7.5 WATER SUPPLY
Is the unit served by an approvable public or private
sanitary water supply?

7.6 PLUMBING
Is plumbing free from major leaks or corrosion that causes serious and persistent levels of rust or contamination of the drinking water?

7.7 SEWER CONNECTION
Is plumbing connected to an approvable public or private disposal system, and is it free from sewer back up?

8. GENERAL HEALTH AND SAFETY DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

8.1 ACCESS TO UNIT Can the unit be entered without
having to go through another unit?

8.2 EXITS: Is there an acceptable fire exit from this building that is not blocked?

8.3 EVIDENCE OF INFESTATION
Is the unit free from rats or severe infestation by mice or vermin?

8.4 GARBAGE AND DEBRIS
Is the unit free from heavy accumulation of garbage or
debris inside and outside?

8.5 REFUSE DISPOSAL
Are there adequate covered facilities for temporary
storage and disposal of food wastes, and are they
approved by a local agency?

8.6 INTERIOR STAIRS AND COMMON HALLS
Are interior stairs and common halls free from hazards to the occupant because of loose, broken or missing steps
on stairways, absent or insecure railings;, or other
hazards?

8.7 OTHER INTERIOR HAZARDS
Is the interior of the unit free from any other hazards not specifically identified previously?

8.8 ELEVATORS
Are they working and safe?

8.9 INTERIOR AIR QUALITY
Is the unit free from abnormally high levels of air pollution from vehicular exhaust, sewer gas, fuel gas, dust, or other pollutants?

8.10 SITE AND NEIGHBORHOOD CONDITIONS
Are the site and immediate neighborhood free from
conditions, which would seriously and continuously
endanger the health or safety of the residents?

8.11 LEAD PAINT: OWNER CERTIFICATION
If the owner of the unit is required to treat or cover any interior or exterior surfaces, has the certification of compliance been obtained?
Not Applicable

9. MISCELLANEOUS (from HPRP notice) DECISION

Item #

Description
Yes,
PASS
No,
FAIL Repairs Required

908

40 COB ESG Manual and Forms - Ver 1.1 1/7/2022

9.1 Is there sufficient sleeping place for each
individual?

9.2 Is there adequate natural or artificial
illumination to permit activities in the
home?

9.3 Is home and equipment maintained in a
sanitary condition?

Summary of Repairs Needed:

Item Number: Repair Needed:

Owner/Manager’s Signature:

909

41 COB ESG Manual and Forms - Ver 1.1 1/7/2022

Priority Home Partnership
Rental Assistance Agreement Letter
(click here to return to relevant section of the manual)

(date)

(landlord address)

__________________________(Head of Household) has been approved to receive temporary financial assistance through the Emergency Solutions Grant program. The program is designed to help the participant secure and/or retain housing and be a successful tenant. Our agency will maintain regular contact during his/her time in the program to assist him/her with any problems related to his/her housing or tenancy. The program does not, however, assume any responsibility for the tenant’s rent or for compliance with the lease. The tenant is fully responsible for complying with the terms of the lease he/she has with you.

The person named above has been approved for assistance with (check all that apply):
 A rental deposit in the amount of $____________
 A short-term rent subsidy in the amount of $________ (currently approved until ___________ date. This subsidy may be extended at the program’s discretion)  Assistance with past due rent in the amount of $____________

All other payments under the terms of the lease are the responsibility of the tenant.

The City of Berkeley Priority Home Partnership Program will provide the above housing assistance payments to you beginning [date]. By signing below, you agree to apply all payments you receive on the tenant’s behalf toward the specified housing-related costs on the check. The termination of housing assistance payments shall not affect the household's other rights under the lease.

The tenant is required to notify us if he or she moves; however, if you ever receive a subsidy check for a tenant who has moved, it is your responsibility to return the check to us. Financial assistance from this program can only be used toward the housing-related costs of the tenant named above while he/she resides in your housing. You also must notify us if during the term of this agreement you notify the tenant to vacate or if you lodge any complaint under state or local law to commence an eviction.

You are welcome to contact me if you have any questions or concerns regarding the program or this tenant’s housing. [ name, title at 510 XXX-XXXX or housing specialist @ agency.org]. Thank you for working with us.

Sincerely,

I have read this agreement and I agree to accept payments on behalf of the tenant listed above as described in this letter. I have provided a W-9 form to the agency.

Property Owner/Property Manager Name:_________________________________________

Signature:____________________________ Date: _________________________________

910

42 COB ESG Manual and Forms - Ver 1.1 1/7/2022
Three Month Reassessment of Eligibility
(click here to return to relevant section of the manual) Reassessment Date: __ __ / __ __ / __ __ __ __
Staff Name: ________________________________________________ Agency: ____________________________ Program:  ESG  FRHP  PRCS  Other: _________________

Head of Household Name: ________________________________________________ Service Point ID: ______________ Before beginning this Reassessment form, collect copies of updated income documentation for the household.

Has there been a change in address or phone since the last assessment?  No Change
 Address and/or phone has changed; new information below (Enter into HMIS InHOUSE Housing Sub-assessment) Current STREET Address: ___________________________________________________________________________________ Apartment or Unit Number: ___________________________________________ City: _________________________________________ State: _________ Zip: ________________________ Phone Number: ________________________________ Alternate Phone: ____________________________ Start Date (Date moved into Permanent Housing) __ __/ __ __/ __ __ __ __ a) Total Household Members living/will live at this address: ____ b) Total ADULTS living/will live at this address: ____
c) Total CHILDREN living/will live at this address ____ (NOTE: a – b = c)

Time in Program

Has household a) received 24 months of ESG assistance in last 36 months or b) exceeded other program time limits?  Yes  No
If household has exceeded eligible time in program, record the determination below, and complete the HMIS Exit Form for all adults.

Income Status Eligibility (Complete the income reassessment form attached for each adult and enter into HMIS) What is the total gross household monthly income (include all household members)? $ _________ What is the total gross household annual income? $_________ (monthly amount x 12) Using the chart below, circle the household size and determine the percent of Area Median Income (AMI) Household Size 1 2 3 4 5 6 7 8
30% AMI $18,750 $21,400 $24,100 $26,750 $28,900 $31,050 $33,200 $35,350 50% AMI $31,250 $35,700 $40,150 $44,600 $48,200 $51,750 $55,350 $58,900 AMI information current as of 12/11/2012
Please check the household’s current income status AND the documentation attached  No Income
 1-30% AMI
 31-50% AMI
 Over 50% AMI

Other Documentation
__________________________

Copy of Payment Statement / Benefit Notice
 Alimony, spousal or child support
 GA, SSI, SSDI, or TANF
 Private Disability
 Pension / Retirement
 Unem ployment or Workers’ Comp
 Interest / Dividend Income

Copies of Pay Stubs
 Earned Income
Copy of Federal or State Tax Return
 Self-Employment
Income Self-Certification
 No Income

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43 COB ESG Manual and Forms - Ver 1.1 1/7/2022
If household has income greater than 30% of Median Income for the ESG program, or greater than 50% of AMI for the PRCS or FRHP program, discontinue assistance. Record the determination below, and complete the Exit Form for all adults. (For other programs, check program guidelines.) Is household receiving now or going to begin to receive a housing subsidy from another program?  Yes  No
Subsidy: _______________________________________ Start date: __ __/ __ __/ __ __ __ __ If household will be starting another subsidy, household is not eligible for continued financial assistance. Household may continue to receive supportive services if needed to prevent homelessness. Skip to Housing Stability Plan Progress.

Rent as Portion of Income

Is the household receiving Financial Assistance to remain housed?  Yes  No
What is the TOTAL monthly rent? ____________ (the total rent, not the portion currently paid by tenant) Rent to Income ratio: Total Monthly Rent ( ) X 100 = __________ % Gross Monthly Household Income (___________)
If the income to rent ratio is lower than 50% for ESG and PRCS and 40% for FRHP, discontinue financial assistance. Household may continue to receive supportive services if needed to prevent homelessness.

Housing Stability Plan Progress
Progress toward Obtaining or Maintaining Appropriate Housing:
 Achieved and Complete  Making adequate progress  Not making adequate progress Progress toward Income or Employment Goals:
 Achieved and Complete  Making adequate progress  Not making adequate progress  Does Not Apply

Progress toward Other Stability Goals:
 Achieved and Complete  Making adequate progress  Not making adequate progress  Does Not Apply Comments on Plan Progress, Accomplishments and Barriers:

If the household has achieved/completed all goals, they are no longer in need of assistance; discontinue assistance. If the household is not making adequate progress on the Housing Stability Plan, and the household has been offered all assistance necessary to make progress and has refused such assistance, you may discontinue assistance. Indicate in comments below efforts made and current status of plan. Programs are strongly encouraged not to discontinue assistance if household is making appropriate efforts but progress is delayed. If discontinuing assistance, record the determination below, and complete the Exit Form for all adults.

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44 COB ESG Manual and Forms - Ver 1.1 1/7/2022
Does household have financial resources and/or support networks that can help them gain/remain in housing?

If household has other resources or support networks that can help them gain or remain in housing that are adequate to secure their housing, discontinue assistance. Record the determination below, and complete the HMIS Exit Form for all adults.

RESULT OF REASSESSMENT:

Discontinuing Program Assistance:

 Received maximum
permitted assistance

 Over Income

 Below targeted rent to income
ratio and does not require
services.

 Receiving housing
subsidy and does not
require services.

 Completed Housing
Stability Plan Goals

 Not making adequate
progress

 has other resources or
support networks that can secure
the housing

 Other:
__________________

After completing the reassessment of eligibility, I have been informed that I/my household am/are no longer eligible for assistance from this program. I understand that I and my household will be exited from the program. I understand that if I am in need at a later time I may reapply for assistance (as long as I have not exceeded the maximum length of assistance and continue to be eligible.) Head of Household Signature: ________________________________ Date: _________________ Staff member signature: ______________________________________ Date: ________________

Continuing Assistance:
 Continue housing stabilization services only. Revise/update Housing Stability Plan, and prepare new household budget if income has changed.
 Continue financial assistance and housing stabilization services. Complete new financial assistance calculation, revise/update housing stability plan and prepare new budget.

Attached:

 Revised Housing Stability
Plan

 New Budget (if applicable)

 New Financial Assistance
Calculation form (if applicable)

After completing the reassessment of eligibility, I have been informed that I/my household am/are eligible for continued assistance from this program. I understand that my participation agreement remains in force and that a new stability plan, budget and financial contribution may be required. I understand that I will be reassessed again within three months or less and that assistance may be discontinued at any time.

Head of Household Signature: ________________________________ Date: _________________ Staff member signature: ______________________________________ Date: ________________

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45 COB ESG Manual and Forms - Ver 1.1 1/7/2022
INHOUSE ― 3 MO. INCOME REASSESSMENT FORM – 01/22/2013

Assessment Date: / / (For backdate mode) ServicePoint ID #

Program/Provider: __________________________

Client Profile

First: Middle: Last: Suffix:

Monthly Income
Have you received income from any
source in the past 30 days?
 No  Yes
 Don’t Know  Refused
Non-Cash Benefits
Have you received any of the non-cash
benefits listed below in the past 30 days?
 No  Yes
 Don’t Know  Refused
Source Monthly
Amount

 Alimony or other spousal support $ .00

 Child support $ .00

 Earned Income $ .00

 General Assistance (GA) $ .00

 Pension from a former job $ .00

 Private disability insurance $ .00

 Social Security (retirement income) $ .00

 Social Security Disability Income $ .0 0
(SSDI)

 Supplemental Security Income or SSI $ .00

 (TANF) Temporary Assistance for $ .00

Needy Families

 Unemployment Insurance $ .00

 A veteran’s disability payment $ .00

 Veteran’s pension $ .00

 Worker’s compensation $ .00

 Other source $ 00
Source

 Supplemental Nutrition Assistance Program
(SNAP) (Previously known as Food Stamps)
 MediCAL health insurance program
(MEDICAID)
 MEDICARE health insurance program

 Healthy Families Insurance program (SCHIP)

 Special Supplemental Nutrition Program for
Women, Infants, and Children ( WIC)
 Veteran’s Administration (VA) Medical Services

 TANF/CalW ORKS Child Care services

 TANF/CalW ORKS transportation services

 Other TANF/ CalW ORKS-funded services

 Section 8, public housing, or other rental
assistance

 Other source

 Temporary Rental Assistance

Total monthly income $ .00

Complete one income reassessment for each adult in the household and combine for total household income for program reassessment purposes.

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46 COB ESG Manual and Forms - Ver 1.1 1/7/2022
Priority Home Partnership
Notification of Termination of ESG Assistance
(click here to return to relevant section of the manual)

You/your household has violated the terms of your ESG Participation Agreement, signed by _________________ on ______________ (date.) The program violation(s) consist of

The program is hereby advising you that as of ___/____/______ no further

 financial assistance
 housing stabilization services

Will be provided to you/your household.

You/your household will be solely responsible for covering all housing/utility costs as of that date.

(Staff signature) (D ate)

I have reviewed and authorized this notification:

(Supervisor signature) (D ate)

Procedure for due process: If you disagree with this determination, you may request a review of this decision within 10 days of the date of this notice by making a request in writing* to:

{job title}
{Address}
{Address}

The {job title} will review your request and may investigate your claims, ask to interview you, members of your household, your landlord, or call a hearing with yourself, agency staff, and any others that may be needed to review this decision. The {job title} must review your request and make a final determination within 14 calendar days. A written notice of the final decision will be provided to you.

*Reasonable accommodation: If you are unable to prepare a request in writing due to a disability and need a reasonable accommodation, you may request a specific accommodation, such as assistance in preparing the request, from the program manager or another staff member.

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47 COB ESG Manual and Forms - Ver 1.1 1/7/2022

City of Berkeley ESG Income Eligibility Calculation Worksheet To be eligible for ESG, households must be at or below 30% of the Area Median Income (and meet other Federal and local ESG eligibility requirements.) This worksheet has been adapted from the HUD authorized form used for HPRP can be used to determine whether an applicant household meets the ESG eligible income requirement. A copy of this form or a similar document used to determine income should be kept in the client file. Be sure to attach to the document copies of all income documentation used to prepare the calculation. See the income verification policy for further information and instructions.

