• Except for cooperative members who have acquired cooperative membership shares prior to commencement of homeownership assistance, no family member has a present ownership interest in a residence at the commencement of homeownership assistance for the purchase of any home.
• Except for cooperative members who have acquired cooperative membership shares prior to the commencement of homeownership assistance, the family has entered a contract of sale in accordance with 24 CFR 982.631(c).
PHA Policy
The PHA will impose additional eligibility requirements. To be eligible to participate in the homeownership option, families must meet the following criteria:
The family has had no family-caused violations of NSPIRE standards within the past year.
The family is not within the initial one-year period of a HAP Contract.
The family owes no money to the PHA.
The family has not committed any serious or repeated violations of a PHAassisted lease within the past year.
15-VII.C. SELECTION OF FAMILIES [24 CFR 982.626]
Unless otherwise provided (under the homeownership option), the PHA may limit homeownership assistance to families or purposes defined by the PHA and may prescribe additional requirements for commencement of homeownership assistance for a family. Any such limits or additional requirements must be described in the PHA administrative plan.
If the PHA limits the number of families that may participate in the homeownership option, the PHA must establish a system by which to select families to participate.
PHA Policy
The PHA will administer up to five new homeownership units per year. The PHA may exceed the number of units planned per year if it is necessary as a reasonable accommodation for a person with a disability. If this occurs, the PHA may reduce the number of homeownership units offered in subsequent years.
Families who have been participating in an economic self-sufficiency program for at least six months, or have graduated from such a program, will be given preference over other families. Elderly and disabled families will automatically be given this preference.
Within preference and non-preference categories, families will be selected according to the date and time their application for participation in the homeownership option is submitted to the PHA.
All families must meet eligibility requirements as defined in Section 15-VII.B. of this plan.
15-VII.D. ELIGIBLE UNITS [24 CFR 982.628]
In order for a unit to be eligible, the PHA must determine that the unit satisfies all of the following requirements:
• The unit must meet HUD’s “eligible housing” requirements. The unit may not be any of the following:
- A public housing or Indian housing unit;
- A unit receiving Section 8 project-based assistance;
- A nursing home, board and care home, or facility providing continual psychiatric, medical or nursing services;
- A college or other school dormitory;
- On the grounds of penal, reformatory, medical, mental, or similar public or private institutions.
• The unit must be a one-unit property or a single dwelling unit in a cooperative or condominium.
• The unit must have been inspected by the PHA and by an independent inspector designated by the family.
• The unit must meet housing quality standards (see Chapter 8). • For a unit where the family will not own fee title to the real property (such as a manufactured home), the home must have a permanent foundation and the family must have the right to occupy the site for at least 40 years.
Families may enter into contracts of sale for units not yet under construction. However, the PHA will not commence homeownership assistance for the family for that unit until:
1. Either the responsible entity completes the environmental review as required by 24 CFR part 58 and HUD approved the environmental certification and request for release of funds prior to commencement of construction or HUD performed an environmental review under 24 CFR part 50 and notified the PHA in writing of environmental approval of the site prior to construction commencement; and
2. Construction of the unit has been completed and the unit has passed the required inspection and independent inspection as addressed elsewhere in this chapter. • For PHA-owned units (as defined in 24 CFR 982.4), all of the following conditions must be satisfied:
- The PHA informs the family, both orally and in writing, that the family has the right to purchase any eligible unit and a PHA-owned unit is freely selected by the family without PHA pressure or steering;
- The unit is not ineligible housing;
- The PHA obtains the services of an independent entity (as defined in 24 CFR 982.4) to inspect the unit, for compliance with NSPIRE standards, review the contract of sale, determine the reasonableness of the sales price and any PHA provided financing. All of these actions must be completed in accordance with program requirements.
The PHA must not approve the unit if the PHA has been informed that the seller is debarred, suspended, or subject to a limited denial of participation.
15-VII.E. ADDITIONAL PHA REQUIREMENTS FOR SEARCH AND PURCHASE [24 CFR 982.629]
It is the family’s responsibility to find a home that meets the criteria for voucher homeownership assistance. The PHA may establish the maximum time that will be allowed for a family to locate and purchase a home and may require the family to report on their progress in finding and purchasing a home. If the family is unable to purchase a home within the maximum time established by the PHA, the PHA may issue the family a voucher to lease a unit or place the family’s name on the waiting list for a voucher.
PHA Policy
The family will be allowed 120 days to identify a unit and submit a sales contract to the PHA for review. The family will be allowed an additional 120 days to close on the home.
PHAs may grant extensions to either of these periods for good cause. The length of the extension(s) will be determined on a case-by-case, but in no case will an extension exceed a total of 125 days. The maximum amount of time a family will be given to locate and complete the purchase of a home under the homeownership option is 365 days.
During these periods, the family will continue to receive HCV rental assistance in accordance with any active lease and HAP contract until the family vacates the rental unit for its purchased home.
All requests for extensions must be submitted in writing to the PHA prior to the expiration of the period for which the extension is being requested. The PHA will approve or disapprove the extension request within 10 business days. The family will be notified of the PHA’s decision in writing.
The family will be required to report their progress on locating and purchasing a home to the PHA every 30 days until the home is purchased.
If the family cannot complete the purchase of a unit within the maximum required time frame, and is not receiving rental assistance under a HAP contract at the time the search and purchase time period expires, the family will be issued a voucher to lease a unit.
15-VII.F. HOMEOWNERSHIP COUNSELING [24 CFR 982.630]
Before commencement of homeownership assistance for a family, the family must attend and satisfactorily complete the pre-assistance homeownership and housing counseling program required by the PHA. HUD suggests the following topics for the PHA-required pre-assistance counseling:
• Home maintenance (including care of the grounds);
• Budgeting and money management;
• Credit counseling;
• How to negotiate the purchase price of a home;
• How to obtain homeownership financing and loan pre-approvals, including a description of types of financing that may be available, and the pros and cons of different types of financing;
• How to find a home, including information about homeownership opportunities, schools, and transportation in the PHA jurisdiction;
• Advantages of purchasing a home in an area that does not have a high concentration of lowincome families and how to locate homes in such areas; • Information on fair housing, including fair housing lending and local fair housing enforcement agencies; and
• Information about the Real Estate Settlement Procedures Act (12 U.S.C. 2601 et seq.) (RESPA), state and Federal truth-in-lending laws, and how to identify and avoid loans with oppressive terms and conditions.
The PHA may adapt the subjects covered in pre-assistance counseling (as listed) to local circumstances and the needs of individual families.
The PHA may also offer additional counseling after commencement of homeownership assistance (ongoing counseling). If the PHA offers a program of ongoing counseling for participants in the homeownership option, the PHA shall have discretion to determine whether the family is required to participate in the ongoing counseling.
Any homeownership counseling provided to families in connection with this section must be conducted by a HUD certified housing counselor working for an agency approved to participate in HUD’s Housing Counseling Program.
PHA Policy
Families will not be required to participate in ongoing counseling after commencement of homeownership assistance.
15-VII.G. HOME INSPECTIONS, CONTRACT OF SALE, AND PHA DISAPPROVAL OF SELLER [24 CFR 982.631]
Home Inspections
The PHA may not commence monthly homeownership assistance payments for a family until the PHA has inspected the unit and has determined that the unit passes NSPIRE standards.
PHA Policy
When the family locates a home they wish to purchase and submits a copy of their purchase offer/contract, the PHA will conduct an inspection within 10 business days. Any items found not to meet NSPIRE standards must be repaired before the unit can be determined eligible for the homeownership program.
An independent professional inspector selected by and paid for by the family must also inspect the unit. The independent inspection must cover major building systems and components, including foundation and structure, housing interior and exterior, and the roofing, plumbing, electrical, and heating systems. The independent inspector must be qualified to report on property conditions, including major building systems and components.
The PHA may not require the family to use an independent inspector selected by the PHA. The independent inspector may not be a PHA employee or contractor, or other person under control of the PHA. However, the PHA may establish standards for qualification of inspectors selected by families under the homeownership option.
PHA Policy
The family must hire an independent professional inspector, whose report must be submitted to the PHA for review. This inspector must be a member of the American Society of Home Inspectors (ASHI) or other recognized professional society, or a licensed engineer. The inspector cannot be a PHA employee or contractor.
The PHA may disapprove a unit for assistance based on information in the independent inspector’s report, even if the unit was found to comply with NSPIRE standards.
PHA Policy
The PHA will review the professional report in a timely fashion and, based on the presence of major physical problems, may disapprove the purchase of the home.
If the PHA disapproves the purchase of a home, the family will be notified in writing of the reasons for the disapproval.
While the family is receiving homeownership assistance, the PHA will conduct an inspection every other year.
Contract of Sale
Before commencement of monthly homeownership assistance payments, a member or members of the family must enter into a contract of sale with the seller of the unit to be acquired by the family. The family must give the PHA a copy of the contract of sale. The contract of sale must:
• Specify the price and other terms of sale by the seller to the purchaser; • Provide that the purchaser will arrange for a pre-purchase inspection of the dwelling unit by an independent inspector selected by the purchaser;
• Provide that the purchaser is not obligated to purchase the unit unless the inspection is satisfactory to the purchaser;
• Provide that the purchaser is not obligated to pay for any necessary repairs; and • Contain a certification from the seller that the seller has not been debarred, suspended, or subject to a limited denial of participation under 24 CFR part 24. • A contract for the sale of a unit not yet under construction must meet all above requirements, and requirements below. Commencement of construction in violation of the below requirements voids the purchase contract.
- The purchaser is not obligated to purchase the unit unless an environmental review has been performed and the site received environmental approval prior to commencement of construction in accordance with 24 CFR 982.628; and
- The construction will not commence until the environmental review has been completed and the seller has received written notice from the PHA that environmental approval has been obtained. Environmental approval may be conditioned on the contracting parties’ agreement to modification to the unit design or to mitigation actions.
Disapproval of a Seller
In its administrative discretion, the PHA may deny approval of a seller for the same reasons a PHA may disapprove an owner under the regular HCV program [see 24 CFR 982.306(c)].
15-VII.H. FINANCING [24 CFR 982.632]
The PHA may establish requirements for financing purchase of a home under the homeownership option. This may include requirements concerning qualification of lenders, terms of financing, restrictions concerning debt secured by the home, lender qualifications, loan terms, and affordability of the debt. The PHA must establish policies describing these requirements in the administrative plan.
A PHA may not require that families acquire financing from one or more specified lenders, thereby restricting the family’s ability to secure favorable financing terms.
PHA Policy
As a check against predatory lending, the PHA will review the financing of each purchase transaction, including estimated closing costs. The PHA will review the loans for features, such as balloon payments, adjustable-rate mortgages, and unusually high interest rates, all of which are prohibited. The PHA also will not approve “seller financing” or “owner-held” mortgages. Beyond these basic criteria, the PHA will rely on the lenders to determine that the loan will be affordable to program participants.
The mortgage the family applies for must require a minimum down payment of at least three percent of the sales price with one percent of the down payment coming from the purchaser’s personal funds. The PHA will not require that the family have any more than the minimum of one percent of their own money in the transaction. However, in cases where a lender is requiring a larger amount, the family may be held to the underwriting guidelines set by their lending institution.
The PHA will approve a family’s request to utilize its Family Self-Sufficiency escrow account after final disbursement for down payment and/or closing costs when purchasing a unit under the HCV homeownership option.
15-VII.I. CONTINUED ASSISTANCE REQUIREMENTS; FAMILY OBLIGATIONS [24 CFR 982.633]
Homeownership assistance may only be paid while the family is residing in the home. If the family moves out of the home, the PHA may not continue homeownership assistance after the month when the family moves out. The family or lender is not required to refund to the PHA the homeownership assistance for the month when the family moves out.
Before commencement of homeownership assistance, the family must execute a statement of family obligations in the form prescribed by HUD [Form HUD-52649]. In the statement, the family agrees to comply with all family obligations under the homeownership option.
The family must comply with the following obligations:
• The family must comply with the terms of the mortgage securing debt incurred to purchase the home, or any refinancing of such debt.
• The family may not convey or transfer ownership of the home, except for purposes of financing, refinancing, or pending settlement of the estate of a deceased family member. Use and occupancy of the home are subject to 24 CFR 982.551 (h) and (i). • The family must supply information to the PHA or HUD as specified in 24 CFR 982.551(b).
The family must further supply any information required by the PHA or HUD concerning mortgage financing or refinancing, sale or transfer of any interest in the home, or homeownership expenses.
• The family must notify the PHA before moving out of the home. • The family must notify the PHA if the family defaults on the mortgage used to purchase the home.
• The family must provide the PHA with information on any satisfaction or payment of the mortgage debt.
• No family member may have any ownership interest in any other residential property. • The family must comply with the obligations of a participant family described in 24 CFR 982.551, except for the following provisions which do not apply to assistance under the homeownership option: 24 CFR 982.551(c), (d), (e), (f), (g) and (j).
PHA Policy
Any inspection the PHA conducts after the initial inspection will be done on an advisory basis. The family will be encouraged to make the repairs but will not be required to do so as a condition of ongoing assistance.
15-VII.J. MAXIMUM TERM OF HOMEOWNER ASSISTANCE [24 CFR 982.634] Except in the case of a family that qualifies as an elderly or disabled family, other family members (described below) shall not receive homeownership assistance for more than:
• Fifteen years, if the initial mortgage incurred to finance purchase of the home has a term of 20 years or longer; or
• Ten years, in all other cases.
The maximum term described above applies to any member of the family who:
• Has an ownership interest in the unit during the time that homeownership payments are made; or
• Is the spouse of any member of the household who has an ownership interest in the unit during the time homeownership payments are made?
In the case of an elderly family, the exception only applies if the family qualifies as an elderly family at the start of homeownership assistance. In the case of a disabled family, the exception applies if at any time during receipt of homeownership assistance the family qualifies as a disabled family.
If, during the course of homeownership assistance, the family ceases to qualify as a disabled or elderly family, the maximum term becomes applicable from the date homeownership assistance commenced. However, such a family must be provided at least 6 months of homeownership assistance after the maximum term becomes applicable (provided the family is otherwise eligible to receive homeownership assistance).
If the family has received such assistance for different homes, or from different PHAs, the total of such assistance terms is subject to the maximum term described in this part.
15-VII.K. HOMEOWNERSHIP ASSISTANCE PAYMENTS AND HOMEOWNERSHIP EXPENSES [24 CFR 982.635]
The monthly homeownership assistance payment is the lower of: the voucher payment standard minus the total tenant payment, or the monthly homeownership expenses minus the total tenant payment. The payment standard amount may not be lower than what the payment standard amount was at commencement of homeownership assistance.
In determining the amount of the homeownership assistance payment, the PHA will use the same payment standard schedule, payment standard amounts, and subsidy standards as those described elsewhere in this plan for the Housing Choice Voucher program. The payment standard for a family is the greater of (i) The payment standard as determined at the commencement of homeownership assistance for occupancy of the home, or (ii) the payment standard at the most recent regular reexamination of family income and composition since the commencement of homeownership assistance for occupancy of the home.
The PHA must adopt policies for determining the amount of homeownership expenses to be allowed by the PHA in accordance with HUD requirements.
Homeownership expenses (not including cooperatives) may only include amounts allowed by the PHA to cover:
• Principal and interest on initial mortgage debt, any refinancing of such debt, and any mortgage insurance premium incurred to finance purchase of the home; • Real estate taxes and public assessments on the home; • Home insurance;
• The PHA allowance for maintenance expenses;
• The PHA allowance for costs of major repairs and replacements; • The PHA utility allowance for the home;
• Principal and interest on mortgage debt incurred to finance costs for major repairs, replacements or improvements for the home. If a member of the family is a person with disabilities, such debt may include debt incurred by the family to finance costs needed to make the home accessible for such person, if the PHA determines that allowance of such costs as homeownership expenses is needed as a reasonable accommodation so that the homeownership option is readily accessible to and usable by such person; • Land lease payments where a family does not own fee title to the real property on which the home is located [see 24 CFR 982.628(b)];
• For a condominium unit, condominium operating charges or maintenance fees assessed by the condominium homeowner association.
Homeownership expenses for a cooperative member may only include amounts allowed by the PHA to cover:
• The cooperative charge under the cooperative occupancy agreement including payment for real estate taxes and public assessments on the home;
• Principal and interest on initial debt incurred to finance purchase of cooperative membership shares and any refinancing of such debt;
• Home insurance;
• The PHA allowance for maintenance expenses;
• The PHA allowance for costs of major repairs and replacements; • The PHA utility allowance for the home; and
• Principal and interest on debt incurred to finance major repairs, replacements or improvements for the home. If a member of the family is a person with disabilities, such debt may include debt incurred by the family to finance costs needed to make the home accessible for such person, if the PHA determines that allowance of such costs as homeownership expenses is needed as a reasonable accommodation so that the homeownership option is readily accessible to and usable by such person.
• Cooperative operating charges or maintenance fees assessed by the cooperative homeowner association.
PHA Policy
The PHA will use the following amounts for homeownership expenses:
Monthly homeownership payment. This includes principal and interest on initial mortgage debt, taxes and insurance, public assessments, and any mortgage insurance premium, if applicable.
Utility allowance. The PHA’s utility allowance for the unit, based on the current HCV utility allowance schedule.
Monthly maintenance/major repair/replacement allowance. A single monthly maintenance/repair/replacement allowance will be provided at $120 per month.
Monthly co-op/condominium assessments. If applicable, the monthly amount of co-op or condominium association operation and maintenance assessments.
Monthly principal and interest on debt for improvements. Principal and interest for major home repair, replacements, or improvements, if applicable.
Land lease payments. Land lease payments where a family does not own fee title to the real property on which the home is located.
The PHA may pay the homeownership assistance payments directly to the family, or at the PHA’s discretion, to a lender on behalf of the family. If the assistance payment exceeds the amount due to the lender, the PHA must pay the excess directly to the family.
PHA Policy
The PHA’s housing assistance payment will be paid directly to the family. It will be the family’s responsibility to make the entire payment to the lender. The PHA may make an exception if the family requests the payment to go directly to the lender, and this arrangement is acceptable to the mortgage company. If the assistance payment exceeds the amount due to the lender, the PHA must pay the excess directly to the family. 15-VII.L. PORTABILITY [24 CFR 982.636, 982.637, 982.353(b) and (c), 982.552, 982.553] Subject to the restrictions on portability included in HUD regulations and PHA policies, a family may exercise portability if the receiving PHA is administering a voucher homeownership program and accepting new homeownership families. The receiving PHA may absorb the family into its voucher program or bill the initial PHA.
The family must attend the briefing and counseling sessions required by the receiving PHA. The receiving PHA will determine whether the financing for, and the physical condition of the unit, are acceptable. The receiving PHA must promptly notify the initial PHA if the family has purchased an eligible unit under the program, or if the family is unable to purchase a home within the maximum time established by the PHA.
15-VII.M. MOVING WITH CONTINUED ASSISTANCE [24 CFR 982.637] A family receiving homeownership assistance may move with continued tenant-based assistance or with voucher homeownership assistance.
The PHA must determine that all initial requirements have been satisfied if a family that has received homeownership assistance wants to move with continued homeownership assistance.
However, the following do not apply:
• The requirement that a family must be a first-time homeowner is not applicable. • The requirement for pre-assistance counseling is not applicable. However, the PHA may require that the family complete additional counseling (before or after moving to a new unit with continued homeownership assistance).
Continued tenant-based assistance for a new unit cannot begin so long as any family member holds title to the prior home. However, when the family or a member of the family is or has been the victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, and the move is needed to protect the health or safety of the family or family member (or any family member has been the victim of a sexual assault that occurred on the premises during the 90-calendar-day period preceding the family’s request to move), such family or family member may be assisted with continued tenant-based assistance even if they own any title or other interest in the prior home.
The PHA may deny permission to move to a new unit with continued voucher assistance:
• If the PHA has insufficient funding to provide continued assistance. • In accordance with 24 CFR 982.638, regarding denial or termination of assistance. • In accordance with the PHA’s policy regarding number of moves within a 12-month period.
The PHA must deny the family permission to move to a new unit with continued voucher rental assistance if:
• The family defaulted on an FHA-insured mortgage; and
• The family fails to demonstrate that the family has conveyed, or will convey, title to the home, as required by HUD, to HUD or HUD's designee; and • The family has moved, or will move, from the home within the period established or approved by HUD.
PHA Policy
For families participating in the homeownership option, requests to move will be approved and/or denied in accordance with PHA policies in Chapter 10.
The PHA will not require additional counseling of any families who move with continued assistance.
15-VII.N. DENIAL OR TERMINATION OF ASSISTANCE [24 CFR 982.638] At any time, the PHA may deny or terminate homeownership assistance in accordance with HCV program requirements in 24 CFR 982.552 (Grounds for denial or termination of assistance) or 24 CFR 982.553 (Crime by family members).
The PHA may also deny or terminate assistance for violation of participant obligations described in 24 CFR Parts 982.551 or 982.633 and in accordance with its own policy, with the exception of failure to meet obligations under the Family Self-Sufficiency program as prohibited under the alternative requirements set forth in FR Notice 12/29/14.
Homeownership assistance for a family automatically terminates 180 calendar days after the last homeownership assistance payment on behalf of the family. However, a PHA may grant relief from this requirement in those cases where automatic termination would result in extreme hardship for the family.
PHA Policy
In order for the PHA to consider granting relief from the requirement to automatically terminate homeownership assistance 180 days following the PHA’s last housing assistance payment on behalf of the family, the family must submit a written request to the PHA at least 30 days prior to the date of automatic termination. The request must include an explanation of the circumstances that will cause an extreme hardship for the family (e.g., the imminent loss of income or employment) as well as documentation supporting the request. The PHA will determine on a case-by-case basis whether to grant relief from the requirement and for what period of time. In no case will the PHA postpone termination beyond an additional 90 days.
The PHA must terminate voucher homeownership assistance for any member of family receiving homeownership assistance that is dispossessed from the home pursuant to a judgment or order of foreclosure on any mortgage (whether FHA insured or non-FHA) securing debt incurred to purchase the home, or any refinancing of such debt.
PHA Policy
The PHA will terminate a family’s homeownership assistance if the family violates any of the homeowner obligations listed in Section 1, as well as for any of the reasons listed in Section 2 of Form HUD-52649, Statement of Homeowner Obligations Housing Choice Homeownership Voucher Program.
In making its decision to terminate homeownership assistance, the PHA will consider alternatives as described in Section 12-II.C and other factors described in Section 12- II.D. Upon consideration of such alternatives and factors, the PHA may, on a case-bycase basis, choose not to terminate assistance.
Termination notices will be sent in accordance with the requirements and policies set forth in Section 12-II.F.
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Chapter 16
PROGRAM ADMINISTRATION
INTRODUCTION
This chapter discusses administrative policies and practices that are relevant to the activities covered in this plan. The policies are discussed in seven parts as described below:
Part I: Administrative Fee Reserve. This part describes the PHA’s policies with regard to oversight of expenditures from its administrative fee reserve.
Part II: Setting Program Standards and Schedules. This part describes what payment standards are, and how they are updated, as well as how utility allowances are established and revised.
Part III: Informal Reviews and Hearings. This part outlines the requirements and procedures for informal reviews and hearings, and for informal hearings regarding citizenship status.
Part IV: Owner or Family Debts to the PHA. This part describes policies for recovery of monies that the PHA has overpaid on behalf of families, or to owners, and describes the circumstances under which the PHA will offer repayment agreements to owners and families. Also discussed are the consequences for failure to make payments in accordance with a repayment agreement.
Part V: Section 8 Management Assessment Program (SEMAP). This part describes what the SEMAP scores represent, how they are established, and how those scores affect a PHA.
Part VI: Record-Keeping. All aspects of the program involve certain types of recordkeeping. This part outlines the privacy rights of applicants and participants and record retention policies the PHA will follow.
Part VII: Reporting and Record Keeping for Children with Elevated Blood Lead Level.
This part describes the PHA’s responsibilities for reporting, data collection, and record keeping relative to children with elevated blood lead levels that are less than six years of age, and are receiving HCV assistance.
Part VIII: Determination of Insufficient Funding. This part describes the PHA’s policies for determining if there is sufficient funding to issue vouchers, to approve moves to higher cost units or areas, and to continue assistance for all participant families.
Part IX: Violence against Women Act (VAWA): Notification, Documentation, Confidentiality. This part contains key terms used in VAWA and describes requirements related to notifying families and owners about their rights and responsibilities under VAWA; requesting documentation from victims of domestic violence, dating violence, sexual assault, stalking, and human trafficking; and maintaining the confidentiality of information obtained from victims.
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PART I: ADMINISTRATIVE FEE RESERVE [24 CFR 982.155]
The PHA will maintain administrative fee reserves, or unrestricted net position (UNP) for the program to pay program administrative expenses in excess of administrative fees paid by HUD for a PHA fiscal year. HUD appropriations acts beginning with FFY 2004 have specified that administrative fee funding may be used only for activities related to the provision of HCV assistance, including related development activities. Notice PIH 2012-9 cites two examples of related development activities: unit modification for accessibility purposes and development of project-based voucher units. The notice makes clear that other activities may also qualify as related development activities. Administrative fees that remain in the UNP account from funding provided prior to 2004 may be used for “other housing purposes permitted by state and local law,” in accordance with 24 CFR 982.155(b)(1).
