Berkeley City Council
May 9, 2023

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

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: ________

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

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

Cl
ient/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: ________

30 COB ESG Manual and Forms - Ver 1.1 1/7/2022
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: _________

31 COB ESG Manual and Forms - Ver 1.1 1/7/2022
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.)

32 COB ESG Manual and Forms - Ver 1.1 1/7/2022
 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.)

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

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. I
f 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.”

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?

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?

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

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?

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

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:

It
em Number: Repair Needed:

Owner/Manager’s Signature:

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: _________________________________

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: ____________________________ Progr
am:  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

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.

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: ________________________________ D ate: _________________
Staff member signature: ____________________________________ __ Date: ________________

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 kn
own 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.

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.

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

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%

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

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

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

ESG-CV Standards Last Updated 02/10/2021 Page 1

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.

ESG-CV Standards Last Updated 02/10/2021 Page 2

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

ESG-CV Standards Last Updated 02/10/2021 Page 3
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)

ESG-CV Standards Last Updated 02/10/2021 Page 4

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. B ridge and Rapid Program Tracks
Rapid Rehousing funding may be used to provide rehousing suppo rt 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.

ESG-CV Standards Last Updated 02/10/2021 Page 5

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. F inancial 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.

ESG-CV Standards Last Updated 02/10/2021 Page 6
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.

ESG-CV Standards Last Updated 02/10/2021 Page 7
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.

ESG-CV Standards Last Updated 02/10/2021 Page 8

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 mem
ber 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 immediat
e 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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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 P rogram Participation
Ass
istance 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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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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(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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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 c
ertify 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 Un iform 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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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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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.

NOTICE OF PUBLIC HEARING

BERKELEY CITY COUNCIL
&
REQUEST FOR COMMENTS ON THE CITY’S ANNUAL ACTION PLAN
The Health, Housing, and Community Services Department (HHCS) will conduct a Public Hearing addressing the proposed Annual Action Plan for Program Year (PY) 2023 (July 1, 2023 – June 30, 2024) 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, May 9, 2023, at 6:00 P.M. The hearing will be conducted in a hybrid model with both in-person attendance and virtual participation. For in-person attendees, face coverings or masks that cover both the nose and the mouth are encouraged. If you are feeling sick, please do not attend the meeting in person. The in-person meeting will be held at the Berkeley Unified School District Board Room - 1231 Addison Street, Berkeley, CA 94702.

A copy of the agenda material for this hearing will be available on the City Council agenda webpage at https://berkeleyca.gov/your-government/city-council/city-council-agendas in advance of the meeting. Once posted, the agenda for this meeting will include a link for public participation using Zoom video technology. You may also attend virtually, at the teleconference location: 1404 Le Roy Avenue, Berkeley 94708.

Accommodations 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.

The proposed PY 2023 Annual Action Plan required by the U.S. Department of Housing and Urban Development (HUD), outlines the City's housing and community development program for the period July 1, 2023 through June 30, 2024. The plan also outlines the proposed use of the estimated $3,361,202 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 $232,452, 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 an estimated $749,633 in HOME Investment Partnerships Program (HOME) funds for affordable housing development and rehabilitation.

PUBLIC COMMENT PERIOD: The public also has from April 7, 2023 through May 9, 2023 to submit written comments on the PY2023 Annual Action Plan. A draft of the Plan will be available for public review on the web at https://berkeleyca.gov/community- recreation/community-services/hud-planning-performance-reports.

Physical copies of the public comment draft will be made available at the following locations:

 Berkeley Main Library: Reference Desk, on the 2nd Floor, 2090 Kittredge Street, Berkeley; and
 Health, Housing, and Community Services Department, 2180 Milvia Street, 2nd Floor, Berkeley.

All written comments must be either sent by email to both [email protected] AND [email protected], or by letter, or other legible written form, to Health, Housing, and Community Services Department, 2180 Milvia Street, 2nd Floor, Berkeley, and received no later than May 9, 2023, at 5:00 p.m.

For residents and groups that would like assistance in translating this report into another language, please contact HHCS at (510) 981-5400 or [email protected].

For general information, please contact Joshua Oehler (phone: (510) 981-5408 or email:

[email protected]) at HHCS 2180 Milvia Street, 2nd Floor, Berkeley, 94704.

El Departamento de Servicios de Salud, Vivienda y Servicios Comunitarios llevará a cabo una audiencia pública para tratar el Plan de Acción Anual para el Año (PY) 2023 (1 de julio de 2023 a 30 de junio de 2024), 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.

La audiencia se llevará a cabo el martes, 9 de mayo de 2023 a las 6:00 P.M. La audiencia está programada en forma presencial y virtual (modalidad hibrida). Para aquellas personas que asistan presencialmente mascarillas que cubran nariz y boca son recomendadas. Si se está sintiendo enfermo por favor no venga a la audiencia. La audiencia presencial se llevará a cabo en el Berkeley Unified School District Board Room localizado en 1231 Calle Addison, Berkeley, CA 94702.

Una copia de la agenda para esta audiencia estará disponible en la página electrónica https://berkeleyca.gov/your-government/city-council/city-council-agendas antes de la audiencia. Una vez que la agenda sea publicada, esta incluirá un enlace (link) para la participación pública usando la tecnología de Zoom.

Para solicitar adaptación especial debido a una discapacidad por favor contactarse con el Especialista de Servicios para Discapacitados al 510.981.6342 o al (TDD) 510.981.6345.

Por favor contactarse con el especialista por lo menos 3 días antes de la junta para asegurar que su pedido sea atendido.

El Plan de Acción Anual PY 2023 que cubre el período a partir del 1ro de julio de 2023 hasta el 30 de junio de 2024 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 $3,361,202 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 $232,452 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 $749,633 que se usarán para el desarrollo y rehabilitación de viviendas.

PERIODO DE COMENTARIO PÚBLICO: A partir del 7 de abril de 2023 hasta el 9 de mayo de 2023, el público podrá presentar comentarios por escrito sobre el Plan de Acción Anual PY 2023. Un borrador del Plan está disponible al público en el Internet en la página electrónica https://berkeleyca.gov/community-recreation/community-services/hud-planning- performance-reports.

Copias impresas del borrador estarán disponibles en los siguientes lugares:
 En el escritorio de referencia de la Biblioteca Pública de Berkeley localizada en Calle Kittredge 2090, y
 En el escritorio de recepción del Departamento de Salud, Vivienda y Servicios Comunitarios de la ciudad de Berkeley localizado en la Calle Milvia 2180, 2do Piso, Cualquier comentario escrito tiene que ser enviado a [email protected] Y [email protected] o enviarlos por correo regular al Health, Housing & Community Services Department, 2180 Milvia Street, 2nd Floor, Berkeley, CA 94704. Todos los comentarios deben ser recibidos antes o a más tardar el 9 de mayo de 2023 hasta las 5:00 p.m.

Residentes y grupos que necesiten servicios de interpretación o traducción en otro idioma por favor contactarse con el Departamento de Salud, Vivienda y Servicios Comunitarios al 510.981.5400 o por correo electrónico a [email protected] Para información general, por favor contactarse con Joshua Oehler al 510.981.5408, por correo electrónico a [email protected] o por correo regular enviando sus comentarios a HHCS 2180 Milvia Street, 2nd Floor, Berkeley, CA 94704.

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(HHCS)將提出公開聽證會針對市政府的 2023 服務行動計劃年度 (PY2023) (07/01/2023-06/30/2024) 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 2023 年 5 月 9 日，星期二，下午 6:00 舉行。此次聽證會將以現場出席和虛擬參與的混 合模式進行。 對於現場與會者，我們鼓勵大家佩戴面罩或同時遮住鼻子和嘴巴的口罩。 如果您身體不
適，請不要親自出席會議。 面對面會議將在伯克利聯合學區董事會會議室 - 1231 Addison Street, Berkeley, CA 94702 舉行。
本次聽證會的議程材料副本將在會議召開前在市議會議程網頁 https://berkeleyca.gov/your- government/city-council/city-council-agendas 上提供。 一旦發布，本次會議的議程將包括一個使 用 Zoom 視頻技術的公眾參與鏈接。 您也可以在電話會議地點, 1404 Le Roy Avenue, Berkeley 94708 虛擬 參加。
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。
此 PY 2023 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
2023 年 7 月 1 日至 2024 年 6 月 30 日。該計劃還概述了在社區發展經費（CDBG）中分配的$3,361,202 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$232,452 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$749,633 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 2023 年 4 月 7 日至 2023 年 5 月 9 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：
https://berkeleyca.gov/community-recreation/community-services/hud-planning-performance- reports
公眾意見草案的紙質副本將在以下地址提供：
 伯克利主圖書館：2090 Kittredge Street, Berkeley 諮詢台，二樓
 伯克萊市房屋及社區服務部门(HHCS)：2180 Milvia Street, Berkeley，二樓

所有書面評論必須通過電子郵件同時發送至 [email protected] 和
[email protected] ，或通過信件或其他清晰的書面形式發送至伯克萊市房屋及社區服務部门
(HHCS)，2180 Milvia Street, 2nd Floor, Berkeley，並於 2023 年 5 月 9 日下午 5:00 之前收到這種類型的書面 交流。
對於需要幫助將本報告翻譯成另一種語言的居民和團體，請致電 (510) 981-5400 或發送電子郵件至
[email protected] 聯繫 HHCS 以獲得技術支持。
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 Joshua Oehler 先生(电邮：
[email protected])，地址: 2180 Milvia St., 2nd Floor, Berkeley, CA 94704。

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: https://berkeleyca.gov

ACTION CALENDAR
May 9, 2023
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Aram Kouyoumdjian, Director of Human Resources Subject: Resolution of Intention to Amend the Miscellaneous CalPERS Contract to Effectuate PEPRA Cost Sharing Agreements

RECOMMENDATION

1. Adopt the Resolution of Intention to amend the contract between the Board of Administration, California Public Employees’ Retirement System and the City Council for the City of Berkeley pursuant to California Government Code Section 20516 to effectuate changes to the cost sharing agreement between the City and PEPRA members of Service Employees International Union, Local 1021 Maintenance and Clerical (SEIU MC), SEIU Local 1021 Community Services & Part-Time Recreation Leaders Association (CSU/PTRLA), Public Employees Union Local 1 (Local 1), and the Unrepresented Employees group.

2. Adopt first reading of an Ordinance amending the City’s contract with CalPERS to effectuate changes to the cost sharing agreement between the City and PEPRA members of Service Employees International Union, Local 1021 Maintenance and Clerical (SEIU MC), SEIU Local 1021 Community Services & Part-Time Recreation Leaders Association (CSU/PTRLA), Public Employees Union Local 1 (Local 1), and the Unrepresented Employees group.

Council adopted Resolution #70,156 N.S. at its December 14, 2021 meeting authorizing the FY 2021-22 amendment to the City’s CalPERS Miscellaneous contract. Council must now pass another Resolution of Intention to approve the FY 2023-24 contract amendment between the City and the Public Employees’ Retirement System Board of Administration.

FISCAL IMPACTS OF RECOMMENDATION
The terms of the new MOU PEPRA ramp down are as follows:

SEIU MC and the Unrepresented Employees group:
 FY 2023-24: 1% reduction of cost share for a total of 5%, effective July 9, 2023  FY 2024-25: 2% reduction of cost share for a total of 3%, effective July 7, 2024  FY 2025-26: 2% reduction of cost share for a total of 1%, effective July 6, 2025  FY 2026-27: 1% reduction of cost share for a total of 0%, effective July 5, 2026

There are approximately 237 PEPRA employees in SEIU MC affected by this resolution.

There are approximately 74 unrepresented PEPRA employees affected by this resolution.

Funding for the ramp down comes from the General Fund and other special revenue funds. The applicable cost was included in the fiscal year 2023 budget and will be included in the budgets for fiscal years through 2027.

SEIU CSU/PTRLA and Local 1:
 FY 2023-24: 1% reduction of cost share for a total of 0%, effective July 9, 2023 There are approximately 228 PEPRA employees in SEIU CSU/PTRLA affected by this resolution.

There are approximately 78 PEPRA employees in Local 1 affected by this resolution.

Funding for the ramp down comes from the General Fund and other special revenue funds. This applicable cost was included in the fiscal year 2022 budget and will be included in the budgets for fiscal years through 2024.

CURRENT SITUATION AND ITS EFFECTS
Council adopted Resolution #70,156 N.S. at its December 14, 2021 meeting authorizing the FY 2023-24 amendment to the City’s CalPERS Miscellaneous contract. Council must now pass another Resolution of Intention to approve the FY 2023-24 contract amendment between the City and the Public Employees’ Retirement System Board of Administration. (See Cal. Gov. Code § 20516.) The contract amendment process includes the following steps:
 The City shall provide CalPERS with the Resolution and a cover letter indicating the exact percentage of change, total cost-share percentage, and who it is applicable to – completed March 15, 2023;
 CalPERS will contact the City to establish the Anticipated Schedule of Agency Actions and send the required documents;
 Over a time period specified by CalPERS, the City will:
o Conduct an employee election whereby a simple majority of the affected PEPRA members in the Unrepresented group must vote in favor of the proposed cost-share terms – completed in December 2021; o The City shall adopt a Resolution of Intention;
o The City shall approve the final reading of an ordinance or final resolution and complete certification forms.
 Once the documents are received and approved, the contract amendment becomes effective and is updated with the effective date in MyCalPERS.  CalPERS sends a fully executed contract to the City.

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

RATIONALE FOR RECOMMENDATION
Council adopted Resolution #70,156 N.S. at its December 14, 2021 meeting authorizing an amendment to the City’s CalPERS Miscellaneous contract. Council must now pass another Resolution of Intention to approve the FY 2023-24 contract amendment between the City and the Public Employees’ Retirement System Board of Administration.

ALTERNATIVE ACTIONS CONSIDERED
None. The City is obligated under the existing labor agreements to complete the ramp downs in accordance with the MOUs.

CONTACT PERSON
Aram Kouyoumdjian, Director of Human Resources, (510) 981-6807.

Attachments:
1: Resolution of Intention to Approve an Amendment to Contract Between the Board of Administration of California Public Employees’ Retirement System and the City Council of the City of Berkeley
Exhibit A: Amendment to Contract Between the Board of Administration California Public Employees’ Retirement System and the City Council of the City of Berkeley
2: Ordinance of the City Council of the City of Berkeley Authorizing an Amendment to the Contract Between the City Council of the City of Berkeley and the Board of Administration of the California Public Employees’ Retirement System Exhibit A: Amendment to Contract Between the Board of Administration of the California Public Employees’ Retirement System and the City Council of the City of Berkeley
3: CalPERS Resolution of Intention
4: CalPERS Certification of Governing Body’s Action
5: CalPERS Certification of Compliance with Government Code Section 7507 6: CalPERS Certificate of Compliance with Government Code Section 20516

RESOLUTION NO. XX,XXX

RESOLUTION OF INTENTION TO APPROVE AN AMENDMENT TO CONTRACT

BETWEEN THE BOARD OF ADMINISTRATION OF THE CALIFORNIA PUBLIC

EMPLOYEES' RETIREMENT SYSTEM AND THE CITY COUNCIL OF THE CITY OF

BERKELEY
WHEREAS, the Public Employees' Retirement Law permits the participation of public agencies and their employees in the Public Employees' Retirement System by the execution of a contract, and sets forth the procedure by which said public agencies may elect to subject themselves and their employees to amendments to said law; and WHEREAS, one of the steps in the procedures to amend this contract is the adoption by the governing body of the public agency of a resolution giving notice of its intention to approve an amendment to said contract, which resolution shall contain a summary of the change proposed in said contract; and
WHEREAS, the following is a statement of the proposed change: To provide, pursuant to Section 20516 (Employees Sharing Additional Cost), for a reduction of 1% for new local miscellaneous members in the Unrepresented Employees group; the Service Employees International Union Local 1021 Maintenance and Clerical chapters; the Service Employees International Union Local 1021 Community Services & Part-Time Recreation Leaders Association chapter; and the Public Employees Union Local 1.

NOW, THEREFORE, BE IT RESOLVED that the governing body of the above agency does hereby give notice of intention to approve an amendment to the contract between said public agency and the Board of Administration of the Public Employees' Retirement System, a copy of said amendment being attached hereto, as an exhibit and by this reference made a part hereof.

ORDINANCE NO. #, ### N.S.

AUTHORIZING AN AMENDMENT TO THE CONTRACT BETWEEN THE CITY

COUNCIL OF THE CITY OF BERKELEY AND THE BOARD OF ADMINISTRATION OF THE CALIFORNIA PUBLIC EMPLOYEES’ RETIREMENT SYSTEM
BE IT ORDAINED by the Council of the City of Berkeley as follows:

Section 1.

That an amendment to the contract between the City Council of the City of Berkeley and the Board of Administration, California Public Employees’ Retirement System is hereby authorized, a copy of said amendment being attached hereto, marked Exhibit A, and by such reference made a part hereof as though herein set out in full.

Section 2.

The Mayor of the City of Berkeley City Council is hereby authorized, empowered, and directed to execute said amendment for, and on behalf of, said Agency.

Section 3.

This Ordinance shall take effect thirty (30) days after the date of its adoption. Copies of this Ordinance shall be posted for two days prior to adoption in the display case located near the walkway in front of the Maudelle Shirek Building, 2134 Martin Luther King Jr.

Way. Within 15 days of adoption, copies of this Ordinance shall be filed at each branch of the Berkeley Public Library and the title shall be published in a newspaper of general circulation.

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

INFORMATION CALENDAR
MAY 9, 2023
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Henry Oyekanmi, Director, Finance Department Subject: FY 2023 Second Quarter Investment Report: Ended December 31, 2022

SUMMARY
The City’s investment policy requires that a quarterly investment report be submitted to the City Council on the status of the investment portfolio. The report includes all investments managed by the City of Berkeley and provides information on the types, values (par, book, and market), term, and yield of each security.  The return on pooled investments for the quarter ended December 31, 2022 was

2.39%, 41 basis points more than the 1.98% earned by the State Local Agency Investment Fund (State LAIF), which is the benchmark for investment performance used by the City. The return on pooled investments of 2.39% for the quarter ended December 31, 2022 was 56 basis points more than the rate of 1.83% earned in the quarter ended September 30, 2022.
 The average return on all Retiree Medical Trust Fund investments was 4.25% for the quarter ended December 31, 2022.

CURRENT SITUATION AND ITS EFFECTS
Attached is a summary of quarterly reports for fiscal year 2023 Second Quarter ending December 31, 2022 representing the status of the City’s investment portfolio. The report includes all investments managed by the City of Berkeley and provides information on the values (par, book, and market), term, and yield of each security.

Summary information by type of security and detailed information on each security is provided on Exhibit 2-A. An evaluation of portfolio performance for this accounting period compared to the previous three accounting periods is also included in Attachment 1.