Household
Member
Number
Household Member Name Age of Household
Member
1 2
3 4
5 Total Household Members (Household size)
30% of Area Median Income (AMI) for Household Size $
Household
Member
Number /
Name
Sources of Household
Income
Gross Documented
Current Income
Amount
Frequency
of Income
Number
of
Payments
per Year
Annual Gross Income
(gross income amount
X # of payments per
year)
Earned Income (for ADULT
household members only)
$ $
Earned Income (for ADULT
household members only)
$ $
Self-employment/ business
income
$ $
Interest & Dividend Income $ $ Pension/Retirement Income $ $

Unemployment & Disability
Income
$ $
Unemployment & Disability
Income
$ $
TANF/Public Assistance $ $ Alimony, Child Support and
Foster Care Income
$ $
Armed Forces Income $ $ Other (specify): $ $

Total Annual Gross Income from all Sources $

30% of Area Median Income for Household Size $

Variance (If less than AMI, then household is income eligible) $

Is the household at or below 30% Area Median Income? YES-Income Eligible NO-COB approval
needed

916
City of Berkeley
Annual Action Plan
PY 2021
60 Attachment 3

Systemwide Performance Targets for Rapid Re‐Housing Services Rapid Re‐Housing  Target

How Much?
Service Population: Unduplicated count of
individuals served (HUD Element, APR Q5a)
observe
Service Population: Proportion of chronically
homeless individuals served (HUD Element, APR Q5a)
observe
Service Population: Unduplicated count of households
served(HUD Element, Annual
Performance Report/APR Q8a)
observe
Service Population: Proportion of chronically
homeless households served (HUD Element, APR Q26a)
observe

How Well?
Data Quality: Data entry within 3 days (HUD
Element, APR Q6e)
100%
Data Quality: Completion. Adult participants with income info. recorded in HUD Element at entry and annual or exit assessments (HUD Element, APR
Q18)
90%
Average length of time from enrollment to move in
(HUD Element, Apr Q22c)
60%
within 2
months

With What Impact?
Are participants growing their income? (HUD
Element, APR Q19a3)
50%
Are participants accessing mainstream benefits?
(HUD Element, APR Q20b)
85%
Are participants enrolled in health insurance?(HUD
Element, APR Q21)
85%

Are we successfully moving people into permanent
housing? (HUD Element, APR Q23a&b)
80%
Exits to Homelessness: What proportion of people
exit to homeless destinations? (HUD Element APR Q23a&b) <5%

917

ESG-CV STANDARDS AND EXPECTATIONS
Applicable in all participating jurisdictions of Alameda County

INTRODUCTION

This document provides policies and standards for the provision of Rapid Rehousing funded by the Emergency Solutions Grant program under the CARES Act (ESG-CV) in Alameda County.

Providers funded with ESG-CV are expected to follow the guidance in this document which pulls from and enlarges upon guidance issued by the U.S. Department of Housing and Urban Development for the general ESG program and for the specific funds made available through the CARES Act, with additional prioritization and design determinations developed locally in response to COVID-19.

The Complete ESG Interim Regulations as of April 1, 2017, including amendments made to incorporate VAWA requirements, can be found at this link. The Notice issued September 1, 2020 regarding Waivers and Alternative Requirements for the Emergency Solutions Grants (ESG) Program Under the CARES Act can be found at this link.

This document serves in lieu of the ESG Prevention and Rapid Rehousing Policy and Procedure Manual adopted in 2012 for ESG-CV funded programs only.

Approved February 10, 2021
Effective date February 16, 2021
Next review required by February 10, 2022

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ESG-CV STANDARDS AND EXPECTATIONS

TABLE OF CONTENTS

INTRODUCTION ................................................................................................................................ ............ i TABLE OF CONTENTS .................................................................................................................................. ii PRIORITIZATION AND REFERRAL ................................................................................................ ................. 1

1. Prioritization ................................................................................................................................ ... 1

2. Referrals ................................................................................................................................ .......... 1 PARTICIPANT ELIGIBILITY AND ENROLLMENT ................................................................ ............................. 2

3. Eligibility ................................................................................................................................ .......... 2

4. Program Enrollment ................................................................................................ ........................ 3

5. Bridge and Rapid Program Tracks ................................................................................................ ... 4 FINANCIAL ASSISTANCE AND SUPPORTIVE SERVICES ................................................................ ................. 5

6. Financial Assistance ................................................................................................ ........................ 5

7. Supportive Services ................................................................................................ ......................... 8 HOUSING RELATED REQUIREMENTS ......................................................................................................... 10

8. Unit Requirements ........................................................................................................................ 10

9. Leases and Rental Assistance Agreements .................................................................................... 11

10. Emergency Transfer Plan .......................................................................................................... 13 REEVALUATION ......................................................................................................................................... 14

11. Reevaluation of Need and of Eligibility .................................................................................... 14 PROGRAM TERMINATION, APPEALS AND EXIT ......................................................................................... 16

12. Ending Program Participation ................................................................................................... 16

13. Grievances and Appeals ............................................................................................................ 17 FORMS
ESG-CV Program Participation Agreement ............................................................................................... 18 Rent Reasonableness and FMR Certification ............................................................................................ 20 Rental Assistance Agreement Letter ......................................................................................................... 21 Notification of Termination of ESG-CV Assistance .................................................................................... 22

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PRIORITIZATION AND REFERRAL

1. Prioritization
ESG-CV funds are specifically awarded and designated for rehousing those impacted, or more likely to be impacted, by the COVID-19 pandemic.

1.1 First priority for ESG-CV Rapid Rehousing are individuals and households assisted and staying in hotel rooms provided via Project RoomKey/Safer Ground or a similar program specifically designed to provide non-congregate or safe and distanced temporary shelter during COVID-19 for people who have been impacted by or are at risk from COVID-19.

1.2 Secondary priority are other persons on the Coordinated Entry By-Name List/Housing Queue who are deemed at higher risk for complications from COVID-19, based on criteria adopted in the Temporary Resource Prioritization Policy During COVID-19. The full policy for prioritization as adopted by the System Coordination Committee in January 2021 can be found HERE.

2. Referrals

2.1 Any resident of a site mentioned in 1.1 above is eligible to be offered an ESG-CV supported RRH Bridge Subsidy, as long as they are eligible under ESG-CV requirements.

Such referrals do not need to come through Coordinated Entry as they have already been through a prioritization process. Referrals will be made via communication from the Health Care Services Agency Office of Homeless Care and Coordination and the City of Berkeley directly to contracted providers.

2.2 Potential participants in ESG-CV funded Rapid Rehousing in category 1.2 will be referred to contracted providers if there are additional openings using the Alameda County Coordinated Entry process. Contracted providers must accept Coordinated Entry referrals as long as potential participants meet eligibility criteria.

2.3 Time expectations for responding to referrals will be established in the Coordinated Entry policies and, when established, will apply to ESG-CV contracted providers.

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PARTICIPANT ELIGIBILITY AND ENROLLMENT

3. Eligibility
In addition to being referred through Coordinated Entry, households must be eligible for ESG-CV funded Rapid Rehousing. Program operators must determine that potential participants are eligible for assistance, and document this eligibility, including either verifying homeless status/chronic homeless status or receiving such verification from Coordinated Entry.

3.1 Literal or Chronic Homelessness

3.1.1 To be eligible for the ESG-CV program the participant must be “Literally Homeless” and without other identified housing options at the time of referral. This includes households that meet the HUD Homeless Definition under Category 1, and households that meet the Definition under Category 4, Fleeing or attempting to flee domestic violence and also meet one of the following conditions. • Living/staying in a shelter. This includes staying at a hotel or motel under Project RoomKey or a similar program that provides temporary shelter for people who have been impacted by or are at risk from COVID-19.
• Living on the streets, a car, an encampment or a place not meant for human habitation.
• Living/staying in transitional housing.
• Exiting an institution where s(he) resided for 90 days or less and previously resided in a shelter or the streets or a place not meant for human habitation.

Documentation requirements to verify homelessness can be found HERE .

3.1.2 Because many participants in ESG-CV funded Rapid Rehousing may have been Chronically Homeless prior to participation in the program, and should continue to remain eligible for PSH and other resources that may be targeted to chronically homeless, chronic homeless verification is encouraged.

Verification requirements and a suggested tool for how to document chronic homelessness can be found HERE.

3.2 Required Documentation
To demonstrate eligibility at the time of enrollment, the enrolling provider must obtain:

1. Referral from a referring entity or Coordinated Entry

2. Verification of homelessness or chronic homelessness with required back up documentation

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All required documentation should be uploaded into HMIS if participant has an HMIS record, or kept in a participant file.

3.3 Income verification

3.3.1 Income Verification is not a required eligibility criteria and is not needed for referral by Coordinated Entry nor for enrollment. However, income verification will be needed to establish rent payments. (See 6.3 Financial Assistance Approach.) Inability to document income at the time of referral must not prevent a participant from being enrolled, but may delay the household getting rehoused.

3.3.2 Persons with zero income are eligible for ESG-CV funded Rapid Rehousing and will be offered services to increase income through employment and/or connection to benefits.

3.3.3 For any participant who remains in the program for more than 12 months, income must be certified at annual recertification and must be below 30% of Area Median Income for the participant to continue to receive assistance (See 11.1 Annual Reassessment.)

3.4 Ineligible applicants
If a household is determined to be ineligible after referral and before enrollment, the program operator must notify the referring entity that they have been determined ineligible, provide the potential participant with the Notice of Occupancy Rights and Certification Form, and create a participant file documenting the process and determination.

4. Program Enrollment

4.1 Participation Agreement
All heads of household enrolled in the program will sign a Participant Agreement. This agreement must state what the program will provide and what the expectations of the participant are, and the circumstances that can lead to their being terminated prior to completing the program. Programs may use the attached ESG-CV Participation Agreement or a program agreement that covers the same items, including all certifications, and does not conflict with ESG-CV regulations.

Enrolled participants should receive a copy of the Program’s grievance and appeals process (See Grievance and Appeals 13.1)

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4.2 Notice of Occupancy Rights and Certification
At the time of enrollment, or if a potential participant is denied enrollment for any reason, the participant must be provided with form HUD-5380 Notice of Occupancy Rights and Certification.

This document describes protections for victims of domestic violence, dating violence, sexual assault, or stalking under VAWA. Forms and other guidance regarding VAWA can be found HERE.

4.3 HMIS Enrollment

4.3.1 ROI: For all households participating in HMIS, all Adults must have an HMIS Release of Information (ROI) that is in effect. If an up to date ROI has not been executed and on file for each adult, one must be completed.

4.3.2 Program enrollment: Staff must complete a program enrollment in HMIS for all members of the household. Enrollment will be in one of the four designated projects within HMIS (Oakland, Berkeley, Urban County, State) based on information provided by Coordinated Entry.

5. Bridge and Rapid Program Tracks
Rapid Rehousing funding may be used to provide rehousing support on a more traditional rapid rehousing track designed to serve households anticipated to take over full rent within a 6-24 month period (“Rapid”) or to provide subsidies that are intended to be used as a “bridge” to another longer- term or permanent housing resource for persons with greater needs (“Bridge”). While these tracks are not distinguished by different program enrollments they should be established from the outset in collaboration between the referring and contracting entity and periodically reassessed or modified as needed.

At the time of referral an initial determination of whether the household is beginning on the Rapid or Bridge track should be included. Unless otherwise specified at time of referral, persons referred from a Project Roomkey/Safer Ground/similar program site, or from the second priority group of high risk for complications from COVID-19 will be considered on the Bridge Track.

5.1 Bridge Track
Participants on the Bridge track are anticipated to participate in the ESG-CV program until another housing resource has been identified and secured for the participant.

5.1.1 Securing another resource: Program providers will work closely with the Health Care Services Agency (HCSA) and with the ESG Recipient for the jurisdiction in which they operate in to identify a housing resource for each enrolled household on the Bridge track. Processes for determining which resources are offered to a specific client will be worked out with the provider.

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5.1.2 Reevaluation: If a Bridge Track participant has not been successfully transferred to another resource within 11 months of enrollment, and the program has the ability to retain them for more than 12 months, a reassessment will occur within 30 days of the participant’s program anniversary as part of the Annual Reevaluation (See Annual Reevaluation 11.1)

5.2 Rapid Track
ESG-CV is targeted to assist those at high risk from COVID who are anticipated to have higher needs. However, it is possible that within the second priority group there may be some participants who can benefit from a more traditional Rapid Track. Any participants on the Rapid Track are anticipated to take over full rent of their housing during their participation in the program. Providers must work with the household to determine program and household rent contributions and offer appropriate services to support this progress (See 6.3 Financial Assistance – Rapid Track).

FINANCIAL ASSISTANCE AND SUPPORTIVE SERVICES
ESG-CV funds may be used for specific financial assistance expenditures related to securing and maintaining housing. Each type of assistance requires specific documentation be kept on file to support the expenditures.

6. Financial Assistance

6.1 Maximum Assistance

6.1.1 24-month limitation: For first round ESG-CV awards and for second round awards covered under a HUD-approved Consolidated Plan amendment or waiver that allows for up to 24 months assistance, the maximum allowable assistance is 24 months within a 36 month period, consistent with the ESG regulations.

6.1.2 12-month limitation: For second round awards received after September 1, 2020, unless covered by a Consolidated Plan amendment or a waiver approved by HUD, the maximum period of allowed assistance is 12 months.

Changes or updates to the ESG-CV program requirements through law, regulation or Notice may change the maximum assistance time frames. Providers must be aware of the applicable maximum assistance requirements that are in effect for the funding they are using to assist any participant.

6.2 Expense Categories, Limitations and Requirement Documentation The following tables lists each allowable expense category for financial assistance, any limitations on time, amounts or cost, and the required documentation for the expenditure.

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Expense Category Permitted Expenditures and Limitations Required Documentation Security Deposit Up to the equivalent of two (2) months of rent.
 Copy of W9 and Receipt
 One year Lease Agreement.
 Confirmation of property ownership

Utility Deposit Standard utility deposits that the utility company requires for all customers.
 Copy of bill or receipt of payment.

A billing statement is necessary if
assistance for multiple months is
provided with a single payment.

Application Fees

Costs associated with applications for
rental housing required by property
owners/managers
 Receipt
Moving Costs Reasonable costs associated with
assisting participants to move themselves
and their belongings into housing,
including vehicle rentals and movers if
needed
 Cost Estimate
 Receipt
Landlord Incentives Signing bonuses, security deposits, repairing damages incurred by the
program participant not covered by the
security deposit or that are incurred
while the program participant is still
residing in the unit, and cost of extra
cleaning or maintenance. Landlord
incentives may not exceed three months’
rent including any funds spent on
deposits under Security Deposits above.

Landlord incentives do not count against
the 12- or 24-month cap on assistance
but the three-month maximum includes
the amount offered in Security Deposit.

Documentation required depends on
the category of assistance being
provided. All Landlord Incentives must
be documented with a receipt by the
landlord or a third-party receipt for
coverage of allowable costs such as
repairs or cleaning.

Rental Assistance A portion of the contract rent of up to 100% of rent for up to maximum
number of months
permitted under the
applicable grant agreement with the
Recipient.
 Habitability Inspection
 One year Lease/Rental Agreement
 Letter of payment or a Housing
Assistance Payment (HAP)
agreement
 W9

Utility Assistance Up to total number of months of rental assistance provided. Total utility
assistance includes the first month’s
payment.
 Copy of Bill for each utility for each
month paid.

Rental Arrears Only if necessary to successfully re-
house; maximum two (2) months of
arrears. Counts against the total months
of assistance permitted.
 Statement or Bill that includes the
cost of each month paid.

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Expense Category Permitted Expenditures and Limitations Required Documentation Utility Arrears Only if necessary, to re-house; maximum two (2) months of arrears per utility.

Eligible utilities include gas, electricity,
water, & trash. Counts against the total
months of assistance permitted.
 Statement or Bill that includes the
cost of each month paid.

6.3 Financial Assistance Approach
For one-time costs, such as security deposits, move in expenses and application fees, the ESG-CV program may pay the entire amount.

For rental assistance payments, households with income are expected to contribute at least 30% of their adjusted gross income. To make this determination, verification of income will be required.

6.3.1 Bridge Housing track: If a household is determined to be on a Bridge Housing track (See 5.1 above) the participant contribution may be set at 30% of adjusted gross income, consistent with many permanent housing subsidy programs, and may continue at 30% of adjusted gross income for the duration of their time in the program.

6.3.1.a. If a participant household on the Bridge Housing track significantly increases their income or demonstrates a likelihood to be able to pay full rent without assistance, they should be reclassified to the Rapid track and financial assistance should be adjusted as specified for the Rapid Track.

6.3.1. b. The program may pay the entire rent on behalf of households that have no income.