In addition, as specified in Notice PIH 2022-18, PHAs may use administrative fee funding for both administrative and “other expenses” needed to employ strategies and undertake activities beyond regular administrative responsibilities to facilitate the successful leasing and use of housing choice vouchers by families, such as through the use of security deposit assistance and landlord recruitment and incentive payments, among other allowable expenses specified in the notice. PHAs are also permitted to use UNP for these expenses [Notice PIH 2022-18].
If a PHA has not adequately administered its HCV program, HUD may prohibit use of funds in the UNP Account and may direct the PHA to use funds in that account to improve administration of the program, for HCV HAP expenses, or to reimburse ineligible expenses in accordance with the regulation at 24 CFR 982.155(b)(3).
HUD requires the PHA Board of Commissioners or other authorized officials to establish the maximum amount that may be charged against the UNP account without specific approval.
PHA Policy
Expenditures from the UNP account will be made in accordance with all applicable federal requirements. Expenditures will not exceed $25,001 per occurrence without the prior approval of the Hawthorne City Council.
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PART II: SETTING PROGRAM STANDARDS AND SCHEDULES
16-II.A. OVERVIEW
Although many of the program’s requirements are established centrally by HUD, the HCV program’s regulations recognize that some flexibility is required to allow the PHA to adapt the program to local conditions. This part discusses how the PHA establishes and updates certain schedules and standards that are used to administer the program locally. Details about how these schedules are applied to individual families are provided in other chapters. The schedules and standards discussed here include:
• Payment Standards, which dictate the maximum subsidy a family can receive (application of the payment standards is discussed in Chapter 6); and
• Utility Allowances, which specify how a family’s payment should be adjusted to account for tenant-paid utilities (application of utility allowances is discussed in Chapter 6).
PHA Policy
Copies of the payment standard and utility allowance schedules are available for review in the PHA’s offices during normal business hours and on the PHA’s website.
Families, owners, and members of the public may submit written comments on the schedules discussed in this part, at any time, for consideration during the next revision cycle.
The PHA will maintain documentation to support its annual review of payment standards and utility allowance schedules. This documentation will be retained for at least three years.
16-II.B. PAYMENT STANDARDS [24 CFR 982.503; HCV GB, Chapter 7; and Notice PIH 2024-34]
The payment standard sets the maximum subsidy payment a family can receive from the PHA each month [24 CFR 982.505(a)]. Payment standards are based on fair market rents (FMRs) published annually by HUD. FMRs are set at a percentile within the rent distribution of standard quality rental housing units in each FMR area. For most jurisdictions FMRs are set at the 40th percentile of gross rents in the market area.
In the HCV program, the FMR may be established at the ZIP code level, metropolitan market area level, or nonmetropolitan county level. Within each FMR area, the applicable FMR is the HUD-published:
• Small Area FMR (SAFMR);
- For any metropolitan area designated as an SAFMR area; or - Anywhere a PHA has notified HUD it will voluntarily use SAFMRs; • Metropolitan FMR for any other metropolitan area; or
• FMR for any other non-metropolitan county.
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The PHA must establish a payment standard schedule that establishes payment standard amounts for each FMR area within the PHA’s jurisdiction and for each unit size within each of the FMR areas. In many cases a single FMR area will cover the PHA’s entire jurisdiction. Some PHAs’ jurisdictions include more than one FMR area. The PHA’s established payment standards within the payment standard area always must be within the basic range of the applicable FMR area, or any HUD-approved exception payment standard. Program regulations and this policy refer to the “applicable FMR.” The “applicable FMR” is the HUD-published SAFMR for PHAs in mandatory SAFMR areas or for those PHAs that have opted-in to using the SAFMR, both of which are discussed below.
Small Area FMR PHAs (Mandatory and Opt-In) [Notice PIH 2018-01; Notice PIH 2023-32; Notice PIH 2024-34; and Implementing Small Area Fair Market Rents (SAFMR) Guidebook]
SAFMRs are FMRs calculated at the ZIP Code level, rather than for an entire metropolitan or non-metropolitan county.
HUD identifies which metropolitan areas are required to use SAFMRs based on significant voucher concentration challenges and market conditions. PHAs administering the HCV program in those areas are required to use the SAFMRs when establishing payment standards (mandatory SAFMR PHAs). Mandatory SAFMR PHAs must use the SAFMR for any part of their jurisdiction located in the SAFMR area.
Upon notification to HUD, PHAs not located in mandatory SAFMR areas may opt-in and voluntarily adopt SAFMRs for one or more of the FMR areas in which the PHA administers vouchers (opt-in PHAs). A PHA that exercises this option in one metropolitan area or nonmetropolitan county is not required to exercise this option in other metropolitan areas or nonmetropolitan counties. A PHA that opts in to SAFMRs may subsequently opt out through revision of the administrative plan and notification to HUD.
Alternatively, PHAs may elect to use SAFMRs only as the basis for exception payment standards in some or all of those non-mandatory SAFMR areas that cover or are within their jurisdictions. These PHAs are not considered opt-in PHAs.
When applicable, SAFMRs apply to all tenant-based vouchers in the PHA’s jurisdiction, including special vouchers such as the Veterans Affairs Supportive Housing (VASH) program, the Family Unification Program (FUP), and special housing types such as Single Room Occupancies (SROs) and homeownership vouchers. SAFMRs do not apply to manufactured home space rental.
PHA Policy
The PHA is a mandatory SAFMR PHA.
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The Basic Range [24 CFR 982.503(c) and Notice PIH 2024-34] The PHA may establish a payment standard within the “basic range” established by HUD— between 90 and 110 percent of the published FMR for each unit size—without HUD approval or prior notification to HUD. For each payment standard area, the PHA must establish a payment standard amount for each unit size which may be based on the same percentage of the published FMR (for example, all units at 100 percent of FMR), or the PHA may set different payment standards for different unit sizes (for example, 1-bedrooms at 90 percent and 2-bedrooms at 100 percent of the FMR).
Designated Payment Standard Areas [24 CFR 982.503(a)(3) and Notice PIH 2024-34] The PHA may establish designated payment standard areas within each FMR area where the PHA establishes different payment standards, provided each area is no smaller than a census tract block group. If the PHA designates payment standard areas, then it must include the criteria used to determine the designated areas and the payment standard amounts for those areas in the administrative plan.
PHA Policy
The PHA has not established any designated payment standard areas.
Exception Payment Standards [24 CFR 982.503(d), Notice PIH 2018-01, Notice PIH 2024-34, and FR Notice 9/27/21]
There are several options available to increase payment standards above the basic range. These are known as exception payment standards, which are payment standards that exceed 110 percent of the published FMR. The following are types of exception payment standards:
• Payment standards based on SAFMRs in ZIP codes where the SAFMR is higher than the applicable metropolitan or non-metropolitan county FMR
• Payment standards greater than 110 percent up to 120 percent of the applicable FMR • Payment standards over 120 percent of the applicable FMR • Payment standards up to 120 percent of the FMR for Veterans Affairs Supportive Housing (HUD-VASH)
• Payment standards necessary as a reasonable accommodation Payment Standards based on SAFMRs in ZIP codes where the SAFMR is Higher than the FMR: Upon notification to HUD, a PHA that is not located in a SAFMR area or that has not opted to voluntarily adopt SAFMRs may establish an exception payment standard for a ZIP code area that exceeds the basic range for the metropolitan area or county FMR of up to and including 110 percent of the SAFMR for that ZIP code area. If an exception area crosses one or more FMR boundaries, then the maximum exception payment standard amount that a PHA may adopt for the area without HUD approval is 110 percent of the ZIP code area with the lowest SAFMR amount. A PHA that adopts an exception payment standard pursuant to this authority must apply it to the entire ZIP code area.
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Payment Standards Greater than 110 Percent Up to 120 Percent: Upon notification to HUD, a PHA may establish exception payment standards between 110 percent and 120 percent of the applicable FMR if the PHA meets one of the following criteria:
• Success rate: Fewer than 75 percent of families to which the PHA has issued tenant-based vouchers during the most recent 12-month period for which there is success rate data available have become participants on the program; or
• Rent burden: More than 40 percent of families with tenant-based assistance pay more than 30 percent of their adjusted income as their family share.
The PHA may revert back to the basic range at any time without notification to HUD.
PHAs may combine exception payment standards based on the SAFMR and exception payment standards greater than 110 and up to 120 percent.
Other Exception Payment Standards: PHAs may request HUD approval to establish exception payment standards up to 120 percent of the FMR when the above criteria do not apply or in order to establish exception payment standards that exceed 120 percent of the FMR. Requests may be made for an entire FMR area or a designated part of the FMR area.
Exception Payment Standards for VASH: In addition, HUD allows PHAs to establish a HUDVeterans Affairs Supportive Housing (HUD-VASH) exception payment standard. PHAs may go up to but no higher than 120 percent of the FMR or SAFMR specifically for VASH families.
PHAs who want to establish a VASH exception payment standard over 120 percent must still request a waiver from HUD (See Section 19-III.E.).
Once exception payment standards are adopted, the PHA may use the exception payment standard for all units, or for only units of a particular size. The exception payment standard may be established for a designated part of the FMR area (called an “exception area”) or for the entire FMR area. Exception areas are typically county, city, town, ZIP code, or census tract areas.
However, so long as the exception area is no smaller than census tract block group, the PHA may determine the area for the exception area.
PHA Policy
The PHA will establish an exception to payment standards when funding allows for all programs.
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Reasonable Accommodation [24 CFR 982.503(d)(5), 24 CFR 982.505(d), Notice PIH 2024-34, and Notice PIH 2010-26]
Unit-by-unit exceptions to the PHA’s payment standards generally are not permitted. However, an exception may be made on a case-by-case basis as a reasonable accommodation for a family that includes a person with disabilities. (See Chapter 2 for a discussion of reasonable accommodations.) This type of exception does not affect the PHA’s payment standard schedule.
If required as a reasonable accommodation, the PHA may make an exception to the payment standard without HUD approval if the exception amount does not exceed 120 percent of the applicable FMR/SAFMR for the unit size (or in the case of VASH, up to 140 percent of the FMR/SAFMR). The PHA may request HUD approval for an exception to the payment standard for a particular family if the required amount exceeds 120 percent of the FMR/SAFMR.
PHA Policy
A family that requires a reasonable accommodation may request a higher payment standard at the time the Request for Tenancy Approval (RTA) is submitted. The family must document the need for the exception. In order to approve an exception, or request an exception from HUD, the PHA must determine that:
There is a shortage of affordable units that would be appropriate for the family; The family share would otherwise exceed 40 percent of adjusted monthly income; and
The rent for the unit is reasonable.
Payment Standard below the Basic Range [24 CFR 982.503(e) and Notice PIH 2024-34] The PHA must request HUD approval to establish a payment standard amount that is lower than the basic range. At HUD’s sole discretion, HUD may approve establishment of a payment standard lower than the basic range. HUD will consider rent burden on families assisted under the program.
Updating Payment Standards [24 CFR 982.503(c)(3) and Notice PIH 2023-24] HUD publishes FMRs in the Federal Register and also makes them available on the HUD website with an effective date of October 1. When HUD updates FMRs, the PHA must revise its payment standard amounts and schedule no later than three months following the effective date of the published FMR if revisions are necessary to stay within the basic range. HUD may require the PHA to make further adjustments if it determines that rent burdens for assisted families in the PHA’s jurisdiction are unacceptably high [24 CFR 982.503(h)]. PHAs must include a copy of the payment standard schedule in the voucher briefing materials, and HUD strongly encourages PHAs to post their payment standard schedule on their website. . Page 16 Adminplan 6/1/26 -8
PHA Policy
The PHA will review the appropriateness of the payment standards on an annual basis when the new FMR is published, and at other times as determined necessary. In addition to ensuring the payment standards are always within the “basic range,” the PHA will consider the following factors when determining whether an adjustment should be made to the payment standard schedule:
Funding Availability: The PHA will review projected HAP expenditures to determine the impact projected subsidy adjustments will have on funding available for the program and the number of families served. The PHA will compare the number of families who could be served under revised payment standard amounts with the number assisted under current payment standard amounts.
Rent Burden of Participating Families: Rent burden will be determined by identifying the percentage of families, for each unit size, that are paying more than 30 percent of their monthly adjusted income as the family share. When 40 percent or more of families, for any given unit size, are paying more than 30 percent of adjusted monthly income as the family share, the PHA will consider increasing the payment standard. In evaluating rent burdens, the PHA will not include families renting a larger unit than their family unit size.
Quality of Units Selected: The PHA may review the quality of units selected by participant families when making the determination of the percent of income families are paying for housing, to ensure that payment standard increases are only made when needed to reach the mid-range of the market.
Changes in Rent to Owner: The PHA may review a sample of the units to determine how often owners are increasing or decreasing rents and the average percent of increases and decreases by bedroom size.
Unit Availability: The PHA may review the availability of units for each unit size, particularly in areas with low concentrations of poor and minority families.
Lease-up Time and Success Rate: The PHA may consider the percentage of families that are unable to locate suitable housing before the voucher expires and whether families are leaving the jurisdiction to find affordable housing.
Effective dates of changes to payment standard amounts will be determined at the time of update. The PHA will always ensure the payment standards will be within the basic range. The PHA will post its payment standards schedule on the PHA’s website and include a copy in the voucher briefing materials.
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16-II.C. UTILITY ALLOWANCES [24 CFR 982.517]
A PHA-established utility allowance schedule is used in determining family share and PHA subsidy. The PHA must maintain a utility allowance schedule for (1) all tenant-paid utilities, (2) the cost of tenant-supplied refrigerators and ranges, and (3) other tenant-paid housing services such as trash collection. The PHA must maintain an area-wide utility allowance schedule. The utility allowance schedule must be determined based on the typical cost of utilities and services paid by energy-conservative households that occupy housing of similar size and type in the same locality. In developing the schedule, the PHA must use normal patterns of consumption for the community as a whole, and current utility rates.
The utility allowance must include the utilities and services that are necessary in the locality to provide housing that complies with housing quality standards. Costs for telephone, cable/satellite television, and internet services are not included in the utility allowance schedule.
In the utility allowance schedule, the PHA must classify utilities and other housing services according to the following general categories: space heating; air conditioning; cooking; water heating; water; sewer; trash collection; other electric; cost of tenant-supplied refrigerator; cost of tenant-supplied range; applicable surcharges; and other specified housing services.
The cost of each utility and housing service must be stated separately by unit size and type.
Chapter 18 of the HCV Guidebook provides detailed guidance to the PHA about establishing utility allowance schedules.
The PHA must state its policy for utility allowance payments in the administrative plan and apply it consistently to all households. The PHA must provide a copy of the utility allowance schedule to HUD.
Energy Efficient Utility Allowance [24 CFR 982.517(b)(2)(ii)] In addition to the area-wide utility allowance standard, the PHA may maintain an area-wide, energy efficient utility allowance schedule to be used for units that are in a building that meets Leadership in Energy and Environmental Design (LEED) or Energy Star standards.
PHA Policy
The PHA will not maintain an energy efficient utility allowance schedule.
Air Conditioning [24 CFR 982.517(b)(1)(iii)]
The PHA must provide a utility allowance for air-conditioning when the majority of housing units in the market provide central air-conditioning or are wired for tenant-installed air conditioners.
PHA Policy
The PHA has included an allowance for air-conditioning in its schedule. Central airconditioning or a portable air conditioner must be present in a unit before the PHA will apply this allowance to a family’s rent and subsidy calculations. . Page 16 Adminplan 6/1/26 -10
Reasonable Accommodation and Individual Relief
Upon request from a family that includes a person with disabilities, the PHA must approve a utility allowance which is higher than the applicable amount on the utility allowance schedule if a higher utility allowance is needed as a reasonable accommodation to make the program accessible and usable by the family member with a disability [24 CFR 982.517(e)]. See Chapter 2 for policies regarding the request and approval of reasonable accommodations.
Further, the PHA may grant requests for relief from charges in excess of the utility allowance on reasonable grounds, such as special needs of the elderly, ill, or residents with disabilities, or special factors not within control of the resident, as the PHA deems appropriate. The family must request the higher allowance and provide the PHA with an explanation of the need for the individual relief and information about the amount of additional allowance required [see HCV GB, p. 18-8].
PHAs should develop criteria for granting individual relief and to notify residents about the availability of individual relief, and also to notify participants about the availability of individual relief programs (sometimes referred to as “Medical Baseline discounts”) offered by the local utility company. Policies for granting exception utility allowances can be found in Section 6- III.D. of this plan.
Utility Allowance Revisions
The PHA must review its schedule of utility allowances each year and must revise the schedule if there has been a change of 10 percent or more in any utility rate since the last time the allowance for that utility was revised [24 CFR 982.517(c)(1)].
The PHA must maintain information supporting its annual review of utility allowance and any revisions made in its utility allowance schedule.
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PART III: INFORMAL REVIEWS AND HEARINGS
16-III.A. OVERVIEW
Both applicants and participants have the right to disagree with, and appeal, certain decisions of the PHA that may adversely affect them. PHA decisions that may be appealed by applicants and participants are discussed in this section.
The process for applicant appeals of PHA decisions is called the “informal review.” For participants (or applicants denied admission because of citizenship issues), the appeal process is called an “informal hearing.” PHAs are required to include informal review procedures for applicants and informal hearing procedures for participants in their administrative plans [24 CFR 982.54(d)(12) and (13)].
16-III.B. INFORMAL REVIEWS
Informal reviews are provided for program applicants. An applicant is someone who has applied for admission to the program but is not yet a participant in the program. Informal reviews are intended to provide a “minimum hearing requirement” [24 CFR 982.554] and need not be as elaborate as the informal hearing requirements [Federal Register 60, no. 127 (3 July 1995):
34690].
Decisions Subject to Informal Review [24 CFR 982.554(a) and (c)] The PHA must give an applicant the opportunity for an informal review of a decision denying assistance [24 CFR 982.554(a)]. Denial of assistance may include any or all of the following [24 CFR 982.552(a)(2)]:
• Denying listing on the PHA waiting list
• Denying or withdrawing a voucher
• Refusing to enter into a HAP contract or approve a lease • Refusing to process or provide assistance under portability procedures Informal reviews are not required for the following reasons [24 CFR 982.554(c)]:
• Discretionary administrative determinations by the PHA • General policy issues or class grievances
• A determination of the family unit size under the PHA subsidy standards • A PHA determination not to approve an extension of a voucher term • A PHA determination not to grant approval of the tenancy • A PHA determination that the unit is not in compliance with the housing quality standards • A PHA determination that the unit does not meet space standards . Page 16 Adminplan 6/1/26 -12
PHA Policy
The PHA will only offer an informal review to applicants for whom assistance is being denied. Denial of assistance includes denying listing on the PHA waiting list; denying or withdrawing a voucher; refusing to enter into a HAP contract or approve a lease; refusing to process or provide assistance under portability procedures.
Notice to the Applicant [24 CFR 982.554(a)]
The PHA must give an applicant prompt notice of a decision denying assistance. The notice must contain a brief statement of the reasons for the PHA decision and must also state that the applicant may request an informal review of the decision. The notice must describe how to obtain the informal review.
Scheduling an Informal Review
PHA Policy
A request for an informal review must be made in writing and delivered to the PHA either in person or by first class mail, by the close of the business day, no later than 10 business days from the date of the PHA’s denial of assistance.
The PHA must schedule and send written notice of the informal review within 10 business days of the family’s request.
If the informal review will be conducted remotely, at the time the PHA notifies the family of the informal review, the family will be informed:
Regarding the processes to conduct a remote informal review; That, if needed, the PHA will provide technical assistance prior to and during the informal review; and
That if the family or any individual witness has any technological, resource, or accessibility barriers preventing them from fully accessing the remote informal review, the family may inform the PHA and the PHA will assist the family in either resolving the issues or allow the family to participate in an in-person informal review, as appropriate.
Informal Review Procedures [24 CFR 982.554(b)]
The informal review must be conducted by a person other than the one who made or approved the decision under review, or a subordinate of this person.
The applicant must be provided an opportunity to present written or oral objections to the decision of the PHA.
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Remote Informal Reviews [Notice PIH 2020-32]
There is no requirement that informal reviews be conducted in-person and, as such, HUD allows PHAs to conduct all or a portion of their informal review remotely either over the phone, via video conferencing, or through other virtual platforms. If the PHA chooses to conduct remote informal reviews, applicants may still request an in-person informal review, as applicable.
PHA Policy
The PHA has the sole discretion to require that informal reviews be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.
In addition, the PHA will conduct an informal review remotely upon request of the applicant as a reasonable accommodation for a person with a disability, if an applicant does not have childcare or transportation that would enable them to attend the informal review, or if the applicant believes an in-person informal review would create an undue health risk. The PHA will consider other reasonable requests for a remote informal review on a case-by-case basis.
Ensuring Accessibility for Persons with Disabilities and LEP Individuals As with in-person informal reviews, the platform for conducting remote informal reviews must be accessible to persons with disabilities and the informal review must be conducted in accordance with Section 504 and accessibility requirements. This includes ensuring any information, websites, emails, digital notifications, and other virtual platforms are accessible for persons with vision, hearing, and other disabilities. Further, providing effective communication in a digital context may require the use of individualized auxiliary aids or services, such as audio description, captioning, sign language and other types of interpreters, keyboard accessibility, accessible documents, screen reader support, and transcripts. Auxiliary aids or services must be provided in accessible formats, in a timely manner, and in such a way to protect the privacy and independence of the individual. PHAs may never request or require that individuals with disabilities provide their own auxiliary aids or services, including for remote informal hearings.
PHAs are required to make reasonable accommodations in policies, practices, and procedures to ensure persons with disabilities have a full and equal opportunity to participate in and benefit from all aspects of the informal review process. See Chapter 2 for a more detailed discussion of reasonable accommodation requirements.
If no method of conducting a remote informal review is available that appropriately accommodates an individual’s disability, the PHA may not hold against the individual their inability to participate in the remote informal review, and the PHA should consider whether postponing the remote informal review to a later date is appropriate or whether there is a suitable alternative.
Due to the individualized nature of disability, the appropriate auxiliary aid or service necessary, or reasonable accommodation, will depend on the specific circumstances and requirements.
As with in-person reviews, Limited English Proficiency (LEP) requirements also apply to remote informal reviews, including the use of interpretation services and document translation. See Chapter 2 for a more thorough discussion of accessibility and LEP requirements, all of which apply in the context of remote informal reviews.
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Conducting Remote Informal Reviews
The PHA must ensure that the lack of technology or inability to use technology for remote informal reviews does not pose a disadvantage to families that may not be apparent to the PHA.
The PHA should determine through a survey or other means if these barriers exist prior to conducting the remote informal review and, if the family does not have the proper technology to fully participate, either postpone the informal review or provide an alternative means of access.
As with in-person informal reviews, the PHA must provide all materials presented, whether paper or electronic, to the family prior to the remote informal review. The family must also be provided with an accessible means by which to transmit their own evidence.
The PHA must ensure that the applicant has the right to hear and be heard. All PHA policies and processes for remote informal reviews must be conducted in accordance with due process requirements and be in compliance with HUD regulations at 24 CFR 982.554 and guidance specified in Notice PIH 2020-32.
PHA Policy
The PHA will conduct remote informal reviews via a video conferencing platform, when available. If, after attempting to resolve any barriers, applicants are unable to adequately access the video conferencing platform at any point, or upon applicant request, the informal review will be conducted by telephone conferencing call-in. If the family is unable to adequately access the telephone conferencing call-in at any point, the remote informal review will be postponed, and an in-person alternative will be provided promptly within a reasonable time.
At least five business days prior to the scheduled remote review, the PHA will provide the family with login information and/or conferencing call-in information and an electronic and/or physical copy of all materials being presented via first class mail and/or email. The notice will advise the family of technological requirements for the informal review and request the family notify the PHA of any known barriers. The PHA will resolve any barriers using the guidance in Section 6 of Notice PIH 2020-32, including offering the family the opportunity to attend an in-person informal review.
If the informal review is to be conducted remotely, the PHA will require the family to provide any documents directly relevant to the informal review at least 24 hours before the scheduled review through the mail, via email, or text. The PHA will scan and email copies of these documents to the PHA representative the same day.
Documents will be shared electronically whenever possible.
The PHA will follow up the email with a phone call and/or email to the applicant at least one business day prior to the remote informal review to ensure that the applicant received all information and is comfortable accessing the video conferencing or call-in platform.
The PHA will ensure that all electronic information stored or transmitted with respect to the informal review is secure, including protecting personally identifiable information (PII), and meets the requirements for accessibility for persons with disabilities and persons with LEP.
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Informal Review Decision [24 CFR 982.554(b)]
The PHA must notify the applicant of the PHA’s final decision, including a brief statement of the reasons for the final decision.
PHA Policy
In rendering a decision, the PHA will evaluate the following matters:
Whether or not the grounds for denial were stated factually in the notice to the family.