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

A. Portfolio Results
As a result of the differences in the investment policies of different cities, including responsible investing policies, maturity restrictions, investment restrictions, etc., it was difficult for the City of Berkeley to come up with a reasonable performance measure for pooled cash investments. In order to provide some measure of the relative performance of the City’s investment returns, many years ago the City established the State Local Agency Investment Fund (LAIF) as the performance measure to be reported in the quarterly investment reports, since many local governments invested significant portions of their investment portfolios in LAIF.

LAIF was intended to be a reference point to compare the City’s investment performance against, rather than a true performance measure, since most cities typically earn a yield higher than LAIF in normal interest rate environments, and because LAIF’s average maturity of its investments is generally shorter than most cities. As a result, past City Councilmembers requested that information about the rates earned by other California cities be included in the quarterly investment reports for comparison purposes, despite the differences in the investment policies of the various cities.

1. Liquidity of Portfolio:

The average investment in the pooled portfolio matures in 1,323 days as of December 31, 2022. This is 14 days less than the 1,337 maturity days as of September 30, 2022.

2. Comparison of Results to Performance Measures – Pooled investments:

Quarter Ended December 31, 2022
The City’s yield on investments for the quarter ended December 31, 2022 was

2.39%, an increase of 56 basis points (.56%) from the 1.83 earned during the quarter ended September 30, 2022. The average yield on a 90-day Treasury bill at the end of the quarter ended December 31, 2022 was 4.34%, an increase of 109 basis points (1.09%) from the 3.25% at the end of the previous quarter, as a result of the Fed raising the Federal Funds rate by .75% in November 2022 and .50% in December 2022.

As summarized in Table 1, staff’s overall results were above the performance measure for the quarter by 41 basis points. Staff’s performance was above the performance measure in October by approximately 45 basis points (+.45%); over the performance measure in November by approximately 41 basis points (+.41%); and, was over the performance measure in December by approximately 37 basis points (+.37%). The performance measure for the return on investments is compared to the rate of return of the State LAIF.

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

Table 1
For Quarter Ending December 31, 2022
Period City State LAIF Difference
Oct-22 2.22% 1.77% +0.45%
Nov-22 2.42% 2.01% +0.41%
Dec-22 2.54% 2.17% +0.37%
Oct 1-Dec 31

2.39% 1.98% 0.41%

3. Investment Results-Retiree Health Insurance Funds:

Average interest rates earned on the retiree health insurance trust funds for the quarter ended December 31, 2022 compared to the quarter ended September 30 2022, were as follows:

Table 2

EARNED INTEREST RATES
For Quarter Ended 12/31/2022 Compared To 9/30/2022
Trust Fund 2nd Qtr
12/31/22
1st Qtr
09/30/22
Retiree Medical Trust Fund (Misc Employees) 5.18% 4.78% Fire Retiree Medical Trust Fund 3.96% 3.92%
Police Retiree Medical Trust Fund 3.61% 3.58%
The rates earned on these plans are expected to be higher in the future, as staff plans to use the investment authority granted by Council to purchase long-term bonds as rates move higher.

Details related to retiree health trust fund investments are in Attachment 3, Exhibits 3- A, 3-B, and 3-C of this report.

B. Discussion of Interest Rate Environment and Outlook
In its December 14, 2022 statement, the Federal Open Market Committee said recent indicators point to modest growth in spending and production. Job gains have been robust in recent months, and the unemployment rate has remained low. Inflation remains

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

elevated, reflecting supply and demand imbalances related to the pandemic, higher food and energy prices, and broader price pressures.

Russia’s war against Ukraine is causing tremendous human and economic hardship. The war and related events are contributing to upward pressure on inflation and are weighing on global economic activity. The Committee is highly attentive to inflation risks.

Yield Trend
The Committee seeks to achieve maximum employment and inflation at the rate of 2 percent over the longer run. In support of these goals, the Committee decided to raise the target range for the federal funds rate to 4-1/4 to 4-1/2% -percent. The Committee anticipates that ongoing increases in the target range will be appropriate in order to attain a stance of monetary policy that is sufficiently restrictive to return inflation to 2 percent over time. In determining the pace of future increases in the target range, the Committee will take into account the cumulative tightening of monetary policy, the lags with which monetary policy affects economic activity and inflation, and financial developments. In addition, the Committee will continue reducing its holdings of Treasury securities and agency debt and mortgage-backed securities, as described in the Plans for Reducing the Size of the Federal Reserve’s Balance Sheet that were issued in May.

The Committee is strongly committed to returning inflation to its 2 percent objective. In assessing the appropriate stance of monetary policy, the Committee will continue to monitor the implications of raising rates on economic output. The Committee would be prepared to adjust monetary policy as appropriate if risks emerge that could impede the attainment of the Committee’s goals. The Committee’s assessments will take into account a wide range of information, including readings on public health, labor market conditions, inflation pressures and inflation expectations, and financial and international developments.

Since the Federal Reserve change its zero-interest rate policy in March 2017 to combat high inflation, the Federal Reserve Board has raised the Federal Funds rate eight times for a total of 4.75%-5.00%, as follows:

Table 3

DATE RATE CHANGE FEDERAL FUNDS RATE
03/17/22 .25% .25%-.50%
05/05/22 .50% .75%-1.00%
06/16/22 .75% 1.50%-1.75%
07/27/22 .75% 2.25%-2.50%
09/21/22 .75% 3.00%-3.25%
11/02/2022 .75% 3.75%-4.00%

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

12/14/2022 .50% 4.25%-4.50%
2/1/2023 .25% 4.50%-4.75%
3/23/2023 .25% 4.75%-5.00%
Since the rate hike on March 23, 2023, there have been two regional bank failures (Silicon Valley Bank and Signature Bank), and several other regional banks are under significant pressure. Therefore, it is likely that the Feds will be extremely cautious before raising the Federal Funds rates again. In addition, these developments will probably result in (1) banks’ raising their lending standards and reducing the number of loans; and (2) an increase in the probability of a slowdown in the US economy in 2023.

Change in Strategy
Prior to the Fed’s change in monetary policy starting March 17, 2022, staff’s basic strategy consisted of not purchasing any Agency or Medium-Term corporate note securities with a maturity beyond three years, unless the securities were step-up securities (i.e., securities whose interest rates increased periodically, if they were not called). After the Fed’s change in monetary policy in March 2022, the City’s investment strategy changed to extending the investment maturities of securities purchased beyond three years and locking in rates. This should result in an increase in interest income during FY 2023 and beyond.

As a result of the Fed’s sharp increase in interest rates and the move to sell Agency and Mortgage-Backed securities from its Balance Sheet, there is an increasing probability of a downturn or recession in the US in 2023, which could force the Federal Reserve to start reducing the Federal Funds rate later in 2023 or early 2024, if inflation continues to decline. The Yield curve has been inverted (i.e., short-term interest rates are higher than long-term interest rates) for many months and market interest rates have already started to decline. For example, the Two-Year Treasury has declined from nearly 5.01% on March 6, 2023 to 3.73% on April 6, 2023, while the Five-Year Treasury has declined from

4.45% in November 2022 to 3.32% on April 6, 2023.

On a long-term basis, the City’s earned rate is expected to be above the City’s benchmark (State LAIF) and the City’s return is expected to be comparable to rates earned by most other cities in California. A sample of rates earned by Northern and Southern California cities is reflected in table 3 below (previously only Northern California cities were included):

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

Table 4
Other California Cities
Earned Interest Rates
For the Quarter Ending December 31, 2022
City Rates Earned
Torrance 2.89%
Oakland 2.79%
Burbank 2.46%
Berkeley 2.39%
Fremont 2.32%
San Jose 2.23%
San Diego 2.04%
Palo Alto 1.98%
San Leandro 1.90%
San Francisco 1.77%
Sacramento 1.75%

BACKGROUND
 Pooled Investments
Short-term cash is invested primarily in government sponsored enterprises (referred to as Federal Agency) notes and medium-term corporate notes for periods of one to five years. Additional cash is invested in a money market fund or overnight securities to meet the liquidity needs of the City.

In some cases, the City may have investments with a current market value that is greater or less than the recorded cost. These changes in market value are due to fluctuations in the market and have no effect on yield, as the City does not intend to sell securities prior to maturity.
 Retiree Health Trust Fund Investments
The City agreed to provide retiree Health insurance coverage for fire, police and miscellaneous employees under certain terms and conditions. An actuarial study commissioned by the City many years ago determined that, in addition to City Contributions, an average rate of return of 7% on miscellaneous employees trust fund assets invested must be achieved to fund the retiree health benefit at the desired 70% level. Primarily as a result of the Federal Reserve Board’s decision to keep short-term rates near zero from 2008 to March 2020, the average rate currently earned is significantly below that 7% level. City Finance Department staff manages these investment portfolios.

Investment Report: FY2023 2nd Qtr INFORMATION CALENDAR Ended December 31, 2022 MAY 9, 2023

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

CONTACT PERSON
Henry Oyekanmi, Director, Finance Department, 981-7326

ATTACHMENTS

1. Portfolio Evaluation FY 2023 Second Quarter

2. Investment Report Analysis FY 2023 Second Quarter
a. Exhibit 2-A: Pooled Cash and Investments
b. Exhibit 2-B.1 through 2-B.3: Interest Earnings October 1, 2022 – December 31, 2022
c. Exhibit 2-C: Book Value By Investment Type
d. Exhibit 2-D: Current Holdings vs. Policy Limits
e. Exhibit 2-E: Investment Portfolio Trend

3. Summary of Pooled and Cash Investments FY 2023 Second Quarter –Trust Funds a. Exhibit 3-A: Retiree Medical Trust Funds –Misc.
b. Exhibit 3-B: Retiree Medical Trust Funds –Fire
c. Exhibit 3-C: Retiree Medical Trust Funds –Police

Attachment 1
Total Portfolio
Pooled Cash and Investments (COB) 657,109,639$ 595,920,437$ 698,786,628$ 581,600,292$ Pooled Cash and Investments (Trust) 51,469,759 50,385,235 49,954,298 50,745,325 Total Cash and Investments 708,579,398$ 646,305,672$ 748,740,926$ 632,345,617$ Average Life of Investment Portfolio
Pooled Investments (CoB) 1,323 1,337 1,386 1,352
Trust Investments 5.11 years 1.91 years 2.069 years 2.008 years Weighted Yield
Pooled Investments (CoB) 2.394% 1.830% 1.293% 0.969%
Trust Investments 4.670% 4.094% 4.398% 4.137%
Prime Rate 7.500% 6.250% 4.750% 3.500%
91-day Treasury Bill Rate 4.343% 3.247% 1.626% 0.482%
2-year Treasury Note Rate 4.426% 4.279% 2.953% 2.335%
Cash and Investments Maturity
Within one year 223,131,582$ 31.49% 199,265,720$ 30.83% 327,419,689$ 43.73% 253,735,661$ 40.13% Between 1 to 3 years 103,795,200 14.65% 89,762,997 13.89% 65,308,653 8.72% 52,619,468 8.32% Between 3 to 5 years 316,456,840 44.66% 314,751,739 48.70% 329,817,379 44.05% 305,166,300 48.26% Between 5 to 10 years 55,998,303 7.90% 42,525,217 6.58% 11,272,605 1.51% 20,824,188 3.29% Over 10 years 9,197,473 1.30% - 0.00% 14,922,600 1.99% - 0.00% Total 708,579,398$ 100.00% 646,305,672$ 100.00% 748,740,926$ 100.00% 632,345,617$ 100.00% Portfolio Evaluation
Quarter Ended December 31, 2022
March 2022June 2022September 2022December 2022
Quarter Ending

Attachment 2
Pension and OPEB
Investments Poole d Investments Trust Investments Total Portfolio 531,385,279$ 44,348,907$ 575,734,186$
Unrecognized gain/(loss) (35,400,298) (2,888,560) (38,288,857) Total Investments 495,984,981 41,460,348 537,445,329
Cash Pooled Cash
Pension and OPEB
Trust Cash Total
Cash with Fidelity Money Market 156,327,592 - 156,327,592 Cash with Fiscal Agents 14 - 14
Ca
sh Deposits in Banks 14,806,464 - 14,806,464
Pooled Cash Adjustment (10,009,411) 10,009,411 -
Total Cash 161,124,658 10,009,411 171,134,069
Adjusted Grand Total (All Cash and Investments) 657,109,639$ 51,469,759$ 708,579,398$ Pooled Cash Portfolio Breakdown As of December 31, 2022 Book Value Market Value Investments 531,385,279$ 495,984,981$
Note: The pooled cash includes Rent Board cash $4,676,229.36 Investment Report Analysis
As of December 31, 2022

Exhibit 2-A
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
Certificates of Deposits
254673RD0 14539 Discover Bank 250,000.00 250,000.00 248,745.00 3.300 3.300 07/05/2023 185 N/A 795450T47 14540 Sallie Mae Bank 250,000.00 250,000.00 248,767.50 3.300 3.300 07/03/2023 183 N/A Subtotal and Average 500,000.00 500,000.00 497,512.50 3.300 184 Medium Term Notes
88579YAR2 14659 3M COMPANY 4,863,952.44 5,000,000.00 4,791,650.00 3.000 4.120 08/07/2025 949 A1 008252AM0 14582 Affiliated Managers Group 1,020,705.21 1,000,000.00 987,500.00 4.250 2.300 02/15/2024 410 A3 037833AK6 14536 Apple Inc 4,987,153.43 5,000,000.00 4,960,000.00 2.400 3.225 05/03/2023 122 AAA 04685A2L4 14590 Athene Global Funding 5,970,474.28 5,950,000.00 5,572,175.00 2.500 2.320 01/14/2025 744 A1 04685A2L4 14602 Athene Global Funding 4,929,719.79 5,000,000.00 4,682,500.00 2.500 3.250 01/14/2025 744 A1 084670BJ6 14542 Berkshire Hathaway 4,999,227.60 5,000,000.00 4,989,850.00 3.000 3.150 02/11/2023 41 AA2 20030NBN0 14563 Comcast Corp 5,032,486.69 5,000,000.00 4,822,750.00 3.375 3.100 08/15/2025 957 A3 233851CU6 14571 Daimler Finance 5,045,988.08 5,000, 000.00 4,694,900.00 3.450 3.190 01/06/2027 1,466 A3 233851CU6 14574 Daimler Finance 3,784,810.48 3,725,000.00 3,497,700.50 3.450 3.000 01/06/2027 1,466 A3 24422EUM9 14554 John Deere Cap 5,012,515.86 5,000,000.00 4,960, 850.00 3.650 3.300 10/12/2023 284 A2
24422EWK1 14663 John Deere Cap 4,978,918.07 5,000,000.00 4,903,600.00 4.150 4.250 09/15/2027 1,718 A2 375558BF9 14570 Gilead Sciences 5,075,393.40 5,000,000.00 4,820,350.00 3.650 3.118 03/01/2026 1,155 A3 540424AQ1 14555 Loews Corporation 4,987,525.61 5,000,000.00 4,955,900.00 2.625 3.350 05/15/2023 134 A3 30303M8BG0 14660 Meta Platforms Inc 4,822,657.37 5,000,000.00 4,660,000.00 3.500 4.360 08/15/2027 1,687 N/A 617446HD4 14670 Morgan Stanley 10,873,178.59 10,000,000.00 11,251,500.00 7.250 6.000 04/01/2032 3,378 A1 68389XAS4 14548 Oracle Corp 5,005,558.78 5,000,000.00 4,961,550.00 3.625 3.388 07/15/2023 195 BAA2 747525AT0 14564 Qualcomm Inc 4,990,415.77 5,000,000.00 4,883,600.00 2.900 3.050 05/20/2024 505 A2 747525AU7 14587 Qualcomm Inc 6,156,884.48 5,963,
000.00 5,670,514.85 3.250 2.435 05/20/2027 1,600 A2 828807CS4 14606 Simon Property Group 4,997,945.59 5,000,000.00 4,851,300.00 3.375 3.353 10/01/2024 639 A3 07330MAA5 14588 Truist Bank 5,252,418.67 5,000,000.00 4,727,950.00 3.800 2.365 10/30/2026 1,398 A2 Subtotal and Average 102,787,930.19 101,638,000.00 99,646,140.35 3.502 1,138 Federal Agency Coupon Securities
3133ENVS6 14650 Federal Farm Credit Bank 5,000,000.00 5,000,000.00 4,957,850.00 2.030 2.030 05/02/2023 121 AAA 3133EN
N22 14664 Federal Farm Credit Bank 4,982,159.02 5,000,000.00 4,934,050.00 3.750 3.890 09/22/2025 995 AAA 3133ENP95 14666 Federal Farm Credit Bank 4,980,893.69 5,000,000.00 4,990,750.00 4.250 4.400 09/30/2025 1,003 AAA 3133ENS50 14667 Federal Farm Credit Bank 4,999,258.15 5,000,000.00 5,006,700.00 4.125 4.128 10/14/2027 1,747 AAA 3133ENN30 14668 Federal Farm Credit Bank 4,622,086.73 5,000,000.00 4,758,800.00 3.875 4.863 09/20/2032 3,550 AAA 3133ENV72 14669 Federal Farm Credit Bank 4,984,015.35 5,000,000.00 5,036,750.00 4.500 4.600 07/27/2026 1,303 AAA 3130ATDK0 14661 Federal Home Loan Banks 4,995,017.27 5,000, 000.00 4,953,300.00 3.875 3.989 12/08/2023 341 AAA Subtotal and Average 34,563,430.21 35,000,000.00 34,638,200.00 3.976 1,270 City of Berkeley
Pooled Cash and Investments
As of December 31, 2022