6.3.2 Rapid track: If a household is determined to be on Rapid track (anticipated to be able to take over the full rent within the time frame of permitted assistance) the amount that the household is expected to contribute will be expected to fluctuate and to grow over time based on the ongoing assessment of the program operator.

6.3.2.a. Households with any income are expected to contribute 30% of adjusted gross income toward their rent from the start of the program and to assume a greater portion of the rent over time. Expectations must be made clear to the participant household and reviewed periodically, and not less than every three months.

6.3.2.b. With supervisor approval, households may be permitted to contribute less toward their rent for a limited period to assist them to cover extraordinary costs. The program may pay the entire rent on behalf of households that have no income.

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6.3.2.c. For participants on the Rapid track, programs should use a progressive engagement approach to assistance, offering the least amount of support needed to ensure the participant household remains housed, with the potential to increase financial assistance and services if needed.

6.4. Prohibition on Duplication of Benefits
Financial assistance cannot be provided to a program participant who is receiving any other form of tenant-based rental assistance or to a program participant who has been provided with replacement housing payments under the Uniform Relocation Act (URA) during the period of
time covered by the URA payments. Participants should be asked to certify that they are not receiving such assistance. Language to this effect is included in the provided Participation Agreement.

6.5 Recording Financial Assistance
All financial assistance provided must be recorded in HMIS. Supporting documentation must be kept in participant files.

7. Supportive Services

7.1 Services may not be required
Regular ESG funding and other Rapid Rehousing programs typically require that programs assist participants with housing search and housing stability case management. This includes a requirement that a participant meet with a housing stability case manager not less than once per month for the period that they are enrolled. However, under the ESG-CV Notice, Recipients and Subrecipients may not require individuals or families experiencing homelessness to receive treatment or perform prerequisite activities as a condition for receiving assistance funded by ESG-CV. This specifically includes any requirement to participate in Housing Stability Case Management.

7.2 Services must be made available
ESG-CV funded Rapid Rehousing in Alameda County must offer and provide, as requested by participants, housing search and placement assistance, case/care management and connections to other services, benefits and supports. These services should be offered regularly, minimally monthly, to participants to ensure they are aware that services are available if they wish to use them.

7.3 Housing Search Assistance
Housing search assistance are those services intended to assist participants in locating, obtaining, and retaining suitable permanent housing. These may include:

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• assessment of housing barriers, needs, and preferences; • development of a plan for locating housing;
• assistance with a housing search or searching on behalf of a participant; • outreach and negotiations with landlords; and
• assistance with submitting rental applications and understanding leases. • assessment of housing for compliance with Emergency Solutions Grant (ESG) requirements for habitability, lead-based paint, and rent reasonableness; • assistance with obtaining utilities and making moving arrangements; and • tenant counseling.

7.4 Housing Stability Case Management or Care Management Housing stability case management may include:
• conducting the official evaluation of eligibility and need, including verifying and documenting eligibility
• counseling
• developing, securing, and coordinating services and assistance in obtaining Federal, state and local benefits
• monitoring and evaluating participant progress;
• providing information and referral to other providers; • developing an individualized housing plan to permanent housing stability, including referrals to and support with submitting applications to affordable housing projects; and • conducting required reevaluations to determine (i) The program participant does not have an annual income that exceeds 30 percent of median family income for the area, as determined by HUD; and (ii) The program participant lacks sufficient resources and support networks necessary to retain housing without ESG assistance.

Given that ESG-CV is targeted to those at risk from COVID-19 and first priority is for persons participating in Project RoomKey/Safer Ground or a similar program, ESG-CV participants may be already participating in, or eligible for, case or care management through the Alameda County or Berkeley Health Departments and their subcontractors. In these cases, agencies offering housing stability case management may provide services in line with their approved care management approach, provided that the services are voluntary and individualized and include a focus on assisting the participant to stabilize in and retain housing.

7.5 Recording Services
Services that are provided directly to or specifically associated with a participant household must be recorded in HMIS.

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Some contractors may be funded to hire specialists to recruit landlords and secure units for a number of participants which are not provided as specific services to any one participant. Such services are not expected to be recorded in HMIS.

Some participants in a Rapid Rehousing program funded by ESG-CV may be offered and receive services paid for by other sources than ESG-CV and offered by organizations other than the ESG- CV provider. Such services should be recorded in the client record for the ESG-CV program if considered part of the ESG-CV program, or under a separate program enrollment.

HOUSING RELATED REQUIREMENTS

8. Unit Requirements

8.1 Rent Reasonableness
Units rented by participants in an ESG-CV funded Rapid Rehousing program must meet the standard for rent reasonableness. “Rent reasonableness” means that the total rent charged for a unit must be reasonable in relation to the rents being charged during the same time period for comparable units in the private unassisted market and must not be in excess of rents being charged by the same owner during the same time period for comparable non-luxury unassisted units. See more guidance regarding Rental Reasonableness HERE.

A sample Rent Reasonableness form is provided in the appendix. Subrecipients may use an alternative rent reasonableness determination form that meets the requirements of the ESG regulations §576.106.

8.2 Checking Against applicable Payment Standards
The Fair Market Rent (FMR) is a benchmark established by HUD by region. The regular ESG program requires that the rent for units assisted meet both standards for rent reasonableness and rent at or below the Fair Market Rent (FMR). ESG-CV waives the requirement for use of the FMR.

However, under the design for ESG-CV to serve in many circumstances as a bridge to a longer subsidy including subsidies provided under the Housing Choice Voucher, is strongly recommended that households expected to receive a long-term subsidy not be assisted to move into units that rent for more than the FMR or the applicable Payment Standard in the jurisdiction in which the unit is located.

Housing Providers must document decisions to rent a unit above the Payment Standard, including either documentation of a plan for the participant to take over the full rent, receive a subsidy that does not require units rent at FMR, or a plan for the tenant to move to another location that the participant has agreed to.

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8.3 Habitability

8.4.1 Habitability Standard: In order to ensure that ESG funds are used in housing that meets minimum habitability standards, an inspection must be performed on every unit assisted. A description of the standard for permanent housing and a form that can be used to record the results of an inspection can be found HERE.

8.4.2 Lead-based paint remediation and disclosure. The Lead-Based Paint Poisoning Prevention Act, the Residential Lead-Based Paint Hazard Reduction Act of 1992 and implementing regulations apply to all housing occupied by program participants. More information can be found at the HUD Lead Safe Housing site HERE.

8.4.3. Use of HQS: The ESG Habitability Standards are different from, and generally not as stringent as the Housing Quality Standards (HQS) used for other programs such as CoC Rental Assistance programs (i.e. Shelter Plus Care) and Housing Choice Vouchers.

Because some participants in the ESG-CV program are anticipated to receive a HCV, Shelter Plus Care or other potential resources that may require the unit to meet HQS, operators are strongly encouraged to ensure that units either meet HQS initially or can be made to meet HQS prior to the transfer of the subsidy. HQS will be accepted in lieu of Habitability Standards, provided that compliance with Lead Paint Poisoning Act is included.

9. Leases and Rental Assistance Agreements

9.1. Leases
Once a unit has been identified and inspected, the housing agency must ensure that the participant/tenant receives a written one year lease or rental agreement from the landlord which clearly outlines the terms of tenancy and conforms with applicable California and local law.

9.1.1 VAWA-Mandated Requirements: Participant leases must include the following provisions in order to comply with the Violence Against Women Act:

The Landlord may not consider incidents of domestic violence, dating violence or stalking as serious or repeated violations of the lease or other “good cause” for termination of assistance, tenancy or occupancy rights of the victim of abuse.

The Landlord may not consider criminal activity directly relating to abuse, engaged in by a member of a tenant’s household or any guest or other person under the tenant’s control, cause for termination of assistance, tenancy, or occupancy rights if the tenant or an immediate member of the tenant’s family is the victim or threatened victim of that abuse.

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The Landlord may request in writing that the victim, or a family member on the victim’s behalf, certify that the individual is a victim of abuse and that the Certification of Domestic Violence, Dating Violence or Stalking, Form HUD-91066, or other documentation as noted on the certification form, be completed and submitted within 14 business days, or an agreed upon extension date, to receive protection under the VAWA. Failure to provide the certification or other supporting documentation within the specified timeframe may result in eviction.

If the lease does not cover the terms of the Violence Against Women Act then a lease addendum should be executed that covers these requirements. A copy of a

HUD VAWA
Lease Addendum can be found here.

9.1.2 Lease Bifurcation: Housing providers may bifurcate leases to evict, remove, or terminate assistance to a household member who engages in domestic-violence-related criminal activity without evicting, removing, or terminating assistance to, or otherwise penalizing, a victim of such criminal activity who is also a tenant or lawful occupant.

Financial assistance shall continue for the family member(s) who are not evicted or removed.

9. 2 Rental Assistance Agreements
Providers of Rapid Rehousing assistance must ensure that the Landlord to whom payment is being made is apprised of the nature of the program, the anticipated support to the participant, the obligations of the landlord, and the manner in which the landlord may contact the program if there are concerns.

9.2.1 Rental Assistance Agreement Letter: At a minimum, the agency providing financial assistance will provide the landlord with a Rental Assistance Agreement Letter describing the program and outlining the basic support the participant is anticipated to receive. If using the letter, the landlord must sign the letter and return it to the agency.

9.2.2 Housing Assistance Payment (HAP) or other contract agreement: Agencies may prefer to use a contract or housing assistance payments (HAP) agreement that outlines in greater detail the rights and obligations of the parties. Use of such an agreement is acceptable if it covers all requirements in the ESG regulations §576.1 and this guidance.

9.3 Ownership/Tax Document

9.3.1 W-9: In addition, the housing agency shall collect a W-9 from the landlord or property management agency and follow all IRS reporting requirements.

9.3.2 Evidence of ownership: In order to determine that the landlord named on the lease is the legitimate owner of the property, the housing agency will use a database service, such as Realquest, or another manner to verify and document the ownership.

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9.4 Documentation
Documentation related to the housing unit that must be kept in the Participant File includes:

1. An original or copy of the Rent Reasonableness/FMR determination

2. An original or copy of the Habitability or HQS inspection.

3. A copy of the Rental Assistance Agreement Letter or Housing Assistance Payment contract.

4. A copy of the tenant’s lease, including the VAWA Lease Addendum if not included in lease.

5. Printout from the database used to verify the ownership of the unit.

6. Copy of the W-9 from the landlord. The original W-9 must be given to the program operator’s finance division.

10. Emergency Transfer Plan

10.1 Qualifications for Emergency Transfer
A participant qualifies for an emergency transfer if:

1. The participant is a survivor of domestic violence, dating violence, sexual assault or stalking;

2. The participant expressly requests the transfer; and

3. Either:
a. The participant reasonably believes there is a threat of imminent harm from further violence if the participant remains in the same dwelling unit; or b. If the participant is a survivor of sexual assault, the sexual assault occurred on the premises during the 90-calendar-day period preceding the date of the request for transfer.

10.2 Emergency Transfer Process
A participant may submit an emergency transfer request directly to program staff. A participant may seek an internal and external emergency transfer, or both at the same time if a safe unit is not immediately available. The program will take reasonable steps to support them in securing a new safe unit as soon as possible and a transfer may not be necessary.

Programs will ensure strict confidentiality measures are in place to prevent disclosure of the location of the participant’s new unit to a person who committed or threatened to commit an act of domestic violence, dating violence, sexual assault, or stalking against the participant.

Where a family separates as part of the emergency transfer, the family member(s) receiving the emergency transfer will retain the rental assistance when possible. The program will work with the CoC and the household to support an effective transfer in situations where the program is not a good fit for the family member(s) receiving the emergency transfer.

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10.2.1 Internal Transfer: Where the participant requests an internal emergency transfer within the same building or program, the program should take steps to immediately transfer the participant to a safe unit if a unit is available. Requests for internal emergency transfers should receive at least the same priority as the program provides to other types of transfer requests.

If a safe unit is not immediately available, program staff will inform the participant that a unit is not immediately available and explain the options to:

1. Wait for a safe unit to become available for an internal transfer,

2. Request an external emergency transfer, and/or

3. Pursue both an internal and external transfer at the same time in order to transfer to the next available safe unit in the CoC.

10.2.2 External Transfer: If a participant requests an external emergency transfer, the participant has priority over all other applicants, provided the household meets all eligibility criteria required by HUD and the program. After the agency communicates the participant’s emergency transfer request, the Coordinated Entry Management Entity will refer the participant to the next available appropriate unit through the Coordinated Assessment System. The household retains their original homeless status for purposes of the transfer.

10.3 Documentation and Record Keeping
To request an emergency transfer, the participant should submit a written request to program staff, certifying that they meet the emergency transfer qualification requirements. The program may – but is not required to – request additional documentation of the occurrence for which the participant is requesting an emergency transfer. No other documentation is required.

Programs must retain records of all emergency transfer requests and their outcomes for a period of 5 years following the grant year of the program in which the household was a participant and report them to HUD annually. A model emergency transfer plan can be found HERE
.

REEVALUATION

11. Reevaluation of Need and of Eligibility

11.1 Annual Reevaluation
For programs operating with ESG-CV funding that is capped at 12 months of assistance, it is not expected that formal reevaluation will occur during the period in which assistance is provided.

Households should be informed from the beginning that assistance is limited to a maximum of

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ESG-CV Standards Last Updated 02/10/2021 Page 15
12 months and focus should be placed on identifying a long-term resource or housing strategy for after the program is over.

Annual Reevaluation is required for any participant receiving more than 12 months of assistance. This applies to programs operating with ESG-CV funding covered by an approved Consolidated Plan amendment, waiver or revised Notice of HUD guidance permitting greater than 12 months assistance. The reevaluation must determine:

1. The participant has not received more than the permitted number of months of assistance.

2. The participant’s income level is such that there is still a need to provide financial assistance in order to maintain housing stability.
a. Income is not greater than 30% of the Area Median Income (AMI)

3. The participant lacks the financial resources or support networks to secure their housing without continued assistance.

Annual reevaluation should be documented, including updated income verification and an updated participation agreement which certifies lack of resources to secure housing without assistance.

11. 2 HMIS Update
The annual reevaluation is recorded in HMIS and used to update the participant’s HMIS record with current information about housing and income.

11.3 Notification and Update Documents
Once the annual reevaluation of eligibility is completed, the household should be formally notified whether they will continue to receive assistance or not. If continuing to receive assistance, new documents, including an updated Participation Agreement should be prepared and discussed with the participant. If a household is not expected to have the subsidy extended, they should be notified of this determination at the earliest possible time and assisted to develop an alternative housing plan.

11.4 Periodic Reassessment of Need
Alameda County has adopted a more frequent reassessment standard for ESG-funded Rapid Rehousing which includes a review of need and ability to pay every three months during participation. This requirement does not apply to participants in the ESG-CV program who are on the Bridge Track. However, frequent and ongoing review of the participant’s situation and needs should occur throughout the program to determine whether the participant is likely to be able to transition to the Rapid track or off of assistance or will need to be connected to an ongoing subsidy or move to a permanently affordable location such as affordable housing or PSH (Bridge Track).

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PROGRAM TERMINATION, APPEALS AND EXIT

12. Ending Program Participation
Assistance under this program is intended to be temporary and to help participants secure housing that they can remain in without long-term financial support or to successfully bridge to another resource or unit with an ongoing subsidy.