The validity of the grounds for denial of assistance. If the grounds for denial are not specified in the regulations, then the decision to deny assistance will be overturned.
The validity of the evidence. The PHA will evaluate whether the facts presented prove the grounds for denial of assistance. If the facts prove that there are grounds for denial, and the denial is required by HUD, the PHA will uphold the decision to deny assistance.
If the facts prove the grounds for denial, and the denial is discretionary, the PHA will consider the recommendation of the person conducting the informal review in making the final decision whether to deny assistance.
The PHA will notify the applicant of the final decision, including a statement explaining the reason(s) for the decision. The notice will be mailed within 10 business days of the informal review, to the applicant and their representative, if any, along with proof of mailing.
If the decision to deny is overturned as a result of the informal review, processing for admission will resume.
If the family fails to appear for their informal review, the denial of admission will stand and the family will be so notified.
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16-III.C. INFORMAL HEARINGS FOR PARTICIPANTS [24 CFR 982.555] PHAs must offer an informal hearing for certain PHA determinations relating to the individual circumstances of a participant family. A participant is defined as a family that has been admitted to the PHA’s HCV program and is currently assisted in the program. The purpose of the informal hearing is to consider whether the PHA’s decisions related to the family’s circumstances are in accordance with the law, HUD regulations and PHA policies.
The PHA is not permitted to terminate a family’s assistance until the time allowed for the family to request an informal hearing has elapsed, and any requested hearing has been completed.
Termination of assistance for a participant may include any or all of the following:
• Refusing to enter into a HAP contract or approve a lease • Terminating housing assistance payments under an outstanding HAP contract • Refusing to process or provide assistance under portability procedures Decisions Subject to Informal Hearing
Circumstances for which the PHA must give a participant family an opportunity for an informal hearing are as follows:
• A determination of the family’s annual or adjusted income, and the use of such income to compute the housing assistance payment
• A determination of the appropriate utility allowance (if any) for tenant-paid utilities from the PHA utility allowance schedule
• A determination of the family unit size under the PHA’s subsidy standards • A determination to terminate assistance for a participant family because of the family’s actions or failure to act
• A determination to terminate assistance because the participant has been absent from the assisted unit for longer than the maximum period permitted under PHA policy and HUD rules
PHA Policy
The PHA will also give participant families an opportunity for an informal hearing for:
Any denial of a request for a reasonable accommodation for a person with disabilities (see Chapter 2).
Families participating in the Family Self-Sufficiency (FSS) program, when the PHA withholds the coordination of supportive services or terminates a family’s participation in the FSS program because the PHA determines the FSS family has failed to comply without good cause with the requirements of the FSS Contract of Participation in accordance with the FSS Action Plan [24 CFR 984.303(i)]. . Page 16 Adminplan 6/1/26 -17
Circumstances for which an informal hearing is not required are as follows:
• Discretionary administrative determinations by the PHA • General policy issues or class grievances
• Establishment of the PHA schedule of utility allowances for families in the program • A PHA determination not to approve an extension of a voucher term • A PHA determination not to approve a unit or tenancy
• A PHA determination that a unit selected by the applicant is not in compliance with NSPIRE standards
• A PHA determination that the unit is not in accordance with space standards because of family size
• A determination by the PHA to exercise or not to exercise any right or remedy against an owner under a HAP contract
Remote Informal Hearings [Notice PIH 2020-32]
There is no requirement that informal hearings be conducted in-person, and as such, HUD allows PHAs to conduct all or a portion of their informal hearings remotely either over the phone, via video conferencing, or through other virtual platforms. If the PHA chooses to conduct remote informal hearings, applicants may still request an in-person informal hearing, as applicable.
PHA Policy
The PHA has the sole discretion to require that informal hearings be conducted remotely in case of local, state, or national physical distancing orders, and in cases of inclement weather or natural disaster.
In addition, the PHA will conduct an informal hearing remotely upon request as a reasonable accommodation for a person with a disability, if a participant does not have childcare or transportation that would enable them to attend the informal hearing, or if the participant believes an in-person hearing would create an undue health risk. The PHA will consider other reasonable requests for a remote informal hearing on a case-by-case basis.
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Ensuring Accessibility for Persons with Disabilities and LEP Individuals As with in-person informal hearings, the platform for conducting remote informal hearings must be accessible to persons with disabilities and the informal hearings must be conducted in accordance with Section 504 and accessibility requirements. This includes ensuring any information, websites, emails, digital notifications, and other virtual platforms are accessible for persons with vision, hearing, and other disabilities. Further, providing effective communication in a digital context may require the use of individualized auxiliary aids or services, such as audio description, captioning, sign language and other types of interpreters, keyboard accessibility, accessible documents, screen reader support, and transcripts. Auxiliary aids or services must be provided in accessible formats, in a timely manner, and in such a way to protect the privacy and independence of the individual. PHAs may never request or require that individuals with disabilities provide their own auxiliary aids or services, including for remote informal hearings.
PHAs are required to make reasonable accommodations in policies, practices, and procedures to ensure persons with disabilities have a full and equal opportunity to participate in and benefit from all aspects of the informal hearing process. See Chapter 2 for a more detailed discussion of reasonable accommodation requirements.
If no method of conducting a remote informal hearing is available that appropriately accommodates an individual’s disability, the PHA may not hold against the individual their inability to participate in the remote informal hearing, and the PHA should consider whether postponing the remote hearing to a later date is appropriate or whether there is a suitable alternative.
Due to the individualized nature of disability, the appropriate auxiliary aid or service necessary, or reasonable accommodation will depend on the specific circumstances and requirements.
As with in-person reviews, Limited English Proficiency (LEP) requirements also apply to remote informal hearings, including the use of interpretation services and document translation. See Chapter 2 for a more thorough discussion of accessibility and LEP requirements, all of which apply in the context of remote informal hearings.
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Conducting Informal Hearings Remotely
The PHA must ensure that the lack of technology or inability to use technology for remote informal hearings does not pose a disadvantage to families that may not be apparent to the PHA.
The PHA should determine through a survey or other means if these barriers exist prior to conducting the remote informal hearing and, if the family does not have the proper technology to fully participate, either postpone the informal hearing or provide an alternative means of access.
As with in-person informal hearings, the PHA must provide all materials presented, whether paper or electronic, to the family prior to the remote informal hearing. The family must also be provided with an accessible means by which to transmit their own evidence.
The PHA’s essential responsibility is to ensure informal hearings meet the requirements of due process and comply with HUD regulations. Therefore, all PHA policies and processes for remote informal hearings will be conducted in accordance with due process requirements and will be in compliance with HUD regulations at 24 CFR 982.555 and the guidance for conducting remote hearings specified in Notice PIH 2020-32.
PHA Policy
The PHA will conduct remote informal hearings via a video conferencing platform, when available. If, after attempting to resolve any barriers, participants are unable to adequately access the video conferencing platform at any point, or upon request, the informal hearing will be conducted by telephone conferencing call-in. If the family is unable to adequately access the telephone conferencing call-in at any point, the remote informal hearing will be postponed, and an in-person alternative will be provided promptly within a reasonable time.
At least five business days prior to the scheduled remote hearing, the PHA will provide the family with login information and/or conferencing call-in information and an electronic copy of all materials being presented via first class mail and/or email. The notice will advise the family of technological requirements for the hearing and request the family notify the PHA of any known barriers. The PHA will resolve any barriers using the guidance in Section 6 of Notice PIH 2020-32, including offering the family the opportunity to attend an in-person hearing.
The PHA will follow up with a phone call and/or email to the family at least one business day prior to the remote informal hearing to ensure that the family received all information and is comfortable accessing the video conferencing or call-in platform.
The PHA will ensure that all electronic information stored or transmitted with respect to the informal hearing is secure, including protecting personally identifiable information (PII), and meets the requirements for accessibility for persons with disabilities and persons with LEP.
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Informal Hearing Procedures
Notice to the Family [24 CFR 982.555(c)]
When the PHA makes a decision that is subject to informal hearing procedures, the PHA must inform the family of its right to an informal hearing at the same time that it informs the family of the decision.
For decisions related to the family’s annual or adjusted income, the determination of the appropriate utility allowance, and the determination of the family unit size, the PHA must notify the family that they may ask for an explanation of the basis of the determination, and that if they do not agree with the decision, they may request an informal hearing on the decision.
For decisions related to the termination of the family’s assistance, or the denial of a family’s request for an exception to the PHA’s subsidy standards, the notice must contain a brief statement of the reasons for the decision, a statement that if the family does not agree with the decision, the family may request an informal hearing on the decision, and a statement of the deadline for the family to request an informal hearing.
PHA Policy
In cases where the PHA makes a decision for which an informal hearing must be offered, the notice to the family will include all of the following:
The proposed action or decision of the PHA.
A brief statement of the reasons for the decision, including the regulatory reference.
The date the proposed action will take place.
A statement of the family’s right to an explanation of the basis for the PHA’s decision.
A statement that if the family does not agree with the decision the family may request an informal hearing of the decision.
A deadline for the family to request the informal hearing.
To whom the hearing request should be addressed.
A copy of the PHA’s hearing procedures.
That the family may request a remote informal hearing.
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Scheduling an Informal Hearing [24 CFR 982.555(d)]
When an informal hearing is required, the PHA must proceed with the hearing in a reasonably expeditious manner upon the request of the family.
PHA Policy
A request for an informal hearing must be made in writing and delivered to the PHA either in person or by first class mail, by the close of the business day, no later than 10 business days from the date of the PHA’s decision or notice to terminate assistance.
The PHA must schedule and send written notice of the informal hearing to the family within 10 business days of the family’s request.
If the PHA hearing will be conducted remotely, at the time the notice is sent to the family, the family will be notified:
Regarding the processes involved in a remote informal hearing; That the PHA will provide technical assistance prior to and during the informal hearing, if needed; and
That if the family or any individual witness has any technological, resource, or accessibility barriers, the family may inform the PHA and the PHA will assist the family in either resolving the issue or allow the family to participate in an inperson hearing, as appropriate.
The family may request to reschedule a hearing for good cause, or if it is needed as a reasonable accommodation for a person with disabilities. Good cause is defined as an unavoidable conflict which seriously affects the health, safety or welfare of the family.
Requests to reschedule a hearing must be made orally or in writing prior to the hearing date. At its discretion, the PHA may request documentation of the “good cause” prior to rescheduling the hearing.
If the family does not appear within 20 minutes of the scheduled time, and was unable to reschedule the hearing in advance due to the nature of the conflict, the family must contact the PHA within 24 hours of the scheduled hearing date, excluding weekends and holidays. The PHA will reschedule the hearing only if the family can show good cause for the failure to appear, or if it is needed as a reasonable accommodation for a person with disabilities. If the family cannot show good cause for the failure to appear, or a rescheduling is not needed as a reasonable accommodation, the PHA’s decision will stand.
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Pre-Hearing Right to Discovery [24 CFR 982.555(e)]
Participants and the PHA are permitted pre-hearing discovery rights. The family must be given the opportunity to examine before the hearing any PHA documents that are directly relevant to the hearing. The family must be allowed to copy any such documents at their own expense. If the PHA does not make the document available for examination on request of the family, the PHA may not rely on the document at the hearing.
For the purpose of informal hearings, documents include records and regulations.
PHA Policy
The family will be allowed to copy any documents related to the hearing at no cost to the family. The family must request discovery of PHA documents no later than 12:00 p.m. on the business day prior to the scheduled hearing date.
If the hearing will be conducted remotely, the PHA will compile a hearing packet, consisting of all documents the PHA intends to produce at the informal hearing. The PHA will mail copies of the hearing packet to the family, the family’s representatives, if any, and the hearing officer at least three days before the scheduled remote informal hearing. The original hearing packet will be in the possession of the PHA representative and retained by the PHA.
Documents will be shared electronically whenever possible.
The PHA hearing procedures may provide that the PHA must be given the opportunity to examine at the PHA offices before the hearing any family documents that are directly relevant to the hearing. The PHA must be allowed to copy any such document at the PHA’s expense. If the family does not make the document available for examination on request of the PHA, the family may not rely on the document at the hearing.
PHA Policy
For in-person hearings, the PHA will not require pre-hearing discovery by the PHA of family documents directly relevant to the hearing.
If the informal hearing is to be conducted remotely, the PHA will require the family to provide any documents directly relevant to the informal hearing at least 24 hours before the scheduled hearing through the mail, via email, or text. The PHA will scan and email copies of these documents to the hearing officer and the PHA representative the same day.
Documents will be shared electronically whenever possible.
Participant’s Right to Bring Counsel [24 CFR 982.555(e)(3)] At its own expense, the family may be represented by a lawyer or other representative at the informal hearing.
Informal Hearing Officer [24 CFR 982.555(e)(4)]
Informal hearings will be conducted by a person or persons approved by the PHA, other than the person who made or approved the decision or a subordinate of the person who made or approved the decision.
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Attendance at the Informal Hearing
PHA Policy
Hearings may be attended by a hearing officer and the following applicable persons:
A PHA representative(s) and any witnesses for the PHA
The participant and any witnesses for the participant
The participant’s counsel or other representative
Any other person approved by the PHA as a reasonable accommodation for a person with a disability
Conduct at Hearings
The person who conducts the hearing may regulate the conduct of the hearing in accordance with the PHA’s hearing procedures [24 CFR 982.555(4)(ii)].
PHA Policy
The hearing officer is responsible to manage the order of business and to ensure that hearings are conducted in a professional and businesslike manner. Attendees are expected to comply with all hearing procedures established by the hearing officer and guidelines for conduct. Any person demonstrating disruptive, abusive or otherwise inappropriate behavior will be excused from the hearing at the discretion of the hearing officer. . Page 16 Adminplan 6/1/26 -24
Evidence [24 CFR 982.555(e)(5)]
The PHA and the family must be given the opportunity to present evidence and question any witnesses. In general, all evidence is admissible at an informal hearing. Evidence may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings.
PHA Policy
Any evidence to be considered by the hearing officer must be presented at the time of the hearing. There are four categories of evidence.
Oral evidence: the testimony of witnesses
Documentary evidence: a writing which is relevant to the case, for example, a letter written to the PHA. Writings include all forms of recorded communication or representation, including letters, words, pictures, sounds, videotapes or symbols or combinations thereof.
Demonstrative evidence: Evidence created specifically for the hearing and presented as an illustrative aid to assist the hearing officer, such as a model, a chart or other diagram.
Real evidence: A tangible item relating directly to the case.
Hearsay Evidence is evidence based not on a witness’ personal knowledge. In and of itself, hearsay evidence carries no weight when making a finding of fact. The hearing officer may include hearsay evidence when considering their decision if it is corroborated by other evidence. Even though hearsay evidence is generally admissible in a hearing, the hearing officer will not base a hearing decision on hearsay alone unless there is clear probative value and credibility of the evidence, and the party seeking the change has met the burden of proof.
If either the PHA (or the family, if required in a remote hearing) fail to comply with the discovery requirements described above, the hearing officer will refuse to admit such evidence.
Other than the failure of a party to comply with discovery, the hearing officer has the authority to overrule any objections to evidence.
Procedures for Rehearing or Further Hearing
PHA Policy
The hearing officer may ask the family for additional information and/or might adjourn the hearing in order to reconvene at a later date, before reaching a decision. If the family misses an appointment or deadline ordered by the hearing officer, the action of the PHA will take effect and another hearing will not be granted. . Page 16 Adminplan 6/1/26 -25
Hearing Officer’s Decision [24 CFR 982.555(e)(6)]
The person who conducts the hearing must issue a written decision, stating briefly the reasons for the decision. Factual determinations relating to the individual circumstances of the family must be based on a preponderance of evidence presented at the hearing.
PHA Policy
In rendering a decision, the hearing officer will consider the following matters:
PHA Notice to the Family: The hearing officer will determine if the reasons for the PHA’s decision are factually stated in the Notice.
Discovery: The hearing officer will determine if the PHA and the family were given the opportunity to examine any relevant documents in accordance with PHA policy.
PHA Evidence to Support the PHA Decision: The evidence consists of the facts presented. Evidence is not conclusion and it is not argument. The hearing officer will evaluate the facts to determine if they support the PHA’s conclusion.
Validity of Grounds for Termination of Assistance (when applicable): The hearing officer will determine if the termination of assistance is for one of the grounds specified in the HUD regulations and PHA policies. If the grounds for termination are not specified in the regulations or in compliance with PHA policies, then the decision of the PHA will be overturned.
The hearing officer will issue a written decision to the family and the PHA no later than 10 business days after the hearing. The report will contain the following information:
Hearing information:
Name of the participant;
Date, time and place of the hearing;
Name of the hearing officer;
Name of the PHA representative; and
Name of family representative (if any).
Background: A brief, impartial statement of the reason for the hearing.
Summary of the Evidence: The hearing officer will summarize the testimony of each witness and identify any documents that a witness produced in support of their testimony and that are admitted into evidence.
Findings of Fact: The hearing officer will include all findings of fact, based on a preponderance of the evidence. Preponderance of the evidence is defined as evidence which is of greater weight or more convincing than the evidence which is offered in opposition to it; that is, evidence which as a whole shows that the fact sought to be proved is more probable than not. Preponderance of the evidence may not be determined by the number of witnesses, but by the greater weight of all evidence.
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Conclusions: The hearing officer will render a conclusion derived from the facts that were found to be true by a preponderance of the evidence. The conclusion will result in a determination of whether these facts uphold the PHA’s decision.
Order: The hearing report will include a statement of whether the PHA’s decision is upheld or overturned. If it is overturned, the hearing officer will instruct the PHA to change the decision in accordance with the hearing officer’s determination. In the case of termination of assistance, the hearing officer will instruct the PHA to restore the participant’s program status.
Issuance of Decision [24 CFR 982.555(e)(6)]
A copy of the hearing order must be furnished promptly to the family.
PHA Policy
The hearing officer will mail a “Notice of Hearing Decision” to the PHA and to the participant on the same day. This notice will be sent by first-class mail. The participant will be mailed the original “Notice of Hearing Decision” and a copy of the proof of mailing. A copy of the “Notice of Hearing Decision” will be maintained in the PHA’s file.
Effect of Final Decision [24 CFR 982.555(f)]
The PHA is not bound by the decision of the hearing officer for matters in which the PHA is not required to provide an opportunity for a hearing, decisions that exceed the authority of the hearing officer, decisions that conflict with or contradict HUD regulations, requirements, or are otherwise contrary to federal, state, or local laws.
If the PHA determines it is not bound by the hearing officer’s decision in accordance with HUD regulations, the PHA must promptly notify the family of the determination and the reason for the determination.
PHA Policy
The Executive Director has the authority to determine that the PHA is not bound by the decision of the hearing officer because the PHA was not required to provide a hearing, the decision exceeded the authority of the hearing officer, the decision conflicted with or contradicted HUD regulations, requirements, or the decision was otherwise contrary to federal, state, or local laws.
In such a case, the PHA will mail a “Notice of Final Decision” to the PHA program director and the participant on the same day. The “Notice of Final Decision” will be sent by first-class mail. A copy of this notice will be maintained in the PHA’s file. . Page 16 Adminplan 6/1/26 -27
16-III.D. HEARING AND APPEAL PROVISIONS FOR NONCITIZENS [24 CFR 5.514] Denial or termination of assistance based on immigration status is subject to special hearing and notice rules. Applicants who are denied assistance due to immigration status are entitled to an informal hearing, not an informal review.
Assistance to a family may not be delayed, denied, or terminated on the basis of immigration status at any time prior to a decision under the United States Citizenship and Immigration Services (USCIS) appeal process. Assistance to a family may not be terminated or denied while the PHA hearing is pending, but assistance to an applicant may be delayed pending the completion of the informal hearing.
A decision against a family member, issued in accordance with the USCIS appeal process or the PHA informal hearing process, does not preclude the family from exercising the right, that may otherwise be available, to seek redress directly through judicial procedures.
Notice of Denial or Termination of Assistance [24 CFR 5.514(d)] The notice of denial or termination of assistance for noncitizens must advise the family:
• That financial assistance will be denied or terminated and provide a brief explanation of the reasons for the proposed denial or termination of assistance. • The family may be eligible for proration of assistance. • In the case of a participant, the criteria and procedures for obtaining relief under the provisions for preservation of families [24 CFR 5.514 and 5.518]. • That the family has a right to request an appeal to the USCIS of the results of secondary verification of immigration status and to submit additional documentation or explanation in support of the appeal.
• That the family has a right to request an informal hearing with the PHA either upon completion of the USCIS appeal or in lieu of the USCIS appeal. • For applicants, assistance may not be delayed until the conclusion of the USCIS appeal process, but assistance may be delayed during the period of the informal hearing process. . Page 16 Adminplan 6/1/26 -28
USCIS Appeal Process [24 CFR 5.514(e)]
When the PHA receives notification that the USCIS secondary verification failed to confirm eligible immigration status, the PHA must notify the family of the results of the USCIS verification. The family will have 30 days from the date of the notification to request an appeal of the USCIS results. The request for appeal must be made by the family in writing directly to the USCIS. The family must provide the PHA with a copy of the written request for appeal and the proof of mailing.
PHA Policy
The PHA will notify the family in writing of the results of the USCIS secondary verification within 10 business days of receiving the results.
The family must provide the PHA with a copy of the written request for appeal and proof of mailing within 10 business days of sending the request to the USCIS.
The family must forward to the designated USCIS office any additional documentation or written explanation in support of the appeal. This material must include a copy of the USCIS document verification request (used to process the secondary request) or such other form specified by the USCIS, and a letter indicating that the family is requesting an appeal of the USCIS immigration status verification results.
The USCIS will notify the family, with a copy to the PHA, of its decision. When the USCIS notifies the PHA of the decision, the PHA must notify the family of its right to request an informal hearing.
PHA Policy
The PHA will send written notice to the family of its right to request an informal hearing within 10 business days of receiving notice of the USCIS decision regarding the family’s immigration status.
Informal Hearing Procedures for Applicants [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of denial, or within 30 days of receipt of the USCIS appeal decision.
The informal hearing procedures for applicant families are described below.
Informal Hearing Officer
The PHA must provide an informal hearing before an impartial individual, other than a person who made or approved the decision under review, and other than a person who is a subordinate of the person who made or approved the decision. See Section 16-III.C. for a listing of positions that serve as informal hearing officers.
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Evidence
The family must be provided the opportunity to examine and copy at the family’s expense, at a reasonable time in advance of the hearing, any documents in the possession of the PHA pertaining to the family’s eligibility status, or in the possession of the USCIS (as permitted by USCIS requirements), including any records and regulations that may be relevant to the hearing.
PHA Policy
The family will be allowed to copy any documents related to the hearing at no charge.
The family must request discovery of PHA documents no later than 12:00 p.m. on the business day prior to the hearing.
The family must be provided the opportunity to present evidence and arguments in support of eligible status. Evidence may be considered without regard to admissibility under the rules of evidence applicable to judicial proceedings.
The family must also be provided the opportunity to refute evidence relied upon by the PHA, and to confront and cross-examine all witnesses on whose testimony or information the PHA relies.
Representation and Interpretive Services
The family is entitled to be represented by an attorney or other designee, at the family’s expense, and to have such person make statements on the family’s behalf.
The family is entitled to request an interpreter. Upon request, the PHA will provide competent interpretation services, free of charge.
Recording of the Hearing
The family is entitled to have the hearing recorded by audiotape. The PHA may, but is not required to provide a transcript of the hearing.
PHA Policy
The PHA will not provide a transcript of an audio taped hearing.
Hearing Decision
The PHA must provide the family with a written final decision, based solely on the facts presented at the hearing, within 14 calendar days of the date of the informal hearing. The decision must state the basis for the decision.
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Informal Hearing Procedures for Residents [24 CFR 5.514(f)] After notification of the USCIS decision on appeal, or in lieu of an appeal to the USCIS, the family may request that the PHA provide a hearing. The request for a hearing must be made either within 30 days of receipt of the PHA notice of termination, or within 30 days of receipt of the USCIS appeal decision.
For the informal hearing procedures that apply to participant families whose assistance is being terminated based on immigration status, see Section 16-III.C.
Retention of Documents [24 CFR 5.514(h)]
The PHA must retain for a minimum of 5 years the following documents that may have been submitted to the PHA by the family, or provided to the PHA as part of the USCIS appeal or the PHA informal hearing process:
• The application for assistance
• The form completed by the family for income reexamination • Photocopies of any original documents, including original USCIS documents • The signed verification consent form
• The USCIS verification results
• The request for a USCIS appeal
• The final USCIS determination
• The request for an informal hearing
• The final informal hearing decision
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PART IV: OWNER OR FAMILY DEBTS TO THE PHA
16-IV.A. OVERVIEW
PHAs are required to include in the administrative plan, policies concerning repayment by a family of amounts owed to the PHA [24 CFR 982.54]. If the family breaches an agreement with the PHA to pay amounts owed to a PHA, or amounts paid to an owner by a PHA, the PHA, at its discretion, may offer a family the opportunity to enter an agreement to pay amounts owed to a PHA or amounts paid to an owner by a PHA. The PHA may prescribe the terms of the agreement [24 CFR 982.552(c)(1)(vii). This part describes the PHA’s policies for recovery of monies owed to the PHA by families or owners.