Exhibit 2-A
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
City of Berkeley
Pooled Cash and Investments
As of December 31, 2022
Medium-Term Notes - Callable
05531FBF9 14561 BB&T Corporation 5,031,767.93 5,000,000.00 4,946,800.00 3.750 3.012 12/06/2023 339 A3 22553PWD7 14652 Credit Suisse AG 5,000,000.00 5,000,000.00 4,586,950.00 4.050 4.050 05/25/2025 875 A3 22553PXJ3 14655 Credit Suisse AG 5,000,000.00 5,000,000.00 4,197,450.00 5.000 5.001 05/31/2032 3,438 A3 693475AV7 14557 PNC Financial Services 5,006,217.56 5,000,000.00 4,925,850.00 3.500 3.425 01/23/2024 387 A3 751212AC5 14566 Ralph Lauren 5,077,350.81 5,000,000.00 4,856,150.00 3.750 3.106 09/15/2025 988 A3 91159HHU7 14562 US Bancorp 5,121,712.67 5,000,000.00 4,877,900.00 3.950 2.848 11/17/2025 1,051 A2 Subtotal and Average 30,237,048.97 30,000,000.00 28,391,100.00 3.569 1,177 Federal Agency Callable
3130ARXL0 14649 Federal Home Loan Banks 5,000,000.00 5,000,000.00 4,837,900.00 3.000 3.000 05/25/2023 144 AAA 3130ATH42 14665 Federal Home Loan Banks 8,000,000.00 8,000,000.00 8,001,360.00 4.700 4.700 09/29/2027 1,732 AAA 13,000,000.00 13,000,000.00 12,839,260.00 4.046 1,121 Federal Agency Continuously Callable
31422XJW3 14638 Farmer Mac 10,000,000.00 10,000,000.00 9,138, 000.00 0.300 0.300 07/20/2026 1,296 N/A
3133ENUV0 14644 Federal Farm Credit Bank 5,000,000.00 5,000,000.00 4,740,050.00 4.000 4.000 04/19/2032 3,396 AAA 3133ENVV9 14647 Federal Farm Credit Bank 5,000,000.00 5,000,000.00 4,774,800.00 3.630 3.630 05/03/2027 1,583 AAA 3133EN
WW6 14653 Federal Farm Credit Bank 4,994,833.61 5,000,000.00 4,778,150.00 4.370 4.384 05/17/2032 3,424 AAA 3133EN5C0 14675 Federal Farm Credit Bank 4,994,005.56 5,000,000.00 4,985,100.00 5.370 5.394 12/27/2028 2,187 AAA 3130AMAV4 14611 Federal Home Loan Banks 5,600,000.00 5,600,000.00 4,968,880.00 1.250 1.125 04/29/2027 1,579 AAA 3130ALZA5 14612 Federal Home Loan Banks 9,000,000.00 9,000,000.00 8,234,640.00 0.750 0.500 04/29/2026 1,214 AAA 3130AMEX6 14613 Federal Home Loan Banks 15,000,000.00 15,000,000.00 13,612,650.00 0.750 0.500 05/27/2026 1,242 AAA 3130AMF72 14615 Federal Home Loan Banks 15,000,000.00 15,000,000.00 13,466,850.00 0.650 0.650 05/27/2026 1,242 AAA 3130AMFQ0 14616 Federal Home Loan Banks 15,000,000.00 15,000,000.00 13,566,900.00 1.150 1.020 05/26/2026 1,241 AAA 3130AMFT4 14617 Federal Home Loan Banks 10,000,000.00 10,000, 000.00 8,963,300.00 0.625 0.625 05/27/2026 1,242 AAA 3130AMG22 14618 Federal Home Loan Banks 20,000,000.00 20,000,000.00 17,993,400.00 0.800 0.500 05/27/2026 1,242 AAA 3130AMGG1 14619 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,042,500.00 0.600 0.600 05/26/2026 1,241 AAA 3130AMFN7 14620 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,049,700.00 0.750 0.500 05/26/2026 1,241 AAA 3130AMG55 14622 Federal Home Loan Banks 10,000,000.00 10,000,000.00 8,814,400.00 1.375 1.219 05/27/2027 1,607 AAA 3130AMG22 14624 Feder
al Home Loan Banks 10,000,000.00 10,000,000.00 8,996,700.00 0.800 0.500 05/27/2026 1,242 AAA 3130AMLS9 14627 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,036,400.00 0.875 0.800 06/17/2026 1,263 AAA 3130AMN24 14628 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,038,500.00 1.150 1.034 06/03/2026 1,249 AAA 3130AMN57 14629 Federal Home Loan Banks 20,000,000.00 20,000,000.00 18,047,600.00 1.100 1.013 06/03/2026 1,249 AAA 3130AMP71 14630 Federal Home Loan Banks 20,000,000.00 20,000,000.00 18,088,800.00 1.200 1.077 06/18/2026 1,264 AAA 3130AMPL0 14631 Federal Home Loan Banks 15,000,000.00 15,000, 000.00 13,552,650.00 1.150 0.375 06/08/2026 1,254 AAA 3130AMMW9 14632 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,035,600.00 1.000 0.500 06/10/2026 1,256 AAA 3130AMWM0 14634 Federal Home Loan Banks 4,250,000.00 4,250,000.00 3,820,495.00 1.050 0.500 06/30/2026 1,276 AAA 3130AN5U0 14642 Federal Home Loan Banks 10,000,000.00 10,000,000.00 9,022,000.00 0.750 0.500 07/29/2026 1,305 AAA 3130ANJY7 14643 Federal Home Loan Banks 40,000,000.00 40,000,000.00 35,400,000.00 1.000 0.400 08/26/2026 1,333 AAA 3130ARTE1 14645 Federal Home Loan Banks 6,425,000.00 6,425,000.00 5,969,403.25 4.100 4.100 04/26/2032 3,403 AAA

Exhibit 2-A
CUSIP Investment # Issuer Book Value Par Value Market Value Current
Rate
YTM/C
365
Maturity
Date
Days To
Maturity
Moody's
Rating
City of Berkeley
Pooled Cash and Investments
As of December 31, 2022
3130ARX71 14648 Federal Home Loan Banks 5,000,000.00 5,000, 000.00 4,810, 150.00 3.000 3. 000 05/23/2025 873 AAA 3130ARYA3 14651 Feder al Home Loan Banks 5,000,000.00 5,000, 000.00 4,812,300.00 4.000 4.000 05/26/2027 1,606 AAA 3130AS7K9 14654 Federal Home Loan Banks 5,000,000.00 5,000,000.00 4,773,450.00 4.440 4.440 05/26/2032 3,433 AAA 3130ASGF0 14656 Federal Home Loan Banks 5,000,000.00 5,000,000.00 4,883,650.00 4.000 4.007 06/30/2025 911 AAA 3130ATDV6 14662 Federal Home Loan Banks 5,000,000.00 5,000,000.00 4,959,950.00 5.000 5.001 09/30/2027 1,733 AAA 3134GXRS5 14646 Federal Home Loan Mortgage Co 5,000,000.00 5,000,000.00 4,859,600.00 3.100 3.100 04/29/2025 849 AAA 3134GXC28 14657 Federal Home Loan Mortgage Co 5,000,000.00 5,000,000.00 4,924,550.00 4.100 4.100 07/18/2025 929 AAA 3134GXC36 14658 Federal Home Loan Mortgage Co 5,000,000.00 5,000,000.00 4,940,650.00 4.000 4.007 12/30/2024 729 AAA 345,263,839.17 345,275,000.00 315,101,768.25 1.322 1,412 Municipal Bonds
13063DGB8 14559 General Obligation Unlimited 5,033,030.36 5,000,000.00 4,871,000.00 3.375 3.087 04/01/2025 821 AA2 Subtotal and Average 5,033,030.36 5,000,000.00 4,871,000.00 3.087 821 Total Investments and Average 531,385,278.90 530,413,000.00 495,984,981.10 2.129 1,323 To
tal Investments (Book Value) 531,385,278.90
Cash 161,124,658.00
Total Investments (Book Value) and Cash 692,509,936.90
Increase / (Decrease) in Market Value of Securities (35,400,297.80) Total Investments (Market Value) and Cash 657,109,639.10

Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.1
Sorted by Fund - Fund
October 1, 2022 - October 31, 2022
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
40,000,000.0014643 40,000,000.00 1.000MC5 08/26/2026 33,333.33 0.00 33,333.330.981010 40,000,000.003130ANJY7 4,250,000.0014634 4,250,000.00 1.050MC5 06/30/2026 3,718.75 0.00 3,718.751.030010 4,250,000.003130AMWM0 10,000,000.0014642 10,000,000.00 0.750MC5 07/29/2026 6,250.00 0.00 6,250.000.736010 10,000,000.003130AN5U0 15,000,000.0014616 15,000,000.00 1.150MC5 05/26/2026 14,375.00 0.00 14,375.001.128010 15,000,000.003130AMFQ0 6,425,000.0014645 6,425,000.00 4.100MC5 04/26/2032 21,952.08 0.00 21,952.084.023010 6,425,000.003130ARTE1 5,000,000.0014651 5,000,000.00 4.000MC5 05/26/2027 16,666.67 0.00 16,666.673.925010 5,000,000.003130ARYA3 15,000,000.0014613 15,000,000.00 0.750MC5 05/27/2026 9,375.00 0.00 9,375.000.736010 15,000,000.003130AMEX6 5,000,000.0014649 5,000,000.00 3.000MC4 05/25/2023 12,500.00 0.00 12,500.002.944010 5,000,000.003130ARXL0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.638010 15,000,000.003130AMF72 5,000,000.0014648 5,000,000.00 3.000MC5 05/23/2025 12,500.00 0.00 12,500.002.944010 5,000,000.003130ARX71 15,000,000.0014631 15,000,000.00 1.150MC5 06/08/2026 14,375.00 0.00 14,375.001.128010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 0.875MC5 06/10/2026 7,291.66 0.00 7,291.660.859010 10,000,000.003130AMMW9 10,000,000.0014622 10,000,000.00 0.750MC5 05/27/2027 6,250.00 0.00 6,250.000.736010 10,000,000.003130AMG55 10,000,000.0014620 10,000,000.00 0.500MC5 05/26/2026 4,166.67 0.00 4,166.670.491010 10,000,000.003130AMFN7 20,000,000.0014618 20,000,000.00 0.700MC5 05/27/2026 11,666.67 0.00 11,666.670.687010 20,000,000.003130AMG22 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.589010 10,000,000.003130AMGG1 10,000,000.0014624 10,000,000.00 0.700MC5 05/27/2026 5,833.33 0.00 5,833.330.687010 10,000,000.003130AMG22 20,000,000.0014630 20,000,000.00 1.200MC5 06/18/2026 20,000.00 0.00 20,000.001.177010 20,000,000.003130AMP71 20,000,000.0014629 20,000,000.00 1.100MC5 06/03/2026 18,333.33 0.00 18,333.331.079010 20,000,000.003130AMN57 10,000,000.0014628 10,000,000.00 1.150MC5 06/03/2026 9,583.34 0.00 9,583.341.128010 10,000,000.003130AMN24 10,000,000.0014627 10,000,000.00 0.750MC5 06/17/2026 6,250.00 0.00 6,250.000.736010 10,000,000.003130AMLS9 9,000,000.0014612 9,000,000.00 0.750MC5 04/29/2026 5,625.00 0.00 5,625.000.736010 9,000,000.003130ALZA5 5,000,000.0014654 5,000,000.00 4.440MC5 05/26/2032 18,500.00 0.00 18,500.004.356010 5,000,000.003130AS7K9 8,000,000.0014665 8,000,000.00 4.700MC4 09/29/2027 31,333.33 0.00 31,333.334.612010 8,000,000.003130ATH42 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.33 0.00 5,208.330.613010 10,000,000.003130AMFT4 5,600,000.0014611 5,600,000.00 1.250MC5 04/29/2027 5,833.33 0.00 5,833.331.226010 5,600,000.003130AMAV4 4,993,922.6614661 5,000,000.00 3.875FAC 12/08/2023 16,145.83 443.57 16,589.403.911010 4,993,686.573130ATDK0 5,000,000.0014662 5,000,000.00 5.000MC5 09/30/2027 20,833.34 0.00 20,833.344.906010 5,000,000.003130ATDV6 5,000,000.0014656 5,000,000.00 4.000MC5 06/30/2025 16,666.66 0.00 16,666.663.925010 5,000,000.003130ASGF0 5,000,000.0014647 5,000,000.00 3.630MC5 05/03/2027 15,125.00 0.00 15,125.003.562010 5,000,000.003133ENVV9

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
October 1, 2022 - October 31, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
2,902,778.1714667 5,000,000.00 4.125FAC 10/14/2027 9,739.58 7.32 9,746.903.954010 0.003133ENS50 5,000,000.0014650 5,000,000.00 2.030FAC 05/02/2023 8,458.34 0.00 8,458.341.992010 5,000,000.003133ENVS6 4,980,812.6314664 5,000,000.00 3.750FAC 09/22/2025 15,625.00 545.59 16,170.593.823010 4,980,522.233133ENN22 4,994,720.3214653 5,000,000.00 4.370MC5 05/17/2032 18,208.33 45.91 18,254.244.303010 4,994,695.883133ENWW6 5,000,000.0014644 5,000,000.00 4.000MC5 04/19/2032 16,666.67 0.00 16,666.673.925010 5,000,000.003133ENUV0 4,979,462.8514666 5,000,000.00 4.250FAC 09/30/2025 17,708.33 579.56 18,287.894.324010 4,979,155.003133ENP95 5,000,000.0014657 5,000,000.00 4.100MC5 07/18/2025 17,083.34 0.00 17,083.344.023010 5,000,000.003134GXC28 5,000,000.0014658 5,000,000.00 4.000MC5 12/30/2024 16,666.66 0.00 16,666.663.925010 5,000,000.003134GXC36 5,000,000.0014646 5,000,000.00 3.100MC5 04/29/2025 12,916.67 0.00 12,916.673.042010 5,000,000.003134GXRS5 4,979,357.8614536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.112010 4,977,676.46037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 700.69 0.00 700.693.300010 250,000.00254673RD0 250,000.0014540 250,000.00 3.300SCD 07/03/2023 700.68 0.00 700.683.300010 250,000.00795450T47 4,997,798.0514542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.30 13,079.303.081010 4,997,489.71084670BJ6 10,000,000.0014638 10,000,000.00 0.300MC5 07/20/2026 2,500.00 0.00 2,500.000.294010 10,000,000.0031422XJW3 5,007,680.0714548 5,000,000.00 3.625MTN 07/15/2023 15,104.17 -859.60 14,244.573.349010 5,008,137.6068389XAS4 5,015,813.2914554 5,000,000.00 3.650MTN 10/12/2023 15,208.33 -1,336.21 13,872.123.256010 5,016,524.5024422EUM9 4,977,996.7414663 5,000,000.00 4.150MTN 09/15/2027 17,291.67 373.35 17,665.024.178010 4,977,798.0224422EWK1 4,980,633.7714555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.78 13,730.283.246010 4,979,147.29540424AQ1 5,007,422.5314557 5,000,000.00 3.500MC3 01/23/2024 14,583.33 -488.29 14,095.043.314010 5,007,682.42693475AV7 5,036,049.2714559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.34 12,839.163.002010 5,036,700.4013063DGB8 5,038,788.3814561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.112.986010 5,040,302.6005531FBF9 5,130,410.2214562 5,000,000.00 3.950MC3 11/17/2025 16,458.33 -3,524.50 12,933.832.968010 5,132,286.1691159HHU7 5,035,034.4214563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.41 13,030.093.047010 5,035,583.9320030NBN0 6,165,974.8514587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.68 12,466.112.380010 6,167,935.52747525AU7 4,988,993.8414564 5,000,000.00 2.900MTN 05/20/2024 12,083.33 576.21 12,659.542.988010 4,988,687.15747525AT0 5,083,230.1314566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.067010 5,084,498.22751212AC5 5,080,289.5014570 5,000,000.00 3.650MTN 03/01/2026 15,208.34 -1,984.04 13,224.303.065010 5,081,345.52375558BF9 5,048,344.2014571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.130010 5,048,852.39233851CU6 3,787,874.7714574 3,725,000.00 3.450MTN 01/06/2027 10,709.37 -1,241.74 9,467.632.943010 3,788,535.70233851CU6 1,024,499.4114582 1,000,000.00 4.250MTN 02/15/2024 3,541.66 -1,537.51 2,004.152.303010 1,025,317.76008252AM0 5,265,975.7914588 5,000,000.00 3.800MTN 10/30/2026 15,833.34 -5,491.35 10,341.992.312010 5,268,892.7007330MAA5 5,972,542.1614590 5,950,000.00 2.500MTN 01/14/2025 12,395.84 -837.96 11,557.882.279010 5,972,988.1704685A2L4 4,922,621.5614602 5,000,000.00 2.500MTN 01/14/2025 10,416.67 2,876.40 13,293.073.180010 4,921,090.5704685A2L4 4,997,704.1814606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.83 14,160.333.336010 4,997,652.11828807CS4 5,000,000.0014655 5,000,000.00 5.000MC3 05/31/2032 20,833.33 0.00 20,833.334.906010 5,000,000.0022553PXJ3 5,000,000.0014652 5,000,000.00 4.050MC3 05/25/2025 16,875.00 0.00 16,875.003.974010 5,000,000.0022553PWD7 4,853,191.8614659 5,000,000.00 3.000MTN 08/07/2025 12,500.00 4,360.50 16,860.504.090010 4,850,870.9588579YAR2 Exhibit 2-B.1

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.1
Book Value
Beginning
Book Value Accretion
Amortization/
Earnings
Adjusted Interest
October 1, 2022 - October 31, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,814,767.3014660 5,000,000.00 3.500MTN 08/15/2027 14,583.33 3,197.28 17,780.614.348010 4,813,065.5230303M8BG0 505,413,000.00Subtotal 503,839,690.76 2.036 871,028.60-9,788.17880,816.77500,942,121.05 Fund: Fidelity MM - Regular
142,562,396.2114265 132,517,453.78 0.003RRP 346,892.82 0.00 346,892.822.865040 158,170,560.96SYS14265 132,517,453.78Subtotal 142,562,396.21 2.865 346,892.820.00346,892.82158,170,560.96 637,930,453.78Total 646,402,086.98 2.218 1,217,921.42-9,788.171,227,709.59659,112,682.01 Adjusted Interest Earnings

Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.2
Sorted by Fund - Fund
November 1, 2022 - November 30, 2022
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
40,000,000.0014643 40,000,000.00 1.000MC5 08/26/2026 33,333.34 0.00 33,333.341.014010 40,000,000.003130ANJY7 4,250,000.0014634 4,250,000.00 1.050MC5 06/30/2026 3,718.75 0.00 3,718.751.065010 4,250,000.003130AMWM0 10,000,000.0014642 10,000,000.00 0.750MC5 07/29/2026 6,250.00 0.00 6,250.000.760010 10,000,000.003130AN5U0 15,000,000.0014616 15,000,000.00 1.150MC5 05/26/2026 14,375.00 0.00 14,375.001.166010 15,000,000.003130AMFQ0 6,425,000.0014645 6,425,000.00 4.100MC5 04/26/2032 21,952.08 0.00 21,952.084.157010 6,425,000.003130ARTE1 5,000,000.0014651 5,000,000.00 4.000MC5 05/26/2027 16,666.67 0.00 16,666.674.056010 5,000,000.003130ARYA3 15,000,000.0014613 15,000,000.00 0.750MC5 05/27/2026 9,375.00 0.00 9,375.000.760010 15,000,000.003130AMEX6 5,000,000.0014649 5,000,000.00 3.000MC4 05/25/2023 12,500.00 0.00 12,500.003.042010 5,000,000.003130ARXL0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.659010 15,000,000.003130AMF72 5,000,000.0014648 5,000,000.00 3.000MC5 05/23/2025 12,500.00 0.00 12,500.003.042010 5,000,000.003130ARX71 15,000,000.0014631 15,000,000.00 1.150MC5 06/08/2026 14,375.00 0.00 14,375.001.166010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 0.875MC5 06/10/2026 7,291.67 0.00 7,291.670.887010 10,000,000.003130AMMW9 10,000,000.0014622 10,000,000.00 1.375MC5 05/27/2027 6,944.45 0.00 6,944.450.845010 10,000,000.003130AMG55 10,000,000.0014620 10,000,000.00 0.750MC5 05/26/2026 4,513.89 0.00 4,513.890.549010 10,000,000.003130AMFN7 20,000,000.0014618 20,000,000.00 0.800MC5 05/27/2026 11,888.89 0.00 11,888.890.723010 20,000,000.003130AMG22 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.608010 10,000,000.003130AMGG1 10,000,000.0014624 10,000,000.00 0.800MC5 05/27/2026 5,944.45 0.00 5,944.450.723010 10,000,000.003130AMG22 20,000,000.0014630 20,000,000.00 1.200MC5 06/18/2026 20,000.00 0.00 20,000.001.217010 20,000,000.003130AMP71 20,000,000.0014629 20,000,000.00 1.100MC5 06/03/2026 18,333.34 0.00 18,333.341.115010 20,000,000.003130AMN57 10,000,000.0014628 10,000,000.00 1.150MC5 06/03/2026 9,583.33 0.00 9,583.331.166010 10,000,000.003130AMN24 10,000,000.0014627 10,000,000.00 0.750MC5 06/17/2026 6,250.00 0.00 6,250.000.760010 10,000,000.003130AMLS9 9,000,000.0014612 9,000,000.00 0.750MC5 04/29/2026 5,625.00 0.00 5,625.000.760010 9,000,000.003130ALZA5 5,000,000.0014654 5,000,000.00 4.440MC5 05/26/2032 18,500.00 0.00 18,500.004.502010 5,000,000.003130AS7K9 8,000,000.0014665 8,000,000.00 4.700MC4 09/29/2027 31,333.34 0.00 31,333.344.765010 8,000,000.003130ATH42 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.33 0.00 5,208.330.634010 10,000,000.003130AMFT4 5,600,000.0014611 5,600,000.00 1.250MC5 04/29/2027 5,833.33 0.00 5,833.331.267010 5,600,000.003130AMAV4 4,994,359.3114661 5,000,000.00 3.875FAC 12/08/2023 16,145.84 443.56 16,589.404.041010 4,994,130.143130ATDK0 5,000,000.0014662 5,000,000.00 5.000MC5 09/30/2027 20,833.33 0.00 20,833.335.069010 5,000,000.003130ATDV6 5,000,000.0014656 5,000,000.00 4.000MC5 06/30/2025 16,666.67 0.00 16,666.674.056010 5,000,000.003130ASGF0 5,000,000.0014647 5,000,000.00 3.630MC5 05/03/2027 15,125.00 0.00 15,125.003.680010 5,000,000.003133ENVV9

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.2
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
November 1, 2022 - November 30, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,485,132.7814669 5,000,000.00 4.500FAC 07/27/2026 16,875.00 335.60 17,210.604.669010 0.003133ENV72 4,999,238.9914667 5,000,000.00 4.125FAC 10/14/2027 17,187.50 12.92 17,200.424.186010 4,999,232.323133ENS50 4,155,698.2214668 5,000,000.00 3.875FAC 09/20/2032 14,531.25 2,916.16 17,447.415.108010 0.003133ENN30 5,000,000.0014650 5,000,000.00 2.030FAC 05/02/2023 8,458.33 0.00 8,458.332.058010 5,000,000.003133ENVS6 4,981,349.7214664 5,000,000.00 3.750FAC 09/22/2025 15,625.00 545.60 16,170.603.950010 4,981,067.823133ENN22 4,994,765.5114653 5,000,000.00 4.370MC5 05/17/2032 18,208.33 45.91 18,254.244.447010 4,994,741.793133ENWW6 5,000,000.0014644 5,000,000.00 4.000MC5 04/19/2032 16,666.66 0.00 16,666.664.056010 5,000,000.003133ENUV0 4,980,034.0014666 5,000,000.00 4.250FAC 09/30/2025 17,708.33 579.57 18,287.904.468010 4,979,734.563133ENP95 5,000,000.0014657 5,000,000.00 4.100MC5 07/18/2025 17,083.33 0.00 17,083.334.157010 5,000,000.003134GXC28 5,000,000.0014658 5,000,000.00 4.000MC5 12/30/2024 16,666.67 0.00 16,666.674.056010 5,000,000.003134GXC36 5,000,000.0014646 5,000,000.00 3.100MC5 04/29/2025 12,916.67 0.00 12,916.673.143010 5,000,000.003134GXRS5 8,707,248.4314670 10,000,000.00 7.250MTN 04/01/2032 48,333.33 -6,293.18 42,040.155.874010 0.00617446HD4 4,982,467.5914536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.213010 4,980,835.45037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 678.08 0.00 678.083.300010 250,000.00254673RD0 250,000.0014540 250,000.00 3.300SCD 07/03/2023 678.08 0.00 678.083.300010 250,000.00795450T47 4,998,368.3114542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.30 13,079.303.184010 4,998,069.01084670BJ6 10,000,000.0014638 10,000,000.00 0.300MC5 07/20/2026 2,500.00 0.00 2,500.000.304010 10,000,000.0031422XJW3 5,006,833.8714548 5,000,000.00 3.625MTN 07/15/2023 15,104.16 -859.61 14,244.553.461010 5,007,278.0068389XAS4 5,014,497.9114554 5,000,000.00 3.650MTN 10/12/2023 15,208.34 -1,336.21 13,872.133.366010 5,015,188.2924422EUM9 4,978,364.2614663 5,000,000.00 4.150MTN 09/15/2027 17,291.67 373.35 17,665.024.317010 4,978,171.3724422EWK1 4,983,383.0014555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.77 13,730.273.352010 4,981,940.07540424AQ1 5,006,941.8514557 5,000,000.00 3.500MC3 01/23/2024 14,583.33 -488.28 14,095.053.425010 5,007,194.13693475AV7 5,034,845.0014559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.35 12,839.153.103010 5,035,477.0613063DGB8 5,035,987.8514561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.113.088010 5,037,457.7105531FBF9 5,126,940.6714562 5,000,000.00 3.950MC3 11/17/2025 16,458.34 -3,524.50 12,933.843.069010 5,128,761.6691159HHU7 5,034,018.1014563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.42 13,030.083.149010 5,034,551.5220030NBN0 6,162,348.6014587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.68 12,466.112.461010 6,164,251.84747525AU7 4,989,561.0614564 5,000,000.00 2.900MTN 05/20/2024 12,083.34 576.20 12,659.543.087010 4,989,263.36747525AT0 5,080,884.8114566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.171010 5,082,115.75751212AC5 5,078,336.3914570 5,000,000.00 3.650MTN 03/01/2026 15,208.33 -1,984.04 13,224.293.168010 5,079,361.48375558BF9 5,047,404.3214571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.235010 5,047,897.62233851CU6 3,786,652.3914574 3,725,000.00 3.450MTN 01/06/2027 10,709.38 -1,241.74 9,467.643.042010 3,787,293.96233851CU6 1,022,985.8614582 1,000,000.00 4.250MTN 02/15/2024 3,541.67 -1,537.52 2,004.152.384010 1,023,780.25008252AM0 5,260,564.1614588 5,000,000.00 3.800MTN 10/30/2026 15,833.33 -5,491.34 10,341.992.392010 5,263,401.3507330MAA5 5,971,717.2614590 5,950,000.00 2.500MTN 01/14/2025 12,395.83 -837.97 11,557.862.355010 5,972,150.2104685A2L4 4,925,453.1214602 5,000,000.00 2.500MTN 01/14/2025 10,416.66 2,876.41 13,293.073.284010 4,923,966.9704685A2L4 4,997,800.4814606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.82 14,160.323.447010 4,997,749.94828807CS4

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.2
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
November 1, 2022 - November 30, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
5,000,000.0014655 5,000,000.00 5.000MC3 05/31/2032 20,849.12 0.00 20,849.125.073010 5,000,000.0022553PXJ3 5,000,000.0014652 5,000,000.00 4.050MC3 05/25/2025 16,875.00 0.00 16,875.004.106010 5,000,000.0022553PWD7 4,857,484.3714659 5,000,000.00 3.000MTN 08/07/2025 12,500.00 4,360.50 16,860.504.223010 4,855,231.4588579YAR2 4,817,914.7314660 5,000,000.00 3.500MTN 08/15/2027 14,583.33 3,197.28 17,780.614.490010 4,816,262.8030303M8BG0 525,413,000.00Subtotal 523,274,582.97 2.224 956,525.85-12,824.03969,349.88505,931,557.88 Fund: Fidelity MM - Regular
96,896,740.7414265 86,896,062.47 0.003RRP 278,608.69 0.00 278,608.693.498040 132,517,453.78SYS14265 86,896,062.47Subtotal 96,896,740.74 3.498 278,608.690.00278,608.69132,517,453.78 612,309,062.47Total 620,171,323.70 2.423 1,235,134.54-12,824.031,247,958.57638,449,011.66

Pooled Investments Selected Funds
Interest Earnings
Exhibit 2-B.3
Sorted by Fund - Fund
December 1, 2022 - December 31, 2022
Yield on Average Book Value
Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted InterestAnnualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
40,000,000.0014643 40,000,000.00 1.000MC5 08/26/2026 33,333.33 0.00 33,333.330.981010 40,000,000.003130ANJY7 4,250,000.0014634 4,250,000.00 1.050MC5 06/30/2026 3,718.75 0.00 3,718.751.030010 4,250,000.003130AMWM0 10,000,000.0014642 10,000,000.00 0.750MC5 07/29/2026 6,250.00 0.00 6,250.000.736010 10,000,000.003130AN5U0 15,000,000.0014616 15,000,000.00 1.150MC5 05/26/2026 14,375.00 0.00 14,375.001.128010 15,000,000.003130AMFQ0 6,425,000.0014645 6,425,000.00 4.100MC5 04/26/2032 21,952.09 0.00 21,952.094.023010 6,425,000.003130ARTE1 5,000,000.0014651 5,000,000.00 4.000MC5 05/26/2027 16,666.66 0.00 16,666.663.925010 5,000,000.003130ARYA3 15,000,000.0014613 15,000,000.00 0.750MC5 05/27/2026 9,375.00 0.00 9,375.000.736010 15,000,000.003130AMEX6 5,000,000.0014649 5,000,000.00 3.000MC4 05/25/2023 12,500.00 0.00 12,500.002.944010 5,000,000.003130ARXL0 15,000,000.0014615 15,000,000.00 0.650MC5 05/27/2026 8,125.00 0.00 8,125.000.638010 15,000,000.003130AMF72 5,000,000.0014648 5,000,000.00 3.000MC5 05/23/2025 12,500.00 0.00 12,500.002.944010 5,000,000.003130ARX71 15,000,000.0014631 15,000,000.00 1.150MC5 06/08/2026 14,375.00 0.00 14,375.001.128010 15,000,000.003130AMPL0 10,000,000.0014632 10,000,000.00 1.000MC5 06/10/2026 8,020.83 0.00 8,020.830.944010 10,000,000.003130AMMW9 10,000,000.0014622 10,000,000.00 1.375MC5 05/27/2027 11,458.33 0.00 11,458.331.349010 10,000,000.003130AMG55 10,000,000.0014620 10,000,000.00 0.750MC5 05/26/2026 6,250.00 0.00 6,250.000.736010 10,000,000.003130AMFN7 20,000,000.0014618 20,000,000.00 0.800MC5 05/27/2026 13,333.33 0.00 13,333.330.785010 20,000,000.003130AMG22 10,000,000.0014619 10,000,000.00 0.600MC5 05/26/2026 5,000.00 0.00 5,000.000.589010 10,000,000.003130AMGG1 10,000,000.0014624 10,000,000.00 0.800MC5 05/27/2026 6,666.67 0.00 6,666.670.785010 10,000,000.003130AMG22 20,000,000.0014630 20,000,000.00 1.200MC5 06/18/2026 20,000.00 0.00 20,000.001.177010 20,000,000.003130AMP71 20,000,000.0014629 20,000,000.00 1.100MC5 06/03/2026 18,333.33 0.00 18,333.331.079010 20,000,000.003130AMN57 10,000,000.0014628 10,000,000.00 1.150MC5 06/03/2026 9,583.33 0.00 9,583.331.128010 10,000,000.003130AMN24 10,000,000.0014627 10,000,000.00 0.875MC5 06/17/2026 6,736.11 0.00 6,736.110.793010 10,000,000.003130AMLS9 9,000,000.0014612 9,000,000.00 0.750MC5 04/29/2026 5,625.00 0.00 5,625.000.736010 9,000,000.003130ALZA5 5,000,000.0014654 5,000,000.00 4.440MC5 05/26/2032 18,500.00 0.00 18,500.004.356010 5,000,000.003130AS7K9 8,000,000.0014665 8,000,000.00 4.700MC4 09/29/2027 31,333.33 0.00 31,333.334.612010 8,000,000.003130ATH42 10,000,000.0014617 10,000,000.00 0.625MC5 05/27/2026 5,208.34 0.00 5,208.340.613010 10,000,000.003130AMFT4 5,600,000.0014611 5,600,000.00 1.250MC5 04/29/2027 5,833.34 0.00 5,833.341.226010 5,600,000.003130AMAV4 4,994,809.7914661 5,000,000.00 3.875FAC 12/08/2023 16,145.83 443.57 16,589.403.911010 4,994,573.703130ATDK0 5,000,000.0014662 5,000,000.00 5.000MC5 09/30/2027 20,833.33 0.00 20,833.334.906010 5,000,000.003130ATDV6 5,000,000.0014656 5,000,000.00 4.000MC5 06/30/2025 16,666.67 0.00 16,666.673.925010 5,000,000.003130ASGF0 5,000,000.0014647 5,000,000.00 3.630MC5 05/03/2027 15,125.00 0.00 15,125.003.562010 5,000,000.003133ENVV9

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.3
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
December 1, 2022 - December 31, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
483,290.7714675 5,000,000.00 5.370MC5 12/27/2028 1,491.66 5.56 1,497.223.648010 0.003133EN5C0 4,983,840.9314669 5,000,000.00 4.500FAC 07/27/2026 18,750.00 372.90 19,122.904.518010 4,983,642.453133ENV72 4,999,252.1114667 5,000,000.00 4.125FAC 10/14/2027 17,187.50 12.91 17,200.414.051010 4,999,245.243133ENS50 4,620,571.1614668 5,000,000.00 3.875FAC 09/20/2032 16,145.83 3,240.19 19,386.024.940010 4,618,846.543133ENN30 5,000,000.0014650 5,000,000.00 2.030FAC 05/02/2023 8,458.33 0.00 8,458.331.992010 5,000,000.003133ENVS6 4,981,903.8214664 5,000,000.00 3.750FAC 09/22/2025 15,625.00 545.60 16,170.603.822010 4,981,613.423133ENN22 4,994,812.1414653 5,000,000.00 4.370MC5 05/17/2032 18,208.34 45.91 18,254.254.303010 4,994,787.703133ENWW6 5,000,000.0014644 5,000,000.00 4.000MC5 04/19/2032 16,666.67 0.00 16,666.673.925010 5,000,000.003133ENUV0 4,980,621.9814666 5,000,000.00 4.250FAC 09/30/2025 17,708.34 579.56 18,287.904.323010 4,980,314.133133ENP95 5,000,000.0014657 5,000,000.00 4.100MC5 07/18/2025 17,083.33 0.00 17,083.334.023010 5,000,000.003134GXC28 5,000,000.0014658 5,000,000.00 4.000MC5 12/30/2024 16,666.67 0.00 16,666.673.925010 5,000,000.003134GXC36 5,000,000.0014646 5,000,000.00 3.100MC5 04/29/2025 12,916.66 0.00 12,916.663.042010 5,000,000.003134GXRS5 10,876,858.0714670 10,000,000.00 7.250MTN 04/01/2032 60,416.67 -7,866.47 52,550.205.689010 10,881,045.06617446HD4 4,985,675.8414536 5,000,000.00 2.400MTN 05/03/2023 10,000.00 3,158.99 13,158.993.108010 4,983,994.44037833AK6 250,000.0014539 250,000.00 3.300SCD 07/05/2023 700.68 0.00 700.683.300010 250,000.00254673RD0 250,000.0014540 250,000.00 3.300SCD 07/03/2023 700.69 0.00 700.693.300010 250,000.00795450T47 4,998,956.6414542 5,000,000.00 3.000MTN 02/11/2023 12,500.00 579.29 13,079.293.081010 4,998,648.31084670BJ6 10,000,000.0014638 10,000,000.00 0.300MC5 07/20/2026 2,500.00 0.00 2,500.000.294010 10,000,000.0031422XJW3 5,005,960.8614548 5,000,000.00 3.625MTN 07/15/2023 15,104.17 -859.61 14,244.563.350010 5,006,418.3968389XAS4 5,013,140.8714554 5,000,000.00 3.650MTN 10/12/2023 15,208.33 -1,336.22 13,872.113.258010 5,013,852.0824422EUM9 4,978,743.4414663 5,000,000.00 4.150MTN 09/15/2027 17,291.66 373.35 17,665.014.178010 4,978,544.7224422EWK1 4,986,219.3214555 5,000,000.00 2.625MTN 05/15/2023 10,937.50 2,792.77 13,730.273.242010 4,984,732.84540424AQ1 5,006,445.9514557 5,000,000.00 3.500MC3 01/23/2024 14,583.34 -488.29 14,095.053.315010 5,006,705.85693475AV7 5,033,602.5714559 5,000,000.00 3.375MUN 04/01/2025 14,062.50 -1,223.35 12,839.153.003010 5,034,253.7113063DGB8 5,033,098.6114561 5,000,000.00 3.750MC3 12/06/2023 15,625.00 -2,844.89 12,780.112.990010 5,034,612.8205531FBF9 5,123,361.2214562 5,000,000.00 3.950MC3 11/17/2025 16,458.33 -3,524.49 12,933.842.972010 5,125,237.1691159HHU7 5,032,969.5914563 5,000,000.00 3.375MTN 08/15/2025 14,062.50 -1,032.41 13,030.093.048010 5,033,519.1020030NBN0 6,158,607.4914587 5,963,000.00 3.250MTN 05/20/2027 16,149.79 -3,683.68 12,466.112.383010 6,160,568.16747525AU7 4,990,146.2614564 5,000,000.00 2.900MTN 05/20/2024 12,083.33 576.21 12,659.542.987010 4,989,839.56747525AT0 5,078,465.1914566 5,000,000.00 3.750MC3 09/15/2025 15,625.00 -2,382.47 13,242.533.070010 5,079,733.28751212AC5 5,076,321.4214570 5,000,000.00 3.650MTN 03/01/2026 15,208.33 -1,984.04 13,224.293.067010 5,077,377.44375558BF9 5,046,434.6614571 5,000,000.00 3.450MTN 01/06/2027 14,375.00 -954.77 13,420.233.131010 5,046,942.85233851CU6 3,785,391.2914574 3,725,000.00 3.450MTN 01/06/2027 10,709.37 -1,241.74 9,467.632.945010 3,786,052.22233851CU6 1,021,424.3814582 1,000,000.00 4.250MTN 02/15/2024 3,541.67 -1,537.52 2,004.152.310010 1,022,242.73008252AM0 5,254,993.1114588 5,000,000.00 3.800MTN 10/30/2026 15,833.33 -5,491.34 10,341.992.317010 5,257,910.0107330MAA5 5,970,866.2314590 5,950,000.00 2.500MTN 01/14/2025 12,395.83 -837.96 11,557.872.279010 5,971,312.2404685A2L4 4,928,374.3714602 5,000,000.00 2.500MTN 01/14/2025 10,416.67 2,876.41 13,293.083.176010 4,926,843.3804685A2L4