12.1 No Termination for Lack of Service Participation
Under ESG-CV participants cannot be required to take part in services. However, they must provide the program with information needed to continue to determine eligibility, and to ensure that the program and the participant remain in good standing with the landlord.

12.2 Violation of Participation Agreement
Consistent violations of the Participation Agreement, including failure to provide required information to the Program as needed to continue to determine eligibility, may result in termination. If a program participant is violating the participation agreement, reasonable efforts will be made and documented by staff. Staff will provide written notice to the participant outlining program and/or lease violations and assist the participant to address the issue or correct the violation prior to terminating enrollment. Threatening or violent behavior towards staff, any other participant, or any other person connected to the property which they reside may be acted upon immediately.

12.3 Written Notice
If a participant is determined to be in continued or grave violation of the participation agreement, a written Notice of Termination of Assistance will be provided to the program participant containing a clear statement of the reasons for termination, the date on which the termination will become effective, and the process for appealing the decision.

Participants receiving a Notice may request that the decision to terminate participation be reviewed by making a request to the designated supervisor within the agency – following the agency’s grievance policy. This request must be made in writing and must be reviewed within 10 calendar days. A written notice of the final decision will be issued to the participant within 14 calendar days.

A sample Notification of Termination of ESG-CV Assistance is provided in the Appendix of Forms.

Subrecipients may use an alternative Notice of Termination form as long as it covers all of topic areas required under ESG regulations §576.402 and has been approved by the ESG-CV recipient.

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ESG-CV Standards Last Updated 02/10/2021 Page 17

12.4 Resuming Assistance
A program may resume assistance to a program participant whose assistance was previously terminated with the approval of the Program Manager, provide that continued assistance does not violate the applicable maximum subsidy period.

12. 5 Program Exit
Upon completion of the program, or upon termination prior to completion, all members of the household should be exited from the program in HMIS. At this time, all information including household income, final address and housing status are recorded and updated. a. Participants who complete or leave the ESG-CV RRH program having received another permanent housing resource should be recorded as permanently housed with a subsidy. b. Participants who complete or leave the ESG-CV RRH program without another resource but still in housing should be recorded as permanently housed without an ongoing subsidy.

13. Grievances and Appeals

13.1 Program Appeals
ESG-CV subrecipients must notify participants of the agency’s grievance policy at the time of program enrollment, including providing them with a written copy of the policy and keeping a copy of a signed version of the policy or other notification in the participant file. Housing agencies will follow their agency grievance and appeals process, through to the level of the highest ranking staff member of the agency or as may be otherwise specified in the agency’s approved policy and procedures.

13.2 Appeal to Recipient
If there is a grievance specific to the ESG-CV program which has not been resolved through the agency grievance process, ESG program participants may appeal to the local Recipient.

Recipients will follow their appeal process.

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ESG-CV Standards Last Updated 02/10/2021 Page 18
(Place on letterhead)
ESG-CV Program Participation Agreement
(click here to return to relevant section of the manual) The ESG-CV Rapid Rehousing Program provides time-limited financial assistance and supportive services, if requested, to help households impacted by the COVID-19 pandemic gain housing and remain housed. I understand that this program may provide me with some or all of the following services:

1. Short to medium term financial assistance to support gaining and retaining housing which may include rental deposits, short to medium term rental assistance payments, and other assistance designed to help secure or retain housing.

2. Assistance finding and obtaining rental housing such as assistance getting identification, preparing housing applications, searching for housing, negotiating with landlords and other services.

3. Assistance developing an individualized service plan, and support to achieve my self- determined goals.

4. Referrals and support to apply for benefits for which I or a member of my household may be eligible.

5. Other services related to securing and retaining housing and to participation in services for which I and my household are eligible and wish to use.

I agree to do the following:

1. Provide accurate and honest information regarding myself and my household to the program as needed to determine eligibility.

2. Provide current proof of income when requested.

3. Pay my portion of rent on time every month and immediately advise the program if I have any trouble in doing so.

4. Provide any documentation required by the program as it pertains to my rent status or income, my household composition, the status of payments to my landlord, lease violations, or other information as may be needed to continue my participation.

5. Permit home visits and inspections of my housing during my participation in the program. (Advance notice will be provided.)

6. Respond in a timely fashion to offers of alternative and longer-term housing resources or programs.

7. Be contacted for follow-up phone calls about my participation for up to 24 months after I complete the program.

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ESG-CV Standards Last Updated 02/10/2021 Page 19
Certifications: (please initial each line and sign below) I certify that I/my household do not have the financial resources or support networks to secure housing without assistance.____

I certify that I/my household are not currently receiving any other tenant-based rental subsidy nor am I/are we being provided with replacement housing payments under the Uniform Relocation Act.______ I have been given a copy of the Grievance Procedure and of the Notice of Occupancy Rights____ I understand that this program is time-limited and will not provide financial assistance for more than the maximum permitted period _____
I understand that neither ___________________ (Agency name), __________________ (Recipient Name) nor any party to the ESG-CV Program is responsible for my rent or for the terms of any lease I may sign. _____
I understand that my participation may terminated if I do not follow the terms of this participation agreement. ____
Participant Name:_____________________________________________________________________ Other Household Members: _____________________________________________________________ Participant Signature:_________________________________________________ Date: ___________

Program Specialist Name: ____________________________ Agency Name : ___________________ Program Specialist Signature:___________________________________________ Date: ___________

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ESG-CV Standards Last Updated 02/10/2021 Page 20
Rent Reasonableness and FMR Certification
(click here to return to relevant section of the manual) A. Comparison with FMR or applicable Payment Standard
____________________ _____________ __________________ Proposed Contract Rent + Utility Allowance = Proposed Gross Rent

Approved rent [ ] does [ ] does not exceed applicable Payment Standard of $____________.

B. Rent Reasonableness

Based upon a comparison with rents for comparable units, I have determined that the proposed rent for the unit [ ] is [ ] is not reasonable.

Name: ____________________ Signature: _________________ Date: _____________

PROPOSED UNIT COMPARISON
UNIT #1

COMPARISON
UNIT #2

COMPARISON
UNIT #3

ADDRESS

NUMBER OF BEDROOMS

SQUARE FEET

TYPE OF UNIT/CONSTRUCTION

HOUSING CONDITION

LOCATION/ACCESSIBILITY

AMENITIES
UNIT:

SITE:

NEIGHBORHOOD:

AGE IN YEARS

UTILITIES (TYPE)

UNIT RENT

UTILITY ALLOWANCE

GROSS RENT

HANDICAP ACCESSIBLE?

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ESG-CV Standards Last Updated 02/10/2021 Page 21
Rental Assistance Agreement Letter
(click here to return to relevant section of the manual) (date)
(landlord address)
__________________________(Participant Name) has been approved to receive temporary financial assistance through the Emergency Solutions Grant- CV program. The program is designed to help the participant secure and retain housing and be a successful tenant. Our agency will maintain regular contact during their time in the program to assist them with any problems related to their housing or tenancy. The program does not, however, assume any responsibility for the tenant’s rent or for compliance with the lease. The tenant is fully responsible for complying with the terms of the lease he/she/they have with you.

The person named above has been approved for assistance with (check all that apply):
 A rental deposit in the amount of $____________
 A monthly rental subsidy in the amount of $________ (currently approved until ___________ date. This subsidy may be extended at the program’s discretion) All other payments under the terms of the lease are the responsibility of the tenant. [Name of Housing Agency]____________, will provide the above housing assistance payments to you beginning_________ [date]. By signing below, you agree to apply all payments you receive on the tenant’s behalf toward the specified housing-related costs on the check. The termination of housing assistance payments shall not affect the household's other rights under the lease.

The tenant is required to notify us if he or she moves; however, if you ever receive a subsidy check for a tenant who has moved, it is your responsibility to return the check to us. Financial assistance from this program can only be used toward the housing-related costs of the tenant named above while he/she/they reside in your housing. You also must notify us if during the term of this agreement you notify the tenant to vacate or if you lodge any complaint under state or local law to commence an eviction.

You are welcome to contact me if you have any questions or concerns regarding the program. [ Name, title at XXX XXX-XXXX or housing specialist @ agency.org]. Thank you for working with us.

Sincerely,
I have read this agreement and I agree to accept payments on behalf of the tenant listed above as described in this letter. I have provided a W-9 form to the agency.

Property Owner/Property Manager Name:_________________________________________ Signature:____________________________ Date: _________________________________

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Notification of Termination of ESG-CV Assistance
(click here to return to relevant section of the manual) You/your household has violated the terms of your ESG-CV Participation Agreement, signed by _________________ on ______________ (date.) The program violation(s) consist of _____________________________________________________________________________________ _____________________________________________________________________________________ _____________________________________________________________________________________ ____________________________________________________________________________________.

The program is hereby advising you that as of ___/____/______ no further financial assistance will be provided to you/your household.

You/your household will be solely responsible for covering all housing and utility costs as of that date, per the terms of your lease with your landlord.

______________________ (staff signature) __________________ (date) I have reviewed and authorized this notification:
______________________ (Supervisor signature) _________________ (date)

Procedure for due process: If you disagree with this determination, you may request a review of this decision within 10 days of the date of this notice by making a request in writing* to:
{job title}
{Address}
{Address}
The {job title} will review your request and may investigate your claims, ask to interview you, members of your household, your landlord, or call a hearing with yourself, agency staff, and any others that may be needed to review this decision. The {job title} must review your request and make a final determination within 14 calendar days. A written notice of the final decision will be provided to you. *Reasonable accommodation: If you are unable to prepare a request in writing due to a disability and need a reasonable accommodation, you may request a specific accommodation, such as assistance in preparing the request, from the program manager or another staff member.

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NOTICE OF PUBLIC HEARING

BERKELEY CITY COUNCIL
&
REQUEST FOR COMMENTS ON THE CITY’S ANNUAL ACTION PLAN

The Health, Housing & Community Services Department is proposing a Public Hearing addressing the proposed Annual Action Plan for Program Year (PY) 2022 (7/01/22- 6/30/23) which includes recommended allocations of Community Development Block Grant (CDBG), Emergency Solutions Grant (ESG), and Home Investment Partnership Program (HOME) funds.

The hearing will be held on Tuesday, April 26, 2022, at 6:00 P.M., via videoconference pursuant to Governor’s Executive Order N-29-20.

A copy of the agenda material for this hearing will be available on the City Council agenda webpag
e at
https://www.cityofberkeley.info/Clerk/City_Council/City_Council__Agenda_Index.aspx in advance of the meeting. Once posted, the agenda for this meeting will include a link for public participation using Zoom video technology.

The proposed PY 2022 Annual Action Plan required by the U.S. Department of Housing and Urban Development, outlines the City's housing and community development program for the period July 1, 2022 through June 30, 2023. The plan also outlines the allocation of $2,672,368 (estimate) in Community Development Block Grant (CDBG) funds available for housing related activities, improvement of public facilities, public services, and planning and administration. In addition, the plan outlines the proposed use of approximately $233,523 (estimate), the majority of which is used for rapid re-housing financial assistance, outreach and/or shelter for people who are homeless in Berkeley under the Emergency Solutions Grant (ESG), and the use of approximately $754,813 (estimate) in HOME funds for affordable housing development and rehabilitation.

PUBLIC COMMENT PERIOD: The
public also has from March 25, 2022 through April 26,
2022 to submit written comments on the PY2022 Annual Action Plan. A draft of the Plan will be available for public review on the web at
http://www.cityofberkeley.info/ContentDisplay.aspx?id=12160 .

All written comments must be sent to both [email protected] AND [email protected] no later than A pril 26, 2022, at 5:00 p.m.

For more information only, contact Rhianna Babka (email: [email protected]) at the Health, Housing and Community Services Department 2180 Milvia Street, 2nd Floor, Berkeley, 94704.

Ac
commodations Provided Upon Request. To request a disability-related accommodation(s) to participate in the meeting, including auxiliary aids or services, please contact the Disability Services specialist at 981-6342 (V) or 981-6345 (TDD) at least three business days before the meeting date. Providing at least three working days’ notice will help to ensure availability at the meeting.

942
El Departamento de Servicios de Salud, Vivienda y Servicios Comunitarios propone una audiencia pública para tratar el Plan de Acción Anual para el Año (PY) 2022 (7/01/22 - 6/30/23), el cual incluye las asignaciones recomendadas de fondos de la Beca de Desarrollo del Bloque Comunitario (Community Development Block Grant- CDBG), Beca de Soluciones de Emergencia (Emergency Solutions Grant - ESG) y la beca HOME.

Con
forme a la Orden Ejecutiva N -29-20 emitida por el Gobernador Newson, esta audiencia pública será llevada a cabo virtualmente el martes 26 de abril de 2022.

Una copia de la agenda para esta audiencia será disponible en la página electrónica htt
ps://www.cityofberkeley.info/Clerk/City_Council/City_Council__Agenda_Index.aspx antes de la audiencia. Una vez que la agenda sea publicada, esta incluirá un enlace (link) para la par
ticipación pública usando la tecnología de Zoom.

El Plan de Acción Anual PY 2022 que cubre el período a partir del 1ro de julio de 2022 hasta el 30 de junio de 2023 es un requisito del Departamento de Vivienda y Desarrollo Urbano de los E.E. U.U. (HUD por sus siglas en inglés) y resume los programas de vivienda y desarrollo comunitario. El plan también enumera la distribución de aproximadamente $2,672,368 que la Ciudad recibirá por medio de la de la Beca de Desarrollo del Bloque Comunitario (Community Development Block Grant - CDBG) para financiar programas de vivienda, mejoras de infraestructura de edificios públicos, servicios públicos y la administración y planificación de los mismos. Además, el plan también explica el uso propuesto de aproximadamente $233,523 que en su gran mayoría será usado para la relocalización rápida de vivienda dando ayuda financiera, información y/o refugio a las personas desamparadas de Berkeley, estos fondos son parte de la Beca de Soluciones de Emergencia (Emergency Solutions Grant - ESG). También explica cómo se usarán los fondos de la Beca HOME, aproximadamente $754,813 que se usarán para el desarrollo y rehabilitación de viviendas.

PERIODO DE COMENTARIO PÚBLICO: A
partir del 25 de marzo del 2022 y hasta el 26 de
abril del 2022, el público podrá presentar comentarios por escrito sobre el Plan de Acción Anual PY 2022. Un borrador del Plan está disponible al público en el Internet en la página electrónica http://www.cityofberkeley.info/ContentDisplay.aspx?id=12160. Cu alquier comentario escrito tiene que ser entregado a [email protected] Y CPD_COVID- [email protected] a más tardar el 26 de abril de 2022 a las 5:00 p.m.

Si necesitan más información o si desean presentar comentarios por escrito, favor comunicarse con Roxana Andrade-Lizarzaburu al 510.981.5402 o por correo electrónico a [email protected] .