PHA Policy
When an action or inaction of an owner or participant results in the overpayment of housing assistance, the PHA holds the owner or participant liable to return any overpayments to the PHA.
The PHA will enter into repayment agreements in accordance with the policies contained in this part as a means to recover overpayments.
16-IV.B. REPAYMENT POLICY
Owner Debts to the PHA
PHA Policy
Any amount due to the PHA by an owner must be repaid by the owner within 30 days of the PHA determination of the debt.
If the owner fails to repay the debt within the required time frame and is entitled to future HAP payments, the PHA will reduce the future HAP payments by the amount owed until the debt is paid in full.
If the owner is not entitled to future HAP payments the PHA may, in its sole discretion, offer to enter into a repayment agreement on terms prescribed by the PHA.
If the owner refuses to repay the debt, does not enter into a repayment agreement, or breaches a repayment agreement, the PHA will ban the owner from future participation in the program and pursue other modes of collection.
When an owner refuses to repay monies owed to the PHA, the PHA will utilize other available collection alternatives including, but not limited to, the following:
Collection agencies
Small claims court
Civil lawsuit
State income tax set-off program
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Family Debts to the PHA
Families are required to reimburse the PHA if they were charged less rent than required because the family either underreported or failed to report income. PHAs are required to determine retroactive rent amounts as far back as the PHA has documentation of family unreported income [Notice PIH 2018-18].
PHA Policy
The PHA shall determine the final balance owed to the PHA within 60 days of identifying the debt. Any amount owed to the PHA by an HCV family must be repaid by the family. If the family is unable to repay the debt within 30 days, the PHA will offer to enter into a repayment agreement in accordance with the policies below.
Criminal Prosecution for Program Fraud/Abuse
Local, state or federal criminal prosecution should be considered by the PHA in flagrant cases, if the abuse was committed over several years, the fraud and/or underpayments are substantial and the PHA documents that a family and/or owner willfully intended to misrepresent the truth [HUD OIG Integrity Bulletin, Summer 2015].
PHA Policy
The PHA will consult with the HUD Field Office and regional OIG Special Agent in Charge (SAC) to determine whether it will refer the matter to the state or local district attorney to pursue criminal fraud charges.
Refusal to Enter into an Agreement
If the family refuses to repay the debt, does not enter into a repayment agreement, or breaches a repayment agreement, the PHA must terminate assistance [Notice PIH 2018-18].
PHA Policy
When a family refuses to repay monies owed to the PHA, in addition to termination of program assistance, the PHA will utilize other available collection alternatives including, but not limited to, the following:
Collection agencies
Small claims court
Civil lawsuit
State income tax set-off program
Repayment Agreement [24 CFR 792.103]
The term repayment agreement refers to a formal written document signed by a tenant or owner and provided to the PHA in which a tenant or owner acknowledges a debt in a specific amount and agrees to repay the amount due at specific time periods. . Page 16 Adminplan 6/1/26 -33
General Repayment Agreement Guidelines for Families
Down Payment Requirement
PHA Policy
Before executing a repayment agreement with a family, the PHA will generally require a down payment of 10 percent of the total amount owed. If the family can provide evidence satisfactory to the PHA that a down payment of 10 percent would impose an undue hardship, the PHA may, in its sole discretion, require a lesser percentage or waive the requirement.
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Payment Thresholds
Notice PIH 2018-18 recommends that the total amount that a family must pay each month—the family’s monthly share of rent plus the monthly debt repayment amount—should not exceed 40 percent of the family’s monthly adjusted income. However, a family may already be paying 40 per cent or more of its monthly adjusted income in rent. Moreover, Notice PIH 2018-18 acknowledges that PHAs have the discretion to establish “thresholds and policies” for repayment agreements with families [24 CFR 982.552(c)(1)(vii)].
PHA Policy
The PHA has established the following thresholds for repayment of debts:
Amounts over $3,000 must be repaid within 36 months.
Amounts between $2,000 and $2,999 must be repaid within 30 months.
Amounts between $1,000 and $1,999 must be repaid within 24 months.
Amounts under $1,000 must be repaid within 12 months.
If a family can provide evidence satisfactory to the PHA that the threshold applicable to the family’s debt would impose an undue hardship, the PHA may, in its sole discretion, determine that a lower monthly payment amount is reasonable. In making its determination, the PHA will consider all relevant information, including the following:
The amount owed by the family to the PHA
The reason for the debt, including whether the debt was the result of family action/inaction or circumstances beyond the family’s control The family’s current and potential income and expenses
The family’s current family share, as calculated under 24 CFR 982.515 The family’s history of meeting its financial responsibilities Execution of the Agreement
All repayment agreements must be in writing, dated, and signed by both the family and the PHA [Notice PIH 2018-18].
PHA Policy
Any repayment agreement between the PHA and a family must be signed and dated by the PHA and by the head of household and spouse/cohead (if applicable).
Due Dates
PHA Policy
All payments are due by the close of business on the 15th day of the month. If the 15th does not fall on a business day, the due date is the close of business on the first business day after the 15th.
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Late or Missed Payments
PHA Policy
If a payment is not received by the end of the business day on the date due, and prior approval for the missed payment has not been given by the PHA, the PHA will send the family a delinquency notice giving the family 10 business days to make the late payment.
If the payment is not received by the due date of the delinquency notice, it will be considered a breach of the agreement and the PHA will terminate assistance in accordance with the policies in Chapter 12.
If a family receives three delinquency notices for unexcused late payments in a 12-month period, the repayment agreement will be considered in default, and the PHA will terminate assistance in accordance with the policies in Chapter 12.
No Offer of Repayment Agreement
PHA Policy
The PHA will not enter into a repayment agreement with a family if there is already a repayment agreement in place with the family or if the PHA, in consultation with HUD and local law enforcement, determine to pursue criminal charges in connection with the conduct and the amounts owed.
Repayment Agreement Terms
All repayment agreements must be in writing, dated, signed by both the family and the PHA, include the total retroactive rent amount owed, any amount of lump sum payment made at time of execution, if applicable, and the monthly repayment amount. Notice PIH 2018-18 requires certain provisions, at a minimum, be included in any repayment agreement involving amounts owed by a family because it underreported or failed to report income:
• A reference to the items in the family briefing packet that state the family’s obligation to provide true and complete information at every reexamination and the grounds on which the PHA may terminate assistance because of a family’s action or failure to act • A statement clarifying that each month the family not only must pay to the PHA the monthly payment amount specified in the agreement but must also pay to the owner the family’s monthly share of the rent to owner
• A statement that the terms of the repayment agreement may be renegotiated if the family’s income decreases or increases
• A statement that late or missed payments constitute default of the repayment agreement and may result in termination of assistance
Writing off Debts
Debts will be written off if:
• The debtor's whereabouts are unknown and the debt is more than five years old. • A determination is made that the debtor is judgment proof. • The debtor is deceased.
• The debtor is confined to an institution indefinitely or for more than one year. . Page 1
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PART V: SECTION 8 MANAGEMENT ASSESSMENT PROGRAM (SEMAP) 16-V.A. OVERVIEW
The Section 8 Management Assessment Program (SEMAP) is a tool that allows HUD to measure PHA performance in key areas to ensure program integrity and accountability. SEMAP scores translate into a rating for each PHA as high performing, standard, or troubled. Scores on individual SEMAP indicators, as well as overall SEMAP ratings, can affect the PHA in several ways.
• High-performing PHAs can be given a competitive advantage under notices of funding availability [24 CFR 985.103].
• PHAs with deficiencies on one or more indicators are required to correct the deficiencies and report to HUD [24 CFR 985.106].
• PHAs with an overall rating of “troubled” are subject to additional HUD oversight, including on-site reviews by HUD staff, a requirement to develop a corrective action plan, and monitoring to ensure the successful implementation of the corrective action plan. In addition, PHAs that are designated “troubled” may not use any part of the administrative fee reserve for other housing purposes [24 CFR 985.107].
• HUD may determine that a PHA's failure to correct identified SEMAP deficiencies or to prepare and implement a corrective action plan required by HUD constitutes a default under the ACC [24 CFR 985.109].
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16-V.B. SEMAP CERTIFICATION [24 CFR 985.101]
PHAs must submit the HUD-required SEMAP certification form within 60 calendar days after the end of its fiscal year. The certification must be approved by PHA board resolution and signed by the PHA executive director. If the PHA is a unit of local government or a state, a resolution approving the certification is not required, and the certification must be executed by the Section 8 program director.
PHAs with less than 250 voucher units are only required to be assessed every other PHA fiscal year. HUD will assess such PHAs annually if the PHA elects to have its performance assessed on an annual basis; or is designated as “troubled” [24 CFR 985.105].
Failure of a PHA to submit its SEMAP certification within the required time frame will result in an overall performance rating of “troubled.”
A PHA’s SEMAP certification is subject to HUD verification by an on-site confirmatory review at any time. For small PHAs, HUD may conduct a remote confirmatory review.
Upon receipt of the PHA’s SEMAP certification, HUD will rate the PHA’s performance under each SEMAP indicator in accordance with program requirements.
HUD Verification Method
Several of the SEMAP indicators are scored based on a review of a quality control sample selected for this purpose. The PHA or the Independent Auditor must select an unbiased sample that provides an adequate representation of the types of information to be assessed, in accordance with SEMAP requirements [24 CFR 985.2].
If the HUD verification method for the indicator relies on data in the Form-50058 module (formerly known as MTCS) in the PIH Information Center (PIC), and HUD determines that those data are insufficient to verify the PHA's certification on the indicator due to the PHA's failure to adequately report family data, HUD will assign a zero rating for the indicator [24 CFR 985.3].
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16-V.C. SEMAP INDICATORS [24 CFR 985.3 and Form HUD-52648] The table below lists each of the SEMAP indicators, contains a description of each indicator, and explains the basis for points awarded under each indicator.
A PHA that expends less than $300,000 in Federal awards and whose Section 8 programs are not audited by an independent auditor, is not to be rated under SEMAP indicators 1-7.
SEMAP Indicators
Indicator 1: Selection from the waiting list
Maximum Score: 15
• This indicator shows whether the PHA has written policies in its administrative plan for selecting applicants from the waiting list and whether the PHA follows these policies when selecting applicants from the waiting list.
• Points are based on the percent of families that are selected from the waiting list in accordance with the PHA’s written policies, according to the PHA’s quality control samples.
Indicator 2: Rent reasonableness
Maximum Score: 20
• This indicator shows whether the PHA has and implements a reasonable written method to determine and document for each unit leased that the rent to owner is reasonable based on current rents for comparable unassisted units at the required times. • Points are based on the percent of units for which the PHA follows its written method to determine reasonable rent and has documented its determination that the rent to owner is reasonable, according to the PHA’s quality control sample.
Indicator 3: Determination of adjusted income
Maximum Score: 20
• This indicator measures whether the PHA verifies and correctly determines adjusted income for each assisted family, and where applicable, uses the appropriate utility allowances for the unit leased in determining the gross rent. • Points are based on the percent of files that are calculated and verified correctly, according to the PHA’s quality control sample.
Indicator 4: Utility allowance schedule
Maximum Score: 5
• This indicator shows whether the PHA maintains an up-to-date utility allowance schedule.
• Points are based on whether the PHA has reviewed the utility allowance schedule and adjusted it when required, according to the PHA’s certification. . Page 16 Adminplan 6/1/26 -40
Indicator 5: NSPIRE quality control inspections
Maximum Score: 5
• This indicator shows whether a PHA supervisor reinspects a sample of units under contract during the PHA fiscal year, which meets the minimum sample size requirements for quality control of NSPIRE inspections. • Points are based on whether the required quality control reinspections were completed, according to the PHA’s certification.
Indicator 6: NSPIRE enforcement
Maximum Score: 10
• This indicator shows whether, following each inspection of a unit under contract where the unit fails to meet NSPIRE standards, any cited life-threatening deficiencies are corrected within 24 hours from the inspection and all other deficiencies are corrected within no more than 30 calendar days from the inspection or any PHA-approved extension.
• Points are based on whether the PHA corrects all deficiencies in accordance with required time frames, according to the PHA’s certification.
Indicator 7: Expanding housing opportunities
Maximum Points: 5
• Only applies to PHAs with jurisdiction in metropolitan FMR areas. • This indicator shows whether the PHA has adopted and implemented a written policy to encourage participation by owners of units located outside areas of poverty or minority concentration; informs voucher holders of the full range of areas where they may lease units both inside and outside the PHA’s jurisdiction; and supplies a list of landlords or other parties who are willing to lease units or help families find units, including units outside areas of poverty or minority concentration.
• Points are based on whether the PHA has adopted and implemented written policies in accordance with SEMAP requirements, according to the PHA’s certification.
Indicator 8: FMR limit and payment standards
Maximum Points: 5 points
• This indicator shows whether the PHA has adopted a payment standard schedule that establishes payment standard amounts by unit size for each FMR area in the PHA’s jurisdiction, that are within the basic range of 90 to 110 percent of the published FMR. • Points are based on whether the PHA has appropriately adopted a payment standard schedule(s), according to the PHA’s certification.
Indicator 9: Annual reexaminations
Maximum Points: 10
• This indicator shows whether the PHA completes a reexamination for each participating family at least every 12 months.
• Points are based on the percent of reexaminations that are less than two months overdue, according to data from PIC.
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Indicator 10: Correct tenant rent calculations
Maximum Points: 5
• This indicator shows whether the PHA correctly calculates the family’s share of the rent to owner.
• Points are based on the percent of correct calculations of family share of the rent, according to data from PIC.
Indicator 11: Pre-contract inspections
Maximum Points: 5
• This indicator shows whether newly leased units pass inspection on or before the effective date of the assisted lease and HAP contract.
• Points are based on the percent of newly leased units that passed inspection on or before the effective date of the lease and HAP contract, according to data from PIC.
Indicator 12: Annual inspections
Maximum Points: 10
• This indicator shows whether the PHA inspects each unit under contract at least annually.
• Points are based on the percent of annual inspections of units under contract that are more than 2 months overdue, according to data from PIC.
Indicator 13: Lease-up
Maximum Points: 20 points
• This indicator shows whether the PHA enters HAP contracts for at least 98 percent of the number of the PHA’s baseline voucher units in the ACC for the calendar year ending on or before the PHA’s fiscal year, or whether the PHA has expended at least 98 percent of its allocated budget authority for the same calendar year. The PHA can receive 15 points if 95 to 97 percent of vouchers are leased or budget authority is utilized. • Points are based on utilization of vouchers and HAP expenditures as reported in the voucher management system (VMS) for the most recently completed calendar year.
Indicator 14: Family self-sufficiency (FSS) enrollment and escrow account balances Maximum Points: 10
• Only applies to PHAs with mandatory FSS programs.
• This indicator shows whether the PHA has enrolled families in the FSS program as required and measures the percent of current FSS participants that have had increases in earned income which resulted in escrow account balances. • Points are based on the percent of mandatory FSS slots that are filled and the percent of families with escrow account balances, according to data from PIC. . Page 16 Adminplan 6/1/26 -42
Success Rate of Voucher Holders
Maximum Points: 5
• Only applies to PHAs that have received approval to establish success rate payment standard amounts, and isn’t effective until the second full PHA fiscal year following the date of HUD approval of success rate payment standard amounts. • This indicator shows whether voucher holders were successful in leasing units with voucher assistance.
• Points are based on the percent of families that were issued vouchers, and that became participants in the voucher program.
Deconcentration Bonus Indicator
Maximum Points: 5
• Submission of data for this indicator is mandatory for a PHA using one or more payment standard amount(s) that exceed(s) 100 percent of the published FMR set at the 50th percentile rent, starting with the second full PHA fiscal year following initial use of payment standard amounts based on the FMRs set at the 50th percentile. • Additional points are available to PHAs that have jurisdiction in metropolitan FMR areas and that choose to submit the required data.
• Points are based on whether the data that is submitted meets the requirements for bonus points.
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PART VI: RECORD KEEPING
16-VI.A. OVERVIEW
The PHA must maintain complete and accurate accounts and other records for the program in accordance with HUD requirements, in a manner that permits a speedy and effective audit. All such records must be made available to HUD or the Comptroller General of the United States upon request.
In addition, the PHA must ensure that all applicant and participant files are maintained in a way that protects an individual’s privacy rights.
16-VI.B. RECORD RETENTION [24 CFR 982.158; 24 CFR 908.101] During the term of each assisted lease, and for at least three years thereafter, the PHA must keep:
• A copy of the executed lease;
• The HAP contract; and
• The application from the family.
In addition, the PHA must keep the following records for at least three years:
• Records that provide income, racial, ethnic, gender, and disability status data on program applicants and participants;
• An application from each ineligible family and notice that the applicant is not eligible; • HUD-required reports;
• Unit inspection reports;
• Lead-based paint records as required by 24 CFR 35, Subpart B. • Accounts and other records supporting PHA budget and financial statements for the program; • Records to document the basis for PHA determination that rent to owner is a reasonable rent (initially and during the term of a HAP contract); and
• Other records specified by HUD.
The PHA must keep the last three years of the Form HUD-50058 and supporting documentation during the term of each assisted lease, and for a period of at least three years from the end of participation (EOP) date [24 CFR 908.101].
The PHA must maintain Enterprise Income Verification (EIV) system Income Reports in the tenant file for the duration of the tenancy but for a period not to exceed three years from the EOP date [Notice PIH 2018-18].
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Notice PIH 2014-20 requires PHAs to keep records of all complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act or the equal access final rule.
PHA Policy
The PHA will keep for at least three years records of all complaints, investigations, notices, and corrective actions related to violations of the Fair Housing Act, the equal access final rule, or VAWA.
The PHA must keep confidential records of all emergency transfer requested by victims of domestic violence, dating violence, sexual assault, stalking, and human trafficking under the PHA’s Emergency Transfer Plan, as well as the outcomes of such requests, and retain the records for a period of three years [see 24 CFR 5.2002(e)(12)].
If an informal hearing to establish a family’s citizenship status is held, longer retention requirements apply for some types of documents. For specific requirements, see Section 16- III.D., Retention of Documents.
16-VI.C. RECORDS MANAGEMENT
PHAs must maintain applicant and participant files and information in accordance with the regulatory requirements described below.
PHA Policy
All applicant and participant information will be kept in a secure location and access will be limited to authorized PHA staff.
PHA staff will not discuss personal family information unless there is a business reason to do so. Inappropriate discussion of family information or improper disclosure of family information by staff will result in disciplinary action.
Privacy Act Requirements [24 CFR 5.212 and Form-9886-A] The collection, maintenance, use, and dissemination of social security numbers (SSN), employer identification numbers (EIN), any information derived from these numbers, and income information of applicants and participants must be conducted, to the extent applicable, in compliance with the Privacy Act of 1974, and all other provisions of Federal, State, and local law.
Applicants and participants, including all adults in the household, are required to sign a consent form, HUD-9886-A, Authorization for Release of Information. This form incorporates the Federal Privacy Act Statement and describes how the information collected using the form may be used, and under what conditions HUD or the PHA may release the information collected. . Page 16 Adminplan 6/1/26 -45
Upfront Income Verification (UIV) Records
PHAs that access UIV data through HUD’s Enterprise Income Verification (EIV) system are required to adopt and follow specific security procedures to ensure that all EIV data is protected in accordance with federal laws, regardless of the media on which the data is recorded (e.g. electronic, paper). These requirements are contained in the HUD-issued document, Enterprise Income Verification (EIV) System, Security Procedures for Upfront Income Verification data.
PHA Policy
Prior to utilizing HUD’s EIV system, the PHA will adopt and implement EIV security procedures required by HUD.
Criminal Records
The PHA may only disclose the criminal conviction records which the PHA receives from a law enforcement agency to officers or employees of the PHA, or to authorized representatives of the PHA who have a job-related need to have access to the information [24 CFR 5.903(e)].
The PHA must establish and implement a system of records management that ensures that any criminal record received by the PHA from a law enforcement agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation [24 CFR 5.903(g)].
The PHA must establish and implement a system of records management that ensures that any sex offender registration information received by the PHA from a State or local agency is maintained confidentially, not misused or improperly disseminated, and destroyed, once the purpose for which the record was requested has been accomplished, including expiration of the period for filing a challenge to the PHA action without institution of a challenge or final disposition of any such litigation. However, a record of the screening, including the type of screening and the date performed must be retained [Notice PIH 2012-28]. This requirement does not apply to information that is public information or is obtained by a PHA other than under 24 CFR 5.905.
Medical/Disability Records
PHAs are not permitted to inquire about the nature or extent of a person’s disability. The PHA may not inquire about a person’s diagnosis or details of treatment for a disability or medical condition. If the PHA receives a verification document that provides such information, the PHA should not place this information in the tenant file. The PHA should destroy the document.
Documentation of Domestic Violence, Dating Violence, Sexual Assault, Stalking, or Human Trafficking
For requirements and PHA policies related to management of documentation obtained from victims of domestic violence, dating violence, sexual assault, stalking, or human trafficking see section 16-IX.E.
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PART VII: REPORTING AND RECORD KEEPING FOR CHILDREN WITH
ELEVATED BLOOD LEAD LEVEL
16-VII.A. OVERVIEW
The PHA has certain responsibilities relative to children with elevated blood lead levels that are receiving HCV assistance. The notification, verification, and hazard reduction requirements are discussed in Chapter 8. This part deals with the reporting requirements, and data collection and record keeping responsibilities that the PHA is subject to. 16-VII.B. REPORTING REQUIREMENT [24 CFR 35.1225(e); Notice PIH 2017-13] The owner must report the name and address of a child identified as having an elevated blood lead level to the public health department within five business days of being so notified by any other medical health care professional. The owner must also notify the HUD field office and the HUD Office of Lead Hazard Control and Healthy Homes (OLHCHH) of the child’s address within five business days. The PHA may collaborate with the owner on the notification process, such as by agreeing with the owner to provide the required notifications on the owner’s behalf.
PHA Policy
Upon notification by the owner, the PHA will provide the public health department written notice of the name and address of any child identified as having an elevated blood lead level within five business days.
Upon notification by the owner, the PHA will notify the HUD field office and the HUD Office of Lead Hazard Control and Healthy Homes (OLHCHH) of the child’s address within five business days.
16-VII.C. DATA COLLECTION AND RECORD KEEPING [24 CFR 35.1225(f)] At least quarterly, the PHA must attempt to obtain from the public health department(s) with a similar area of jurisdiction, the names and/or addresses of children less than 6 years old with an elevated blood lead level.
If the PHA obtains names and addresses of elevated blood lead level children from the public health department(s), the PHA must match this information with the names and addresses of families receiving HCV assistance, unless the public health department performs such a procedure. If a match occurs, the PHA must carry out the notification, verification, and hazard reduction requirements discussed in Chapter 8, and the reporting requirement discussed above.
At least quarterly, the PHA must also report an updated list of the addresses of units receiving assistance under the HCV program to the same public health department(s), unless the public health department(s) states that it does not wish to receive such a report.
PHA Policy
The public health department(s) has stated they do not wish to receive a report of an updated list of the addresses of units receiving assistance under the HCV program, on a quarterly basis. Therefore, the PHA is not providing such a report. . Page 16 Adminplan 6/1/26 -47
PART VIII: DETERMINATION OF INSUFFICIENT FUNDING
16-VIII.A. OVERVIEW
The HCV regulations allow PHAs to deny families permission to move and to terminate Housing Assistance Payments (HAP) contracts if funding under the consolidated ACC is insufficient to support continued assistance [24 CFR 982.354(e)(1) and 982.454]. If a PHA denies a family a portability move based on insufficient funding, the PHA is required to notify the local HUD office within 10 business days [24 CFR 982.354]. Insufficient funding may also impact the PHA’s ability to issue vouchers to families on the waiting list. This part discusses the methodology the PHA will use to determine whether or not the PHA has sufficient funding to issue vouchers, approve moves, and to continue subsidizing all families currently under a HAP contract. The PHA must identify in the administrative plan, in the event of insufficient funding, considering any cost saving measures taken by the PHA, a description of the factors the PHA will consider when determining which HAP contracts to terminate first. See Chapter 12 for a description of these factors.
16-VIII.B. METHODOLOGY
PHA Policy
The PHA will determine whether there is adequate funding to issue vouchers, approve moves to higher cost units and areas, and continue subsidizing all current participants by comparing the PHA’s annual budget authority to the annual total HAP needs on a monthly basis. The total HAP needs for the calendar year will be projected by establishing the actual HAP costs year to date. To that figure, the PHA will add anticipated HAP expenditures for the remainder of the calendar year. Projected HAP expenditures will be calculated by multiplying the projected number of units leased per remaining months by the most current month’s average HAP. The projected number of units leased per month will take into account the average monthly turnover of participant families. If the total annual HAP needs equal or exceed the annual budget authority and funding reserves, or if the PHA cannot support the cost of the proposed subsidy commitment (voucher issuance or move) based on the funding analysis, the PHA will be considered to have insufficient funding.