Maturity
Date
Current
Rate
Ending
Par Value
AverageSecurity
TypeFund
Exhibit 2-B.3
Book Value
Beginning
Book Value
Adjusted Interest Earnings
Accretion
Amortization/
Earnings
Adjusted Interest
December 1, 2022 - December 31, 2022
Interest Earnings
Pooled Investments Selected Funds
Annualized
YieldCUSIP Investment #
Interest
Earned
Fund: Pooled Investment - Long Term
4,997,899.8414606 5,000,000.00 3.375MTN 10/01/2024 14,062.50 97.83 14,160.333.336010 4,997,847.76828807CS4 5,000,000.0014655 5,000,000.00 5.000MC3 05/31/2032 21,306.82 0.00 21,306.825.017010 5,000,000.0022553PXJ3 5,000,000.0014652 5,000,000.00 4.050MC3 05/25/2025 16,875.00 0.00 16,875.003.974010 5,000,000.0022553PWD7 4,861,912.8614659 5,000,000.00 3.000MTN 08/07/2025 12,500.00 4,360.49 16,860.494.083010 4,859,591.9588579YAR2 4,821,161.8614660 5,000,000.00 3.500MTN 08/15/2027 14,583.34 3,197.29 17,780.634.342010 4,819,460.0830303M8BG0 530,413,000.00Subtotal 526,881,134.62 2.196 982,518.86-14,030.42996,549.28526,405,309.32 Fund: Fidelity MM - Regular
128,233,580.5014265 156,327,591.96 0.003RRP 431,529.49 0.00 431,529.493.962040 86,896,062.47SYS14265 156,327,591.96Subtotal 128,233,580.50 3.962 431,529.490.00431,529.4986,896,062.47 686,740,591.96Total 655,114,715.13 2.541 1,414,048.35-14,030.421,428,078.77613,301,371.79

Exhibit 2-C
Certificates of Deposit - S & L,
$497,513 , 0.08%
Medium Term Notes
, $128,037,240 , 19.48%
Federal Agency,
$362,579,228 , 55.18%
Municipal Bonds,
$4,871,000 , 0.74% Bank and Money Market Accounts,
$161,124,658 , 24.52%
Pooled Cash and Investments
(Market Value)
As of December 31, 2022

Exhibit 2-D
$161,124,658
$497,513
$128,037,
240
$362,579,228
$4,871,000
$657,109,639
$197,132,892
$197,132,892
$657,109,639
$657,109,639

BANK AND MONEY MARKET

ACCOUNTS

CERTIFICATES OF DEPOSITS

MEDIUM TERM NOTES

FEDERAL AGENCY BONDS

MUNICIPAL BONDS
City of Berkeley
Current Holdings vs. Policy Limits
as of December 31, 2022
Policy Limits
Current Holdings

Exhibit 2-E
-
100,000,000
200,000,000
300,000,000
400,000,000
500,000,000
600,000,000
700,000,000
800,000,000
2001 2002 2003 2004 2005 2006 2007 2008 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 2021 2022 2023 Investment Value
Pooled and Trust
Cash and Investment Portfolio Trend
as of December 31, 2022

Attachment 3
Pooled Cash
Investments Gain/Loss on & Investments
Pooled Cash (Book Value) Investments (Market Value)
Retiree Medical Trust Fund
Fund No.
721 BHA 183,582$ 432 ,706$ (29,468)$ 586,820$ 722 M1=IBEW (44,086) 96,884 (11,879) 40,919 723 M2=Local 1 3,532,877 7,895,937 (476,947) 10,951,867 724 MUI=Z1 518,761 1,433,824 (59,026) 1,893,559 725 MUI=Z2 to Z6 801,685 2,060,482 (107,490) 2,754,677 726 M535= Local 535 3,052,692 7,135,845 (299,275) 9,889,262 727 M3=Local 790 1,974,517 4,735,980 (341,411) 6,369,086 Total Retiree Medical Trust Fund 10,020,028 23,791,658 (1,325,496) 32,486,190 Fire Medical Trust Fund
736 Fire Medical Trust Fund (682,374) 13,843,007 (926,634) 12,234,000 Total Fire Medical Trust Fund (682,374) 13,843,007 (926,634) 12,234,000 Police Medical Trust Fund
731 Police EE Retiree HLT Assistance Plan 184,077 2,371,235 (254,299) 2,301,013 701 Safety Members Pension Fund 106,854 - - 106,854 706 Police Medical Trust Fund 380,826 4,343,007 (382,131) 4,341,702 Total Police Medical Trust Fund 671,757 6,714,242 (636,430) 6,749,569 Total Trust Funds 10,009,411$ 44,348,907$ (2,888,560)$ 51,469,759$ Summary of Pooled Cash and Investments - Trust Funds
(Market Value)
As of December 31, 2022

Exhibit 3-A
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Federal Agency Coupon Securities
3133EFQT7 14361 Fed Farm Credit Bank 2,600,000.00 2, 605,730.09 2,605,730.09 2,485,600.00 11/25/2025 AAA 2.700 2.603 17,550.00 (454.77) 17,095.23 Medium Term Notes - Callable
665859AX2 14671 Northern Trust Corp 10,000,000.00 - 10,016,749.30 10,544,400.00 11/02/2032 A2 6.125 6.068 90,173.61 (250.70) 89,922.91 Municipal Bonds
786091AG3 14316 SACGEN 5,000,000.00 5,153,100.39 5,153,100.39 5,216,800.00 08/01/2025 A3 7.250 5.945 90,625.00 (13,508.85) 77,116.15 Savo Island Loan
SYS10988 10988 EMPMED 150,000.00 150,000.00 150,000.00 150,000.00 09/01/2025 N/A 8.000 8.066 3,049.72 - 3,049.72 Preferred Securities
00206R706 14591 AT&T Inc. 1,680,033.60 1,680,033.60 1,680,033.60 1,162,689.92 N/A N/A 4.640 4.674 19,792.06 - 19,792.06 00206R706 14596 AT&T Inc. 1,680,008.40 1,680,008.40 1,680,008.40 1,162,672.48 N/A N/A 4.643 4.674 19,791.77 - 19,791.77 00206R706 14597 AT&T Inc. 2,520,000.00 2,520,000.00 2,520,000.00 1,744,000.00 N/A N/A 4.596 4.674 29,687.50 - 29,687.50 Tot
al 23,630,042.00$ 13,788,872.48$ 23,805,621.78$ 22,466,162.40$ 5.175 270,669.66$ (14,214.32)$ 256,455.34$ Total Investments (Book Value) 23,805,621.78$
Gain/Loss on Investments (1,339,459.38)
Total Investments (Market Value) 22,466,162.40
Temporarily Invested with Pooled Cash & Investments 10,020,028.00 Tot
al Pooled Cash and Investments 32,486,190.40$
Adjusted Interest Earnings
Retiree Medical Trust Fund
Fund 721 - 727
Investments
As of December 31, 2022
Interest Earnings
October 1 to December 31, 2022
October 1 to December 31, 2022
Interest Earnings

Exhibit 3-B
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Medium Term Notes
6174467X1 14318 Morgan Stanley DW DTC#0015 2,000,000.00 2,026,225.58 2,022,365.72 1,993,980.00 11/24/2025 BAA1 5.000 4.524 25,000.00 (1,929.93) 23,070.07 Federal Agency Coupon Securities
3133EFQT7 14362 Fed F
arm Credit Bank 2,300,000.00 2,305,
471.23 2,304,666.63 2,198,800.00 11/25/2025 AAA 2.700 2.603 15,525.00 (402.30) 15,122.70 Federal Agency Continuously Callable
3130AUB78 14672 Feder
al Home Loan Banks 4,000,000.00 4,000,
000.00 3,991,880.00 12/28/2037 AAA 6.230 4.737 2,076.67 - 2,076.67 3130AUB86 14673 Federal Home Loan Banks 2,996,000.00 2,996,000.00 2,987,731.04 12/29/2042 AAA 6.540 4.421 1,088.55 - 1,088.55 Preferred Securities
00206R706 14592 AT&
T Inc. 1,679,983.20 1,679,
983.20 1,679,983.20 1,162,655.04 N/A N/A 4.596 4.674 19,791.47 - 19,791.47 00206R706 14594 AT&T Inc. 839,991.60 839,991.60 839,991.60 581,327.52 N/A N/A 4.640 4.674 9,895.73 - 9,895.73 Total 13,815,974.80$ 6,851,671.61$ 13,843,007.15$ 12,916,373.60$ 3.959 73,377.42$ (2,332.23)$ 71,045.19$ Total Investments (Book Value) 13,843,007.15$
Gain/Loss on Investments (926,633.55)
Total Investments (Market Value) 12,916,373.60
Temporarily Invested with Pooled Cash & Investments (682,374.00) Total Pooled Cash and Investments 12,233,999.60$
Fire Retiree Medical
Fund 736
Adjusted Interest Earnings
October 1 to December 31, 2022As of December 31, 2022
Investments Interest Earnings
Interest Earnings
October 1 to December 31, 2022

Exhibit 3-C
CUSIP Investment # Issuer Par Value
Beginning Book
Value
Ending Book
Value Market Value Maturity Date
Moody's
Rating
Current
Rate
Annualized
Yield Interest Earned
Amortization/
Accretion
Adjusted Interest
Earnings
Medium Term Notes
6174467X1 14319 Morgan Stanley DW DTC#0015 500,000.00 506,073.91 505,591.43 498,495.00 11/24/25 BAA1 5.000 4.524 6,250.00 (482.48) 5,767.52 Federal Agency Coupon Securities
3133EFQT7 14363 Fed. Farm Credit Banks 2,300,000.00 2,305,068.93 2,304, 666.63 2,198,800.00 11/25/25 AAA 2.700 2.603 15,525.00 (402.30) 15,122.70 Federal Agency Continuously Callable
3130AUB86 14674 Federal Home Loan Banks 2,224,000.00 - 2,224,000.00 2,217,861.76 12/29/42 AAA 6.540 4.421 808.05 - 808.05 Preferred Securities
00206R706 14593 AT&T Inc. 1,679,983.20 1,679,983.20 1,679,983.20 1,162,655.04 N/A N/A 4.596 4.674 19,791.47 - 19,791.47 Total 6,703,983.20$ 4,491,126.04$ 6,714,241.26$ 6,077,811.80$ 3.607 42,374.52$ (884.78)$ 41,489.74$ Total Investments (Book Value) 6,714,241.26$
Gain/Loss on Investments (636,429.46)
Total Investments (Market Value) 6,077,811.80
Temporarily Invested with Pooled Cash & Investments 671,757.00 Total Pooled Cash and Investments 6,749,568.80$
Police Retiree Medical
Fund 731 and 706
Adjusted Interest Earnings
Investments Interest Earnings
As of December 31, 2022 October 1 to December 31, 2022
Interest Earnings
October 1 to December 31, 2022

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

INFORMATION CALENDAR
May 9, 2023
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Lisa Warhuus, Director, Health, Housing, and Community Services Subject: Annual Report on the Ronald V. Dellums Fair Chance Access to Housing Ordinance

INTRODUCTION
This report is to provide the required annual report on the City of Berkeley’s Ronald V.

Dellums Fair Chance Access to Housing Ordinance activities between April 14, 2020 and December 31, 2022.

CURRENT SITUATION AND ITS EFFECTS
The Ronald V. Dellums Fair Chance Access to Housing ordinance was adopted on April 14, 2020. The ordinance prohibits rental housing providers from considering criminal history in making rental housing decisions or selecting tenants (BMC 13.106). The City of Berkeley contracted with the community-based organization Just Cities and the Berkeley Rent Stabilization Board to assist with ordinance implementation, outreach, and audits.

Implementation
Department of Health, Housing, and Community Services’ Housing and Community Services Division (HHCS/HCS) staff worked with Just Cities to produce educational and reporting materials as required by Berkeley Municipal Code (BMC) Chapter 13.106.050, including:
 Notice to rental property owners
 Notice to applicants and tenants
 Frequently Asked Questions (FAQ) for formerly incarcerated people and their family members
 FAQ for housing providers
 Annual reporting form for affordable housing providers Rent Stabilization Board counselors were trained to educate property owners and tenants and to respond to complaints. HHCS/HCS and Rent Board established a dedicated Fair Chance webpage with educational materials and resources:

Ronald V. Dellums Fair Chance Access to Housing Ordinance Annual Report INFORMATION CALENDAR May 9, 2023

https://rentboard.berkeleyca.gov/Fair_Chance#:~:text=The%20Fair%20Chance%20Acc ess%20to,process%2C%20or%20decision%2Dmaking.

Outreach
Just Cities conducted six outreach efforts to provide community education about the Fair Chance Housing ordinance. The target audiences were formerly incarcerated people and their family members, re-entry service partners, and rental housing providers. Key outreach and education milestones are highlighted in the Table 1.

Table 1. Fair Chance Housing Outreach Campaign-Detailed Reporting Information Outreach
Type Details Total Views/
Impressions
Street
Outreach
- Flyer/brochure distribution through 1-1 community
education, community gatherings, events, and drop offs
at the following organizations: The Berkeley Food Pantry, Berkeley Food Network, Dorothy Day House: Berkeley
Community Resource Center, BFHP Community Meal,
Berkeley Adult School
- Distributed postcards at 15 community gatherings,
events, and resource distribution centers
531
Social Media
Outreach
- Social media campaign featured the “Where Do I Go?”
music video by Hip Hop for Change on Facebook, Twitter, Instagram
746
Group/ Events
Outreach
- Multiracial re-entry network groups
- Berkeley street outreach was conducted including at Ashby Flea Market
5,565
Print Media
Outreach
- Printed PSA ads were published in the Oakland Post, East Bay Times: Berkeley Voice, and East Bay Express
33,244
Trainings/
Webinars
- Three trainings were held for landlords in partnership with Rent Board, City of Berkeley, and Berkeley Property Owners Association
- Two trainings were held for formerly incarcerated
individuals and their families in partnership with Berkeley Tenants Union, Underground Scholars, and All of Us or
None.
74 Public
Advertising
- Five bus shelter ads were displayed during 5/9-6/19/22 at:

University Ave & San Pablo Ave, Sacramento St & Ashby
Ave, Ashby Ave & Adeline St, Shattuck Ave & Parker St, San Pablo Ave & University Ave
2,245,200
estimated
TOTAL 2,285,360*
*40,160 excluding bus shelter ad viewership.

Ronald V. Dellums Fair Chance Access to Housing Ordinance Annual Report INFORMATION CALENDAR May 9, 2023

Audits
Just Cities conducted two email audits, during the summers of 2020 and 2021, to examine the impact of the ordinance on rental housing providers in Berkeley and Oakland. The audits identified that housing providers responded differently to testers with a criminal history and to testers who had a perceived Black name.

In 2020, 71% of respondents operated in compliance with the of the Fair Chance Housing ordinance. In 2021, the sample demonstrated 66% of respondents operated in compliance. This demonstrates the majority of housing providers in Berkeley are not considering criminal history in making rental housing decisions or selecting tenants.

However, additional outreach may be effective to close the gap of reported violations.

The response rate for housing providers from the City of Berkeley was 67% across both years.

Reported Violations
The City contracted with the Rent Board for ordinance administration and enforcement.

The Rent Stabilization Board reported no filed complaints during the contract period.

Implementation and outreach activities for the Ronald V. Dellums Fair Chance Housing ordinance is a Strategic Plan Priority Project; advancing our goal to create affordable housing and housing support services for our most vulnerable community members.

BACKGROUND
Formerly incarcerated people face many structural barriers, including access to housing. This increases the risk of recidivism, furthering the cycle caused by an inequitable criminal justice system. The Ronald V. Dellums Fair Chance Access to Housing ordinance was adopted on April 14, 2020. The ordinance prohibits rental housing providers from considering criminal history in making rental housing decisions or selecting tenants (BMC 13.106).

ENVIRONMENTAL SUSTAINABILITY AND CLIMATE IMPACTS
There are no environmental impacts associated with the outcomes of this report.

POSSIBLE FUTURE ACTION
Council may consider funding the Rent Stabilization Board and/or a community-based organization to continue implementation, education, outreach, and monitoring efforts.

The City contracted with the Rent Stabilization Board to support policy implementation, counseling, and administrative determinations/hearings. The City previously contracted with Just Cities to provide education and outreach.

HHCS/HCS does not have staff capacity for the outreach, counseling, and administrative support required to implement the ordinance. Staff recommend a continuation of the contract with the Rent Stabilization Board to ensure proper service to the community.

Ronald V. Dellums Fair Chance Access to Housing Ordinance Annual Report INFORMATION CALENDAR May 9, 2023

FISCAL IMPACTS OF POSSIBLE FUTURE ACTION
The City contracted with the Rent Stabilization Board for staff time dedicated to outreach and administration at a cost of $115,850 for one year. The City contracted with Just Cities for education and outreach at a cost of $35,000 over two years. Council may consider funding for staff time or a community-based organization to continue education, outreach, and monitoring.

CONTACT PERSON
Mariela Herrick, Community Development Project Coordinator, HHCS, 510-981-5424 Attachments:
1: Just Cities Year 1 & 2 Audit Report

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
DATE: January 13, 2023
TO: City of Berkeley Officials
FROM: Margaretta Lin, JD, MA, Executive Director & Report Co-Author; Mariel Mendoza, MPH, MPP, Dellums Policy Justice Fellow & Report Co-Author; Dan Lindheim, PhD, JD, MCP, MPH, Report Advisor
SUBJECT: Reporting results from email correspondence audit study assessing racial profiling and discrimination against applicants with criminal records ______________________________________________________________

SUMMARY
Funded by the City of Berkeley, Alameda County, and private foundations, Just Cities conducted two email audits in the Summers of 2020 and 2021 examining the impact of new Fair Chance Housing Ordinances on rental housing providers in Berkeley and Oakland. This audit revealed that a considerable number of housing providers across both cities responded differently to testers with a criminal history, or with a perceived Black name. These audits found that 71% of Berkeley and Oakland housing providers audited in 2020 and 66% in 2021 were in compliance with Fair Chance Housing ordinances. An analysis found that this difference in ordinance compliance rates from 2020 and 2021 were not statistically significant. Community outreach, education and housing provider education, including notices sent by the Cities of Berkeley and Oakland to housing providers, may be instrumental in these findings. .

However, the audits also suggest the need to continue and expand both outreach and education, as well as strategic enforcement and regulation to both sustain and improve the policy implementation outcomes.