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伯克萊市
公眾視訊聽證會通知
及
計劃評論徵求
關於市政府的年度行動之綜合計劃書
伯克萊市房屋及社區服務部门將提出公開聽證會針對市政府的2022服務行動計劃年度 (PY) (07/01/2022- 06/30/2023) 行動之綜合計劃書. 伯克萊市政府將邀請公衆人仕對伯克萊市政府的年度行動之綜合計劃書
加以檢討及評論。該計劃書將提出對於社區發展經費（CDBG），緊急解決方案撥款（ESG）和房屋投
資合作計劃（HOME）的資金分配建議。
此次聽證會將在2022年4月26日，星期二，下午6:00舉行。这次会议將會是根据加利福尼亞州第N-29-20
号行政命令通过电视会议进行。
該聽證會議程材料的副本可於聽證會舉行之前在市議會議程網頁上找到：
https://www.cityofberkeley.info/Clerk/City_Council/City_Council__Agenda_Index.aspx 發布後，本次 會議的議程將包括一個使用Zoom video技術的公眾參與鏈接。
此2022服務行動計劃年度之綜合計劃書擬議計劃是根據住房和城市發展部門 (HUD) 財務資助接受者所
提出的流程。此計劃書概述了伯克萊市政府的城市住房和社區發展計劃。該計劃書有效運轉期為2022年
7月1日至2023年6月30日。該計劃還概述了在社區發展經費（CDBG）中分配的$2,672,368美元（估計）， 用於與住房有關的活動，公共設施的改善，公共服務以及規劃和管理。此外，該計劃還概述了大約
$233,523美元（估計）的擬議用途，其中大部分用於根據緊急解決方案撥款（ESG）為伯克利無家可歸
者提供快速重新安置的財政援助，外展和/或庇護，以及動用約$754,813美元（估計）的HOME資金用於
經濟適用房的開發和修復。
公共評論期：公眾可以在2022年3月25日至2022年4月26日之間提交書面評論。該計劃的草案可在以下網
站上進行公開審查：
htt
p://www.cityofberkeley.info/ContentDisplay.aspx?id=12160 所有书面评论必须不迟于2022年4月26日下午5:00同時发送至[email protected]和CPD_COVID- [email protected]。
请仅在需要更多有关此主题信息时，联系伯克萊市房屋及社區服務部门的Rhianna Babka小姐(电邮：
[email protected])，地址: 2180 Milvia St., 2nd Floor, Berkeley, CA 94704。 市政府將根據要求提供視聽支持。如果您需要有關於殘障人士的技術協助，包括輔助工具或服務，請至
少在會議開始前三個工作日致電(510) 981-6342（V）或 (510)981-6345（TDD）與殘疾服務專員聯繫。如 能在會議日期前三個工作日發出技術協助通知，我們將盡力確保您毫無困難地參加會議。

944

Terry Taplin
Councilmember District 2
2180 Milvia Street, Berkeley, CA 94704 Tel: 510.981.7120 TDD: 510.981.6903 E-Mail: [email protected]

SUPPLEMENTAL

AGENDA MATERIAL
for Supplemental Packet 3

Meeting Date: January 25, 2022

Item Number: 27

Item Description: Resolution Accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code

Submitted by: Councilmember Taplin

The District 2 office submits the following amendments to the District 4 office’s supplemental for consideration:

1. Amend Section 1302.3(c)(1): replace subsection with affirmation that “existing laws prohibiting trespassing and unlawful search and seizure shall be followed.”

2. Amend Section 1302.3(c)(2): append reference to existing BPD policies prohibiting harassment and intimidation, and pertinent disciplinary actions, including but not limited to General Order P-26.

3. Strike Section 1302.3(c)(6). This would prohibit the use of parking enforcement ALPR data in criminal investigations, even if parked vehicles are in a crime scene under investigation, thus endangering public safety by hindering investigatory capacity.

4. Strike Section 1302.3(c)(7). Parking Enforcement Officers (PEOs) should be able to match ALPR data to other databases where information on suspended or revoked licenses and open arrest warrants may be stored. Stolen vehicles are not the only public safety purpose in which PEOs may be of assistance.

5. Amend Section 1302.4: specify that only authorized staff may access CLETS data pursuant to the California Department of Justice’s CLETS Policies, Practices, and Procedures Section 1.9.3 and Section 1.9.4.

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Surveillance Use Policy – Automatic License Plate Readers 1302.1 PURPOSE
This Surveillance Use Policy is legally-enforceable pursuant to BMC 2.99.

The policy of the Berkeley Police Department is to utilize ALPR technology to capture and store digital license plate data and images for Parking Enforcement Operations and Parking Occupancy Analysis while recognizing the established privacy rights of the public.
1302.2 DEFINITIONS
“Alleged Parking Violation” means an alleged violation of time limits in parking areas designated by state and local law, or a violation of time limits and/or non-permit parking in the City’s RPP zones.
“ALPR Read Image” means images of license plates, vehicles, wheels or any other incidentally captured image.
“ALPR Read” means computer-readable data captured by an ALPR Reader, including ALPR Read Image and associated ALPR Read Metadata. ALPR Reads are transient means to create potential government records, to include Parking Occupancy Analysis data and Enforced Citations, and therefore shall not be considered a government record itself pursuant to Government Code § 34090.6.
“ALPR Hit” means an Alleged Parking Violation or State Stolen or Wanted System alert resulting from computer generated analysis of ALPR Reads by the Genetec ALPR System resulting in an apparent:
(1) match between an ALPR Read and ALPR Read Metadata stored in the Genetec ALPR System, to include the State Stolen or Wanted System; or (2) incongruence between an ALPR Read and permit information stored in the Passport Parking Management System.
“ALPR Read Metadata” means any image-based or other metadata, including but not limited to, global positioning system coordinates, block face information, tire position information, digitized license plates in alphanumeric characters, and timestamps. “Automated License Plate Reader” or “ALPR” means one or more Genetec AutoVu mobile cameras affixed to Parking Enforcement Scooters and combined with computer software and algorithms to read and convert images of license plates, the characters they contain, and associated ALPR Read Metadata related to Parking Enforcement Operations or Parking Occupancy Analysis into computer-readable data. “Deploy” or “Deployment” means any operation or use of ALPR Readers affixed to Parking Enforcement Scooters.

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“Enforced ALPR Hit” means an Alleged Parking Violation confirmed by a Parking Enforcement Officer that results in the transmission of associated ALPR Read Image and ALPR Read Metadata to the Passport Parking Management System for storage in a database as a government record for the purpose of citation processing. “Genetec ALPR System” means the computerized Genetec server and database that stores and pushes ALPR Read Metadata generated by ALPR Readers. “Residential Parking Permits” or “RPP” means an annual, visitor, merchant or in-home care parking permit, typically represented by a vehicle’s license plate, and associated with the City’s Residential Parking Permit program across designated zones. “Parking Enforcement Scooter” means the GO-4 three-wheeled parking enforcement vehicle.
“Parking Enforcement Officers” means employees of the City who work weekly rotations on Parking Enforcement Operations beats throughout the City and are properly trained to operate ALPRs and access the Genetec ALPR System.
“Parking Enforcement Operations” means Parking Enforcement Officer enforcement of parking regulations associated with local ordinances, the California Vehicle Code, and State Stolen or Wanted System enforcement through Parking Enforcement Scooter- based automated (ALPR) and non-automated means.
“Personally Identifiable Information” or “PII” means information:
(1) that directly identifies an individual (e.g., name, address, vehicle registration number, or other identifying number or code, telephone number, email address, etc.) or (2) by which the City or other agency intends to identify specific individuals in conjunction with other data elements, i.e., indirect identification. “Parking Occupancy Analysis” means ongoing computational or algorithmic analyses performed by Passport Parking Management System or the City of Berkeley on ALPR Read Metadata regarding the occupancy of total parking spaces across commercial districts as part of goBerkeley, the City's data-driven, demand-responsive parking management program. ALPR Read Metadata data associated with Parking Occupancy Analysis shall not include any license plate or other PII information. “Parking Permit Application” means an application submitted to the City for RPP or other permit that may include but is not limited to PII such as names, address, photo identification, vehicle registration (license plate and vehicle identification number), phone number and email address.
“Passport Automatic Occupancy Data Collection System” means the server and database whereby the Passport Parking Management System vendor, on behalf of the City, downloads, stores and transfers Parking Occupancy Analysis ALPR Read

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Metadata stripped of any and all PII before being transferred to the goBerkeley program.
“Passport Parking Management System” means the servers and databases maintained by Passport Labs Incorporated, containing the database of the license plate numbers and other PII associated with Parking Permit Applications and Residential Parking Permits, and including historic parking citation data, to include Enforced Hits. “PocketPEO” means a mobile device providing handheld ticket issuance and ALPR data reference capabilities.
“State Stolen or Wanted System” means information from the California Law Enforcement Telecommunications System's (CLETS) Department of Motor Vehicles (DMV) Stolen Vehicle System (SVS) database providing data regarding stolen vehicles., and the Federal Bureau of Investigation's National Crime Information Center (NCIC) database of and wanted vehicles.
1302.3 AUTHORIZED AND PROHIBITED USES
Use of an ALPR is restricted to the purposes outlined below.

All data and images gathered by the ALPR are for official use by the Berkeley Police Department for Parking Enforcement Operations and may be retroactively queried in limited circumstances only as specified by this policy.

In addition, ALPR data may be used by the Finance, Information Technology (IT), Customer Service, and Public Works Departments only as specified herein this policy, and consistent with Parking Enforcement Operations and Parking Occupancy Analysis.

Since such data may contain confidential information, it is notData that is considered confidential under recent state Supreme Court rulings is not open to public review, except as specified.

Berkeley Police Department members or other Departments shall not use, or allow others to use the equipment or database records for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

Anyone who engages in an impermissible use of the Genetec ALPR system or associated scan files or hot lists may be subject to administrative sanctions, up to and including termination, pursuant to and consistent with the relevant collective bargaining agreements and Department policies.
(a) An ALPR shall only be Deployed and used for Parking Enforcement Operations, and Parking Occupancy Analysis.
(b) ALPR data strictly obtained from Parking Enforcement Operations retained pursuant to this use policy, including data and metadata associated with ALPR Reads and Hits, Formatted: Not Highlight

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may be used to support a specific criminal investigation only pursuant to a valid court order, subpoena, or a search warrant.
(c) The following uses of the Genetec ALPR System are specifically prohibited:
(1) Invasion of Privacy

Except when done pursuant to a court order, subpoena, or a search warrant, iIt is a violation of this Policy to utilize the ALPR to record license plates except those of vehicles that are exposed to public view (e.g., vehicles on a public road or street, or that are on private property but whose license plate(s) are visible from a public road, street, or a place to which members of the public have access, such as the parking lot of a shop or other business establishment).Existing laws prohibiting trespassing and unlawful search and seizure shall be followed.
(2) Harassment or Intimidation
It is a violation of this Policy to use the Genetec ALPR system to harass and/or intimidate any individual or group, pursuant to BPD General Order P-26. (3) Use Based on a Protected Characteristic.

It is a violation of this Policy to use the ALPRs or associated scan files or hot lists solely because of a person's, or group's race, gender, religion, political affiliation, nationality, ethnicity, sexual orientation, disability, or other classification protected by state and federal law.
(4) Personal Use

It is a violation of this Policy to use the Genetec ALPR System or associated ALPR Read data or the State Stolen or Wanted System hot lists for any personal purpose. (5) First Amendment Rights

It is a violation of this Policy to use ALPRs or associated scan files or hot lists for the purpose or known effect of infringing upon First Amendment rights. (6) Criminal Enforcement
It is a violation of this Policy to use or Deploy ALPRs to scan or canvass license plates in connection with any crime scene, patrol operation, or investigation. (7) Use of Hot Lists
It is a violation of this Policy to use the Genetec ALPR System in conjunction with any hot list other than the State Stolen or Wanted System.
1302.4 DATA COLLECTION AND RETENTION

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The Investigations Division Captain, or their designee, is responsible for ensuring proper collection and retention of ALPR data. Technical support and assistance shall be provided by the City of Berkeley's IT department and associated Genetec ALPR system providers/vendors as identified below.

IT's role will be limited to providing initial infrastructure set-up and accessing or viewing individual records or reports (potentially including PII or CLETS information as authorized by the Chief of Police), limited to the purposes of testing the accuracy of the equipment. Genetec ALPR System data provided to Parking Control Officers may also contain confidential CLETS information and is not open to public review.

ALPR information gathered and retained by the Berkeley Police Department may only be used and shared with prosecutors or other law enforcement agencies pursuant to a valid court order, subpoena, or a search warrant and as limited by this policy. (a) ALPR Read Images
ALPR Read Images and Metadata resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall ALPR Read Images resulting from ALPR Reads be transmitted to or stored in the Genetec ALPR System.
(b) ALPR Reads Not Resulting in ALPR Hits
All ALPR Read Metadata from ALPR Reads transmitted and stored in the Genetec ALPR System shall be purged within five (5) days consistent with the City’s 72- Hour Rule (BMC Section 14.36.050).

In no case shall ALPR Read Metadata in the form of license plate data or other PII be transmitted to or stored in the Passport Automatic Occupancy Data Collection System. (c) ALPR Hits
All ALPR Read Images, Metadata, and Hits resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall data associated with ALPR Hits be transmitted to or stored in the Genetec ALPR System, nor shall license plate data or other PII included as part of ALPR Read Metadata be transmitted to or stored by the City for Parking Occupancy Analysis (goBerkeley), to include the Passport Automatic Occupancy Data Collection System or as City Department records.
(d) Unenforced ALPR Hits
All erroneous and unenforced ALPR Hit data and Read Metadata shall be purged locally at least nightly.
(e) Enforced ALPR Hits

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Only ALPR Read Images and Metadata associated with Enforced ALPR Hits shall be downloaded to the Passport Parking Management servers with a minimum retention period of one year (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless it has become, or it is reasonable to believe it will become, evidence in a criminal action pursuant to a valid court order, subpoena, or a search warrant or civil action or is subject to a lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence. 1302.5 DATA ACCESS
(a) Only properly trained Parking Control Officers and information technology personnel are allowed access to the Genetec ALPR system or to collect ALPR information. (b) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training, which shall include complying with this use policy.
(c) No ALPR operator may access California Law Enforcement Telecommunications System (CLETS) data unless otherwise authorized to do so pursuant to California Department of Justice’s CLETS Policies, Practices, and Procedures Section 1.9.3 and Section 1.9.4
.
(cd) If a Sworn officer is called to verify a stolen vehicle, iIf practicable, the officer should verify an ALPR response through the California Law Enforcement Telecommunications System (CLETS) before taking enforcement action that is based solely on an ALPR Hit. (e) Police will not take any police action that restricts the freedom of any individual based solely on an ALPR Hit unless it has been validated as described above in (d). (1) Police need to have reasonable suspicion and/or probable cause to make an enforcement stop of any vehicle. For example, if a vehicle is entered into the system because of its association with a wanted individual, Officers should attempt to visually match the driver to the description of the wanted subject prior to making the stop or should have another legal basis for making the stop.
(2) Prior to initiation of a stop of a vehicle or other intervention based on an ALPR Hit, Department members shall undertake the following:
(i) Verification of status on State Stolen or Wanted System.

An officer must receive confirmation from a Police Department Communications Dispatcher or other department computer device, that the license plate is still stolen, wanted, or otherwise of interest before proceeding (absent exigent circumstances).

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(ii) Visual verification of license plate number.

(d) Sworn Officers shall visually verify that the license plate of interest matches identically with the ALPR Read Image of the license plate number captured (ALPR Read) by the ALPR, including both the alphanumeric characters of the license plate, state of issue, and vehicle descriptors before proceeding. Department members alerted to the fact that an observed motor vehicle's license plate is entered as an ALPR Hit in a specific State Stolen or Wanted System list are required to make a reasonable effort to confirm that a wanted person is actually in the vehicle and/or that a reasonable basis exists before a Department member would have a lawful basis to stop the vehicle. 1302.6 CIVIL LIBERTIES AND RIGHTS PROTECTION:

The Berkeley Police Department is dedicated to the most efficient utilization of its resources and services in its public safety endeavors. The Berkeley Police Department recognizes the need to protect its ownership and control over shared information and to protect the privacy and civil liberties of the public, in accordance with federal and state law. The procedures described within this policy (Data Access, Data Protection, Data Retention, Public Access and Third- Party Data Sharing) protect against the unauthorized use of ALPR data. These policies ensure the data is not used in a way that would violate or infringe upon anyone's civil rights and/or liberties, including but not limited to impacts that may violate the First and Fourth Amendments and other potentially disparate or adverse impacts on any communities or groups.