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PART IX: VIOLENCE AGAINST WOMEN ACT (VAWA): NOTIFICATION,
DOCUMENTATION, CONFIDENTIALITY
16-IX.A. OVERVIEW
The Violence Against Women Act (VAWA) provides special protections for victims of domestic violence, dating violence, sexual assault, stalking, and human trafficking who are applying for or receiving assistance under the housing choice voucher (HCV) program. If your state or local laws provide greater protection for such victims, those laws apply in conjunction with VAWA. • Although the VAWA 2022 statute does not specifically include human trafficking in the list of victims protected under VAWA, in 2022 HUD began including human trafficking as part of the list of victims protected under VAWA (as seen in Notices PIH 2022-06, PIH 2022-22, and PIH 2022-24). In the absence of a final rule implementing VAWA 2022 and to mirror HUD’s recent usage, this policy includes human trafficking in addition to domestic violence, dating violence, sexual assault, and stalking anywhere such a list appears.
In addition to definitions of key terms used in VAWA, this part contains general VAWA requirements and PHA policies in three areas: notification, documentation, and confidentiality.
Specific VAWA requirements and PHA policies are located primarily in the following sections:
3-I.C, “Family Breakup and Remaining Member of Tenant Family”; 3-III.H, “Prohibition against Denial of Assistance to Victims of Domestic Violence, Dating Violence, Sexual Assault, Stalking and Human Trafficking”; 10-I.A, “Allowable Moves”; 10-I.B, “Restrictions on Moves”; 12-II.E, “Terminations Related to Domestic Violence, Dating Violence, Sexual Assault, Stalking, or Human Trafficking”; and 12-II.F, “Termination Notice.” 16-IX.B. DEFINITIONS [24 CFR 5.2003, 42 USC 13925]
As used in VAWA:
• The term affiliated individual means, with respect to a person:
- A spouse, parent, brother or sister, or child of that individual, or an individual to whom that individual stands in the position or place of a parent; or - Any other individual, tenant, or lawful occupant living in the household of the victim of domestic violence, dating violence, sexual assault, or stalking. • The term bifurcate means, with respect to a public housing or Section 8 lease, to divide a lease as a matter of law such that certain tenants can be evicted or removed while the remaining family members’ lease and occupancy rights are allowed to remain intact. • The term dating violence means violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim; and where the existence of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship . Page 16 Adminplan 6/1/26 -49
• The term domestic violence includes felony or misdemeanor crimes committed by a current or former spouse or intimate partner of the victim under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
- The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim
- A person who is cohabitating or has cohabitated with the victim as a spouse or intimate partner
- A person with whom the victim shares a child in common - A person who commits acts against an youth or adult victim who is protected from those acts under the domestic or family violence laws of the jurisdiction • The term economic abuse means behavior that is coercive, deceptive, or unreasonably controls or restrains a person’s ability to acquire, use, or maintain economic resources to which they are entitled, including using coercion, fraud, and manipulation to:
- Restrict a person’s access to money, assets, credit, or financial information - Unfairly use a person’s personal economic resources, including money, assets, and credit, for one’s own advantage
- Exert undue influence over a person’s financial and economic behavior or decisions, including forcing default on joint or other financial obligations, exploiting powers of attorney, guardianship, or conservatorship, or to whom one has a fiduciary duty • The term sexual assault means:
- Any nonconsensual sexual act proscribed by federal, tribal, or state law, including when the victim lacks the capacity to consent
• The term stalking means:
- To engage in a course of conduct directed at a specific person that would cause a reasonable person to fear for their safety or the safety of others, or suffer substantial emotional distress.
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• The term technological abuse means an act or pattern of behavior that occurs within domestic violence, dating violence, sexual assault, or stalking and is intended to harm, threaten, intimidate, control, stalk, harass, impersonate, exploit, extort, or monitor another person, except as otherwise permitted by law, that occurs using any form of technology, including but not limited to:
- Internet enabled devices
- Online spaces and platforms
- Computers
- Mobile devices
- Cameras and imaging programs
- Apps
- Location tracking devices
- Communication technologies
- Any other emergency technologies
16-IX.C. NOTIFICATION [24 CFR 5.2005(a)]
Notification to Public
The PHA adopts the following policy to help ensure that all actual and potential beneficiaries of its HCV program are aware of their rights under VAWA.
PHA Policy
The PHA will post the following information regarding VAWA in its offices and on its website. It will also make the information readily available to anyone who requests it.
A copy of Form HUD-5380, Notice of Occupancy Rights under VAWA, to housing choice voucher program applicants and participants who are or have been victims of domestic violence, dating violence, sexual assault, or stalking (Exhibit 16-1)
A copy of Form HUD-5382, Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking and Alternate Documentation (Exhibit 16-2)
A copy of the PHA’s emergency transfer plan (Exhibit 16-3) A copy of Form HUD-5383, HUD’s Emergency Transfer Request for Certain Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking (Exhibit 16-4)
The National Domestic Violence Hot Line: 1-800-799-SAFE (7233) or 1-800-787-3224 (TTY) (included in Exhibits 16-1 and 16-2) Contact information for local victim advocacy groups or service providers . Page 16 Adminplan 6/1/26 -51
Notification to Program Applicants and Participants [24 CFR 5.2005(a)(1)] PHAs are required to inform program applicants and participants of their rights under VAWA, including their right to confidentiality and the limits thereof, when they are denied assistance, when they are admitted to the program, and when they are notified of an eviction or termination of housing benefits.
PHA Policy
The PHA will provide all applicants with information about VAWA at the time they request an application for housing assistance, as part of the written briefing packet, and at the time the family is admitted to the program. The PHA will also include information about VAWA in all notices of denial of assistance (see section 3-III.H).
The PHA will provide all participants with information about VAWA at the time of admission (see section 5-I.B) and at annual reexamination. The PHA will also include information about VAWA in notices of termination of assistance, as provided in section 12-II.F.
The VAWA information provided to applicants and participants will consist of the notices in Exhibits 16-1 and 16-2.
The PHA is not limited to providing VAWA information at the times specified in the above policy. If the PHA decides to provide VAWA information to a participant following an incident of domestic violence, Notice PIH 2017-08 cautions against sending the information by mail, since the abuser may be monitoring the mail. The notice recommends that in such cases the PHA make alternative delivery arrangements that will not put the victim at risk.
PHA Policy
Whenever the PHA has reason to suspect that providing information about VAWA to a participant might place a victim of domestic violence at risk, it will attempt to deliver the information by hand directly to the victim or by having the victim come to an office or other space that may be safer for the individual, making reasonable accommodations as necessary. For example, the PHA may decide not to send mail regarding VAWA protections to the victim’s unit if the PHA believes the perpetrator may have access to the victim’s mail, unless requested by the victim.
When discussing VAWA with the victim, the PHA will take reasonable precautions to ensure that no one can overhear the conversation, such as having conversations in a private room.
The victim may, but is not required to, designate an attorney, advocate, or other secure contact for communications regarding VAWA protections.
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Notification to Owners and Managers
While PHAs are no longer required by regulation to notify owners and managers participating in the HCV program of their rights and obligations under VAWA, the PHA may still choose to inform them.
PHA Policy
The PHA will provide owners and managers with information about their rights and obligations under VAWA when they begin their participation in the program and at least annually thereafter.
The VAWA information provided to owners will consist of the notice in Exhibit 16-5 and a copy of Form HUD-5382, Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking and Alternate Documentation. . Page 16 Adminplan 6/1/26 -53
16-IX.D. DOCUMENTATION [24 CFR 5.2007]
A PHA presented with a claim for initial or continued assistance based on status as a victim of domestic violence, dating violence, sexual assault, stalking, human trafficking, or criminal activity related to any of these forms of abuse may—but is not required to—request that the individual making the claim document the abuse. Any request for documentation must be in writing, and the individual must be allowed at least 14 business days after receipt of the request to submit the documentation. The PHA may extend this time period at its discretion. [24 CFR
5.2007(a)]
The individual may satisfy the PHA’s request by providing any one of the following three forms of documentation [24 CFR 5.2007(b)]:
(1) A completed and signed HUD-approved certification form (HUD-5382, Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking), which must include the name of the perpetrator only if the name of the perpetrator is safe to provide and is known to the victim. The form may be filled out and submitted on behalf of the victim. (2) A federal, state, tribal, territorial, or local police report or court record, or an administrative record
(3) Documentation signed by a person who has assisted the victim in addressing domestic violence, dating violence, sexual assault, stalking, human trafficking, or the effects of such abuse. This person may be an employee, agent, or volunteer of a victim service provider; an attorney; a mental health professional; or a medical professional. The person signing the documentation must attest under penalty of perjury to the person’s belief that the incidents in question are bona fide incidents of abuse. The victim must also sign the documentation.
The PHA may not require third-party documentation (forms 2 and 3) in addition to certification (form 1), except as specified below under “Conflicting Documentation,” nor may it require certification in addition to third-party documentation [FR Notice 11/16/16].
PHA Policy
Any request for documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking will be in writing, will specify a deadline of 14 business days following receipt of the request, will describe the three forms of acceptable documentation, will provide explicit instructions on where and to whom the documentation must be submitted, and will state the consequences for failure to submit the documentation or request an extension in writing by the deadline.
The PHA may, in its discretion, extend the deadline for 10 business days. In determining whether to extend the deadline, the PHA will consider factors that may contribute to the victim’s inability to provide documentation in a timely manner, including cognitive limitations, disabilities, limited English proficiency, absence from the unit, administrative delays, the danger of further violence, and the victim’s need to address health or safety issues. Any extension granted by the PHA will be in writing.
Once the victim provides documentation, the PHA will acknowledge receipt of the documentation within 10 business days.
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Conflicting Documentation [24 CFR 5.2007(e)]
In cases where the PHA receives conflicting certification documents from two or more members of a household, each claiming to be a victim and naming one or more of the other petitioning household members as the perpetrator, the PHA may determine which is the true victim by requiring each to provide acceptable third-party documentation, as described above (forms 2 and 3). The PHA may also request third-party documentation when submitted documentation contains information that conflicts with existing information already available to the PHA.
Individuals have 30 calendar days to return third-party verification to the PHA. If the PHA does not receive third-party documentation, and the PHA will deny or terminate assistance as a result, the PHA must hold separate hearings for the tenants [Notice PIH 2017-08].
The PHA must honor any court orders issued to protect the victim or to address the distribution of property.
PHA Policy
If presented with conflicting certification documents from members of the same household, the PHA will attempt to determine which is the true victim by requiring each of them to provide third-party documentation in accordance with 24 CFR 5.2007(e) and by following any HUD guidance on how such determinations should be made.
When requesting third-party documents, the PHA will provide contact information for local domestic violence and legal aid offices. In such cases, applicants or tenants will be given 30 calendar days from the date of the request to provide such documentation.
If the PHA does not receive third-party documentation within the required timeframe (and any extensions) the PHA will deny VAWA protections and will notify the applicant or tenant in writing of the denial. If, as a result, the applicant or tenant is denied or terminated from the program, the PHA will hold separate hearings for the applicants or tenants.
Discretion to Require No Formal Documentation [24 CFR 5.2007(d)] The PHA has the discretion to provide benefits to an individual based solely on the individual’s statement or other corroborating evidence—i.e., without requiring formal documentation of abuse in accordance with 24 CFR 5.2007(b). HUD recommends documentation in a confidential manner when a verbal statement or other evidence is accepted.
PHA Policy
If the PHA accepts an individual’s statement or other corroborating evidence (as determined by the victim) of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the PHA will document acceptance of the statement or evidence in the individual’s file.
. Page 16 Adminplan 6/1/26 -55
Failure to Provide Documentation [24 CFR 5.2007(c)]
In order to deny relief for protection under VAWA, a PHA must provide the individual requesting relief with a written request for documentation of abuse. If the individual fails to provide the documentation within 14 business days from the date of receipt, or such longer time as the PHA may allow, the PHA may deny relief for protection under VAWA. 16-IX.E. CONFIDENTIALITY [24 CFR 5.2007(b)(4)]
All information provided to the PHA regarding domestic violence, dating violence, sexual assault, stalking, or human trafficking, including the fact that an individual is a victim, must be retained in confidence. This means that the PHA (1) may not enter the information into any shared database, (2) may not allow employees or others to access the information unless they are explicitly authorized to do so and have a need to know the information for purposes of their work, and (3) may not provide the information to any other entity or individual, except to the extent that the disclosure is (a) requested or consented to by the individual in writing, (b) required for use in an eviction proceeding, or (c) otherwise required by applicable law.
PHA Policy
If disclosure is required for use in an eviction proceeding or is otherwise required by applicable law, the PHA will inform the victim before disclosure occurs so that safety risks can be identified and addressed.
. Page 16 Adminplan 6/1/26 -56
EXHIBIT 16-1: SAMPLE NOTICE OF OCCUPANCY RIGHTS UNDER THE VIOLENCE AGAINST WOMEN ACT, FORM HUD-5380
Hawthorne Housing Authority
Notice of Occupancy Rights under the Violence Against Women Act1 To all Tenants and Applicants
The Violence Against Women Act (VAWA) provides protections for victims of domestic violence, dating violence, sexual assault, or stalking. VAWA protections are not only available to women, but are available equally to all individuals regardless of sex, gender identity, or sexual orientation.2 The U.S. Department of Housing and Urban Development (HUD) is the federal agency that oversees that the housing choice voucher program is in compliance with VAWA.
This notice explains your rights under VAWA. A HUD-approved certification form is attached to this notice. You can fill out this form to show that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking, and that you wish to use your rights under VAWA.”
Protections for Applicants
If you otherwise qualify for assistance under the housing choice voucher program, you cannot be denied admission or denied assistance because you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
Protections for Tenants
If you are receiving assistance under the housing choice voucher program, you may not be denied assistance, terminated from participation, or be evicted from your rental housing because you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking.
Also, if you or an affiliated individual of yours is or has been the victim of domestic violence, dating violence, sexual assault, or stalking by a member of your household or any guest, you may not be denied rental assistance or occupancy rights under the housing choice voucher program solely on the basis of criminal activity directly relating to that domestic violence, dating violence, sexual assault, or stalking.
Affiliated individual means your spouse, parent, brother, sister, or child, or a person to whom you stand in the place of a parent or guardian (for example, the affiliated individual is in your care, custody, or control); or any individual, tenant, or lawful occupant living in your household.
1 Despite the name of this law, VAWA protection is available regardless of sex, gender identity, or sexual orientation.
2 Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national origin, religion, sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or marital status.
. Page 16 Adminplan 6/1/26 -57
Removing the Abuser or Perpetrator from the Household
The PHA may divide (bifurcate) your lease in order to evict the individual or terminate the assistance of the individual who has engaged in criminal activity (the abuser or perpetrator) directly relating to domestic violence, dating violence, sexual assault, or stalking.
If the PHA chooses to remove the abuser or perpetrator, the PHA may not take away the rights of eligible tenants to the unit or otherwise punish the remaining tenants. If the evicted abuser or perpetrator was the sole tenant to have established eligibility for assistance under the program, the PHA must allow the tenant who is or has been a victim and other household members to remain in the unit for a period of time, in order to establish eligibility under the program or under another HUD housing program covered by VAWA, or, find alternative housing.
In removing the abuser or perpetrator from the household, the PHA must follow federal, state, and local eviction procedures. In order to divide a lease, the PHA may, but is not required to, ask you for documentation or certification of the incidences of domestic violence, dating violence, sexual assault, or stalking.
Moving to Another Unit
Upon your request, the PHA may permit you to move to another unit, subject to the availability of other units, and still keep your assistance. In order to approve a request, the PHA may ask you to provide documentation that you are requesting to move because of an incidence of domestic violence, dating violence, sexual assault, or stalking. If the request is a request for emergency transfer, the housing provider may ask you to submit a written request or fill out a form where you certify that you meet the criteria for an emergency transfer under VAWA. The criteria are:
1. You are a victim of domestic violence, dating violence, sexual assault, or stalking.
If your housing provider does not already have documentation that you are a victim of domestic violence, dating violence, sexual assault, or stalking, your housing provider may ask you for such documentation, as described in the documentation section below.
2. You expressly request the emergency transfer. Your housing provider may choose to require that you submit a form, or may accept another written or oral request.
3. You reasonably believe you are threatened with imminent harm from further violence if you remain in your current unit. This means you have a reason to fear that if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises during the 90-calendar-day period before you request a transfer. If you are a victim of sexual assault, then in addition to qualifying for an emergency transfer because you reasonably believe you are threatened with imminent harm from further violence if you remain in your unit, you may qualify for an emergency transfer if the sexual assault occurred on the premises of the property from which you are seeking your transfer, and that assault happened within the 90-calendarday period before you expressly request the transfer. . Page 16 Adminplan 6/1/26 -58
The PHA will keep confidential requests for emergency transfers by victims of domestic violence, dating violence, sexual assault, or stalking, and the location of any move by such victims and their families.
The PHA’s emergency transfer plan provides further information on emergency transfers, and the PHA must make a copy of its emergency transfer plan available to you if you ask to see it.
Documenting You Are or Have Been a Victim of Domestic Violence, Dating Violence, Sexual Assault or Stalking
The PHA can, but is not required to, ask you to provide documentation to “certify” that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking. Such request from the PHA must be in writing, and the PHA must give you at least 14 business days (Saturdays, Sundays, and federal holidays do not count) from the day you receive the request to provide the documentation. The PHA may, but does not have to, extend the deadline for the submission of documentation upon your request.
You can provide one of the following to the PHA as documentation. It is your choice which of the following to submit if the PHA asks you to provide documentation that you are or have been a victim of domestic violence, dating violence, sexual assault, or stalking. • A complete HUD-approved certification form given to you by the PHA with this notice, that documents an incident of domestic violence, dating violence, sexual assault, or stalking. The form will ask for your name, the date, time, and location of the incident of domestic violence, dating violence, sexual assault, or stalking, and a description of the incident. The certification form provides for including the name of the abuser or perpetrator if the name of the abuser or perpetrator is known and is safe to provide. • A record of a Federal, State, tribal, territorial, or local law enforcement agency, court, or administrative agency that documents the incident of domestic violence, dating violence, sexual assault, or stalking. Examples of such records include police reports, protective orders, and restraining orders, among others.
• A statement, which you must sign, along with the signature of an employee, agent, or vounteer of a victim service provider, an attorney, a medical professional or a mental helth professional (collectively, “professional”) from whom you sought assistance in addressing domestic violence, dating violence, sexual assault, or stalking, or the effects of abuse, and with the professional selected by you attesting under penalty of perjury that they believe that the incident or incidents of domestic violence, dating violence, sexual assault, or stalking are grounds for protection.
• Any other statement or evidence that the PHA has agreed to accept.
If you fail or refuse to provide one of these documents within the 14 business days, the PHA does not have to provide you with the protections contained in this notice.
If the PHA receives conflicting evidence that an incident of domestic violence, dating violence, sexual assault, or stalking has been committed (such as certification forms from two or more members of a household each claiming to be a victim and naming one or more of the other petitioning household members as the abuser or perpetrator), the PHA has the right to request that you provide third-party documentation within thirty 30 calendar days in order to resolve the conflict. If you fail or refuse to provide third-party documentation where there is conflicting evidence, the PHA does not have to provide you with the protections contained in this notice. . Page 16 Adminplan 6/1/26 -59
Confidentiality
The PHA must keep confidential any information you provide related to the exercise of your rights under VAWA, including the fact that you are exercising your rights under VAWA.
The PHA must not allow any individual administering assistance or other services on behalf of the PHA (for example, employees and contractors) to have access to confidential information unless for reasons that specifically call for these individuals to have access to this information under applicable Federal, State, or local law.
The PHA must not enter your information into any shared database or disclose your information to any other entity or individual. The PHA, however, may disclose the information provided if:
• You give written permission to the PHA to release the information on a time limited basis.
• The PHA needs to use the information in an eviction or termination proceeding, such as to evict your abuser or perpetrator or terminate your abuser or perpetrator from assistance under this program.
• A law requires the PHA or your landlord to release the information.
VAWA does not limit the PHA’s duty to honor court orders about access to or control of the property. This includes orders issued to protect a victim and orders dividing property among household members in cases where a family breaks up.
Reasons a Tenant Eligible for Occupancy Rights under VAWA May Be Evicted or Assistance May Be Terminated
You can be evicted and your assistance can be terminated for serious or repeated lease violations that are not related to domestic violence, dating violence, sexual assault, or stalking committed against you. However, the PHA cannot hold tenants who have been victims of domestic violence, dating violence, sexual assault, or stalking to a more demanding set of rules than it applies to tenants who have not been victims of domestic violence, dating violence, sexual assault, or stalking.
The protections described in this notice might not apply, and you could be evicted and your assistance terminated, if the PHA can demonstrate that not evicting you or terminating your assistance would present a real physical danger that:
1. Would occur within an immediate time frame, and
2. Could result in death or serious bodily harm to other tenants or those who work on the property.
If the PHA can demonstrate the above, the PHA should only terminate your assistance or evict you if there are no other actions that could be taken to reduce or eliminate the threat.
Other Laws
VAWA does not replace any federal, state, or local law that provides greater protection for victims of domestic violence, dating violence, sexual assault, or stalking. You may be entitled to additional housing protections for victims of domestic violence, dating violence, sexual assault, or stalking under other Federal laws, as well as under State and local laws. . Page 16 Adminplan 6/1/26 -60
Non-Compliance with The Requirements of This Notice
You may report a covered housing provider’s violations of these rights and seek additional assistance, if needed, by contacting or filing a complaint with The City of Hawthorne, City Manager’s Office, 4455 W 126th St, Hawthorne, CA 90250 or Los Angeles Field Office, 300 North Los Angeles Street, STE. 4054, Los Angeles, CA 90012.
For Additional Information
You may view a copy of HUD’s final VAWA rule at: https://www.gpo.gov/fdsys/pkg/FR-2016- 11-16/pdf/2016-25888.pdf.
Additionally, the PHA must make a copy of HUD’s VAWA regulations available to you if you ask to see them.
For questions regarding VAWA, please contact your assigned Housing Assistant.
For help regarding an abusive relationship, you may call the National Domestic Violence Hotline at 1-800-799-7233 or, for persons with hearing impairments, 1-800-787-3224 (TTY). You may also contact New Star Justice Center at 424-336-9470.
For tenants who are or have been victims of stalking seeking help may visit the National Center for Victims of Crime’s Stalking Resource Center at https://www.victimsofcrime.org/ourprograms/stalking-resource-center.
For help regarding sexual assault, you may contact New Star Justice Center at 424-336-9470 Victims of stalking seeking help may contact New Star Justice Center at 424-336-9470 Attachment: Certification Form HUD-5382 [form approved for this program to be included]
. Page 16 Adminplan 6/1/26 -61
EXHIBIT 16-2: CERTIFICATION OF DOMESTIC VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING AND ALTERNATE DOCUMENTATION, FORM HUD-5382
CERTIFICATION OF U.S. Department of Housing OMB Approval No. 2577-0286 DOMESTIC VIOLENCE, and Urban Development Exp. 06/30/2017
DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING,
AND ALTERNATE DOCUMENTATION
Purpose of Form: The Violence Against Women Act (“VAWA”) protects applicants, tenants, and program participants in certain HUD programs from being evicted, denied housing assistance, or terminated from housing assistance based on acts of domestic violence, dating violence, sexual assault, or stalking against them. Despite the name of this law, VAWA protection is available to victims of domestic violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation.
Use of This Optional Form: If you are seeking VAWA protections from your housing provider, your housing provider may give you a written request that asks you to submit documentation about the incident or incidents of domestic violence, dating violence, sexual assault, or stalking.
In response to this request, you or someone on your behalf may complete this optional form and submit it to your housing provider, or you may submit one of the following types of third-party documentation:
(1) A document signed by you and an employee, agent, or volunteer of a victim service provider, an attorney, or medical professional, or a mental health professional (collectively, “professional”) from whom you have sought assistance relating to domestic violence, dating violence, sexual assault, or stalking, or the effects of abuse. The document must specify, under penalty of perjury, that the professional believes the incident or incidents of domestic violence, dating violence, sexual assault, or stalking occurred and meet the definition of “domestic violence,” “dating violence,” “sexual assault,” or “stalking” in HUD’s regulations at 24 CFR 5.2003.
(2) A record of a Federal, State, tribal, territorial or local law enforcement agency, court, or administrative agency; or
(3) At the discretion of the housing provider, a statement or other evidence provided by the applicant or tenant.
Submission of Documentation: The time period to submit documentation is 14 business days from the date that you receive a written request from your housing provider asking that you provide documentation of the occurrence of domestic violence, dating violence, sexual assault, or stalking. Your housing provider may, but is not required to, extend the time period to submit the documentation, if you request an extension of the time period. If the requested information is not received within 14 business days of when you received the request for the documentation, or any extension of the date provided by your housing provider, your housing provider does not need to grant you any of the VAWA protections. Distribution or issuance of this form does not serve as a written request for certification.