The Year 1 audit conducted in the Summer of 2020 sent rental inquiry emails to housing providers from 3 profiles to assess for potential discrimination on the basis of race and criminal history in the rental market.

The results of these emails, or tests, were organized into 4 categories that highlight the extent (if any) of discriminatory behavior by the housing provider. The Year 2 audit used the same method to assess for discrimination in 2021, plus included an additional email test between two Black profiles to provide more insight into potential differential treatment on the basis of criminal history for Black inquirers. 1

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
The results of the 2020 audit suggest that housing providers showed potentially discriminatory behavior on the basis of criminal history in 23% of tests across both cities, which may have violated Fair Chance Housing ordinances. Potential discrimination on the basis of race, where housing providers showed preferential treatment of White inquiries over Black inquiries, was found in 3% of tests conducted across both cities. Differential treatment on the basis of both race and criminal history was found in 6% of tests across both cities.

The results of the 2021 audit suggest that housing providers potentially showed discriminatory behavior on the basis of criminal history in 22% of tests across both cities, potentially violating Fair Chance Housing Ordinances. In 2021, discriminatory behavior on the basis of race was found in 6% of tests conducted across both cities. Differential treatment on the basis of both race and criminal history was found in 12% of tests across both cities. However, when testing only between Black testers (one with a criminal history and one without) in Test II, the 2021 audit found that housing providers showed differential treatment on the basis of criminal history in 28% of tests across both cities. Interestingly, responses were higher for the inquiries sent from a Black tester with a criminal record (35%). While this may be partially attributed to the order in which inquiries were sent, future audits will be able to shed more light on this finding. There was no statistically significant difference between 2020 and 2021 results, with the exception of housing providers potentially engaging in differential treatment on the basis of both criminal history and race, which increased from 6% to 12% across both cities in 2021. 2

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
2020 LANDLORD AUDIT STUDY (YEAR 1)

INTRODUCTION
Many formerly incarcerated people encounter discrimination in finding housing upon release. Research and lived experiences evidence that this discrimination is worse for racial minorities. This may lead to severely limited economic opportunity, thereby increasing the chances of recidivism.1 In early 2020, Just Cities and the Alameda County Fair Chance Housing Coalition successfully led the passage of Fair Chance Access to Housing Ordinances in Oakland and Berkeley. The effective dates were February 2020 and April 2020, respectively. However, a grace period of 6 months was originally provided in Berkeley and Oakland, which means that while housing providers were required to follow the ordinances, any housing providers that violated the ordinance during the grace period would not be legally liable unless the City had first issued a prior warning. In the city of Berkeley, because of COVID-19, the grace period was extended from September 2020 to January 2021. These grace periods gave housing providers time to learn about the new laws and provided time for the cities to create implementation systems, including FAQSs and complaint forms.

The purpose of this audit study was to create a baseline for current levels of discrimination on the basis of criminal history and race in the rental housing market. A separate participatory impact evaluation study of the Fair Chance Housing laws in Oakland and Berkeley involving qualitative and quantitative research is also being conducted.

Given COVID-19 and shelter-in- place requirements, this audit study was conducted by email.

Differences in response and type of response to written inquiries of online rental listings were used to assess discriminatory behavior on the basis of criminal history and race. While these profiles were created with the idea of being prospective rental applicants, they are referred to as “inquirers” or “testers” throughout this report. The audit employed a test that included a White male inquirer with a criminal history, a Black male inquirer without a criminal history, and a White male inquirer without a criminal history. This is the first in a series of audit studies seeking to track changes in housing provider responses over time.
1 Clark, V .A. (2015). The Effect of Community Context and Post-Release Housing Placements on Recidivism:

Evidence from Minnesota. Minnesota Department of Corrections. 3

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report

METHODOLOGY
Listings and Scope
The audit included Craigslist posts for rental properties in Berkeley and Oakland, as well as listings posted directly on property managers' websites. All available Craigslist listings were pulled using an online web-scraper over the course of two one-week periods, and inquiries were sent within four days of their posting. Duplicate listings were removed, and only one listing per housing provider was inquired about to avoid sending multiple inquiries to single property managers or landlords. The testing team then sent inquiries to the 306 eligible listings (183 listings in Oakland, and 123 listings in Berkeley). The team received a total of 212 responses; with a 71% response rate from Oakland housing providers, and a 67% response rate from Berkeley housing providers.

Test Design and Applicant/Tester Profiles
Three profiles were created for this email audit:
1) a White male inquirer with a self-disclosed criminal history, 2) a Black male inquirer without a criminal history, and 3) a White male inquirer without a criminal history.

The email inquiries sent by the first inquirer (White male with a criminal history) included direct language acknowledging that they are formerly incarcerated: “I have a criminal record, but have been at my job for over 5 years, have stable income, great credit, roommate and landlord references, and have rented in the Bay Area for many years.”
Name Generation Methodology
Names were selected using census and birth record data to signal race by selecting first and last names with high frequency of use for White and Black racial categories. “Black” and “White” appearing last names were randomly generated using 2000 Census data on last names with the greatest likelihood by race. Considering the findings of Gaddis (2017), the first names with highest perception rates of race were pulled and matched with last names in corresponding racial categories.2 10 names were generated from each racial category and then each name was matched with the same template response message to lessen 2 Gaddis, S. Michael. 2017. “How Black Are Lakisha and Jamal? Racial Perceptions from Names Used in Correspondence Audit Studies.” Sociological Science 4: 469-489. 4

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
chances of detection. An email address was generated for each inquirer. Profiles were created for each inquirer that described their occupation and incomes, which were at least 3 times the asking rent.

Conducting Tests
The testers inquired about listings (Craigslist, Zillow, Apartments.com, and individual property manager’s websites/portals) posted between August 24-31 within a specific price range. ● The price threshold was $1,500 for 1 bedrooms/studios, $2,500 for 2 bedrooms, and $3,500 for 3+ bedrooms.3
An email inquiry was sent from the first profile (White male with a criminal history) email account, within 24 hours email inquiries were sent from the second and third inquirers (Black male without a criminal history and White male without a criminal history, respectively). Responses were tracked and organized on a centralized spreadsheet. The categorization of responses are described in detail below.

Categorization of Results
Due to the nature of this study using email inquiries rather than actual rental application submissions, we cannot definitively say that housing providers acted discriminatory against any inquirers. Therefore, outside of the “No Differential Treatment” category, these results demonstrate the potential to show discriminatory behavior in the following categories:
● No Differential Treatment: All testers received the same response. ● Differential Treatment on the basis of Criminal History and/or Potential Violation of Fair Chance Housing Ordinance:
○ Only inquirers without criminal histories received responses. ○ Housing providers inquired about the nature of the criminal history ○ and/or housing providers stated that the criminal history would impact their application ○ and/or application materials state no criminal history accepted ○ and/or advertised listing states no criminal history accepted. ● Differential Treatment on the basis of Race:
○ Only White inquirers, with or without a criminal history, received a response. 3 These rent levels were decided on through focus group sessions with impacted residents and policy and outreach leaders and using local median rent prices.
5

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
● Differential Treatment on the basis of Criminal History AND Race:
○ Only the White inquirer without a criminal history received a response ○ OR the White inquirer without a criminal history received a response, but the White inquirer with a criminal history received a conditional response. For example, the white inquirer with a criminal history would be asked more about their criminal history and/or told it would affect their application.

YEAR 1 (2020) RESULTS
Review of Rental Housing Advertisements
Six Berkeley listings out of the 123 reviewed listings (4%) had clear violations of the Fair Chance Housing Ordinances on advertisements or applications. Three applications had questions related to providing background checks on the application, while 3 advertisements had questions about consenting to a background check on the website platform.

Six Oakland listings out of the 183 reviewed listings (3%) had advertisement or application violations.

These applications all included a question about consenting to a background check.

Email Testing
Inquiries were sent to a total of 306 rental listings. Inquiries in Berkeley received 82 responses, and inquiries in Oakland received 130 responses (total of 212), for a total response rate of 69%. The following results are based upon an assessment of the 212 responsive tests across Berkeley and Oakland. ● 147 tests out of 212 tests (69%) are categorized as “No differential treatment,” where inquiries received the same response across all 3 profiles.
● In 66 tests (31%) there was some form of differential treatment: 1) 23% of tests were categorized as “differential treatment on the basis of criminal history”, 2) 3% of tests were coded as “differential treatment on the basis of race,” 3) and 6% of tests were categorized as “differential treatment on the basis of both race and criminal history.” The full details of the test results are provided below.

Differential Treatment on the Basis of Criminal History and/or Potential Violations of the Fair Chance Housing Ordinance
6

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Potential violations of Fair Chance Housing law found during the audit study include: housing providers asking inquirers to disclose their specific criminal history; not responding to inquiries sent from profiles with criminal histories while responding to inquiries from profiles that do not disclose a criminal history; asking inquirers if they have a criminal history on their application forms, asking for consent to run a background check; or advertising that people with a criminal record cannot apply. An average of 23% of tests across both cities met at least one of these criteria; 20% of tests in Berkeley and 24% of tests in Oakland.

Specifically, 8 housing providers in Berkeley and 4 in Oakland asked inquirers to provide more information or elaborate on their criminal history. These 12 housing providers still offered virtual/in-person tour options. However, these providers made it clear that criminal history was a decision factor for them. Additionally, 6 housing providers in Berkeley and 17 in Oakland did not respond to inquirers that disclosed having criminal histories, but did reply to both Black and White testers without criminal histories. It is unclear if housing providers knew that the Fair Chance Housing ordinance had passed.

Differential Treatment on the Basis of Race
Out of the 212 responses received across both Oakland and Berkeley, 6 (3%) suggest housing providers showed differential treatment on the basis of race. In both Berkeley and Oakland, 3 housing providers responded only to the White inquirers with and without a criminal history, while not responding to the Black inquirer that did not disclose having a criminal history.

Differential Treatment on the Basis of Both Criminal History and Race Across both cities, 12 (6%) tests suggest housing providers showed differential treatment on the basis of both criminal history and race. In 4 Berkeley tests and 8 Oakland tests, housing providers gave preference to the White inquirer with no criminal history over the other inquirers. This mainly showed up as housing providers only responding to the White tester without a criminal history, and ignoring other inquiries. This also included cases in which providers followed up more persistently with the White inquirer without a record compared to the other testers.
7

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Table 1: 2020 Rental inquiry responses in Berkeley and Oakland by type of response Berkeley Oakland TOTAL
Number of
Tests
Percent Number of
Tests
Percent Number of
Tests
Percent
No differential treatment 58 72% 88 68% 146 69%
Differential treatment
(criminal history alone)/
Potential Violation of FCH
Ordinance
17 20% 31 24% 48 23%
Differential treatment (race) 3 4% 3 2% 6 3%
Differential treatment
(criminal history and race)
4 5% 8 6% 12 6%
TOTAL TESTS 82 130 212
*Percent values rounded to nearest whole percent
Berkeley Response Rate: 82/123= 67%
Oakland Response Rate: 130/183= 71%

LIMITATIONS
For various reasons, there are limitations in the design and outcome of this study. First, the team was limited to conducting an email correspondence audit under the circumstances caused by the COVID-19 global pandemic. This type of (pre-application) rental inquiry may underestimate the true degree of discrimination. Since this audit did not test the same housing provider more than once, there may be a sampling bias over-weighting smaller housing providers versus larger landlords, which may have dozens of properties for lease at once. In our testing for differential treatment on the basis of race, we relied heavily on providers to associate names with Blackness or Whiteness. Although names were chosen that statistically signal race strongly based on census and birth record data (a common racial audit feature), individual landlords or property managers may not have made associations between names and race for 8

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
any number of reasons. Similarly, while comparable income and education levels were implied across all profiles through email inquiries, housing providers’ may make different individual associations when considering the profiles of these inquirers.

Additionally, the COVID-19 crisis has affected the entire rental housing market, which has continued to change as the pandemic progresses. COVID-19 caused financial strain on many tenants and housing providers. As a result, providers may have expedited their rental application process, loosened their typical restrictions to quickly find tenants, or reacted in other ways to assure their income. Further, racial justice movements sweeping across the country beginning in June 2020 may have shifted providers’ consciousness or decision making processes. However, it should also be noted that responses to inquiry emails asking for tours or more information do not equate to rental housing offers nor do they offer insight into which inquirers receive priority. This pre-application testing does not indicate whether a housing provider would actually rent a property to applicants with a criminal record when given the option of renting to a similarly qualified applicant without a criminal record.

CONCLUSIONS AND NEXT STEPS
The results of the Year 1 audit indicate that in roughly 71% of cases, housing providers in Berkeley and Oakland did not demonstrate potential discriminatory behavior on the basis of criminal history. This suggests that many housing providers in Berkeley and Oakland may not consider criminal history as an important factor in making rental housing decisions or selecting tenants who will pay rent in a timely manner and upkeep their rental unit. However, there remained a considerable level of potentially discriminatory behavior on the basis of criminal history and race across the two cities (29% of tests).

Particularly noticeable were potential violations of the Fair Chance Housing Ordinances in 20% of tests in Berkeley and 24% of tests in Oakland.

As an organization rooted in principles of transformative justice, Just Cities will continue to work closely with housing providers in Berkeley and Oakland to engage in landlord education and strategies to address discriminatory perceptions of people who have criminal histories. Just Cities has been and will continue to conduct informative webinars with housing providers, inclusive of private landlords and property managers, affordable housing providers, Section 8 landlords, and housing authorities in Berkeley and Oakland. Just Cities seeks to engage housing providers in amicable dialogue and education to meet the ultimate goal of providing people with criminal histories fair access to housing. 9

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
2021 LANDLORD AUDIT STUDY (YEAR 2)

INTRODUCTION
Similarly to 2020, the audit conducted in 2021 was designed as an email correspondence audit due to COVID-19 and social-distancing recommendations. Differences in response and type of response to written inquiries to online rental listings were used to assess discriminatory behavior on the basis of criminal history and race. In both years, the audit employed a test that included a White male inquirer with a criminal history, a Black male inquirer without a criminal history, and a White male inquirer without a criminal history. While this was the sole test conducted in 2020, it is referred to as “Test I” in the 2021 study. The 2021 audit includes an additional test, referred to as Test II. Test II tested between two Black male inquirers, one with and one without a criminal history. This allows researchers to parse out when discriminatory behavior was primarily on the basis of race or criminal history. While these profiles were created with the idea of being prospective rental applicants, they are referred to as “inquirers” or “testers” throughout this report.

METHODOLOGY
Listings and Scope
The audit covered Craigslist posts for properties in Berkeley and Oakland. All available Craigslist listings were pulled using an “scraping” tool over the course of four one-week periods, and inquiries were sent to housing providers within 3 days of their posting. Duplicate listings were removed, and only one listing per housing provider was inquired about to avoid sending multiple inquiries to single property managers or landlords. The testing team then sent inquiries to the 348 eligible listings (199 listings in Oakland, and 149 listings in Berkeley). The team received a total of 199 responses for a response rate of 57%; 126 (63%) from Oakland housing providers, and 73 (49%) from Berkeley housing providers.

Test Design & Applicant/Tester Profiles
Test I: Three profiles were created for this email audit: 1) a White male inquirer with a self-disclosed criminal history, 2) a Black male inquirer without a criminal history, and 3) a White male inquirer without a criminal history. The email inquiries sent by the first inquirer (White male with a criminal history) 10

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
included direct language acknowledging that they are formerly incarcerated: “I want to be upfront- I have a criminal record, but I have been at my job for over 5 years, have good credit, and can provide references.”
Matching 3 profiles allowed for insight into whether race and/or criminal history affect a housing provider’s decisions to respond to a rental inquiry. Specifically, it allowed for the team to determine if there was a difference in response on the basis of race by examining the responses to White vs. Black inquirer without criminal histories, as well as if there is a difference in response on the basis of criminal history by examining the response to the White inquirer with a criminal history, and the one without.

Test II: Two profiles were created for this email audit: 1) a Black male inquirer with a self-disclosed criminal history and 2) a Black male inquirer without a criminal history. The email inquiries sent by the first inquirer (Black male with a criminal history) included direct language acknowledging that they are formerly incarcerated: “To be transparent, I am formerly incarcerated- I am happy to provide any professional or personal references.” Testing directly between a Black inquirer with a record and a Black inquirer without a record provides insight into differential treatment on the basis of criminal history for Black applicants.

Name Generation Methodology
Names were selected using census and birth record data to signal race by selecting first and last names with high frequency of use for White and Black racial categories. “Black” and “White” appearing last names were randomly generated using 2000 Census data on last names with the greatest likelihood by race. Considering the findings of Gaddis (2017), the first names with highest perception rates of race were pulled and matched with last names in corresponding racial categories.4 Ten names were generated from each racial category and were assigned with the same template response message to lessen chances of detection. A unique email address was generated for each inquirer. Profiles were created for each inquirer that described their occupation and incomes, which were at least 3 times the asking rent.

Conducting Tests
● Eligible listings were randomly divided into 2 equal sized groups for Test I and Test II. 4 Gaddis, S. Michael. 2017. “How Black Are Lakisha and Jamal? Racial Perceptions from Names Used in Correspondence Audit Studies.” Sociological Science 4: 469-489. 11

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
● Email inquiries were sent to listings within the specified price range for studios, 1 BR, 2BR, and 3+ BR apartments.
● The price threshold was $2,000 for 1 bedrooms/studios, $3,000 for 2 bedrooms, and $4,000 for 3+ bedrooms.5
Test I: An email was sent from the first inquirer (White male with a criminal history) email account, followed by an email inquiry from the second and third inquirers (Black male without a criminal history and White male without a criminal history, respectively) within 24 hours.

Test II: An email from the Black inquirer with a criminal history was sent, followed by an email inquiry (within 24 hours) from the account of the Black inquirer without a criminal history.

Responses were collected on a centralized spreadsheet where team members could track when someone was actively working on a rental inquiry for a listing (to avoid duplicates). The categorization of responses are described in detail below.

Categorization of Results
The outcomes of the email inquiries were organized into the categories listed below. Due to the nature of this study using email inquiries rather than actual housing applications, we cannot definitively say that housing providers acted discriminatory against any inquirers. Therefore, outside of the “No Differential Treatment” category, these results demonstrate the potential to show discriminatory behavior in the categories described below.

Test I: The responses to inquiry emails were categorized into the following:
● No Differential Treatment: All inquiries received the same response. ● Differential Treatment on the Basis of Criminal History and/or Potential Violation of Fair Chance Housing Ordinance:
○ Only inquirers without criminal histories received responses ○ Housing providers inquired about the nature of the criminal history; ○ And/or housing providers stated that the criminal history would impact their application; ○ And/or application materials state no criminal history accepted; ○ And/or advertised listing states no criminal history accepted. 5 These rent levels were decided on through focus group sessions with impacted residents and policy and outreach leaders and using local median rent prices.
12

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
● Differential Treatment on the Basis of Race:
○ Only White inquirers, regardless of criminal history, received a response. ● Differential Treatment on the Basis of Criminal History AND Race:
○ Only the White inquirer without a criminal history received a response ○ OR the white inquirer without a criminal history received a response, but the White inquirer with a criminal history received a conditional response. ■ For example, the White inquirer with a criminal history would be asked more about their criminal history and/or told it would affect their application.