The Berkeley Police Department does not permit the sharing of ALPR data gathered by the City or its contractors/subcontractors for the purpose of federal immigration enforcement, pursuant to the California Values Act (Government Code § 7282.5; Government Code § 7284.2 et seq) – these federal immigration agencies include Immigrations and Customs Enforcement (ICE) and Customs and Border Patrol (CPB).

1302.7 PUBLIC ACCESS
Non-law enforcement requests for information regarding a specific vehicle's license plate may be honored when the requester is the registered owner of the vehicle in question, and when providing such information will not invade the privacy of a third party. The requester in such cases must provide acceptable proof of his or her identity and of ownership of the vehicle in question.
1302.8 THIRD-PARTY DATA-SHARING
(a) Non-law enforcement requests for access to stored ALPR data related to parking management shall be processed according to this policy, and the Records Maintenance and Release Policy in accordance with applicable law.
(b) The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as permitted by this policy and under Formatted: Strikethrough

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no circumstances. ALPR data is subject to the provisions of BPD Policy 415, and hence may not be shared with federal immigration enforcement officials.

Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided by this policy and in the Records Maintenance and Release Policy (Civil Code § 1798.90.55).

Aggregated ALPR data not related to specific criminal investigations authorized by a court order, subpoena, or search warrant shall not be released to any local, state or federal agency or entity without the express written consent of the City Manager and only in accordance with this Use Policy.

Third-party data-sharing shall be subject to non-privileged and non-confidential City Council notification pursuant to BMC 2.99.020 (2) (a).
1302.9 TRAINING AND ALPR ADMINISTRATOR
Training for the operation of ALPR technology shall be provided by BPD personnel. All BPD employees who utilize ALPR technology shall be provided a copy of this Surveillance Use Policy.
(1) The Investigations Division Captain shall be responsible for compliance with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(i) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the Genetec ALPR system or to collect ALPR information.

(ii) Ensuring that training requirements are completed for authorized users. The Administrator shall ensure that members receive department-approved training for those authorized to use or access ALPRs (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

(iii) A description of how the Genetec ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws.

(iv) Procedures for system operators to maintain records of access in compliance with Civil Code§ 1798.90.52 and this Use Policy.
(v) The title and name of the current designee in overseeing the ALPR operation. (vi) Ensuring this policy and related procedures are conspicuously posted on the City's website.
1302.10 AUDITING AND OVERSIGHT
Formatted: Strikethrough

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Genetec ALPR System audits will be conducted by the Professional Standards Bureau's (PSD) Audit and Inspections Sergeant pursuant to Municipal Code SectionBMC

2.99.020 4. k. on a regular basis, at least biannually. (1) Any unauthorized access or data breach shall be reported immediately to the City Manager.
(2) The audit shall be documented in the form of an internal department memorandum to the Chief of Police. The memorandum shall include any data errors found so that such errors can be corrected. After review by the Chief of Police, the memorandum and any associated documentation shall be placed into the annual report filed with the City Council pursuant to BMC Section 2.99.020 2. d.
, published on the City of Berkeley
website in an appropriate location, and retained by PSD. 1302.11 MAINTENANCE
Any installation and maintenance of ALPR equipment, as well as ALPR data retention and access, shall be managed by the Investigations Division Captain or his or her designee. The Investigations Division Captain will assign members under their command to administer the day-to-day operation of the ALPR equipment and data.

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Kate Harrison
Councilmember District 4
2180 Milvia Street, Berkeley, CA 94704 Tel: 510.981.7140 TDD: 510.981.6903 E-Mail: [email protected]

REVISED AGENDA MATERIAL
for Supplemental Packet 2

Meeting Date: November 30, 2021

Item Number: 27

Item Description: Resolution Accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code

Submitted by: Councilmember Harrison

The supplemental includes updates to the ALPR Use Policy as follows:

• Removes reference to Government Code Section 34090 consistent with SB 34 (providing for a local government to set ALPR retention limits). • Clarifies that the definition of the State Stolen System includes the DMV’s SVS database.
• Clarifies the type of data that is considered confidential pursuant to recent State Supreme Court rulings.
• Fixes inconsistency under the “Invasion of Privacy” section. • Adds missing reference to state and federal law under “Use Based on a Protected Characteristic” section.
• Clarifies IT’s role in maintaining accuracy and functionality of ALPR equipment.
• Further clarifies distinction between ALPR Read Images and ALPR Hits. • Strikes extraneous language regarding Sworn Officer stolen vehicle verification procedures.
• Clarifies that ALPR data may only be shared with law enforcement or prosecutorial agencies as permitted by the Policy.
• Adds specific references to BMC sections under the auditing and oversight section.
• Adds other non-substantive changes.

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Surveillance Use Policy – Automatic License Plate Readers 1302.1 PURPOSE
This Surveillance Use Policy is legally-enforceable pursuant to BMC 2.99.

The policy of the Berkeley Police Department is to utilize ALPR technology to capture and store digital license plate data and images for Parking Enforcement Operations and Parking Occupancy Analysis while recognizing the established privacy rights of the public.
1302.2 DEFINITIONS
“Alleged Parking Violation” means an alleged violation of time limits in parking areas designated by state and local law, or a violation of time limits and/or non-permit parking in the City’s RPP zones.
“ALPR Read Image” means images of license plates, vehicles, wheels or any other incidentally captured image.
“ALPR Read” means computer-readable data captured by an ALPR Reader, including ALPR Read Image and associated ALPR Read Metadata. ALPR Reads are transient means to create potential government records, to include Parking Occupancy Analysis data and Enforced Citations, and therefore shall not be considered a government record itself pursuant to Government Code § 34090.6.
“ALPR Hit” means an Alleged Parking Violation or State Stolen or Wanted System alert resulting from computer generated analysis of ALPR Reads by the Genetec ALPR System resulting in an apparent:
(1) match between an ALPR Read and ALPR Read Metadata stored in the Genetec ALPR System, to include the State Stolen or Wanted System; or (2) incongruence between an ALPR Read and permit information stored in the Passport Parking Management System.
“ALPR Read Metadata” means any image-based or other metadata, including but not limited to, global positioning system coordinates, block face information, tire position information, digitized license plates in alphanumeric characters, and timestamps. “Automated License Plate Reader” or “ALPR” means one or more Genetec AutoVu mobile cameras affixed to Parking Enforcement Scooters and combined with computer software and algorithms to read and convert images of license plates, the characters they contain, and associated ALPR Read Metadata related to Parking Enforcement Operations or Parking Occupancy Analysis into computer-readable data. “Deploy” or “Deployment” means any operation or use of ALPR Readers affixed to Parking Enforcement Scooters.

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“Enforced ALPR Hit” means an Alleged Parking Violation confirmed by a Parking Enforcement Officer that results in the transmission of associated ALPR Read Image and ALPR Read Metadata to the Passport Parking Management System for storage in a database as a government record for the purpose of citation processing. “Genetec ALPR System” means the computerized Genetec server and database that stores and pushes ALPR Read Metadata generated by ALPR Readers. “Residential Parking Permits” or “RPP” means an annual, visitor, merchant or in-home care parking permit, typically represented by a vehicle’s license plate, and associated with the City’s Residential Parking Permit program across designated zones. “Parking Enforcement Scooter” means the GO-4 three-wheeled parking enforcement vehicle.
“Parking Enforcement Officers” means employees of the City who work weekly rotations on Parking Enforcement Operations beats throughout the City and are properly trained to operate ALPRs and access the Genetec ALPR System.
“Parking Enforcement Operations” means Parking Enforcement Officer enforcement of parking regulations associated with local ordinances, the California Vehicle Code, and State Stolen or Wanted System enforcement through Parking Enforcement Scooter- based automated (ALPR) and non-automated means.
“Personally Identifiable Information” or “PII” means information:
(1) that directly identifies an individual (e.g., name, address, vehicle registration number, or other identifying number or code, telephone number, email address, etc.) or (2) by which the City or other agency intends to identify specific individuals in conjunction with other data elements, i.e., indirect identification. “Parking Occupancy Analysis” means ongoing computational or algorithmic analyses performed by Passport Parking Management System or the City of Berkeley on ALPR Read Metadata regarding the occupancy of total parking spaces across commercial districts as part of goBerkeley, the City's data-driven, demand-responsive parking management program. ALPR Read Metadata data associated with Parking Occupancy Analysis shall not include any license plate or other PII information. “Parking Permit Application” means an application submitted to the City for RPP or other permit that may include but is not limited to PII such as names, address, photo identification, vehicle registration (license plate and vehicle identification number), phone number and email address.
“Passport Automatic Occupancy Data Collection System” means the server and database whereby the Passport Parking Management System vendor, on behalf of the City, downloads, stores and transfers Parking Occupancy Analysis ALPR Read

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Metadata stripped of any and all PII before being transferred to the goBerkeley program.
“Passport Parking Management System” means the servers and databases maintained by Passport Labs Incorporated, containing the database of the license plate numbers and other PII associated with Parking Permit Applications and Residential Parking Permits, and including historic parking citation data, to include Enforced Hits. “PocketPEO” means a mobile device providing handheld ticket issuance and ALPR data reference capabilities.
“State Stolen or Wanted System” means information from the California Law Enforcement Telecommunications System's (CLETS) Department of Motor Vehicles (DMV) Stolen Vehicle System (SVS) database providing data regarding stolen vehicles., and the Federal Bureau of Investigation's National Crime Information Center (NCIC) database of and wanted vehicles.
1302.3 AUTHORIZED AND PROHIBITED USES
Use of an ALPR is restricted to the purposes outlined below.

All data and images gathered by the ALPR are for official use by the Berkeley Police Department for Parking Enforcement Operations and may be retroactively queried in limited circumstances only as specified by this policy.

In addition, ALPR data may be used by the Finance, Information Technology (IT), Customer Service, and Public Works Departments only as specified herein this policy, and consistent with Parking Enforcement Operations and Parking Occupancy Analysis.

Since such data may contain confidential information, it is notData that is considered confidential under recent state Supreme Court rulings is not open to public review, except as specified.

Berkeley Police Department members or other Departments shall not use, or allow others to use the equipment or database records for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

Anyone who engages in an impermissible use of the Genetec ALPR system or associated scan files or hot lists may be subject to administrative sanctions, up to and including termination, pursuant to and consistent with the relevant collective bargaining agreements and Department policies.
(a) An ALPR shall only be Deployed and used for Parking Enforcement Operations, and Parking Occupancy Analysis.
(b) ALPR data strictly obtained from Parking Enforcement Operations retained pursuant to this use policy, including data and metadata associated with ALPR Reads and Hits, may be used to support a specific criminal investigation only pursuant to a valid court order, subpoena, or a search warrant.

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(c) The following uses of the Genetec ALPR System are specifically prohibited:
(1) Invasion of Privacy

Except when done pursuant to a court order, subpoena, or a search warrant, iIt is a violation of this Policy to utilize the ALPR to record license plates except those of vehicles that are exposed to public view (e.g., vehicles on a public road or street, or that are on private property but whose license plate(s) are visible from a public road, street, or a place to which members of the public have access, such as the parking lot of a shop or other business establishment).
(2) Harassment or Intimidation
It is a violation of this Policy to use the Genetec ALPR system to harass and/or intimidate any individual or group.
(3) Use Based on a Protected Characteristic.

It is a violation of this Policy to use the ALPRs or associated scan files or hot lists solely because of a person's, or group's race, gender, religion, political affiliation, nationality, ethnicity, sexual orientation, disability, or other classification protected by state and federal law.
(4) Personal Use

It is a violation of this Policy to use the Genetec ALPR System or associated ALPR Read data or the State Stolen or Wanted System hot lists for any personal purpose. (5) First Amendment Rights

It is a violation of this Policy to use ALPRs or associated scan files or hot lists for the purpose or known effect of infringing upon First Amendment rights. (6) Criminal Enforcement
It is a violation of this Policy to use or Deploy ALPRs to scan or canvass license plates in connection with any crime scene, patrol operation, or investigation. (7) Use of Hot Lists
It is a violation of this Policy to use the Genetec ALPR System in conjunction with any hot list other than the State Stolen or Wanted System.
1302.4 DATA COLLECTION AND RETENTION
The Investigations Division Captain, or their designee, is responsible for ensuring proper collection and retention of ALPR data. Technical support and assistance shall be provided by the City of Berkeley's IT department and associated Genetec ALPR system providers/vendors as identified below.

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IT's role will be limited to providing initial infrastructure set-up and accessing or viewing individual records or reports (potentially including PII or CLETS information as authorized by the Chief of Police), limited to the purposes of testing the accuracy of the equipment. Genetec ALPR System data provided to Parking Control Officers may also contain confidential CLETS information and is not open to public review.

ALPR information gathered and retained by the Berkeley Police Department may only be used and shared with prosecutors or other law enforcement agencies pursuant to a valid court order, subpoena, or a search warrant and as limited by this policy. (a) ALPR Read Images
ALPR Read Images and Metadata resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall ALPR Read Images resulting from ALPR Reads be transmitted to or stored in the Genetec ALPR System.
(b) ALPR Reads Not Resulting in ALPR Hits
All ALPR Read Metadata from ALPR Reads transmitted and stored in the Genetec ALPR System shall be purged within five (5) days consistent with the City’s 72- Hour Rule (BMC Section 14.36.050).

In no case shall ALPR Read Metadata in the form of license plate data or other PII be transmitted to or stored in the Passport Automatic Occupancy Data Collection System. (c) ALPR Hits
All ALPR Read Images, Metadata, and Hits resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall data associated with ALPR Hits be transmitted to or stored in the Genetec ALPR System, nor shall license plate data or other PII included as part of ALPR Read Metadata be transmitted to or stored by the City for Parking Occupancy Analysis (goBerkeley), to include the Passport Automatic Occupancy Data Collection System or as City Department records.
(d) Unenforced ALPR Hits
All erroneous and unenforced ALPR Hit data and Read Metadata shall be purged locally at least nightly.
(e) Enforced ALPR Hits
Only ALPR Read Images and Metadata associated with Enforced ALPR Hits shall be downloaded to the Passport Parking Management servers with a minimum retention period of one year (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless

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it has become, or it is reasonable to believe it will become, evidence in a criminal action pursuant to a valid court order, subpoena, or a search warrant or civil action or is subject to a lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence. 1302.5 DATA ACCESS
(a) Only properly trained Parking Control Officers and information technology personnel are allowed access to the Genetec ALPR system or to collect ALPR information. (b) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training, which shall include complying with this use policy.
(c) No ALPR operator may access California Law Enforcement Telecommunications System (CLETS) data unless otherwise authorized to do so. (cd) If a Sworn officer is called to verify a stolen vehicle, iIf practicable, the officer should verify an ALPR response through the California Law Enforcement Telecommunications System (CLETS) before taking enforcement action that is based solely on an ALPR Hit. (e) Police will not take any police action that restricts the freedom of any individual based solely on an ALPR Hit unless it has been validated as described above in (d). (1) Police need to have reasonable suspicion and/or probable cause to make an enforcement stop of any vehicle. For example, if a vehicle is entered into the system because of its association with a wanted individual, Officers should attempt to visually match the driver to the description of the wanted subject prior to making the stop or should have another legal basis for making the stop.
(2) Prior to initiation of a stop of a vehicle or other intervention based on an ALPR Hit, Department members shall undertake the following:
(i) Verification of status on State Stolen or Wanted System.