Confidentiality: All information provided to your housing provider concerning the incident(s) of domestic violence, dating violence, sexual assault, or stalking shall be kept confidential and such details shall not be entered into any shared database. Employees of your housing provider are not to have access to these details unless to grant or deny VAWA protections to you, and such employees may not disclose this information to any other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of assistance; or (iii) otherwise required by applicable law. . Page 16 Adminplan 6/1/26 -62
TO BE COMPLETED BY OR ON BEHALF OF THE VICTIM OF DOMESTIC VIOLENCE,
DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
1. Date the written request is received by victim: _________________________________________
2. Name of victim: ___________________________________________________________________
3. Your name (if different from victim’s):________________________________________________
4. Name(s) of other family member(s) listed on the lease:___________________________________ ___________________________________________________________________________________
5. Residence of victim: ________________________________________________________________
6. Name of the accused perpetrator (if known and can be safely disclosed):____________________ __________________________________________________________________________________
7. Relationship of the accused perpetrator to the victim:___________________________________
8. Date(s) and times(s) of incident(s) (if known):___________________________________________ _________________________________________________________________
10. Location of incident(s):_____________________________________________________________ This is to certify that the information provided on this form is true and correct to the best of my knowledge and recollection, and that the individual named above in Item 2 is or has been a victim of domestic violence, dating violence, sexual assault, or stalking. I acknowledge that submission of false information could jeopardize program eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Signature __________________________________Signed on (Date) ___________________________ Public Reporting Burden: The public reporting burden for this collection of information is estimated to average 1 hour per response. This includes the time for collecting, reviewing, and reporting the data. The information provided is to be used by the housing provider to request certification that the applicant or tenant is a victim of domestic violence, dating violence, sexual assault, or stalking. The information is subject to the confidentiality requirements of VAWA. This agency may not collect this information, and you are not required to complete this form, unless it displays a currently valid Office of Management and Budget control number.
In your own words, briefly describe the incident(s):
______________________________________________________________________________________ ______________________________________________________________________________________ ______________________________________________________________________________________ . Page 16 Adminplan 6/1/26 -63
EXHIBIT 16-3: EMERGENCY TRANSFER PLAN FOR VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING
(HCV VERSION)
Attachment: Certification form HUD-5382
Hawthorne Housing Authority
Emergency Transfer Plan for Victims of Domestic Violence, Dating Violence, Sexual Assault, or Stalking
Housing Choice Voucher Program
Emergency Transfers
The PHA is concerned about the safety of its tenants, and such concern extends to tenants who are victims of domestic violence, dating violence, sexual assault, or stalking. In accordance with the Violence Against Women Act (VAWA),
3 the PHA allows tenants who are victims of
domestic violence, dating violence, sexual assault, or stalking to request an emergency transfer from the tenant’s current unit to another unit. The ability to request a transfer is available regardless of sex, gender identity, or sexual orientation. 4 The ability of the PHA to honor such
request for tenants currently receiving assistance, however, may depend upon a preliminary determination that the tenant is or has been a victim of domestic violence, dating violence, sexual assault, or stalking, and on whether the PHA has another dwelling unit that is available and is safe to offer the tenant for temporary or more permanent occupancy.
This plan identifies tenants who are eligible for an emergency transfer, the documentation needed to request an emergency transfer, confidentiality protections, how an emergency transfer may occur, and guidance to tenants on safety and security. This plan is based on a model emergency transfer plan published by the U.S. Department of Housing and Urban Development (HUD), the federal agency that oversees that the public housing and housing choice voucher (HCV) programs are in compliance with VAWA.
Eligibility for Emergency Transfers
A tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking, as provided in HUD’s regulations at 24 CFR part 5, subpart L, is eligible for an emergency transfer if the tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant remains within the same unit. If the tenant is a victim of sexual assault, the tenant may also be eligible to transfer if the sexual assault occurred on the premises within the 90-calendarday period preceding a request for an emergency transfer.
3 Despite the name of this law, VAWA protection is available to all victims of domestic violence, dating violence, sexual assault, and stalking, regardless of sex, gender identity, or sexual orientation. 4 Housing providers cannot discriminate on the basis of any protected characteristic, including race, color, national origin, religion, sex, familial status, disability, or age. HUD-assisted and HUD-insured housing must be made available to all otherwise eligible individuals regardless of actual or perceived sexual orientation, gender identity, or marital status.
. Page 16 Adminplan 6/1/26 -64
A tenant requesting an emergency transfer must expressly request the transfer in accordance with the procedures described in this plan.
Tenants who are not in good standing may still request an emergency transfer if they meet the eligibility requirements in this section.
Emergency Transfer Request Documentation
To request an emergency transfer, the tenant shall notify the PHA’s management office and submit a written request for a transfer to any PHA office. The PHA will provide reasonable accommodations to this policy for individuals with disabilities. The tenant’s written request for an emergency transfer should include either:
1. A statement expressing that the tenant reasonably believes that there is a threat of imminent harm from further violence if the tenant were to remain in the same dwelling unit assisted under the PHA’s program; OR
2. A statement that the tenant was a sexual assault victim and that the sexual assault occurred on the premises during the 90-calendar-day period preceding the tenant’s request for an emergency transfer.
Confidentiality
The PHA will keep confidential any information that the tenant submits in requesting an emergency transfer, and information about the emergency transfer, unless the tenant gives the PHA written permission to release the information on a time-limited basis, or disclosure of the information is required by law or required for use in an eviction proceeding or hearing regarding termination of assistance from the covered program. This includes keeping confidential the new location of the dwelling unit of the tenant, if one is provided, from the person or persons that committed an act of domestic violence, dating violence, sexual assault, or stalking against the tenant. See the Notice of Occupancy Rights under the Violence against Women Act for All Tenants for more information about the PHA’s responsibility to maintain the confidentiality of information related to incidents of domestic violence, dating violence, sexual assault, or stalking.
Emergency Transfer Timing and Availability
The PHA cannot guarantee that a transfer request will be approved or how long it will take to process a transfer request. The PHA will, however, act as quickly as possible to move a tenant who is a victim of domestic violence, dating violence, sexual assault, or stalking to another unit, subject to availability and safety of a unit. If a tenant reasonably believes a proposed transfer would not be safe, the tenant may request a transfer to a different unit. If a unit is available, the transferred tenant must agree to abide by the terms and conditions that govern occupancy in the unit to which the tenant has been transferred. The PHA may be unable to transfer a tenant to a particular unit if the tenant has not or cannot establish eligibility for that unit.
If the PHA has no safe and available units for which a tenant who needs an emergency transfer is eligible, the PHA will assist the tenant in identifying other housing providers who may have safe and available units to which the tenant could move. At the tenant’s request, the PHA will also assist tenants in contacting the local organizations offering assistance to victims of domestic violence, dating violence, sexual assault, or stalking that are attached to this plan. . Page 16 Adminplan 6/1/26 -65
Emergency Transfers: Housing Choice Voucher (HCV) Program Tenant-based assistance: If you are a participant in the tenant-based HCV program and request an emergency transfer as described in this plan, the PHA will assist you to move to a safe unit quickly using your existing voucher assistance. The PHA will make exceptions to program regulations restricting moves as required.
At your request, the PHA will refer you to organizations that may be able to further assist you.
Project-based assistance: If you are assisted under the project-based voucher (PBV) program, you may request an emergency transfer under the following programs for which you are not required to apply:
• Tenant-based voucher, if available
• Project-based assistance in the same project (if a vacant unit is available and you determine that the vacant unit is safe)
• Project-based assistance in another development owned by the PHA Emergency transfers under VAWA will take priority over waiting list admissions for these types of assistance.
You may also request an emergency transfer under the following programs for which you are required to apply:
• Public housing program
• PBV assistance in another development not owned by the PHA Emergency transfers will not take priority over waiting list admissions for these programs. At your request, the PHA will refer you to organizations that may be able to further assist you.
Safety and Security of Tenants
Pending processing of the transfer and the actual transfer, if it is approved and occurs, the tenant is urged to take all reasonable precautions to be safe.
Tenants who are or have been victims of domestic violence are encouraged to contact the National Domestic Violence Hotline at 1-800-799-7233, or a local domestic violence shelter, for assistance in creating a safety plan. For persons with hearing impairments, that hotline can be accessed by calling 1-800-787-3224 (TTY).
Tenants who have been victims of sexual assault may call the Rape, Abuse, and Incest National Network’s National Sexual Assault Hotline at 1-800-656-HOPE, or visit the online hotline at:
https://ohl.rainn.org/online/.
Tenants who are or have been victims of stalking seeking help may visit the National Center for Victims of Crime’s Stalking Resource Center at: https://www.victimsofcrime.org/ourprograms/stalking-resource-center.
Attachment: Local organizations offering assistance to victims of domestic violence, dating violence, sexual assault, or stalking.
. Page 16 Adminplan 6/1/26 -66
EXHIBIT 16-4: EMERGENCY TRANSFER REQUEST FOR CERTAIN VICTIMS OF
DOMESTIC VIOLENCE, DATING VIOLENCE, SEXUAL ASSAULT, OR STALKING, FORM HUD-5383
EMERGENCY TRANSFER U.S. Department of Housing OMB Approval No. 2577-0286 REQUEST FOR CERTAIN and Urban Development Exp. 06/30/2017
VICTIMS OF DOMESTIC
VIOLENCE, DATING VIOLENCE,
SEXUAL ASSAULT, OR STALKING
Purpose of Form: If you are a victim of domestic violence, dating violence, sexual assault, or stalking, and you are seeking an emergency transfer, you may use this form to request an emergency transfer and certify that you meet the requirements of eligibility for an emergency transfer under the Violence Against Women Act (VAWA). Although the statutory name references women, VAWA rights and protections apply to all victims of domestic violence, dating violence, sexual assault or stalking. Using this form does not necessarily mean that you will receive an emergency transfer. See your housing provider’s emergency transfer plan for more information about the availability of emergency transfers.
The requirements you must meet are:
(1) You are a victim of domestic violence, dating violence, sexual assault, or stalking.
If your housing provider does not already have documentation that you are a victim of domestic violence, dating violence, sexual assault, or stalking, your housing provider may ask you for such documentation. In response, you may submit Form HUD-5382, or any one of the other types of documentation listed on that Form. (2) You expressly request the emergency transfer. Submission of this form confirms that you have expressly requested a transfer. Your housing provider may choose to require that you submit this form, or may accept another written or oral request. Please see your housing provider’s emergency transfer plan for more details. (3) You reasonably believe you are threatened with imminent harm from further violence if you remain in your current unit. This means you have a reason to fear that if you do not receive a transfer you would suffer violence in the very near future.
OR
You are a victim of sexual assault and the assault occurred on the premises during the 90-calendar-day period before you request a transfer. If you are a victim of sexual assault, then in addition to qualifying for an emergency transfer because you reasonably believe you are threatened with imminent harm from further violence if you remain in your unit, you may qualify for an emergency transfer if the sexual assault occurred on the premises of the property from which you are seeking your transfer, and that assault happened within the 90-calendar-day period before you submit this form or otherwise expressly request the transfer.
Submission of Documentation: If you have third-party documentation that demonstrates why you are eligible for an emergency transfer, you should submit that documentation to your housing provider if it is safe for you to do so. Examples of third party documentation include, but are not limited to: a letter or other documentation from a victim service provider, social worker, legal assistance provider, pastoral counselor, mental health provider, or other professional from whom you have sought assistance; a current restraining order; a recent court order or other court records; a law enforcement report or records; communication records from the perpetrator of the violence or family members or friends of the perpetrator of the violence, including emails, voicemails, text messages, and social media posts. . Page 16 Adminplan 6/1/26 -67
Confidentiality: All information provided to your housing provider concerning the incident(s) of domestic violence, dating violence, sexual assault, or stalking, and concerning your request for an emergency transfer shall be kept confidential. Such details shall not be entered into any shared database.
Employees of your housing provider are not to have access to these details unless to grant or deny VAWA protections or an emergency transfer to you. Such employees may not disclose this information to any other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of assistance; or (iii) otherwise required by applicable law.
TO BE COMPLETED BY OR ON BEHALF OF THE PERSON REQUESTING A TRANSFER
1. Name of victim requesting an emergency transfer: ______________________________________
2. Your name (if different from victim’s)_________________________________________________
3. Name(s) of other family member(s) listed on the lease:____________________________________ ___________________________________________________________________________________
4. Name(s) of other family member(s) who would transfer with the victim:____________________ ____________________________________________________________________________________
5. Address of location from which the victim seeks to transfer: _______________________________________
6. Address or phone number for contacting the victim:____________________________________
7. Name of the accused perpetrator (if known and can be safely disclosed):___________________
8. Relationship of the accused perpetrator to the victim:___________________________________
9. Date(s), Time(s) and location(s) of incident(s):___________________________________________ _____________________________________________________________________________________
10. Is the person requesting the transfer a victim of a sexual assault that occurred in the past 90 days on the premises of the property from which the victim is seeking a transfer? If yes, skip question 11. If no, fill out question 11. ______________
11. Describe why the victim believes they are threatened with imminent harm from further violence if they remain in their current unit.
___________________________________________________________________________________ _____________________________________________________________________________________
12. If voluntarily provided, list any third-party documentation you are providing along with this notice: ___________________________________________________________________ . Page 16 Adminplan 6/1/26 -68
This is to certify that the information provided on this form is true and correct to the best of my knowledge, and that the individual named above in Item 1 meets the requirement laid out on this form for an emergency transfer. I acknowledge that submission of false information could jeopardize program eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Signature __________________________________Signed on (Date) ___________________________ . Page 16 Adminplan 6/1/26 -69
EXHIBIT 16-5: MODEL OWNER NOTIFICATION OF RIGHTS AND OBLIGATIONS Hawthorne Housing Authority
NOTIFICATION OF YOUR RIGHTS AND OBLIGATIONS
UNDER THE VIOLENCE AGAINST WOMEN ACT (VAWA)
VAWA provides protections for Section 8 Housing Choice Voucher (HCV) and PBV applicants, tenants, and participants from being denied assistance on the basis or as a direct result of being a victim of domestic violence, dating violence, sexual assault, stalking and human trafficking.
Purpose
Many of VAWA’s protections to victims of domestic violence, dating violence, sexual assault stalking, and human trafficking involve action by the public housing agency (PHA), but some situations involve action by owners of assisted housing. The purpose of this notice (herein called “Notice”) is to explain your rights and obligations under VAWA, as an owner of housing assisted through Hawthorne Housing Authority’s HCV program. Each component of this Notice also provides citations to HUD’s applicable regulations.
Denial of Tenancy
Protections for applicants: Owners cannot deny tenancy based on the applicant having been or currently being a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking. However, the applicant must be otherwise eligible for tenancy. (See 24 Code of Federal Regulations (CFR) 982.452(b)(1).)
Eviction
Protections for HCV participants: Incidents or threats of domestic violence, dating violence, sexual assault, stalking, or human trafficking will not be considered a serious or repeated lease violation by the victim, or good cause to terminate the tenancy of the victim (see 24 CFR 5.2005(c)). Protection also applies to criminal activity related directly to domestic violence, dating violence, sexual assault, stalking, or human trafficking, conducted by a member of a tenant’s household or any guest or other person under the tenant’s control, if the tenant or an affiliated individual of the tenant is the victim or threatened victim of such domestic violence, dating violence, sexual assault, stalking, or human trafficking (24 CFR 5.2005(b)(2)).
Limitations of VAWA protections:
a. Nothing in VAWA limits the authority of an owner, when notified of a court order, to comply with a court order with respect to (24 CFR 5.2005(d)(1)):
1) The rights of access or control of property, including civil protection orders issued to protect a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking; or 2) The distribution or possession of property among members of a household in a case. b. Nothing in VAWA limits an owner from evicting a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking for a lease violation that is not premised on an act of domestic violence, dating violence, sexual assault, stalking, or human trafficking, as long as the owner does not subject the victim to more demanding standards than other tenants when deciding whether to evict. (See 24 CFR 5.2005(d)(2).)
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c. Nothing in VAWA limits an owner from evicting a tenant (including the victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking) if the owner can demonstrate an actual and imminent threat to other tenants or those employed at or providing services to the HCV property would be present if the tenant or lawful occupant is not evicted. (See 24 CFR 5.2005(d)(3).) i. In this context, words, gestures, actions, or other indicators will be considered an “actual and imminent threat” if they meet the following standards: An actual and imminent threat consists of a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include: the duration of the risk, the nature and severity of the potential harm, the likelihood that the potential harm will occur, and the length of time before the potential harm would occur. (See 24 CFR 5.2003.)
ii. Any eviction due to “actual and imminent threat” should be utilized by an owner only when there are no other actions that could be taken to reduce or eliminate the threat, including, but not limited to, transferring the victim to a different unit, barring the perpetrator from the property, contacting law enforcement to increase police presence or develop other plans to keep the property safe, or seeking other legal remedies to prevent the perpetrator from acting on a threat. Restrictions predicated on public safety cannot be based on stereotypes, but must be tailored to particularized concerns about individual residents. (See 24 CFR 5.2005(d)(4).)
Documentation of Domestic Violence, Dating Violence, Sexual Assault, Stalking, or Human Trafficking
If an applicant or tenant requests VAWA protection based on status as a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the owner has the option to request that the victim document or provide written evidence to demonstrate that the violence occurred.
However, nothing in HUD’s regulation requires a covered housing provider to request this documentation. (See 24 CFR 5.2007(b)(3).)
If the owner chooses to request this documentation, the owner must make such request in writing.
The individual may satisfy this request by providing any one document type listed under 24 CFR
5.2007(b)(1):
a. Form HUD-55383 (Self-Certification Form); or
b. A document: 1) Signed by an employee, agent, or volunteer of a victim service provider, an attorney, or medical professional or a mental health professional (collectively, “professional”) from whom the victim has sought assistance relating to domestic violence, dating violence, sexual assault, stalking, or human trafficking, or the effects of abuse:
2) Signed by the applicant or tenant; and
3) That specifies, under penalty of perjury, that the professional believes in the occurrence of the incident of domestic violence, dating violence, sexual assault, stalking, or human trafficking that is the ground for protection and remedies under 24 CFR part 5, subpart L, and that the incident meets the applicable definition of domestic violence, dating violence, sexual assault, stalking, or human trafficking under 24 CFR 5.2003; or
c. A record of a Federal, State, tribal, territorial or local law enforcement agency, court, or administrative agency; or
d. At the discretion of a covered housing provider, a statement or other evidence provided by the applicant or tenant.
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The owner must accept any of the above items (a – c). The owner has discretion to accept a statement or other evidence (d).
The owner is prohibited from requiring third-party documentation of the domestic violence, dating violence, sexual assault, stalking, or human trafficking, unless the submitted documentation contains conflicting information.
If the owner makes a written request for documentation, the owner may require submission of that documentation within 14 business days after the date that the individual received the written request for documentation. (24 CFR 5.2007(a)(2)). The owner may extend this time period at its discretion.
During the 14 business day period and any granted extensions of that time, no adverse actions, such as evictions or terminations, can be taken against the individual requesting VAWA protection.
Once a victim provides documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking, the owner is encouraged to acknowledge receipt of the documentation in a timely manner.
If the applicant or tenant fails to provide documentation that meets the criteria in 24 CFR 5.2007 within 14 business days after receiving the written request for that documentation or within the designated extension period, nothing in VAWA may be construed to limit the authority of the covered housing provider to:
a. Deny admission by the applicant or tenant to the housing or program; b. Deny assistance under the covered housing program to the applicant or tenant; c. Terminate the participation of the tenant in the covered housing program; or d. Evict the tenant, or a lawful occupant that commits a violation of a lease.
An individual’s failure to timely provide documentation of domestic violence, dating violence, sexual assault, stalking, or human trafficking does not result in a waiver of the individual’s right to challenge the denial of assistance or termination, nor does it preclude the individual’s ability to raise an incident of domestic violence, dating violence, sexual assault, stalking, or human trafficking at eviction or termination proceedings.
Owners may not coerce, intimidate, threaten, interfere with, or retaliate against any person who exercises or assists or encourages a person to exercise any rights or protections under VAWAs (See FR Notice 1/4/23.)
Moves
A victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking may move in violation of their lease if the move is required to protect their safety. If a move results in the termination of the Housing Assistance Payment Contract, the lease is automatically terminated. . Page 16 Adminplan 6/1/26 -72
Lease Bifurcation
Owners may choose to bifurcate a lease, or remove a household member from a lease in order to evict, remove, terminate occupancy rights, or terminate assistance to such member who engages in criminal activity directly relating to domestic violence, dating violence, sexual assault, stalking, or human trafficking against an affiliated individual or other individual. (See 24 CFR 5.2009(a).) If an owner chooses to bifurcate the lease, the owner must comply with the reasonable time to establish eligibility under the covered housing program or find alternative housing following lease bifurcation provision in 24 CFR 5.2009(b). VAWA protections, including bifurcation, do not apply to guests or unreported members of a household or anyone else residing in a household who is not a tenant.
Eviction, removal, termination of occupancy rights, or termination of assistance must be effected in accordance with the procedures prescribed by federal, state, or local law for termination of leases.
To avoid unnecessary delay in the bifurcation process, HUD recommends that owners seek court-ordered eviction of the perpetrator pursuant to applicable laws. This process results in the underlying lease becoming null and void once the owner regains possession of the unit.
The owner would then execute a new lease with the victim.
Evictions Due to “Actual and Imminent Threat” or Violations Not Premised on Abuse VAWA generally prohibits eviction on the basis or as a direct result of the fact that the applicant or tenant is or has been a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, if the applicant or tenant otherwise qualifies for assistance, participation or occupancy. (See 24 CFR 5.2005.) However, VAWA does not prohibit an owner from evicting a tenant for any violation not premised on an act of domestic violence, dating violence, sexual assault, stalking, or human trafficking that is in question against the tenant or an affiliated individual of the tenant. Nor does VAWA prohibit an owner from evicting a tenant if the owner can demonstrate an actual and imminent threat to other tenants or those employed at or providing services to property of the owner would be present if that tenant or lawful occupant is not evicted or terminated from assistance. (See 5.2005(d)(2) and (3).)
In order to demonstrate an actual and imminent threat to other tenants or employees at the property, the covered housing provider must have objective evidence of words, gestures, actions, or other indicators that meet the standards in the following definition:
Actual and imminent threat refers to a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include:
• The duration of the risk;
• The nature and severity of the potential harm;
• The likelihood that the potential harm will occur; and • The length of time before the potential harm would occur. (See 24 CFR 5.2003 and 5.2005(d)(2).)
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Confidentiality
Any information submitted to a covered housing provider under 24 CFR 5.2007, including the fact that an individual is a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking, must be maintained in strict confidence by the covered housing provider. (See 24 CFR 5.2007(c).)
Employees of the owner (or those within their employ, e.g., contractors) must not have access to the information unless explicitly authorized by the owner for reasons that specifically call for these individuals to have access to this information under applicable federal, state, or local law (e.g., the information is needed by an employee to provide the VAWA protections to the victim).
The owner must not enter this information into any shared database, or disclose this information to any other entity or individual, except to the extent that disclosure is:
a. Requested or consented to in writing by the individual (victim) in a time-limited release; b. Required for use in an eviction proceeding or hearing regarding termination of assistance from the covered program; or
c. Otherwise required by applicable law.
When communicating with the victim, owners must take precautions to ensure compliance with these confidentiality requirements.
Service Providers
Hawthorne Housing Authority has extensive relationships with local service providers.
Hawthorne Housing Authority staff are available to provide referrals to shelters, counselors, and advocates. These resources are also provided in Hawthorne Housing Authority Annual and 5-Year Plan, Administrative Plan, VAWA Notice of Occupancy Rights, and Emergency Transfer Plan. A list of local service providers is attached to this Notice.
Definitions
Actual and imminent threat refers to a physical danger that is real, would occur within an immediate time frame, and could result in death or serious bodily harm. In determining whether an individual would pose an actual and imminent threat, the factors to be considered include: the duration of the risk, the nature and severity of the potential harm, the likelihood that the potential harm will occur, and the length of time before the potential harm would occur.
Affiliated individual, with respect to an individual, means:
(1) A spouse, parent, brother, sister, or child of that individual, or a person to whom that individual stands in the place of a parent or guardian (for example, the affiliated individual is a person in the care, custody, or control of that individual); or
(2) Any individual, tenant, or lawful occupant living in the household of that individual.
Bifurcate means to divide a lease as a matter of law, subject to the permissibility of such process under the requirements of the applicable HUD-covered program and State or local law, such that certain tenants or lawful occupants can be evicted or removed and the remaining tenants or lawful occupants can continue to reside in the unit under the same lease requirements or as may be revised depending upon the eligibility for continued occupancy of the remaining tenants and lawful occupants.
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Dating violence means violence committed by a person:
(1) Who is or has been in a social relationship of a romantic or intimate nature with the victim; and (2) Where the existence of such a relationship shall be determined based on a consideration of the following factors:
(i) The length of the relationship;
(ii) The type of relationship; and
(iii) The frequency of interaction between the persons involved in the relationship.
Domestic violence includes felony or misdemeanor crimes of committed by a current or former spouse or intimate partner of the victim under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
• The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim
• A person who is cohabitating or has cohabitated with the victim as a spouse or intimate partner • A person with whom the victim shares a child in common • A person who commits acts against a youth or adult victim who is protected from those acts under the domestic or family violence laws of the jurisdiction Sexual assault means any nonconsensual sexual act proscribed by Federal, tribal, or State law, including when the victim lacks capacity to consent.