Test II: The responses to inquiry emails were categorized into the following:
● No differential treatment:
○ All inquirers received the same response.
● Differential Treatment on the Basis of Criminal History and/or Potential Violations of the Fair Chance Housing Ordinance:
○ Only inquirer without a criminal history received a response; ○ And/or housing providers inquired about the nature of the criminal history; ○ And/or stated that the criminal history would impact their application; ○ And/or application materials state no criminal history accepted; ○ And/or advertised listing states no criminal history accepted. ● Housing Provider Only Replied to Inquirers Who Disclosed Having a Criminal Record:
○ Only the first inquirer, the Black male who disclosed having a criminal history received a response, while the inquirer without a criminal history did not receive a response.

RESULTS
Review of Rental Housing Advertisements
Three Berkeley listings out of the 149 reviewed listings (2%) had advertisement or application violations; one advertisement stated a “Clean criminal record” was required. Two applications included a question on criminal history.

Four Oakland listings out of the 199 reviewed listings (2%) had advertisement or application violations.

One advertisement stated "Credit/background check + references required." One advertisement stated:
"Application fee details: $35 - Background check/etc." Two reviewed applications included a question 13

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
asking potential applicants about drug related convictions. These findings were not found to be significantly different from year 1 results.

Email Testing
Inquiries were sent to a total of 348 eligible listings. Inquiries in Berkeley received 73 responses, and inquiries in Oakland received 126 (total of 199), for a total response rate of 57%. The following results are based upon an assessment of the 199 responsive tests across Berkeley and Oakland.

For Test I across Berkeley and Oakland:
● In 72 tests (60%), there was no suggestion of differential treatment between the inquiries sent for all 3 profiles.
● In 49 tests (40%) there was some suggestion of differential treatment: 22% of tests suggest differential treatment on the basis of criminal history, 6% suggest differential treatment on the basis of race only, and 12% of tests suggest differential treatment on the basis of both criminal history and race.

For Test II, across Berkeley and Oakland:
● In 29 tests (37%) there was no suggestion of differential treatment between the two inquiries. ● In 22 tests (28%) there was indication of differential treatment on the basis of criminal history, possibly in violation of the Fair Chance Housing Ordinance. In 27 tests (35%), housing providers responded only to the inquirer who sent an inquiry first, disclosing their criminal history.

Test I Results
Differential Treatment on the Basis of Criminal History and/or Potential Violations of the Fair Chance Housing Ordinance
Violations of Fair Chance Housing law found during the audit study included housing providers asking inquirers to disclose their specific criminal history, not responding to inquiries sent from profiles disclosing criminal histories while responding to inquiries from profiles that did not have a criminal history, asking inquirers if they have a criminal history on application forms, asking for consent to run a background check, or advertising that people with a criminal record cannot apply. 23% of total tests in Berkeley and 22% of tests in Oakland resulted in a response meeting these criteria, for an average of 22% across both cities.

Differential Treatment on the Basis of Race
14

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Across Berkeley and Oakland, 7 out of 121 tests (6%) suggested differential treatment on the basis of race; with 6 of these being in Oakland. In these tests, the housing provider responded to the inquirers with White-perceived names, but not to the testers with Black-perceived names. This raises concerns about civil rights violations across a small, but considerable portion of renters.

Differential Treatment on the Basis of Both Criminal History and Race In 10 Berkeley tests (23%) and 5 Oakland tests (6%), housing providers gave preference to the White inquirer without criminal history over the Black inquirers without a criminal history and the White inquirers with a criminal history. This was demonstrated by housing providers only responding to the White inquirer without a criminal history, and ignoring the other inquiries. Cases where housing providers responded most preferentially to the White inquirer without a record were also included in this category.

For example, in one test a housing provider only responded to the White inquirer, but still requested additional information for the White inquirer with the criminal history. In another test, a housing provider did not respond to the White tester disclosing a criminal history, but responded to the White inquirer without a criminal record stating that they would be “a perfect fit for our community.” Yet their response to the Black inquirer did not include any comments on “fit” or desirability of the inquirer.

Meaningful Differences Between Year 1 and Year 2
When comparing the rates of housing providers that responded to all 3 profiles the same (“No differential treatment”), the research team found no significant difference in the proportion of housing providers in this category across both years of the audit. In year 1 approximately 69% of housing providers showed no differential treatment across profiles, while this proportion fell to 60% in year 2 (test 1). The statistical analysis between the year 2 and year 1 results show that the difference was not statistically significant.6 However, the same analysis did conclude that there was a statistically significant increase in the proportion of providers that showed potentially discriminatory behavior in the “Differential Treatment on the Basis of Criminal History and Race” category from year 1 to year 2.7 However, since so few tests fell into this category, this may be a reflection of working with a limited sample size. Comparisons from the year 1 and year 2 audit must be made with caution, given the changing circumstances of the COVID-19 pandemic. Other constraints are described in the Limitations section. 7 ibid.
6 For statistical analysis details, see Appendix
15

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Test II Results
These results are based on inquiries utilizing two “Black” profiles, one with a criminal record and one without a criminal record. There were a total of 78 housing provider responses assessed.

Differential Treatment on the Basis of Criminal History and/or Violations of Fair Chance Housing Ordinance
In 28% of total tests in Berkeley and 29% of tests in Oakland, responses to inquiries met the criteria for differential treatment on the basis of criminal history, for an average of 28% across both cities. This mainly included instances where housing providers only responded to the Black inquirer without a criminal history, and did not respond to the Black inquirer with a criminal history.

Housing Provider Only Replied to Applicants Who Disclosed Having a Criminal Record In 35% of tests across Berkeley and Oakland, the Black male inquirer who disclosed a criminal history received a response but not the Black inquirer without a criminal record. This was more often the case in Berkeley, with 45% of total tests reflecting this situation, while Oakland had 29% of tests with this situation. A portion of these responses may be explained by the order in which these inquiries were sent.

Inquiries were sent from the profile with a criminal record before inquirers without a criminal record.

Since both inquirers in this test were Black, housing providers may have relied more on timing when responding to email inquiries than in other tests. This preference due to timing is limited in the design of Test I, where the white inquirer without a criminal history is the last to inquire about the rental listing (sent after white inquirer with a criminal history and the Black inquirer without a criminal history).

Additionally, the response rate in this test (40% in Berkeley and 52% in Oakland) was substantially lower than the response rate for test 1 (57% in Berkeley and 74% in Oakland). This lower response rate alone may signal something about housing providers preferences in responding to rental inquiries. 16

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Table 2: 2021 Test I Results (3 Stage Sandwich Test)
Berkeley Oakland TOTAL
Number of
Tests
Percent Number
of Tests
Percent Number of
Tests
Percent
No differential treatment 23 52% 49 64% 72 60%
Differential treatment
(criminal history)/ Violation of
FCH Ordinance
10 23% 17 22% 27 22%
Differential treatment (race) 1 2% 6 8% 7 6%
Differential treatment
(criminal history and race)
10 23% 5 6% 15 12%
TOTAL TESTS 44 77 121
*Percents values rounded to nearest whole percent
Berkeley Response Rate: 44/77= 57%
Oakland Response Rate: 77/104= 74%
17

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Table 3: 2021 Test II Results (2 Stage Test) (Only 2 Testers: Both “Black”, 1 with a criminal record and 1 without)
Berkeley Oakland TOTAL
Number of
Tests
Percent Number
of Tests
Percent Number of
Tests
Percent
No differential treatment 8 28% 21 43% 29 37%
Differential
treatment(criminal history)/
Violation of FCH Ordinance
8 28% 14 29% 22 28%
Housing Provider only replied
to applicant who disclosed
having a criminal record
13 45% 14 29% 27 35%
TOTAL TESTS 29 49 78
*Percent values rounded to nearest whole percent
Berkeley Response Rate: 29/72= 40%
Oakland Response Rate: 49/95= 52%

LIMITATIONS
First, the team was limited to conducting an email correspondence audit under the circumstances caused by the COVID-19 global pandemic, and pre-application testing underestimates the degree of discrimination. Since this audit did not test the same housing provider, there may be a sampling bias over-weighting smaller housing providers versus larger landlords, which may have dozens of properties for lease at once. Responses to inquiry emails asking for tours or more information do not equate to rental housing offers nor do they offer insight into which applicants receive priority. In our testing for differential treatment on the basis of race, we relied heavily on renters to associate names with Blackness or Whiteness. Although names were chosen that statistically signal race strongly based on census and birth record data (a common racial audit feature), individual landlords or property managers may not have made associations between names and race for any number of reasons. Similarly, while comparable income and education levels were implied across all profiles through email inquiries, housing providers’ may make different individual associations when considering these applicants. 18

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Results from Audit Year 2 cannot be fully and directly compared to the results of Audit Year 1, largely given the fast changing circumstances of the COVID-19 pandemic. The testing team was still limited to conducting email correspondence testing; however, vaccinations and eased COVID-19 restrictions may have made it easier and more common for real-world applicants to attend open houses.

COVID-19 caused an immense amount of financial strain on tenants and housing providers. By 2021, housing providers may have expedited their rental application process, loosened their typical restrictions to quickly find tenants, or reacted in other ways to assure their income during uncertain times.

Additionally, tenants who moved out of the Bay Area in 2020 due to the pandemic may have started moving back in 2021. Also, the lifting of COVID-19 restrictions may have resulted in additional people moving to Oakland or Berkeley (for example, college students who left/delayed a move due to the pandemic may have returned for in-person school). Further, racial justice movements have persisted across the country since June 2020. It remains possible that housing providers may be making conscious decisions on the basis of racial justice issues and discrimination as a reaction to these events. However, this type of pre-application interaction with housing providers is very limited, and does not indicate whether or not a housing provider would actually rent the property to applicants with a criminal record when given the option of renting to a similarly qualified applicant without a criminal record.

CONCLUSIONS AND NEXT STEPS
The results of both tests in this audit indicate that some housing providers continue to potentially discriminate against Black rental inquiries and inquiries from people with criminal histories to varying degrees.

Test I suggests that some Berkeley and Oakland housing providers practice differential treatment in inquiries from people with a criminal history in 22% of cases. This audit also suggests a smaller, yet considerable number of housing providers treated inquirers differently on the basis of race in 6% of rental inquiries across these cities. Furthermore, 23% of tests in Berkeley and 6% of tests in Oakland suggest housing providers practiced differential treatment on the basis of criminal history and race during this initial stage of rental inquiry. This is a troubling finding concerning the welfare of prospective renters of color or those with criminal histories in an already heavily competitive housing market. While 60% of tests suggest there were no instances of differential treatment, including race alone, 40% of any sort of differential treatment, including based upon race alone, is far too high. 19

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Test II results matching Black profiles with and without criminal backgrounds provided further revealing results. Just 37% of tests across both cities indicated no instances of differential treatment. Together, 28% of tests in Berkeley and Oakland resulted in potential differential treatment against the inquirer with a criminal history. Housing providers were more likely to respond to “Black” inquirers when they disclosed having a criminal history (35%). One way of interpreting this finding is that housing providers may feel that prospective applicants choosing to disclose their histories may come across as more “trustworthy,” but it is possible that there are other factors that may better explain this finding.

While this study may highlight instances of discrimination that may be considered less “overtly discriminatory,” it is important to note that a considerable number of housing providers continue to make discriminatory decisions despite the passage of civil rights legislation and Fair Chance ordinances.

Applicants of color, and especially those with a criminal history, will continue to face an uphill battle when searching for housing, despite having a deck already stacked against them.

As an organization rooted in principles of transformative justice, Just Cities will continue working closely with housing providers in Berkeley and Oakland to engage in landlord education strategies to address discriminatory perceptions of people who have criminal histories. Just Cities has been and will continue to conduct informative webinars with housing providers, inclusive of private landlords and property managers, affordable housing providers, Section 8 landlords, and housing authorities in Berkeley and Oakland. Just Cities seeks to engage housing providers in amicable dialogue and education to meet the ultimate goal of providing people with criminal histories fair access to housing.

ACKNOWLEDGEMENTS
For support on audit design and best practices, the Just Cities audit team consulted with several organizations: the Eden Council for Hope and Opportunity (ECHO Housing), Fair Housing Advocates of Northern California, National Housing Law Project, and California Affordable Housing Law Project. We are especially grateful to the support from Angie Watson-Hajjem from ECHO Housing for her extensive guidance throughout our planning and audit process. In addition, we would like to thank Victoria Haworth, former Policy Research Associate with Just Cities for her dedication and care on the audit study. 20

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report

APPENDIX
* Statistical Analysis
Two-proportion Z-tests were used to assess for meaningful variations in Year 1 and Test I of Year 2. An alpha (𝛼) of .05 is used to determine significance. The results of this analysis are summarized in Table A below. The only statistically significant variation in results between year 1 and year 2 (Test I) is in the proportion of housing providers that fell into the category “Differential Treatment on the basis of Criminal History and Race.” Two separate statistical analyses were conducted in order to strengthen the analysis:
1) a two-proportion z-test on all responses from year 1 and year 2 ( Table A); and 2) a two-proportion z-test on a randomly selected sub-sample of responses (Table B). For the analysis in Table B a random sample of all provider responses (which were assigned unique numbers) was taken using a random number generator. A 2 proportion Z-test was then conducted using the responses corresponding to the randomly generated numbers and are summarized in Table B below.

Table A: Two-Proportion Z-Tests on Year 1 and Year 2 (Test I) results Year 1 Year 2 Z-Score P-Score
No Differential Treatment 69% 60% 1.72 .084
Differential Treatment on the Basis of
Criminal History
23% 22% .061 .951
Differential Treatment on the Basis of Race 3% 6% -1.34 .185 Differential Treatment on the Basis of
Criminal History and Race**
6% 12% -2.17** .030
** Indicates statistically significant variation between year 1 and year 2 results Table B: Sub-Sample Two-Proportion Z-Tests on Year 1 and Year 2 (Test I) results Year 1 Year 2 Z-Score P-Score
No Differential Treatment 69% 60% 1.7791 .084
Differential Treatment on the Basis of
Criminal History
23% 22% -0.7207 .951
Differential Treatment on the Basis of Race 3% 6% 0.5847 .185 21

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Differential Treatment on the Basis of
Criminal History and Race**
6% 12% -2.056** .030
** Indicates statistically significant variation between year 1 and year 2 results Year 1 Summary of Audit Test Responses
B- Test conducted for a Berkeley rental property. 82 responses were received O- Test conducted for an Oakland rental property. 131 responses were received Code Findings
B1 No differential treatment
B2 No differential treatment
B3 No differential treatment
B4 No differential treatment
B5 No differential treatment
B6 No differential treatment
B7 No differential treatment
B8 Differential treatment (criminal record)- Asked inquirer to provide more information on their criminal history
B9 Differential treatment (criminal record and race)- Responded only to white inquirer with no record offering a showing; then apartment was rented and replied to all 3 inquirers telling them so and linking website, but only offered vacant apartment tours or video tours to the white inquirer with no record B10 Differential treatment (criminal record)- Only replied to Black and white inquirers without record B11 No differential treatment
B12 No differential treatment
22

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B13 No differential treatment
B14 No differential treatment
B15 Differential treatment (criminal record)- Only replied to Black and white inquirer without criminal record; sent a follow up email with attached application to Black inquirer (but not to white inquirer); application contained the Box
B16 No differential treatment
B17 No differential treatment
B18 Differential treatment (race)- Only replied to white inquirers B19 No differential treatment
B20 No differential treatment- “Thank you for being up front” included in message to inquirer with criminal record
B21 Differential treatment (criminal record) - Asks inquirer with criminal record for more information (offense type, how long ago), and mentions wanting to verify work record.

B22 No differential treatment
B23 No differential treatment: “I appreciate you being candid about your history!” included in message to inquirer with criminal record
B24 Differential treatment (criminal record) - Only replied to Black and white inquirers without criminal records
B25 No differential treatment
B26 No differential treatment
B27 Differential treatment(criminal record)- Asked inquirer to provide more information on their criminal history
B28 No differential treatment
B29 No differential treatment
23

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B30 No differential treatment
B31 No differential treatment
B32 No differential treatment
B33 No differential treatment
B34 No differential treatment
B35 Differential treatment (race and criminal record)- Only replied to white inquirer without a criminal record
B36 No differential treatment
B37 No differential treatment
B38 No differential treatment
B39 Differential treatment (criminal record)- Asked inquirer to provide more information on their criminal history
B40 No differential treatment
B41 No differential treatment
B42 No differential treatment
B43 No differential treatment
B44 No differential treatment BUT states no criminal record online B45 Differential treatment(race and criminal record)- Only replied to White inquirer without criminal history
B46 No differential treatment
B47 No differential treatment
24

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B48 No differential treatment
B49 No differential treatment
B50 No differential treatment
B51 No differential treatment
B52 No differential treatment
B53 Differential treatment (race)- Did not reply to Black inquirer B54 No differential treatment
B55 Differential treatment (Criminal record)- Sent resident qualification policy to formerly incarcerated inquirer stating no criminal records, did not send to other inquirers B56 No differential treatment
B57 No differential treatment
B58 No differential treatment
B59 No differential treatment
B60 Differential treatment (Criminal record)- Asked inquirer to provide more information on their criminal history
B61 No differential treatment
B62 No differential treatment
B63 Differential treatment (Criminal record)- Told inquirer with criminal record they have the wrong address, responded to other inquirers with offer to tour B64 No differential treatment
B65 Differential treatment (race)- Did not respond to Black inquirer 25

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B66 No differential treatment (inform inquirer that City of Berkeley doesn’t allow landlords to ask about criminal records; landlord has rented to people with criminal records in the past before) B67 No differential treatment (state in email that underwriting process doesn’t take criminal history into consideration)
B68 No differential treatment
B69 No differential treatment
B70 No differential treatment
B71 No differential treatment
B72 Differential treatment (criminal history)- Asked inquirer to provide more information on their criminal history
B73 No differential treatment
B74 No differential treatment
B75 Differential treatment (Criminal history)- Did not respond to inquirer with criminal history B76 Differential treatment(race and criminal record)- Only replied to White inquirer without criminal history
B77 Differential treatment (Criminal history)- Did not respond to inquirer with criminal history B78 No differential treatment
B79 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history; Did not provide tour information like they did for other inquirers B80 No differential treatment BUT states no criminal record on application attached B81 No differential treatment
B82 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history; Craigslist post explicitly states “no felonies” 26

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Code Findings
O1 Differential treatment(race and criminal record)- Only replied to White inquirer without criminal history
O2 Differential treatment(criminal record)- Only replied to Black and white inquirers without criminal records
O3 No differential treatment
O4 Differential treatment (criminal record)- Only replied to Black and white inquirers without criminal records
O5 No differential treatment
O6 No differential treatment
O7 Differential treatment(criminal record)- Property manager states they do a background check, but to save inquirer $40 can disclose criminal history. Decisions would be made based on criminal record.