An officer must receive confirmation from a Police Department Communications Dispatcher or other department computer device, that the license plate is still stolen, wanted, or otherwise of interest before proceeding (absent exigent circumstances). (ii) Visual verification of license plate number.

(d) Sworn Officers shall visually verify that the license plate of interest matches identically with the ALPR Read Image of the license plate number captured (ALPR Read) by the ALPR, including both the alphanumeric characters of the license plate, state of issue, and vehicle descriptors before proceeding. Department members alerted to the fact that an observed motor vehicle's license plate is entered as an ALPR Hit in a specific State Stolen or Wanted System list are required to make a reasonable effort to

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confirm that a wanted person is actually in the vehicle and/or that a reasonable basis exists before a Department member would have a lawful basis to stop the vehicle. 1302.6 CIVIL LIBERTIES AND RIGHTS PROTECTION:

The Berkeley Police Department is dedicated to the most efficient utilization of its resources and services in its public safety endeavors. The Berkeley Police Department recognizes the need to protect its ownership and control over shared information and to protect the privacy and civil liberties of the public, in accordance with federal and state law. The procedures described within this policy (Data Access, Data Protection, Data Retention, Public Access and Third- Party Data Sharing) protect against the unauthorized use of ALPR data. These policies ensure the data is not used in a way that would violate or infringe upon anyone's civil rights and/or liberties, including but not limited to impacts that may violate the First and Fourth Amendments and other potentially disparate or adverse impacts on any communities or groups.

The Berkeley Police Department does not permit the sharing of ALPR data gathered by the City or its contractors/subcontractors for the purpose of federal immigration enforcement, pursuant to the California Values Act (Government Code § 7282.5; Government Code § 7284.2 et seq) – these federal immigration agencies include Immigrations and Customs Enforcement (ICE) and Customs and Border Patrol (CPB).

1302.7 PUBLIC ACCESS
Non-law enforcement requests for information regarding a specific vehicle's license plate may be honored when the requester is the registered owner of the vehicle in question, and when providing such information will not invade the privacy of a third party. The requester in such cases must provide acceptable proof of his or her identity and of ownership of the vehicle in question.
1302.8 THIRD-PARTY DATA-SHARING
(a) Non-law enforcement requests for access to stored ALPR data related to parking management shall be processed according to this policy, and the Records Maintenance and Release Policy in accordance with applicable law.
(b) The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as permitted by this policy and under no circumstances. ALPR data is subject to the provisions of BPD Policy 415, and hence may not be shared with federal immigration enforcement officials.

Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided by this policy and in the Records Maintenance and Release Policy (Civil Code § 1798.90.55).

Aggregated ALPR data not related to specific criminal investigations authorized by a court order, subpoena, or search warrant shall not be released to any local, state or

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federal agency or entity without the express written consent of the City Manager and only in accordance with this Use Policy.

Third-party data-sharing shall be subject to non-privileged and non-confidential City Council notification pursuant to BMC 2.99.020 (2) (a).
1302.9 TRAINING AND ALPR ADMINISTRATOR
Training for the operation of ALPR technology shall be provided by BPD personnel. All BPD employees who utilize ALPR technology shall be provided a copy of this Surveillance Use Policy.
(1) The Investigations Division Captain shall be responsible for compliance with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(i) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the Genetec ALPR system or to collect ALPR information.

(ii) Ensuring that training requirements are completed for authorized users. The Administrator shall ensure that members receive department-approved training for those authorized to use or access ALPRs (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

(iii) A description of how the Genetec ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws.

(iv) Procedures for system operators to maintain records of access in compliance with Civil Code§ 1798.90.52 and this Use Policy.
(v) The title and name of the current designee in overseeing the ALPR operation. (vi) Ensuring this policy and related procedures are conspicuously posted on the City's website.
1302.10 AUDITING AND OVERSIGHT
Genetec ALPR System audits will be conducted by the Professional Standards Bureau's (PSD) Audit and Inspections Sergeant pursuant to Municipal Code SectionBMC

2.99.020 4. k. on a regular basis, at least biannually. (1) Any unauthorized access or data breach shall be reported immediately to the City Manager.
(2) The audit shall be documented in the form of an internal department memorandum to the Chief of Police. The memorandum shall include any data errors found so that such errors can be corrected. After review by the Chief of Police, the memorandum and

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any associated documentation shall be placed into the annual report filed with the City Council pursuant to BMC Section 2.99.020 2. d. , published on the City of Berkeley website in an appropriate location, and retained by PSD. 1302.11 MAINTENANCE
Any installation and maintenance of ALPR equipment, as well as ALPR data retention and access, shall be managed by the Investigations Division Captain. The Investigations Division Captain will assign members under their command to administer the day-to-day operation of the ALPR equipment and data.

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Kate Harrison
Councilmember District 4
2180 Milvia Street, Berkeley, CA 94704 Tel: 510.981.7140 TDD: 510.981.6903 E-Mail: [email protected]

REVISED AGENDA MATERIAL
for Supplemental Packet 1

Meeting Date: November 30, 2021

Item Number: 27

Item Description: Resolution Accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code

Submitted by: Councilmembers Harrison and Hahn

Amends Resolution to adopt a Surveillance Technology Use Policy for Automatic License Plate Readers as required by the Surveillance Technology Ordinance.

To date, Council deferred adoption of a Surveillance Use Policy pursuant to Sections

2.99.020 and 2.99.050 of the Ordinance for Automatic License Plate Readers, including in order to draft a policy with enhanced civil liberties protections. Berkeley Police Department Administrative Order #001-2016, prepared in 2016 before adoption of the Surveillance Ordinance, has served as a de facto ALPR policy, however Administrative Order #001-2016 is out of date and does not satisfy the specific requirements of the Surveillance Ordinance. Adoption of an earlier proposed update to the use policy for ALPRs was deferred by Council as it did not contain sufficient information about data retention and sharing and protection of civil liberties.

The attached Use Policy supersedes Administrative Order #001-2016 and satisfies the requirements of the Ordinance, including providing a legally-enforceable Surveillance Use Policy and enhanced civil liberties protections.

Use Policy Overview:

• Provides key definitions.
• Authorizes ALPR for Parking Enforcement Operations and Parking Occupancy Analysis.
• Enumerates specifically prohibited uses of ALPR that may impact civil liberties.
• Incorporates key provisions from BPD’s previously proposed Policy 1302.

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• Addresses the Police Review Commission’s concerns, as expressed in their September 11, 2019 letter to Council pursuant to Section 2.99.030, about the previously proposed Use Policy 1302.
• Specifies appropriate data retention periods for ALPR reads and hits. • Specifies that personally identifiable ALPR data will not be sent to goBerkeley (as confirmed by Transportation Division staff) as part of Parking Occupancy Analysis.
• Specifies that ALPR data obtained from Parking Enforcement Operations, including data and metadata associated with ALPR Reads and Hits, may be used to support a specific criminal investigation only pursuant to a valid court order, subpoena, or a search warrant.
• Restates the City’s policy of not sharing of ALPR data gathered by the City or its contractors/subcontractors for purpose of federal immigration enforcement. • Specifies that third-party data-sharing shall be subject to non-privileged and non-confidential City Council notification pursuant to BMC 2.99.020.

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RESOLUTION NO. ##,###-N.S.

A RESOLUTION ACCEPTING THE ANNUAL SURVEILLANCE TECHNOLOGY

REPORT FOR AUTOMATIC LICENSE PLATE READERS, GPS TRACKERS, BODY

WORN CAMERAS, AND THE STREET LEVEL IMAGERY PROJECT AND ADOPTING

A SURVEILLANCE TECHNOLOGY USE POLICY FOR AUTOMATIC LICENSE PLATE

READERS

WHEREAS, on March 27, 2018, the City Council adopted Ordinance 7,592-N.S., which is known as the Surveillance Technology Use and Community Safety Ordinance (“Ordinance”); and

WHEREAS, Section 2.99.070 of the Ordinance requires that the City Manager must submit to the City Council a Surveillance Technology Report as defined by Section

2.99.020(2) of the Ordinance at the first regular City Council meeting in November; and

WHEREAS, the Surveillance Technology Reports satisfy the requirements of the Ordinance.; and

WHEREAS, Council deferred adoption of a Surveillance Use Policy pursuant to Sections 2.99.020 and 2.99.050 of the Ordinance for Automatic License Plate Readers in order to draft a policy with enhanced civil liberties protections, and heretofore Berkeley Police Department Administrative Order #001-2016, prepared in 2016 before passage of the Surveillance Ordinance, has served as a de facto ALPR policy; and

WHEREAS, the attached Use Policy supersedes Administrative Order #001-2016 and satisfies the requirements of the Ordinance, including providing a legally-enforceable Surveillance Use Policy and enhanced civil liberties protections.

NOW THEREFORE, BE IT RESOLVED by the Council of the City of Berkeley that the Council hereby accepts the Surveillance Technology Reports for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project and adopts a Surveillance Technology Use Policy for Automatic License Plate Readers.

Attachment

1. Surveillance Use Policy – Automatic License Plate Readers

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Surveillance Use Policy – Automatic License Plate Readers 1302.1 PURPOSE
This Surveillance Use Policy is legally-enforceable pursuant to BMC 2.99.

The policy of the Berkeley Police Department is to utilize ALPR technology to capture and store digital license plate data and images for Parking Enforcement Operations and Parking Occupancy Analysis while recognizing the established privacy rights of the public.
1302.2 DEFINITIONS
“Alleged Parking Violation” means an alleged violation of time limits in parking areas designated by state and local law, or a violation of time limits and/or non-permit parking in the City’s RPP zones.
“ALPR Read Image” means images of license plates, vehicles, wheels or any other incidentally captured image.
“ALPR Read” means computer-readable data captured by an ALPR Reader, including ALPR Read Image and associated ALPR Read Metadata. ALPR Reads are transient means to create potential government records, to include Parking Occupancy Analysis data and Enforced Citations, and therefore shall not be considered a government record itself pursuant to Government Code § 34090.6.
“ALPR Hit” means an Alleged Parking Violation or State Stolen or Wanted System alert resulting from computer generated analysis of ALPR Reads by the Genetec ALPR System resulting in an apparent:
(1) match between an ALPR Read and ALPR Read Metadata stored in the Genetec ALPR System, to include the State Stolen or Wanted System; or (2) incongruence between an ALPR Read and permit information stored in the Passport Parking Management System.
“ALPR Read Metadata” means any image-based or other metadata, including but not limited to, global positioning system coordinates, block face information, tire position information, digitized license plates in alphanumeric characters, and timestamps. “Automated License Plate Reader” or “ALPR” means one or more Genetec AutoVu mobile cameras affixed to Parking Enforcement Scooters and combined with computer software and algorithms to read and convert images of license plates, the characters they contain, and associated ALPR Read Metadata related to Parking Enforcement Operations or Parking Occupancy Analysis into computer-readable data. “Deploy” or “Deployment” means any operation or use of ALPR Readers affixed to Parking Enforcement Scooters.

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“Enforced ALPR Hit” means an Alleged Parking Violation confirmed by a Parking Enforcement Officer that results in the transmission of associated ALPR Read Image and ALPR Read Metadata to the Passport Parking Management System for storage in a database as a government record for the purpose of citation processing. “Genetec ALPR System” means the computerized Genetec server and database that stores and pushes ALPR Read Metadata generated by ALPR Readers. “Residential Parking Permits” or “RPP” means an annual, visitor, merchant or in-home care parking permit, typically represented by a vehicle’s license plate, and associated with the City’s Residential Parking Permit program across designated zones. “Parking Enforcement Scooter” means the GO-4 three-wheeled parking enforcement vehicle.
“Parking Enforcement Officers” means employees of the City who work weekly rotations on Parking Enforcement Operations beats throughout the City and are properly trained to operate ALPRs and access the Genetec ALPR System.
“Parking Enforcement Operations” means Parking Enforcement Officer enforcement of parking regulations associated with local ordinances, the California Vehicle Code, and State Stolen or Wanted System enforcement through Parking Enforcement Scooter- based automated (ALPR) and non-automated means.
“Personally Identifiable Information” or “PII” means information:
(1) that directly identifies an individual (e.g., name, address, vehicle registration number, or other identifying number or code, telephone number, email address, etc.) or (2) by which the City or other agency intends to identify specific individuals in conjunction with other data elements, i.e., indirect identification. “Parking Occupancy Analysis” means ongoing computational or algorithmic analyses performed by Passport Parking Management System or the City of Berkeley on ALPR Read Metadata regarding the occupancy of total parking spaces across commercial districts as part of goBerkeley, the City's data-driven, demand-responsive parking management program. ALPR Read Metadata data associated with Parking Occupancy Analysis shall not include any license plate or other PII information. “Parking Permit Application” means an application submitted to the City for RPP or other permit that may include but is not limited to PII such as names, address, photo identification, vehicle registration (license plate and vehicle identification number), phone number and email address.
“Passport Automatic Occupancy Data Collection System” means the server and database whereby the Passport Parking Management System vendor, on behalf of the City, downloads, stores and transfers Parking Occupancy Analysis ALPR Read

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Metadata stripped of any and all PII before being transferred to the goBerkeley program.
“Passport Parking Management System” means the servers and databases maintained by Passport Labs Incorporated, containing the database of the license plate numbers and other PII associated with Parking Permit Applications and Residential Parking Permits, and including historic parking citation data, to include Enforced Hits. “PocketPEO” means a mobile device providing handheld ticket issuance and ALPR data reference capabilities.
“State Stolen or Wanted System” means information from the California Law Enforcement Telecommunications System's (CLETS) Department of Motor Vehicles (DMV) Stolen Vehicle System (SVS) database providing data regarding stolen vehicles, and the Federal Bureau of Investigation's National Crime Information Center (NCIC) database of wanted vehicles.
1302.3 AUTHORIZED AND PROHIBITED USES
Use of an ALPR is restricted to the purposes outlined below.

All data and images gathered by the ALPR are for official use by the Berkeley Police Department for Parking Enforcement Operations and may be retroactively queried in limited circumstances only as specified by this policy.

In addition, ALPR data may be used by the Finance, Information Technology (IT), Customer Service, and Public Works Departments as specified herein and consistent with Parking Enforcement Operations and Parking Occupancy Analysis. Since such data may contain confidential information, it is not open to public review, except as specified.

Berkeley Police Department members or other Departments shall not use, or allow others to use the equipment or database records for any unauthorized purpose (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

Anyone who engages in an impermissible use of the Genetec ALPR system or associated scan files or hot lists may be subject to administrative sanctions, up to and including termination, pursuant to and consistent with the relevant collective bargaining agreements and Department policies.
(a) An ALPR shall only be Deployed and used for Parking Enforcement Operations, and Parking Occupancy Analysis.
(b) ALPR data strictly obtained from Parking Enforcement Operations, including data and metadata associated with ALPR Reads and Hits, may be used to support a specific criminal investigation only pursuant to a valid court order, subpoena, or a search warrant.
(c) The following uses of the Genetec ALPR System are specifically prohibited:

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(1) Invasion of Privacy

Except when done pursuant to a court order, subpoena, or a search warrant, it is a violation of this Policy to utilize the ALPR to record license plates except those of vehicles that are exposed to public view (e.g., vehicles on a public road or street, or that are on private property but whose license plate(s) are visible from a public road, street, or a place to which members of the public have access, such as the parking lot of a shop or other business establishment).
(2) Harassment or Intimidation
It is a violation of this Policy to use the Genetec ALPR system to harass and/or intimidate any individual or group.
(3) Use Based on a Protected Characteristic.