Stalking means engaging in a course of conduct directed at a specific person that would cause a reasonable person to:
(1) Fear for the person’s individual safety or the safety of others; or (2) Suffer substantial emotional distress.
VAWA means the Violence Against Women Act of 1994, as amended (42 U.S.C. 13925 and 42 U.S.C. 14043e et seq.).
Attached:
Legal services and the domestic violence resources for the Metro area Form HUD-5382 Certification of Domestic Violence, Dating Violence, Sexual Assault, or Stalking Hawthorne Housing Authority VAWA Notice of Occupancy Rights Page TPS Adminplan 6/1/2026 -1
Temporary Policy Supplement
EMERGENCY HOUSING VOUCHERS (EHVs)
INTRODUCTION
On March 11, 2021, President Biden signed the American Rescue Plan Act of 2021 (ARP) (P.L. 117-2). Section 3202 of the ARP appropriated $5 billion for the creation, administration, and renewal of new incremental emergency housing vouchers (EHVs) and other eligible expenses related to COVID-19.
On May 5, 2021, HUD issued Notice PIH 2021-15, which described HUD’s process for allocating approximately 70,000 EHVs to eligible PHAs and set forth the operating requirements for PHAs who administer them. Based on criteria outlined in the notice, HUD notified eligible PHAs of the number of EHVs allocated to their agency, and PHAs were able to accept or decline the invitation to participate in the program.
PHAs may not project-base EHVs; EHVs are exclusively tenant-based assistance.
All applicable nondiscrimination and equal opportunity requirements apply to the EHV program, including requirements that the PHA grant reasonable accommodations to persons with disabilities, effectively communicate with persons with disabilities, and ensure meaningful access for persons with limited English proficiency (LEP).
This chapter describes HUD regulations and PHA policies for administering EHVs. The policies outlined in this chapter are organized into seven sections, as follows:
Part I: Funding
Part II: Partnering Agencies
Part III: Waiting List Management
Part IV: Family Eligibility
Part V: Housing Search and Leasing
Part VI: Use of Funds, Reporting, and Financial Records Except as addressed by this chapter and as required under federal statute and HUD requirements, the general requirements of the HCV program apply to EHVs.
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PART I: FUNDING
TPS-I.A. FUNDING OVERVIEW
The American Rescue Plan Act of 2021 (ARP) provides administrative fees and funding for the costs of administering emergency housing vouchers (EHVs) and other eligible expenses defined in Notice PIH 2021-15. These fees may only be used for EHV administration and other eligible expenses and must not be used for or applied to other PHA programs or vouchers. The PHA must maintain separate financial records from its regular HCV funding for all EHV funding.
Housing Assistance Payments (HAP) Funding
ARP funding obligated to the PHA as housing assistance payments (HAP) funding may only be used for eligible EHV HAP expenses (i.e., rental assistance payments). EHV HAP funding may not be used for EHV administrative expenses or for the eligible uses under the EHV services fee.
The initial funding term will expire December 31, 2022. HUD will provide renewal funding to the PHA for the EHVs on a calendar year (CY) basis commencing with CY 2023. The renewal funding allocation will be based on the PHA’s actual EHV HAP costs in leasing, similar to the renewal process for the regular HCV program. EHV renewal funding is not part of the annual HCV renewal funding formula; EHVs are renewed separately from the regular HCV program.
All renewal funding for the duration of the EHV program has been appropriated as part of the ARP funding.
Administrative Fee and Funding
The following four types of fees and funding are allocated as part of the EHV program:
• Preliminary fees support immediate start-up costs that the PHA will incur in implementing alternative requirements under EHV, such as outreach and coordination with partnering agencies:
- $400 per EHV allocated to the PHA, once the consolidated annual contributions contract (CACC) is amended.
- This fee may be used for any eligible administrative expenses related to EHVs. - The fee may also be used to pay for any eligible activities under EHV service fees (TPSI.B).
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• Placement fees/expedited issuance reporting fees will support initial lease-up costs and the added cost and effort required to expedite leasing of EHVs:
- $100 for each EHV initially leased, if the PHA reports the voucher issuance date in Public Housing Information Center–Next Generation (PIC–NG) system within 14 days of voucher issuance or the date the system becomes available for reporting. - Placement fees:
o $500 for each EHV family placed under a HAP contract effective within four months of the effective date of the ACC funding increment; or
o $250 for each EHV family placed under a HAP contract effective after four months but less than six months after the effective date of the ACC funding increment. o HUD will determine placement fees in the event of multiple EHV allocations and funding increment effective dates.
- Placement/expedited issuance fees only apply to the initial leasing of the voucher; they are not paid for family moves or to turnover vouchers.
• Ongoing administrative fees, which are calculated in the same way as the standard HCV program:
- PHAs are allocated administrative fees using the full column A administrative fee amount for each EHV under contract as of the first day of each month. - Ongoing EHV administrative fees may be subject to proration in future years, based on available EHV funding.
• Services fees, which are a one-time fee to support PHAs’ efforts to implement and operate an effective EHV services program in its jurisdiction (TPS-I.B):
- The fee is allocated once the PHA’s CACC is amended to reflect EHV funding. - The amount allocated is $3,500 for each EHV allocated.
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TPS-I.B. SERVICE FEES
Services fee funding must be initially used for defined eligible uses and not for other administrative expenses of operating the EHV program. Service fees fall into four categories:
• Housing search assistance
• Security deposit/utility deposit/rental application/holding fee uses • Owner-related uses
• Other eligible uses such as moving expenses or tenant-readiness services The PHA must establish the eligible uses and the parameters and requirements for service fees in the PHA’s administrative plan.
PHA Policy
The eligible uses for service fees include:
Housing search assistance, which may include activities such as, but not limited to, helping a family identify and visit potentially available units during their housing search, helping to find a unit that meets the household’s disability-related needs, providing transportation and directions, assisting with the completion of rental applications and PHA forms, and helping to expedite the EHV leasing process for the family.
Application fees/non-refundable administrative or processing fees/refundable application deposit assistance. The PHA may choose to assist the family with some or all these expenses.
Holding fees are fees an owner requests that are rolled into the security deposit after an application is accepted but before a lease is signed. The PHA may cover part or all of the holding fee for units where the fee is required by the owner after a tenant’s application has been accepted but before the lease signing. The PHA and owner must agree how the holding fee gets rolled into the deposit, and under what conditions the fee will be returned. In general, owners need to accept responsibility for making needed repairs to a unit required by the initial housing quality standards (HQS) inspections and can only keep the holding fee if the client is at fault for not entering into a lease.
Security deposit assistance. The amount of the security deposit assistance may not exceed the lesser of two months’ rent to owner, the maximum security deposit allowed under applicable state and/or local law, or the actual security deposit required by the owner. The PHA may pay the security deposit assistance directly to the owner or may pay the assistance to the family. If paid to the family, the PHA will require documentation that the family paid the security deposit.
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Utility deposit assistance/utility arrears. The PHA may provide utility deposit assistance for some or all of the family’s utility deposit expenses. Assistance can be provided for deposits (including connection fees) required for the utilities to be supplied by the tenant under the lease. The PHA may pay the utility deposit assistance directly to the utility company or may pay the assistance to the family. If paid to the family, the PHA will require documentation the family paid the utility deposit. The PHA will require the utility supplier or family to return the utility deposit assistance to the PHA at such time the deposit is returned by the utility supplier (less any amounts retained by the utility supplier). In addition, some families may have large balances with gas, electric, water, sewer, or trash companies that will make it difficult if not impossible to establish services for tenant-supplied utilities. The PHA may also provide the family with assistance to help address these utility arrears to facilitate leasing. Utility deposit assistance returned to the PHA will be used for either services fee eligible uses or other EHV administrative costs, as required by HUD.
Owner recruitment and outreach for EHVs. The PHA may use the service fee funding to conduct owner recruitment and outreach specifically for EHVs. In addition to traditional owner recruitment and outreach, activities may include conducting preinspections or otherwise expediting the inspection process, providing enhanced customer service, and offering owner incentive and/or retention payments.
Owner incentive and/or retention payments. The PHA may make incentive or retention payments to owners that agree to initially lease their unit to an EHV family and/or renew the lease of an EHV family.
Payments will be made as a single payment at the beginning of the assisted lease term (or lease renewal if a retention payment). Owner incentive and retentions payments are not housing assistance payments, are not part of the rent to owner, and are not taken into consideration when determining whether the rent for the unit is reasonable.
Moving expenses (including move-in fees and deposits). The PHA may provide assistance for some or all of the family’s reasonable moving expenses when they initially lease a unit with the EHV. The PHA will not provide moving expenses assistance for subsequent moves unless the family is required to move for reasons other than something the family did or failed to do (e.g., the PHA is terminating the HAP contract because the owner did not fulfill the owner responsibilities under the HAP contract or the owner is refusing to offer the family the opportunity to enter a new lease after the initial lease term, as opposed to the family choosing to terminate the tenancy in order to move to another unit), or a family has to move due to domestic violence, dating violence, sexual assault, or stalking.
Tenant-readiness services. The PHA may use fees to help create a customized plan to address or mitigate barriers that individual families may face in renting a unit with an EHV, such as negative credit, lack of credit, negative rental or utility history, or to connect the family to other community resources (including COVID-related resources) that can assist with rental arrears.
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Essential household items. The PHA may use services fee funding to assist the family with some or all of the costs of acquiring essential household items such as tableware, cooking equipment, beds or bedding, and essential sanitary products such as soap and toiletries.
Renter’s insurance if required by the lease. The PHA may choose to assist the family with some or all this cost.
Any services fee assistance that is returned to the PHA after its initial or subsequent use may only be applied to the eligible services fee uses defined in Notice PIH 2021-15 (or subsequent notice) or other EHV administrative costs. Any amounts not expended for these eligible uses when the PHA’s EHV program ends must be remitted to HUD.
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PART II: PARTNERING AGENCIES
TPS-II.A. CONTINUUM OF CARE (CoC)
PHAs that accept an allocation of EHVs are required to enter into a Memorandum of Understanding (MOU) with the Continuum of Care (CoC) to establish a partnership for the administration of EHVs.
PHA Policy
The PHA has entered into an MOU with [insert name of the Continuum of Care (CoC) agency]. See Exhibit TPS-1 for a copy of the MOU.
TPS-II.B. OTHER PARTNERING ORGANIZATIONS
The PHA may, but is not required to, partner with other organizations trusted by persons experiencing homelessness, such as victim services providers (VSPs) and other community partners. If the PHA chooses to partner with such agencies, the PHA must either enter into an MOU with the partnering agency or the partnering agency may be added to the MOU between the PHA and CoC.
PHA Policy
The PHA has added [insert name of the partnering agency] to the MOU between the PHA and CoC. See Exhibit TPS-1 for a copy of the MOU.
TPS-II.C. REFERRALS
CoC and Partnering Agency Referrals
The primary responsibility of the CoC under the MOU with the PHA is to make direct referrals of qualifying individuals and families to the PHA. The PHA must generally refer a family that is seeking EHV assistance directly from the PHA to the CoC or other referring agency for initial intake, assessment, and possible referral for EHV assistance. Partner CoCs are responsible for determining whether the family qualifies under one of the four eligibility categories for EHVs.
The CoC or other direct referral partner must provide supporting documentation to the PHA of the referring agency’s verification that the family meets one of the four eligible categories for EHV assistance.
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PHA Policy
The CoC or partnering agency must establish and implement a system to identify EHVeligible individuals and families within the agency’s caseload and make referrals to the PHA. The CoC or other partnering agency must certify that the EHV applicants they refer to the PHA meet at least one of the four EHV eligibility criteria. The PHA will maintain a copy of the referral or certification from the CoC or other partnering agency in the participant’s file along with other eligibility paperwork. Homeless service providers may, but are not required to, use the certification form found in Exhibit TPS-2 of this chapter.
Victim services providers may, but are not required to, use the certification form found in Exhibit TPS-3 of this chapter when identifying eligible families who qualify as victims of human trafficking.
As part of the MOU, the PHA and CoC or other partnering agency will identify staff positions to serve as lead EHV liaisons. These positions will be responsible for transmission and acceptance of referrals. The CoC or partnering agency must commit sufficient staff and resources to ensure eligible individuals and families are identified and determined eligible in a timely manner.
The PHA liaison responsible for acceptance of referrals will contact the CoC or partnering agency liaison via email indicating the number of vouchers available and requesting an appropriate number of referrals. No more than five business days from the date the CoC or partnering agency receives this notification, the CoC or partnering agency liaison will provide the PHA with a list of eligible referrals including the name, address, and contact phone number for each adult individual who is being referred; a completed release form for each adult family member; and a written certification for each referral indicating they are EHV-eligible.
Offers of Assistance with CoC Referral
The PHA may make an EHV available without a referral from the CoC or other partnering organization in order to facilitate an emergency transfer under VAWA in accordance with the PHA’s Emergency Transfer Plan (ETP) in Chapter 16.
The PHA must also take direct referrals from outside the CoC if:
• The CoC does not have a sufficient number of eligible families to refer to the PHA; or • The CoC does not identify families that may be eligible for EHV assistance because they are fleeing, or attempting to flee, domestic violence, dating violence, sexual assault, stalking or human trafficking.
If at any time the PHA is not receiving enough referrals or is not receiving referrals in a timely manner from the CoC or other partner referral agencies (or the PHA and CoC cannot identify any such alternative referral partner agencies), HUD may permit the PHA on a temporary or permanent basis to take EHV applications directly from applicants and admit eligible families to the EHV program in lieu of or in addition to direct referrals in those circumstances.
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PART III: WAITING LIST MANAGEMENT
TPS-III. A. HCV WAITING LIST
The regulation that requires the PHA to admit applicants as waiting list admissions or special admissions in accordance with admission policies in Chapter 4 does not apply to PHAs operating the EHV program. Direct referrals are not added to the PHA’s HCV waiting list.
The PHA must inform families on the HCV waiting list of the availability of EHVs by, at a minimum, either by posting the information to their website or providing public notice in their respective communities in accordance with the requirements listed in Notice PIH 2021-15.
PHA Policy
The PHA will post information about the EHV program for families on the PHA’s HCV waiting list on their website. The notice will:
Describe the eligible populations to which EHVs are limited Clearly state that the availability of these EHVs is managed through a direct referral process
Advise the family to contact the CoC (or any other PHA referral partner, if applicable) if the family believes they may be eligible for EHV assistance The PHA will ensure effective communication with persons with disabilities, including those with vision, hearing, and other communication-related disabilities in accordance with Chapter 2. The PHA will also take reasonable steps to ensure meaningful access for persons with limited English proficiency (LEP) in accordance with Chapter 2.
TPS-III.B. EHV WAITING LIST
The HCV regulations requiring the PHA to operate a single waiting list for admission to the HCV program do not apply to PHAs operating the EHV program. Instead, when the number of applicants referred by the CoC or partnering agency exceeds the EHVs available, the PHA must maintain a separate waiting list for EHV referrals, both at initial leasing and for any turnover vouchers that may be issued prior to September 30, 2023.
Further, the EHV waiting list is not subject to PHA policies in Chapter 4 regarding opening and closing the HCV waiting list. The PHA will work directly with its CoC and other referral agency partners to manage the number of referrals and the size of the EHV waiting list.
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TPS-III.C. PREFERENCES
HCV Waiting List Preferences
If local preferences are established by the PHA for HCV, they do not apply to EHVs. However, if the PHA has a homeless preference or a VAWA preference for the HCV waiting list, the PHA must adopt additional policies related to EHVs in accordance with Notice PIH 2021-15.
PHA Policy
The PHA does not offer either a homeless or a VAWA preference for the HCV waiting list.
EHV Waiting List Preferences
With the exception of a residency preference, the PHA may choose, in coordination with the CoC and other referral partners, to establish separate local preferences for EHVs. The PHA may, however, choose to not establish any local preferences for the EHV waiting list.
PHA Policy
No local preferences have been established for the EHV waiting list.
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PART IV: FAMILY ELIGIBLTY
TPS-IV.A. OVERVIEW
The CoC or referring agency determines whether the individual or family meets any one of the four eligibility criteria described in Notice PIH 2021-15 and then refers the family to the PHA.
The PHA determines that the family meets other eligibility criteria for the HCV program, as modified for the EHV program and outlined below.
TPS-IV.B. REFERRING AGENCY DETERMINATION OF ELIGIBLITY
In order to be eligible for an EHV, an individual or family must meet one of four eligibility criteria:
• Homeless as defined in 24 CFR 578.3;
• At risk of homelessness as defined in 24 CFR 578.3;
• Fleeing, or attempting to flee, domestic violence, dating violence, sexual assault, stalking (as defined in Notice PIH 2021-15), or human trafficking (as defined in the 22 U.S.C. Section 7102); or
• Recently homeless and for whom providing rental assistance will prevent the family’s homelessness or having high risk of housing instability as determined by the CoC or its designee in accordance with the definition in Notice PIH 2021-15.
As applicable, the CoC or referring agency must provide documentation to the PHA of the referring agency’s verification that the family meets one of the four eligible categories for EHV assistance. The PHA must retain this documentation as part of the family’s file.
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TPS-IV.C. PHA SCREENING
Overview
HUD waived 24 CFR 982.552 and 982.553 in part for the EHV applicants and established alternative requirement for mandatory and permissive prohibitions of admissions. Except where applicable, PHA policies regarding denials in Chapter 3 of this policy do not apply to screening individuals and families for eligibility for an EHV. Instead, the EHV alternative requirement listed in this section will apply to all EHV applicants.
The mandatory and permissive prohibitions listed in Notice PIH 2021-15 and in this chapter, however, apply only when screening the individual or family for eligibility for an EHV. When adding a family member after the family has been placed under a HAP contract with EHV assistance, the regulations at 24 CFR 982.551(h)(2) apply. Other than the birth, adoption, or court-awarded custody of a child, the PHA must approve additional family members and may apply its regular HCV screening criteria in Chapter 3 in doing so.
Mandatory Denials
Under alternative requirements for the EHV program, mandatory denials for EHV applicants include:
• 24 CFR 982.553(a)(1)(ii)(C), which prohibits admission if any household member has ever been convicted of drug-related criminal activity for manufacture or production of methamphetamine on the premises of federally assisted housing. • 24 CFR 982.553(a)(2)(i), which prohibits admission to the program if any member of the household is subject to a lifetime registration requirement under a state sex offender registration program.
The PHA must deny admission to the program if any member of the family fails to sign and submit consent forms for obtaining information as required by 24 CFR 982.552(b)(3) but should notify the family of the limited EHV grounds for denial of admission first.
PHA Policy
While the PHA will deny admission to the program if any adult member (or head of household or spouse, regardless of age) fails to sign and submit consent forms, the PHA will first notify the family of the limited EHV grounds for denial of admission as part of the notice of denial that will be mailed to the family.
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Permissive Denial
Notice PIH 2021-15 lists permissive prohibitions for which the PHA may, but is not required to, deny admission to EHV families. The notice also lists prohibitions that, while allowable under the HCV program, may not be used to deny assistance for EHV families.
If the PHA intends to establish permissive prohibition policies for EHV applicants, the PHA must first consult with its CoC partner to understand the impact that the proposed prohibitions may have on referrals and must take the CoC’s recommendations into consideration.
PHA Policy
In consultation with the CoC, the PHA will apply permissive prohibition to the screening of EHV applicants. Determinations using permissive prohibitions will be made based on an individualized assessment of relevant mitigating information in accordance with policies in Section 3-III.E.
The PHA will establish the following permissive prohibitions:
If the PHA determines that any household member is currently engaged in, or has engaged in within the previous 12 months:
Violent criminal activity
Other criminal activity that may threaten the health, safety, or right to peaceful enjoyment of the premises by other residents or persons residing in the immediate vicinity
If any member of the family has committed fraud, bribery, or any other corrupt or criminal act in connection with any federal housing program within the previous 12 months.
If the family engaged in or threatened abusive or violent behavior toward PHA personnel within the previous 12 months.
The PHA will also deny assistance to household members already receiving assistance from another program in accordance with Section 9.h. of Notice PIH 2021-15.
Prohibitions based on criminal activity for the eligible EHV populations regarding drug possession will be considered apart from criminal activity against persons (i.e., violent criminal activity).
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In compliance with PIH 2021-15, the PHA will not deny an EHV applicant admission regardless of whether:
Any member of the family has been evicted from federally assisted housing in the last five years;
A PHA has ever terminated assistance under the program for any member of the family;
The family currently owes rent or other amounts to the PHA or to another PHA in connection with Section 8 or public housing assistance under the 1937 Act; The family has not reimbursed any PHA for amounts paid to an owner under a HAP contract for rent, damages to the unit, or other amounts owed by the family under the lease;
The family breached an agreement with the PHA to pay amounts owed to a PHA, or amounts paid to an owner by a PHA;
The family would otherwise be prohibited admission under alcohol abuse standards established by the PHA in accordance with 24 CFR 982.553(a)(3); The PHA determines that any household member is currently engaged in or has engaged in during a reasonable time before the admission, drug-related criminal activity.
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TPS-IV.D. INCOME VERIFICATION AT ADMISSION
Self-Certification at Admission
The requirement to obtain third-party verification of income in accordance with Notice PIH 2018-18 does not apply to the EHV program applicants at admission, and alternatively, PHAs may consider self-certification the highest form of income verification at admission. As such, PHA policies related to the verification of income in Section 7-I.B. do not apply to EHV families at admission. Instead, applicants must submit an affidavit attesting to their reported income, assets, expenses, and other factors that would affect an income eligibility determination.
Additionally, applicants may provide third-party documentation that represents the applicant’s income within the 60-day period prior to admission or voucher issuance but is not dated within 60 days of the PHA’s request.
PHA Policy
Any documents used for verification must be the original (not photocopies) and dated within the 60-day period prior to admission. The documents must not be damaged, altered, or in any way illegible.
Printouts from webpages are considered original documents.
Any family self-certifications must be made in a format acceptable to the PHA and must be signed by the family member whose information or status is being verified.
The PHA will incorporate additional procedures to remind families of the obligation to provide true and complete information in accordance with Chapter 14. The PHA will address any material discrepancies (i.e., unreported income or a substantial difference in reported income) that may arise later. The PHA may, but is not required to, offer the family a repayment agreement in accordance with Chapter 16. If the family fails to repay the excess subsidy, the PHA will terminate the family’s assistance in accordance with the policies in Chapter 12.
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Recently Conducted Income Determinations
PHAs may accept income calculations and verifications from third-party providers or from an examination that the PHA conducted on behalf of the family for another subsidized housing program in lieu of conducting an initial examination of income as long as:
• The income was calculated in accordance with rules outlined at 24 CFR Part 5 and within the last six months; and
• The family certifies there has been no change in income or family composition in the interim.
PHA Policy
The PHA will accept income calculations and verifications from third-party providers provided they meet the criteria outlined above.
The family certification must be made in a format acceptable to the PHA and must be signed by all adult family members whose information or status is being verified.
At the time of the family’s annual reexamination the PHA must conduct the annual reexamination of income as outlined at 24 CFR 982.516 and PHA policies in Chapter 11.
EIV Income Validation
Once HUD makes the EIV data available to PHAs under this waiver and alternative requirement, the PHA must:
• Review the EIV Income and Income Validation Tool (IVT) reports to confirm and validate family-reported income within 90 days of the PIC submission date; • Print and maintain copies of the EIV Income and IVT Reports in the tenant file; and • Resolve any income discrepancy with the family within 60 days of the EIV Income or IVT Report dates.
Prior to admission, PHAs must continue to use HUD’s EIV system to search for all household members using the Existing Tenant Search in accordance with PHA policies in Chapter 3.
If a PHA later determines that an ineligible family received assistance, the PHA must take steps to terminate that family from the program in accordance with Chapter 12.
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TPS-IV.E. SOCIAL SECURITY NUMBER AND CITIZENSHIP STATUS
VERIFICATION
For the EHV program, the PHA is not required to obtain and verify SSN documentation and documentation evidencing eligible noncitizen status before admitting the family to the EHV program. Instead, PHAs may adopt policies to admit EHV applicants who are unable to provide the required SSN or citizenship documentation during the initial eligibility determination. As an alternative requirement, such individuals must provide the required documentation within 180 days of admission to be eligible for continued assistance, pending verification, unless the PHA provides an extension based on evidence from the family or confirmation from the CoC or other partnering agency that the family has made a good-faith effort to obtain the documentation.
If a PHA determines that an ineligible family received assistance, the PHA must take steps to terminate that family from the program.
PHA Policy
The PHA will admit EHV applicants who are unable to provide the required SSN or citizenship documentation during the initial eligibility determination. These individuals must provide the required documentation in accordance with policies in Chapter 7 within 180 days of admission. The PHA may provide an additional 60-day extension based on evidence from the family or confirmation from the CoC or other partnering agency that the family has made a good-faith effort to obtain the documentation.
If the PHA determines that an ineligible family received assistance, the PHA will take steps to terminate that family from the program in accordance with policies in Chapter 12.