O8 No differential treatment
O9 No differential treatment
O10 No differential treatment
O11 No differential treatment
O12 No differential treatment
O13 Differential treatment (criminal history and race)- Only responded to Black inquirer and white inquirer without criminal record; Told Black inquirer credit and income requirements asking if they were in these ranges, did not ask white inquirer for income/credit score ranges O14 No differential treatment- Told inquirer with criminal history “No worries about the criminal past.

We only check credit scores, past rental references and income requirements and stability of income.”
O15 No differential treatment
O16 Differential treatment (criminal history)- Only responded to Black and white inquirers without criminal record
27

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O17 Differential treatment(criminal history)- Asked inquirer to provide more information on their criminal history
O18 No differential treatment
O19 No differential treatment
O20 No differential treatment
O21 No differential treatment
O22 Differential treatment (criminal history) - Only responded to Black and white inquirers without criminal record
O23 No differential treatment
O24 No differential treatment
O25 Differential treatment (criminal history) - Only responded to Black and white inquirers without criminal record
O26 No differential treatment
O27 No differential treatment
O28 Differential treatment (criminal history) - Only responded to Black inquirer O29 No differential treatment
O30 No differential treatment
O31 No differential treatment
O32 Differential treatment (criminal history)- Only followed up with Black inquirer with application, next steps, phone number
O33 No differential treatment- “Your disclosure regarding your background is also appreciated.” O34 Differential treatment (criminal history) - Only responded to Black and white inquirers without criminal record
28

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O35 No differential treatment
O36 No differential treatment
O37 No differential treatment
O38 No differential treatment
O39 No differential treatment
O40 Differential treatment (criminal history and race)- Only responded to White inquirer without criminal record
O41 No differential treatment
O42 Differential treatment (criminal history) - Only responded to Black and White inquirers without criminal record
O43 Differential treatment (criminal history and race)- Only responded to White inquirer without criminal record
O44 No differential treatment
O45 Differential treatment(criminal history) - Only responded to Black and White inquirers without criminal record
O46 No differential treatment
O47 No differential treatment
O48 No differential treatment
O49 No differential treatment
O50 No differential treatment
O51 No differential treatment
O52 No differential treatment
29

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O53 No differential treatment
O54 No differential treatment
O55 No differential treatment
O56 No differential treatment
O57 No differential treatment
O58 Differential treatment (criminal history) - Only responded to Black and White inquirers without criminal record
O59 No differential treatment
O60 No differential treatment
O61 No differential treatment
O62 No differential treatment
O63 No differential treatment
O64 No differential treatment
O65 No differential treatment
O66 Differential treatment (criminal history and race)- Only responded to White inquirer without criminal record
O67 No differential treatment
O68 No differential treatment
O69 No differential treatment
O70 No differential treatment
30

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O71 No differential treatment
O72 Differential treatment (race)- Did not respond to Black inquirer O73 No differential treatment
O74 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history
O75 No differential treatment
O76 Differential treatment (criminal history and race)- Only responded to White inquirer without criminal record
O77 No differential treatment
O78 No differential treatment - “We take anyone who qualifies all you need to do is make 2.5 times the rent and pass our credit check
O79 No differential treatment
O80 No differential treatment
O81 No differential treatment
O82 Differential treatment (criminal history)- Only responded to inquirers without criminal history O83 No differential treatment
O84 No differential treatment
O85 No differential treatment
O86 No differential treatment
O87 No differential treatment
O88 No differential treatment
31

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
*O89 Differential treatment (criminal history)- Followed up only with inquirers with inquirers without criminal histories
O90 No differential treatment
O91 No differential treatment BUT application asks for criminal history O92 No differential treatment
O93 Differential treatment (criminal history and race)- Provided more information and follow up to Black inquirer, and even more to white inquirer without a criminal history O94 No differential treatment
O95 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history
O96 No differential treatment
O97 No differential treatment BUT application asks if ever convicted of felony O98 No differential treatment
O99 Differential treatment (Criminal history)- Followed up twice with Black and White inquirers without criminal records, responded only once to White inquirer with a criminal record O100 No differential treatment
O101 No differential treatment
O102 No differential treatment “We believe in second chances. No need to note it on your application” O103 No differential treatment “I don't do a criminal background check and I understand we all have history. “
O104 No differential treatment
O105 No differential treatment BUT application asks if ever convicted of felony O106 Differential treatment (Criminal history)- more follow up with Tyrone and Jake 32

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O107 Differential treatment (Criminal history)- App asks for criminal history, responded to all but followed up with White inquirer without a record
O108 No differential treatment BUT application asks for consent to run a background check through a screening company, which includes criminal history
O109 No differential treatment
O110 No differential treatment
O111 Differential treatment (race)- Did not reply to Black inquirer O112 Differential treatment (race)- Did not reply to Black inquirer O113 No differential treatment
O114 No differential treatment
O115 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history
O116 Differential treatment (Criminal history)- Did not reply to inquirer with criminal history O117 Differential treatment (race and criminal history)- Did not reply to Black inquirer; replied to both White inquirers but states they will use a Cozy background check, which includes a criminal background check in the platform
O118 No differential treatment
O119 No differential treatment
O120 No differential treatment BUT says they’ll run a standard background check O121 Differential treatment (Criminal history)- Did not reply to inquirer with criminal history O122 Differential treatment (Criminal history)- Asked inquirer to provide more information on their criminal history; doesn’t offer tour slots to inquirer with criminal history, but does for other inquirers O123 No differential treatment
33

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O124 No differential treatment
O125 No differential treatment
O126 Differential treatment (Criminal history)- Did not reply to inquirer with criminal history O127 Differential treatment (Criminal history)- Did not reply to inquirer with criminal history O128 No differential treatment
O129 No differential treatment
O130 No differential treatment
Year 2 Summary of Audit Test Responses
B- Test conducted for a Berkeley rental property.

O- Test conducted for an Oakland rental property.

Berkeley - Test I (Sandwich Test)
Code Findings
B1 No differential treatment
B2 No differential treatment
B3 No differential treatment
B4 Differential treatment (criminal record and race)- only responded to White inquirer without criminal record
B5 Differential treatment (criminal record)- only responded to inquirer without criminal record B6 Differential treatment (criminal record and race)- only responded to White inquirer without criminal record
B7 Differential treatment (criminal record)- only responded to inquirer without criminal record 34

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B8 No differential treatment
B9 No differential treatment
B10 Differential treatment (criminal record)- Asked for the "nature of the criminal history" B11 No differential treatment
B12 No differential treatment
B13 Differential treatment (criminal history)- Did not respond to inquirer with a criminal history B14 Differential treatment (race)- Black inquirer was not offered specific time slots, while White inquirers were invited to a specific showing
B15 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B16 Differential treatment (criminal record and race)- only responded to white inquirers, asked formerly incarcerated inquirer to verify income while providing a phone number to call to the non-formerly incarcerated white inquirer
B17 No differential treatment
B18 Differential treatment (criminal record)- inquirer with criminal record was asked "Can you give a bit more information about that?" without information about viewings B19 No differential treatment
B20 Differential treatment (criminal record)- only responded to inquirers without criminal record B21 Differential treatment (criminal record and race)- only responded to White inquirer without criminal record
B22 Differential treatment (criminal record)- only responded to inquirers without criminal record B23 No differential treatment
B24 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B25 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B26 No differential treatment
35

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B27 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B28 No differential treatment
B29 No differential treatment
B30 No differential treatment
B31 No differential treatment
B32 No differential treatment
B33 No differential treatment
B34 No differential treatment
B35 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B36 No differential treatment
B37 Differential treatment (criminal record)- only responded to inquirers without criminal record B38 No differential treatment
B39 No differential treatment
B40 No differential treatment
B41 Differential treatment (criminal record and race)- only responded to white inquirer without a criminal record
B42 No differential treatment
B43 Differential treatment (criminal record)- only responded to inquirers without criminal record B44 Differential treatment (criminal record)- only responded to inquirers without criminal record Oakland - Test I (Sandwich Test)
Code Findings
36

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O1 No differential treatment
O2 No differential treatment
O3 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O4
No differential treatment ("Also, as required by the City of Oakland, I have attached a copy of the Fair Chance Access to Housing Ordinance for your review. There is no need to sign this document, just read it, save it, be aware. The (Property Management Company Name) prides itself on being respectful of the privacy of all its tenants and prospective tenants.

O5 Differential treatment (race)- Responded to White inquirers, but not the Black inquirer O6 No differential treatment
O7 Differential treatment (criminal history)- inquirer with a criminal history was asked about their income; while inquirers without a criminal history were offered a tour slot O8 No differential treatment
O9 Differential treatment (criminal history and race)- Only responded to White inquirer without a criminal history
O10 No differential treatment
O11 No differential treatment
O12 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O13 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O14 No differential treatment
O15 No differential treatment
O16 No differential treatment
O17 No differential treatment
O18 No differential treatment
O19 No differential treatment
37

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O20 Differential treatment (criminal history and race)- Only responded to White inquirer without a criminal history
O21
Differential treatment (criminal history)- inquirers without a criminal history were given a phone number to schedule a time while inquirer with a criminal history was not provided a phone number and asked about their credit score and if they had pets
O22 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O23 No differential treatment
O24 No differential treatment- "Thank you for the upfront information" included in email to inquirer with criminal record
O25 No differential treatment
O26 No differential treatment
O27 No differential treatment
O28 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O29 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O30 No differential treatment
O31 No differential treatment
O32 No differential treatment- "No worries about the past criminal record" included in email to inquirer with criminal record
O33 No differential treatment
O34 No differential treatment
O35 No differential treatment
O36 Differential treatment (race)- responded preferentially to both white inquirers O37 No differential treatment
O38 Differential treatment (race)- responded preferentially to both white inquirers O39 No differential treatment
38

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O40 No differential treatment- "Thank you for being upfront and honest" included in email to inquirer with criminal history
O41 Differential treatment (race)- only responded to white inquirers O42 No differential treatment ("Yes it is still available. Thank you for your honesty, however good credit and the ability to pay is what I care about, not your record :)") O43 Differential treatment (race)- only respond to white inquirers O44 No differential treatment- "Thank you for being so honest" included in email to inquirer with criminal record
O45 No differential treatment- "We appreciate the openness, and that is not a problem" included in email to inquirer with criminal record
O46 Differential treatment (criminal record)- only respond to inquirers without a criminal record O47 No differential treatment- "We appreciate your disclosing the information about criminal record and will consider you fairly" included in email to inquirer with criminal record O48 Differential treatment (criminal record) - responded to inquirers without criminal record [*Note: Same property management company responded with no differential treatment in text O47] O49 No differential treatment
O50 No differential treatment
O51 No differential treatment
O52 No differential treatment
O53 No differential treatment
O54 No differential treatment ("Per California law, we cannot blanket reject anyone with a criminal record, and we would welcome you to apply if this unit is appealing to you.") O55
Differential treatment (criminal history and race)- Did not respond to inquirer who disclosed a criminal history; responded preferentially for White inquirer ("you will be [a] perfect fit for our community") over Black inquirer (no comment on "fit")
O56 No differential treatment
O57 Differential treatment (criminal record)- did not respond to inquirer with a criminal history O58 Differential treatment (criminal record and race)- only responded to white inquirer with no criminal record
39

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O59 No differential treatment- inquirer with criminal record was thanked "for being so honest" O60 Differential treatment (criminal record)- did not respond to inquirer with a criminal history O61 Differential treatment (criminal record)- only inquirers without a criminal record received responses O62 No differential treatment
O63 No differential treatment
O64 No differential treatment
O65 No differential treatment
O66 No differential treatment
O67 No differential treatment
O68 Differential treatment (criminal record and race)- responded only to white inquirer with no criminal record
O69
Differential treatment (criminal record and race)- Did not respond to inquirer with criminal record; followed up multiple times with White inquirer without a criminal record, including to offer a rent reduction while only responding once to the initial inquiry from the Black inquirer without a criminal record
O70 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O71 Differential treatment (criminal record)- only responded to inquirers without criminal record O72 Responded only to inquirer that disclosed criminal record--no diff O73 No differential treatment
O74 Differential treatment (criminal history)- Did not respond to inquirer who disclosed a criminal history O75 No differential treatment
O76 Differential treatment (Criminal history)- Did not respond to inquirer who disclosed a criminal history O77 No differential treatment
40

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
Berkeley - Test II
Code Findings
B1 Differential treatment (criminal record) - responded only to inquirer without criminal history B2 Responded only to inquirer who disclosed a criminal record B3 Responded only to inquirer who disclosed a criminal record B4 Responded only to inquirer who disclosed a criminal record B5 Responded only to inquirer who disclosed a criminal record B6 Responded only to inquirer who disclosed a criminal record B7 Responded only to inquirer who disclosed a criminal record B8 Responded only to inquirer who disclosed a criminal record B9 Differential treatment (criminal record) - responded only to inquirer without criminal history B10 Differential treatment (criminal record) - responded only to inquirer without criminal history B11 Responded only to inquirer who disclosed a criminal record B12 Responded only to inquirer who disclosed a criminal record B13 Differential treatment (criminal record)-inquirer without criminal record was given day and time to visit, inquirer with criminal record wasn't given date and was told to fill out application B14 No differential treatment
B15
Differential treatment (criminal record)- inquirer with a criminal record was told that "there are several people interested in the apartment," while the other inquirer was only offered a time and day for a showing
B16
Differential treatment (criminal record)- inquirer with a criminal record was told " I am not sure to what extent the aforementioned process will impact delivery of the apartment" while the other inquirer was told "I can probably get you in next week to see the place" B17 No differential treatment
41

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
B18 No differential treatment
B19 Responded only to inquirer who disclosed a criminal record B20 Responded only to inquirer who disclosed a criminal record B21 Responded only to inquirer who disclosed a criminal record B22
Differential treatment (criminal record) - inquirer without criminal record was asked for tour availability, inquirer with criminal record was asked to provide more information on their criminal history
B23 Responded only to inquirer who disclosed a criminal record B24 No differential treatment - "We have no problem with a tenant who was formerly incarcerated" included in email to inquirer with criminal record
B25 Differential treatment (criminal record) - responded only to inquirer without criminal history B26 No differential treatment
B27 No differential treatment
B28 No differential treatment
B29 No differential treatment
Oakland - Test II
Code Findings
O1 No differential treatment
O2 Responded only to applicant who disclosed a criminal record O3 Responded only to applicant who disclosed a criminal record O4 Differential treatment (criminal record)- only responded to applicant without a criminal record O5 No differential treatment- "Thank you for your transparency" included in email to applicant with criminal record
42

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O6 Responded only to applicant who disclosed a criminal record O7 No differential treatment
O8 Responded only to applicant who disclosed a criminal record O9 Responded only to applicant who disclosed a criminal record O10 Responded only to applicant who disclosed a criminal record O11 Responded only to applicant who disclosed a criminal record O12 Differential treatment (criminal record)- only responded to applicant without a criminal record O13 No differential treatment
O14 Responded only to applicant who disclosed a criminal record O15 Differential treatment (criminal record)- only responded to applicant without a criminal record O16 Differential treatment (criminal record)- only responded to applicant without a criminal record O17 No differential treatment
O18 No differential treatment
O19 No differential treatment- "I believe in second chances" included in email to applicant with criminal record
O20 Responded only to applicant who disclosed a criminal record O21 No differential treatment
O22 Differential treatment (criminal record)- responded preferentially to applicant without a criminal record
O23 No differential treatment
O24 No differential treatment
O25 No differential treament
O26 No differential treatment
43

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O27 No differential treatment
O28
No differential treatment- "Also just an FYI, you are not required to disclose that you are formerly incarcerated, and property owner's are not permitted to ask you this or require this for renting an apartment. " included in email to applicant with criminal record O29 Differential treatment (criminal record)- only responded to applicant without a criminal record O30 Differential treatment (criminal record)- only responded to applicant without a criminal record O31 Responded only to applicant who disclosed a criminal record O32 Responded only to applicant who disclosed a criminal record O33 Responded only to applicant who disclosed a criminal record O34 Responded only to applicant who disclosed a criminal record O35 Responded only to applicant who disclosed a criminal record O36 Differential treatment (criminal record)- only responded to applicant without a criminal record O37 No differential treatment
O38 Responded only to applicant who disclosed a criminal record O39 No differential treatment
O40 No differential treatment- "I do appreciate your upfront disclosure" included in email to applicant with criminal record
O41 Differential treatment (criminal record)- only responded to applicant without a criminal record O42 No differential treatment
O43 No differential treatment
O44
Differential treatment (criminal record)- applicant with a criminal record was offered a showing, but told that "an application has been submitted for the space but it is currently still pending," while the other applicant was offered a tour without this information O45 Differential treatment (criminal record)- only responded to applicant without a criminal record O46 Differential treatment (criminal record)- only responded to applicant without a criminal record 44

Berkeley and Oakland Fair Chance Housing:
2020 and 2021 Housing Provider Email Audit Report
O47 No differential treatment- "Thank you for sharing a bit about yourself" included in email to applicant with criminal record
O48 Differential treatment (criminal record)- only responded to applicant without a criminal record O49 No differential treatment
45

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

INFORMATION CALENDAR
May 9, 2023
To: Honorable Mayor and Members of the City Council
From: Dee Williams-Ridley, City Manager
Submitted by: Jordan Klein, Director, Planning and Development Department Subject: LPO NOD: 1919 Addison Street, #LMSAP2022-0012

INTRODUCTION
The attached Landmarks Preservation Commission Notice of Decision (NOD) is presented to the Mayor and City Council pursuant to Berkeley Municipal Code/Landmarks Preservation Ordinance (BMC/LPO) Section 3.24.240.A, which requires that “a copy of the Notice of Decision shall be filed with the City Clerk and the City Clerk shall present said copy to the City Council at its next regular meeting.”

CURRENT SITUATION AND ITS EFFECTS
The Landmark Preservation Commission (LPC/Commission) has approved a Structural Alteration Permit (SAP) for the subject City Landmark property. This action is subject to a 15-day appeal period, which began on April 25, 2023.

BACKGROUND
BMC/LPO Section 3.24.300 allows City Council to review any action of the Landmarks Preservation Commission in granting or denying a Structural Alteration Permit. For Council to review the decision on its merits, Council must appeal the Notice of Decision.

To do so, a Council member must move this Information Item to Action and then move to set the matter for hearing on its own. Such action must be taken within 15 days of the mailing of the Notice of Decision, or by May 9, 2023. Such certification to Council shall stay all proceedings in the same manner as the filing of an appeal.

If the Council chooses to appeal the action of the Commission, then a public hearing will be set. The Council must then rule on the designation within 30 days of closing the hearing, otherwise the decision of the Commission is automatically deemed affirmed.

Unless the Council wishes to review the determination of the Commission and make its own decision, the attached NOD is deemed received and filed.

LPO NOD: 1919 Addison Street/#LMSAP2022-0012 INFORMATION CALENDAR May 9, 2023