It is a violation of this Policy to use the ALPRs or associated scan files or hot lists solely because of a person's, or group's race, gender, religion, political affiliation, nationality, ethnicity, sexual orientation, disability, or other classification protected by (4) Personal Use

It is a violation of this Policy to use the Genetec ALPR System or associated ALPR Read data or State Stolen or Wanted System lists for any personal purpose. (5) First Amendment Rights

It is a violation of this Policy to use ALPRs or associated scan files or hot lists for the purpose or known effect of infringing upon First Amendment rights. (6) Criminal Enforcement
It is a violation of this Policy to use or Deploy ALPRs to scan or canvass license plates in connection with any crime scene, patrol operation, or investigation. (7) Use of Hot Lists
It is a violation of this Policy to use the Genetec ALPR System in conjunction with any hot list other than the State Stolen or Wanted System.
1302.4 DATA COLLECTION AND RETENTION
The Investigations Division Captain, or their designee, is responsible for ensuring proper collection and retention of ALPR data. Technical support and assistance shall be provided by the City of Berkeley's IT department and associated Genetec ALPR system providers/vendors as identified below.

IT staff will not have the ability to access or view individual records or reports, as they may contain PII information they are not authorized to receive. Genetec ALPR System

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data provided to Parking Control Officers may also contain confidential CLETS information and is not open to public review. IT's role will be limited to providing initial infrastructure set-up, unless particular IT staff members have been cleared by DOJ background checks and authorized by the Chief of Police to receive PII or CLETS information.

ALPR information gathered and retained by the Berkeley Police Department may only be used and shared with prosecutors or other law enforcement agencies pursuant to a valid court order, subpoena, or a search warrant and as limited by this policy. (a) ALPR Reads
ALPR Read Images and Metadata resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall ALPR Read Images resulting from ALPR Reads be transmitted to or stored in the Genetec ALPR System.
(b) ALPR Reads Not Resulting in ALPR Hits
All ALPR Read Metadata from ALPR Reads transmitted and stored in the Genetec ALPR System shall be purged within five (5) days consistent with the City’s 72- Hour Rule (BMC Section 14.36.050).

In no case shall ALPR Read Metadata in the form of license plate data or other PII be transmitted to or stored in the Passport Automatic Occupancy Data Collection System. (c) ALPR Hits
All ALPR Read Images, Metadata, and Hits resulting from ALPR Reads stored locally on Parking Control Officer Vehicle laptops and PocketPEO shall be purged at least nightly.

In no case shall data associated with ALPR Hits be transmitted to or stored in the Genetec ALPR System, or license plate data or other PII included as part of ALPR Read Metadata be transmitted to or stored by the City for Parking Occupancy Analysis, to include the Passport Automatic Occupancy Data Collection System or as City Department records.
(d) Unenforced ALPR Hits
All erroneous and unenforced ALPR Hit data and Read Metadata shall be purged locally at least nightly.
(e) Enforced ALPR Hits
Only ALPR Read Images and Metadata associated with Enforced ALPR Hits shall be downloaded to the Passport Parking Management servers with a minimum retention period of one year (Government Code § 34090.6) and in accordance with the established records retention schedule. Thereafter, ALPR data should be purged unless

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it has become, or it is reasonable to believe it will become, evidence in a criminal action pursuant to a valid court order, subpoena, or a search warrant or civil action or is subject to a lawful action to produce records. In those circumstances the applicable data should be downloaded from the server onto portable media and booked into evidence. 1302.5 DATA ACCESS
(a) Only properly trained parking control officers and information technology personnel are allowed access to the Genetec ALPR system or to collect ALPR information. (b) No member of this department shall operate ALPR equipment or access ALPR data without first completing department-approved training.
(c) No ALPR operator may access California Law Enforcement Telecommunications System (CLETS) data unless otherwise authorized to do so. (d) If practicable, the officer should verify an ALPR response through the California Law Enforcement Telecommunications System (CLETS) before taking enforcement action that is based solely on an ALPR Hit.
(e) Police will not take any police action that restricts the freedom of any individual based solely on an ALPR Hit unless it has been validated. (1) Police need to have reasonable suspicion and/or probable cause to make an enforcement stop of any vehicle. For example, if a vehicle is entered into the system because of its association with a wanted individual, Officers should attempt to visually match the driver to the description of the wanted subject prior to making the stop or should have another legal basis for making the stop.
(2) Prior to initiation of a stop of a vehicle or other intervention based on an ALPR Hit, Department members shall undertake the following:
(i) Verification of status on State Stolen or Wanted System.

An officer must receive confirmation from a Police Department Communications Dispatcher or other department computer device, that the license plate is still stolen, wanted, or otherwise of interest before proceeding (absent exigent circumstances). (ii) Visual verification of license plate number.

Officers shall visually verify that the license plate of interest matches identically with the ALPR Read Image of the license plate number captured (ALPR Read) by the ALPR, including both the alphanumeric characters of the license plate, state of issue, and vehicle descriptors before proceeding. Department members alerted to the fact that an observed motor vehicle's license plate is entered as an ALPR Hit in a specific State Stolen or Wanted System list are required to make a reasonable effort to confirm that a wanted person is actually in the vehicle and/or that a reasonable basis exists before a Department member would have a lawful basis to stop the vehicle.

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1302.6 CIVIL LIBERTIES AND RIGHTS PROTECTION:

The Berkeley Police Department is dedicated to the most efficient utilization of its resources and services in its public safety endeavors. The Berkeley Police Department recognizes the need to protect its ownership and control over shared information and to protect the privacy and civil liberties of the public, in accordance with federal and state law. The procedures described within this policy (Data Access, Data Protection, Data Retention, Public Access and Third Party Data Sharing) protect against the unauthorized use of ALPR data. These policies ensure the data is not used in a way that would violate or infringe upon anyone's civil rights and/or liberties, including but not limited to impacts that may violate the First and Fourth Amendments and other potentially disparate or adverse impacts on any communities or groups.

The Berkeley Police Department does not permit the sharing of ALPR data gathered by the City or its contractors/subcontractors for purpose of federal immigration enforcement, pursuant to the California Values Act (Government Code § 7282.5; Government Code § 7284.2 et seq) – these federal immigration agencies include Immigrations and Customs Enforcement (ICE) and Customs and Border Patrol (CPB).

1302.7 PUBLIC ACCESS
(a) Non-law enforcement requests for access to stored ALPR data shall be processed according to the Records Maintenance and Release Policy in accordance with applicable law.
(b) Non-law enforcement requests for information regarding a specific vehicle's license plate may be honored when the requester is the registered owner of the vehicle in question, and when providing such information will not invade the privacy of a third party. The requester in such cases must provide acceptable proof of his or her identity and of ownership of the vehicle in question.
1302.8 THIRD-PARTY DATA-SHARING
The ALPR data may be shared only with other law enforcement or prosecutorial agencies for official law enforcement purposes or as permitted by this policy. ALPR data is subject to the provisions of BPD Policy 415, and hence may not be shared with federal immigration enforcement officials.

Requests for ALPR data by non-law enforcement or non-prosecutorial agencies will be processed as provided in the Records Maintenance and Release Policy (Civil Code § 1798.90.55).

Aggregated ALPR data not related to specific criminal investigations authorized by a court order, subpoena, or search warrant shall not be released to any local, state or federal agency or entity without the express written consent of the City Manager.

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Third-party data-sharing shall be subject to non-privileged and non-confidential City Council notification pursuant to BMC 2.99.020 (2) (a).
1302.9 TRAINING AND ALPR ADMINISTRATOR
Training for the operation of ALPR technology shall be provided by BPD personnel. All BPD employees who utilize ALPR technology shall be provided a copy of this Surveillance Use Policy.
(1) The Investigations Division Captain shall be responsible for compliance with the requirements of Civil Code § 1798.90.5 et seq. This includes, but is not limited to (Civil Code § 1798.90.51; Civil Code § 1798.90.53):
(i) A description of the job title or other designation of the members and independent contractors who are authorized to use or access the Genetec ALPR system or to collect ALPR information.

(ii) Ensuring that training requirements are completed for authorized users. The Administrator shall ensure that members receive department-approved training for those authorized to use or access ALPRs (Civil Code § 1798.90.51; Civil Code § 1798.90.53).

(iii) A description of how the Genetec ALPR system will be monitored to ensure the security of the information and compliance with applicable privacy laws.

(iv) Procedures for system operators to maintain records of access in compliance with Civil Code§ 1798.90.52.
(v) The title and name of the current designee in overseeing the ALPR operation. (vi) Ensuring this policy and related procedures are conspicuously posted on the City's website.
1302.10 AUDITING AND OVERSIGHT
Genetec ALPR System audits will be conducted by the Professional Standards Bureau's Audit and Inspections Sergeant pursuant to Municipal Code Section 2.99 on a regular basis, at least biannually.
(1) Any unauthorized access or data breach shall be reported immediately to the City Manager.
(2) The audit shall be documented in the form of an internal department memorandum to the Chief of Police. The memorandum shall include any data errors found so that such errors can be corrected. After review by the Chief of Police, the memorandum and any associated documentation shall be placed into the annual report filed with the City Council pursuant to Section 2.99, published on the City of Berkeley website in an appropriate location, and retained by PSD.

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1302.11 MAINTENANCE
Any installation and maintenance of ALPR equipment, as well as ALPR data retention and access, shall be managed by the Investigations Division Captain. The Investigations Division Captain will assign members under their command to administer the day-to-day operation of the ALPR equipment and data.

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Office of the City Manager
2180 Milvia Street, Berkeley, CA 94704 ● Tel: (510) 981-7000 ● TDD: (510) 981-6903 ● Fax: (510) 981-7099 E-Mail: [email protected] Website: http://www.CityofBerkeley.info/Manager

ACTION CALENDAR
April 26, 2022
(Continued from March 22, 2022)
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Jennifer Louis, Interim Chief of Police
LaTanya Bellow, Interim Deputy City Manager
Subject: Resolution Accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code

RECOMMENDATION
Adopt a Resolution accepting the Surveillance Technology Report for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project Pursuant to Chapter 2.99 of the Berkeley Municipal Code.

FISCAL IMPACTS OF RECOMMENDATION
There are no fiscal impacts associated with adopting the attached resolution.

CURRENT SITUATION AND ITS EFFECTS
On March 27, 2018, the City Council adopted Ordinance 7,592-N.S., adding Chapter 2.99 to the Berkeley Municipal Code, which is also known as the Surveillance Technology Use and Community Safety Ordinance (“Ordinance”). The purpose of the Ordinance is to provide transparency surrounding the use of surveillance technology, as defined by Section 2.99.020 in the Ordinance, and to ensure that decisions surrounding the acquisition and use of surveillance technology consider the impacts that such technology may have on civil rights and civil liberties. Further, the Ordinance requires that the City evaluate all costs associated with the acquisition of surveillance technology and regularly report on their use.

The Ordinance imposes various reporting requirements on the City Manager and staff.

The purpose of this staff report and attached resolution is to satisfy the annual reporting requirement as outlined in Section 2.99.070.

One of the reporting categories of the surveillance technology use is whether complaints have been received by the community about the various technologies. To date Berkeley Police Department Internal Affairs Bureau (IAB) has not received any

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Resolution Accepting the Surveillance Technology Report ACTION CALENDAR April 26, 2022
(Continued from March 22, 2022)
external personnel complaints surrounding the use of Automatic License Plate Readers, GPS Trackers, or Body Worn Cameras. External complaints from community members can be made in writing, via email, in person or via telephone. Complaints can be received with direct communication to Internal Affairs from the complainant and/or be received by any member of the Department and then forwarded through the chain of command. If a community member initiates a complaint against a subject employee and during the investigation it is determined the subject employee violated policy regarding the misuse of technology, an additional complaint is initiated by the Chief of Police.

Community members also have the right to initiate complaints against employees of BPD by reporting directly to the Police Accountability Board (PAB). The Director of Police Accountability notifies the Chief of Police when an investigation into a complaint is initiated by the PAB, which would prompt a parallel IAB investigation.

Attached to this staff report are Surveillance Technology Reports for Automatic License Plater Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project.

BACKGROUND
On March 27, 2018, the City Council adopted Ordinance 7,592-N.S., adding Chapter 2.99 to the Berkeley Municipal Code, which is also known as the Surveillance Technology Use and Community Safety Ordinance. Section 2.99.070 of the Ordinance requires that the City Manager must submit to the City Council a Surveillance Technology Report as defined by Section 2.99.020(2) of the Ordinance at the first regular City Council meeting in November.

For each of the four technologies, the Surveillance Technology Reports were prepared to satisfy the specific, section-by-section requirements of the Ordinance, and are attached to this report.

The Surveillance Technology Use Policy for ALPR technology is still outstanding due Council questions about policy language, scheduling and directed focus during COVID-

19. This item will be returned to the Council agenda in early 2022.

ENVIRONMENTAL SUSTAINABILITY AND CLIMATE IMPACTS
There are no identifiable environmental effects or opportunities associated with the content of this report.

RATIONALE FOR RECOMMENDATION
City Council is being requested to adopt the attached resolution for the City to be in compliance with the Ordinance.

ALTERNATIVE ACTIONS CONSIDERED

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Resolution Accepting the Surveillance Technology Report ACTION CALENDAR April 26, 2022
(Continued from March 22, 2022)
City Council could decide not to adopt the resolution.

CONTACT PERSON
LaTanya Bellow, Interim Director of Information Technology (510) 981-6541 Jennifer Louis, Acting Chief of Police, (510) 981-5700
LaTanya Bellow, Interim Deputy City Manager, (510) 981-7012

ATTACHMENTS

1. Resolution

2. Body Worn Cameras
a) Surveillance Technology Report: Body Worn Cameras
b) Retention Schedule

3. Global Positioning System (GPS) Tracking Devices
Surveillance Technology Report

4. Automated License Plate Readers
Surveillance Technology Report: Automated License Plate Readers

5. Street Level Imagery Project
Surveillance Technology Report: Street Level Imagery Project

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RESOLUTION NO. ##,###-N.S.

A RESOLUTION ACCEPTING THE SURVEILLANCE TECHNOLOGY REPORT FOR

AUTOMATIC LICENSE PLATE READERS, GPS TRACKERS, BODY WORN

CAMERAS, AND THE STREET LEVEL IMAGERY PROJECT
WHEREAS, on March 27, 2018, the City Council adopted Ordinance 7,592-N.S., which is known as the Surveillance Technology Use and Community Safety Ordinance (“Ordinance”); and
WHEREAS, Section 2.99.070 of the Ordinance requires that the City Manager must submit to the City Council a Surveillance Technology Report as defined by Section

2.99.020(2) of the Ordinance at the first regular City Council meeting in November; and WHEREAS, the Surveillance Technology Reports satisfy the requirements of the Ordinance.

NOW THEREFORE, BE IT RESOLVED by the Council of the City of Berkeley that the Council hereby accepts the Surveillance Technology Reports for Automatic License Plate Readers, GPS Trackers, Body Worn Cameras, and the Street Level Imagery Project.