TPS-IV.F. AGE AND DISABILITY VERIFICATION
PHAs may accept self-certification of date of birth and disability status if a higher level of verification is not immediately available. If self-certification is used, the PHA must obtain a higher level of verification within 90 days of admission or verify the information in EIV.
If a PHA determines that an ineligible family received assistance, the PHA must take steps to terminate that family from the program.
PHA Policy
The PHA will accept self-certification of date of birth and disability status if a higher form of verification is not immediately available. The certification must be made in a format acceptable to the PHA and must be signed by the family member whose information or status is being verified. If self-certification is accepted, within 90 days of admission, the PHA will verify the information in EIV or through other third-party verification if the information is not available in EIV. The PHA will note the family’s file that self-certification was used as initial verification and include an EIV printout or other third-party verification confirming the applicant’s date of birth and/or disability status.
If the PHA determines that an ineligible family received assistance, the PHA will take steps to terminate that family from the program in accordance with policies in Chapter 12.
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TPS-IV.G. INCOME TARGETING
The PHA must determine income eligibility for EHV families in accordance with 24 CFR 982.201 and PHA policy in Chapter 3; however, income targeting requirements do not apply for EHV families. The PHA may still choose to include the admission of extremely low-income EHV families in its income targeting numbers for the fiscal year in which these families are admitted.
PHA Policy
The PHA will not include the admission of extremely low-income EHV families in its income targeting numbers for the fiscal year in which these families are admitted.
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PART V: HOUSING SEARCH AND LEASING
TPS-V.A. INITIAL VOUCHER TERM
Unlike the standard HCV program, which requires an initial voucher term of at least 60 days, EHV vouchers must have an initial search term of at least 120 days. PHA policies on extensions as outlined in Section 5-II.E. will apply.
PHA Policy
All EHVs will have an initial term of 120 calendar days.
The family must submit a Request for Tenancy Approval and proposed lease within the 120-day period unless the PHA grants an extension.
TPS-V.B. HOUSING SEARCH ASSISTANCE
The PHA must ensure housing search assistance is made available to EHV families during their initial housing search. The housing search assistance may be provided directly by the PHA or through the CoC or another partnering agency or entity.
At a minimum, housing search assistance must:
• Help individual families identify potentially available units during their housing search, including physically accessible units with features for family members with disabilities, as well as units in low-poverty neighborhoods;
• Provide transportation assistance and directions to potential units; • Conduct owner outreach;
• Assist with the completion of rental applications and PHA forms; and • Help expedite the EHV leasing process for the family
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PHA Policy
As identified in the MOU between the PHA and CoC, the following housing search assistance will be provided to each EHV family:
The PHA will:
Conduct owner outreach in accordance with policies in Chapter 13 Provide directions to potential units as part of the EHV briefing packet Expedite the EHV leasing process for the family to the extent practicable and in accordance with policies in this chapter
At least every 30 days, conduct proactive check-ins via email and telephone with families who are searching with an EHV and remind them of their voucher expiration date
Assign a dedicated landlord liaison for EHV voucher families The CoC will:
Help families identify potentially available units during their housing search, including physically accessible units with features for family members with disabilities, as well as units in low-poverty neighborhoods Provide transportation assistance to potential units
Assist the family with the completion of rental applications and PHA forms
TPS-V.C. HQS PRE-INSPECTIONS
To expedite the leasing process, PHAs may pre-inspect available units that EHV families may be interested in leasing in order to maintain a pool of eligible units.
PHA Policy
To expedite the leasing process, the PHA may pre-inspect available units that EHV families may be interested in leasing to maintain a pool of eligible units. If an EHV family selects a unit that passed a HQS pre-inspection (without intervening occupancy) within 45 days of the date of the Request for Tenancy Approval, the unit may be approved provided that it meets all other conditions under 24 CFR 982.305.
The family will be free to select his or her unit.
When a pre-inspected unit is not selected, the PHA will make every effort to fast-track the inspection process, including adjusting the normal inspection schedule for any required reinspections.
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TPS-V.D. INITIAL LEASE TERM
Unlike in the standard the HCV program, EHV voucher holders may enter into an initial lease that is for less than 12 months, regardless of the PHA policy in Section 9-I.E., Term of Assisted Tenancy.
TPS-V.E. PORTABILITY
The normal HCV portability procedures and requirements outlined in Chapter 10 generally apply to EHVs. Exceptions are addressed below.
Nonresident Applicants
Under EHV, applicant families may move under portability even if the family did not have legal residency in the jurisdiction of the initial PHA when they applied, regardless of PHA policy in Section 10-II.B.
Billing and Absorption
A receiving PHA cannot refuse to assist an incoming EHV family, regardless of whether the PHA administers EHVs under its own ACC.
• If the EHV family moves under portability to another PHA that administers EHVs under its own ACC:
- The receiving PHA may only absorb the incoming EHV family with an EHV (assuming it has an EHV voucher available to do so).
- If the PHA does not have an EHV available to absorb the family, it must bill the initial PHA. The receiving PHA must allow the family to lease the unit with EHV assistance and may not absorb the family with a regular HCV when the family leases the unit. - Regardless of whether the receiving PHA absorbs or bills the initial PHA for the family’s EHV assistance, the EHV administration of the voucher is in accordance with the receiving PHA’s EHV policies.
• If the EHV family moves under portability to another PHA that does not administer EHV under its own ACC, the receiving PHA may absorb the family into its regular HCV program or may bill the initial PHA.
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Family Briefing
In addition to the applicable family briefing requirements at 24 CFR 982.301(a)(2) as to how portability works and how portability may affect the family’s assistance, the initial PHA must inform the family how portability may impact the special EHV services and assistance that may be available to the family.
The initial PHA is required to help facilitate the family’s portability move to the receiving PHA and inform the family of this requirement in writing, taking reasonable steps to ensure meaningful access for persons with limited English proficiency (LEP).
PHA Policy
In addition to following PHA policy on briefings in Chapter 5, as part of the briefing packet for EHV families, the PHA will include a written notice that the PHA will assist the family with moves under portability.
For limited English proficient (LEP) applicants, the PHA will provide interpretation services in accordance with the PHA’s LEP plan (See Chapter 2).
Coordination of Services
If the portability move is in connection with the EHV family’s initial lease-up, the receiving PHA and the initial PHA must consult and coordinate on the EHV services and assistance that will be made available to the family.
PHA Policy
For EHV families who are exercising portability, when the PHA contacts the receiving PHA in accordance with Section 10-II.B. Preapproval Contact with Receiving PHA, the PHA will consult and coordinate with the receiving PHA to ensure there is no duplication of EHV services and assistance, and ensure the receiving PHA is aware of the maximum amount of services fee funding that the initial PHA may provide to the receiving PHA on behalf of the family.
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Services Fee
Standard portability billing arrangements apply for HAP and ongoing administrative fees for EHV families.
For service fees funding, the amount of the service fee provided by the initial PHA may not exceed the lesser of the actual cost of the services and assistance provided to the family by the receiving PHA or $1,750, unless the initial PHA and receiving PHA mutually agree to change the $1,750 cap. Service fees are paid as follows:
• If the receiving PHA, in consultation and coordination with the initial PHA, will provide eligible services or assistance to the incoming EHV family, the receiving PHA may be compensated for those costs by the initial PHA, regardless of whether the receiving PHA bills or absorbs.
• If the receiving PHA administers EHVs, the receiving PHA may use its own services fee and may be reimbursed by the initial PHA, or the initial PHA may provide the services funding upfront to the receiving PHA for those fees and assistance. • If the receiving PHA does not administer EHVs, the initial PHA must provide the services funding upfront to the receiving PHA. Any amounts provided to the receiving PHA that are not used for services or assistance on behalf of the EHV family must promptly be returned by the receiving PHA to the initial PHA.
Placement Fee/Issuance Reporting Fee
If the portability lease-up qualifies for the placement fee/issuance reporting fee, the receiving PHA receives the full amount of the placement component of the placement fee/issuing reporting fee. The receiving PHA is eligible for the placement fee regardless of whether the receiving PHA bills the initial PHA or absorbs the family into its own program at initial lease-up. The initial PHA qualifies for the issuance reporting component of the placement fee/issuance reporting fee, as applicable.
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TPS-V.F. PAYMENT STANDARDS
Payment Standard Schedule
For the EHV program, HUD has waived the regulation requiring a single payment standard for each unit size. Instead, the PHA may, but is not required to, establish separate higher payment standards for EHVs. Lower EHV payment standards are not permitted. If the PHA is increasing the regular HCV payment standard, the PHA must also increase the EHV payment standard if it would be otherwise lower than the new regular HCV payment standard. The separate EHV payment standard must comply with all other HCV requirements with the exception of the alternative requirements discussed below.
Further, if the PHA chooses to establish higher payments standards for EHVs, HUD has provided other regulatory waivers:
• Defining the “basic range” for payment standards as between 90 and 120 percent of the published Fair Market Rent (FMR) for the unit size (rather than 90 to 110 percent). • Allowing a PHA that is not in a designated Small Area FMR (SAFMR) area or has not opted to voluntarily implement SAFMRs to establish exception payment standards for a ZIP code area above the basic range for the metropolitan FMR based on the HUD published SAFMRs.
The PHA may establish an exception payment standard up to 120 percent (as opposed to 110 percent) of the HUD published Small Area FMR for that ZIP code area. The exception payment standard must apply to the entire ZIP code area. - The PHA must notify HUD if it establishes an EHV exception payment standard based on the SAFMR.
PHA Policy
The PHA will not establish a higher payment standard amount for EHVs. The PHA will use the same payment standards for HCV and EHV.
Rent Reasonableness
All rent reasonableness requirements apply to EHV units, regardless of whether the PHA has established an alternative or exception EHV payment standard.
Increases in Payment Standards
The requirement that the PHA apply increased payment standards at the family’s first regular recertification on or after the effective date of the increase does not apply to EHV. The PHA may, but is not required to, establish an alternative policy on when to apply the increased payment standard, provided the increased payment standard is used to calculate the HAP no later than the effective date of the family’s first regular reexamination following the change.
PHA Policy
The PHA will not establish an alternative policy for increases in the payment standard.
PHA policy in Section 11-III.B. governing increases in payment standards will apply to EHV.
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TPS-V.G. TERMINATION OF VOUCHERS
After September 30, 2023, a PHA may not reissue EHVs when assistance for an EHV-assisted family ends. This means that when an EHV participant (a family that is receiving rental assistance under a HAP contract) leaves the program for any reason, the PHA may not reissue that EHV to another family unless it does so no later than September 30, 2023.
If an applicant family that was issued the EHV is unsuccessful in finding a unit and the EHV expires after September 30, 2023, the EHV may not be reissued to another family.
All EHVs under lease on or after October 1, 2023, may not under any circumstances be reissued to another family when the participant leaves the program for any reason.
An EHV that has never been issued to a family may be initially issued and leased after September 30, 2023, since this prohibition only applies to EHVs that are being reissued upon turnover after assistance to a family has ended. However, HUD may direct PHAs administering EHVs to cease leasing any unleased EHVs if such action is determined necessary by HUD to ensure there will be sufficient funding available to continue to cover the HAP needs of currently assisted EHV families.
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PART VI: USE OF FUNDS, REPORTING, AND FINANCIAL RECORDS EHV funds allocated to the PHA for HAP (both funding for the initial allocation and HAP renewal funding) may only be used for eligible EHV HAP purposes. EHV HAP funding obligated to the PHA may not be used for EHV administrative expenses or the other EHV eligible expenses under this notice. Likewise, EHV administrative fees and funding obligated to the PHA are to be used for those purposes and must not be used for HAP.
The appropriated funds for EHVs are separate from the regular HCV program and may not be used for the regular HCV program but may only be expended for EHV eligible purposes. EHV HAP funds may not roll into the regular HCV restricted net position (RNP) and must be tracked and accounted for separately as EHV RNP. EHV administrative fees and funding for other eligible expenses permitted by Notice PIH 2021-15 may only be used in support of the EHVs and cannot be used for regular HCVs. EHV funding may not be used for the repayment of debts or any amounts owed to HUD by HUD program participants including, but not limited to, those resulting from Office of Inspector General (OIG), Quality Assurance Division (QAD), or other monitoring review findings.
The PHA must comply with EHV reporting requirements in the Voucher Management System (VMS) and Financial Data Schedule (FDS) as outlined in Notice PIH 2021-15.
The PHA must maintain complete and accurate accounts and other records for the program and provide HUD and the Comptroller General of the United States full and free access to all accounts and records that are pertinent the administration of the EHVs in accordance with the HCV program requirements at 24 CFR 982.158.
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Exhibit TPS-1: MEMORANDUM OF UNDERSTANDING (MOU)
Attachment 2 of Notice PIH 2021-15 - Sample MOU Template Memorandum of Understanding
[** This sample document demonstrates the Memorandum of Understanding requirements for the administration Emergency Housing Voucher. Unless otherwise noted, all elements are required. **]
This Memorandum of Understanding (MOU) has been created and entered into on [** Insert execution date. **].
[PHA Name and Address]
[CoC Name and Address]
I. Introduction and Goals (the following elements, listed in a. – c., are required elements of the MOU):
a. PHA and CoC’s commitment to administering the EHVs in accordance with all program requirements.
b. PHA goals and standards of success in administering the program. c. Identification of staff position at the PHA and CoC who will serve as the lead EHV liaisons.
Lead HCV Liaison:
[Name and title of PHA staff position]
Responsibilities of the PHA EHV liaison [**Optional**]. [Name and title of CoC staff position]
Responsibilities of the CoC EHV liaison [**Optional**].
II. Define the populations eligible for EHV assistance to be referred by CoC.
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III. Services to be provided to eligible EHV families
1. List the services to be provided to assist individuals and families have success in the program and who will provide them.
[**The following services are listed for example purposes. **]
1. Partnering service providers will support individuals and families in completing applications and obtaining necessary supporting documentation to support referrals and applications for assistance; while aiding households in addressing barriers.
2. Partnering service providers will support PHAs in ensuring appointment notifications to eligible individuals and families and will assist eligible households in getting to meetings with the PHA.
3. PHAs will establish windows of time for EHV applicants to complete intake interviews for EHV.
4. Partnering service providers will provide housing search assistance for eligible individuals and families.
5. Partnering service providers will provide counseling on compliance with rental lease requirements.
6. Partnering service providers will assess individuals and families who may require referrals for assistance on security deposits, utility hook-up fees, and utility deposits.
7. Partnering service providers will assess and refer individuals and families to benefits and supportive services, where applicable.
IV. PHA Roles and Responsibilities
[**The following responsibilities are listed for example purposes. **]
1. Coordinate and consult with the CoC in developing the services and assistance to be offered under the EHV servicesfee.
2. Accept direct referrals for eligible individuals and families through the CoC Coordinated Entry System.
3. Commit a sufficient number of staff and necessary resources to ensure that the application, certification, and voucher issuance processes are completed in a timely manner.
4. Commit a sufficient number of staff and resources to ensure that inspections of units are completed in a timely manner.
5. Designate a staff to serve as the lead EHV liaison.
6. Comply with the provisions of this MOU.
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V. CoC Roles and Responsibilities
[**The following responsibilities are listed for example purposes. **]
1. Designate and maintain a lead EHV liaison to communicate with the PHA.
2. Refer eligible individuals and families to PHA using the community’s coordinated entry system.
3. Support eligible individuals and households in completing and applying for supportive documentation to accompany admissions application to the PHA (i.e.self-certifications, birth certificate, social security card, etc.).
4. Attend EHV participant briefings when needed.
5. Assess all households referred for EHV for mainstream benefits and supportive services available to support eligible individuals and families through theirtransition.
6. Identify and provide supportive services to EHV families. (While EHV participants are not required to participate in services, the CoC should assure that services are available and accessible.)
7. Comply with the provisions of this MOU.
VI. Third Party Entity Roles Responsibilities
[**The following responsibilities are listed for example purposes. **]
1. Describe how the State, local, philanthropic, faith-based organizations, Victim Service Providers or CoC recipients it designates will fulfill each of the following responsibilities:
a. Outline resource and/or service being provided in support of the community’s EHV Program. Commit a sufficient number of staff and necessary resources to ensure that the application, certification and voucher issuance processes are completed in a timely manner.
b. Comply with the provisions of this MOU. VII. Program Evaluation The PHA, and CoC or designated CoC recipient agree to cooperate with HUD, provide requested data to HUD or HUD-approved contractor delegated the responsibility of program evaluation protocols established by HUD or HUD-approved contractor, including possible random assignment procedures.
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[Signed and dated by the official representatives of the PHA, CoC, CoC Contractor organization (if applicable), and third-party entities (if applicable.] Signed by
Executive Director, PHA Date
CoC Executive Director Date
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Exhibit TPS-2: HOMELESS PROVIDER’S CERTIFICATION
Attachment 3 of Notice PIH 2021-15 Example of a Homeless Provider’s Certification Emergency Housing Voucher (EHV)
HOMELESS CERTIFICATION
EHV Applicant Name:
Household without dependent children (complete one form for each adult in the household) Household with dependent children (complete one form for household) Number of persons in the household:
This is to certify that the above named individual or household meets the following criteria based on the check mark, other indicated information, and signature indicating their current living situationCheck only one box and complete only that section Living Situation: place not meant for human habitation (e.g., cars, parks, abandoned buildings, streets/sidewalks)
The person(s) named above is/are currently living in (or, if currently in hospital or other institution, was living in immediately prior to hospital/institution admission) a public or private place not designed for, or ordinarily used as a regular sleeping accommodation for human beings, including a car, park, abandoned building, bus station, airport, or camp ground.
Description of current living situation:
Homeless Street Outreach Program
Name:
This certifying agency must be recognized by the local Continuum of Care (CoC) as an agency that has a program designed to serve persons living on the street or other places not meant for human habitation. Examples may be street outreach workers, day shelters, soup kitchens, Health Care for the Homeless sites, etc.
Authorized Agency Representative Signature:
Date:
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Living Situation: Emergency Shelter
The person(s) named above is/are currently living in (or, if currently in hospital or other institution, was living in immediately prior to hospital/institution admission) a supervised publicly or privately operated shelter as follows:
Emergency Shelter Program Name:
This emergency shelter must appear on the CoC’s Housing Inventory Chart submitted as part of the most recent CoC Homeless Assistance application to HUD or otherwise be recognized by the CoC as part of the CoC inventory (e.g., newly established Emergency Shelter).
Authorized Agency Representative Signature: Date
:
Living Situation: Recently Homeless
The person(s) named above is/are currently receiving financial and supportive services for persons who are homeless. Loss of such assistance would result in a return to homelessness (ex. Households in Rapid Rehousing Programs, residents of Permanent Supportive Housing Programs participating in Moving On, etc.)
Authorized Agency Representative Signature:
This referring agency must appear on the CoC’s Housing Inventory Chart submitted as part of the most recent CoC Homeless Assistance application to HUD or otherwise be recognized by the CoC as part of the CoC inventory.
Immediately prior to entering the household’s current living situation, the person(s) named above was/were residing in:
emergency shelter OR a place unfit for human habitation Authorized Agency Representative Signature:
Date:
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Exhibit TPS-3: EXAMPLE OF A VICTIM SERVICES PROVIDER’S CERTIFICATION Attachment 4 of Notice PIH 2021-15: Example of a Victim Services Provider’s Certification Emergency Housing Voucher (EHV)
SAMPLE HUMAN TRAFFICKING CERTIFICATION
Purpose of Form:
The Victims of Trafficking and Violence Protection Act of 2000 provides assistance to victims of trafficking making housing, educational health care, job training and other Federally-funded social service programs available to assist victims in rebuilding their lives.
Use of This Optional Form:
In response to this request, the service provider may complete this form and submit it to the Public Housing Agency (PHA) to certify eligibility for EHV assistance.
Confidentiality: All information provided to the service provider concerning the incident(s) of human trafficking shall be kept confidential and such details shall not be entered into any shared database.
Employees of the PHA will not have access to these details, and such employees may not disclose this information to any other entity or individual, except to the extent that disclosure is: (i) consented to by you in writing in a time-limited release; (ii) required for use in an eviction proceeding or hearing regarding termination of assistance; or (iii) otherwise required by applicable law.
TO BE COMPLETED ON BEHALF OF HUMAN TRAFFICKING SURVIVOR EHV Applicant Name:
This is to certify that the above named individual or household meets the definition for persons who are fleeing or attempting to flee human trafficking under section 107(b) of the Trafficking Victims Protection Act of 2000.
Immediately prior to entering the household’s current living situation, the person(s) named above was/were residing in:
This is to certify that the information provided on this form is true and correct to the best of my knowledge and recollection, and that the individual(s) named above is/has been a victim of human trafficking. I acknowledge that submission of false information could jeopardize program eligibility and could be the basis for denial of admission, termination of assistance, or eviction.
Authorized Agency Representative Signature: Date:
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GLOSSARY
A. ACRONYMS USED IN THE HOUSING CHOICE VOUCHER (HCV) PROGRAM ACC Annual contributions contract
ADA Americans with Disabilities Act of 1990
AIDS Acquired immune deficiency syndrome
BR Bedroom
CDBG Community Development Block Grant (Program)
CFR Code of Federal Regulations (published federal rules that define and implement laws; commonly referred to as “the regulations”)
CPI Consumer price index (published monthly by the Department of Labor as an inflation indicator)
EIV Enterprise Income Verification
FDIC Federal Deposit Insurance Corporation
FHA Federal Housing Administration (HUD Office of Housing) FHEO Fair Housing and Equal Opportunity (HUD Office of) FICA Federal Insurance Contributions Act (established Social Security taxes) FMR Fair market rent
FR Federal Register
FSS Family Self-Sufficiency (Program)
FY Fiscal year
FYE Fiscal year end
GAO Government Accountability Office
GR Gross rent
HA Housing authority or housing agency
HAP Housing assistance payment
HCV Housing choice voucher
HIP Housing Information Portal
HOTMA Housing Opportunity through Modernization Act of 2016 HQS Housing quality standards
HUD Department of Housing and Urban Development
HUDCLIPS HUD Client Information and Policy System
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IPA Independent public accountant
IRA Individual retirement account
IRS Internal Revenue Service
IVT Income Validation Tool
JTPA Job Training Partnership Act
LBP Lead-based paint
LEP Limited English proficiency
MSA Metropolitan statistical area (established by the U.S. Census Bureau) MTW Moving to Work
NOFA Notice of funding availability
NSPIRE National Standards for the Physical Inspection of Real Estate OGC HUD's Office of General Counsel
OIG HUD’s Office of Inspector General
OMB Office of Management and Budget
PASS Plan to Achieve Self-Support
PBV Project-based voucher
PHA Public housing agency
PIH (HUD Office of) Public and Indian Housing
PS Payment standard
QC Quality control
RAD Rental Assistance Demonstration Program
REAC (HUD) Real Estate Assessment Center
RFP Request for proposals
RTA Request for tenancy approval
RIGI Regional inspector general for investigation (handles fraud and program abuse matters for HUD at the regional office level)
RVI Remote Video Inspection
SEMAP Section 8 Management Assessment Program
SRO Single room occupancy
SSA Social Security Administration
SSI Supplemental security income
SWICA State wage information collection agency
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TANF Temporary assistance for needy families
TPV Tenant protection vouchers
TR Tenant rent
TTP Total tenant payment
UA Utility allowance
UFAS Uniform Federal Accessibility Standards
UIV Upfront income verification
URP Utility reimbursement payment
VAWA Violence Against Women Act
VCA Voluntary Compliance Agreement
VMS Voucher Management System
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B. GLOSSARY OF SUBSIDIZED HOUSING TERMS
Abatement. Stopping HAP payments to an owner with no potential for retroactive payment.
Absorption. In portability (under subpart H of this part 982): the point at which a receiving PHA stops billing the initial PHA for assistance on behalf of a portability family. The receiving PHA uses funds available under the receiving PHA consolidated ACC.
Accessible. The facility or portion of the facility can be approached, entered, and used by persons with disabilities.
Adjusted income. Annual income, less allowable HUD deductions and allowances.
Administrative fee. Fee paid by HUD to the PHA for administration of the program. See §982.152.
Administrative plan. The plan that describes PHA policies for administration of the tenant-based programs. The Administrative Plan and any revisions must be approved by the PHA’s board and included as a supporting document to the PHA Plan. See §982.54.
Admission. The point when the family becomes a participant in the program. The date used for this purpose is the effective date of the first HAP contract for a family (first day of initial lease term) in a tenant-based program.
Affiliated individual. With respect to an individual, a spouse, parent, brother, sister, or child of that individual, or an individual to whom that individual stands in loco parentis (in the place of a parent), or any individual, tenant, or lawful occupant living in the household of that individual
Amortization payment. In a manufactured home space rental: The monthly debt service payment by the family to amortize the purchase price of the manufactured home.
Annual. Happening once a year.
Annual contributions contract (ACC). The written contract between HUD and a PHA under which HUD agrees to provide funding for a program under the 1937 Act, and the PHA agrees to comply with HUD requirements for the program.
Prior to PHA implementation of HOTMA 102/104: Annual income. The anticipated total income of an eligible family from all sources for the 12-month period following the date of determination of income, computed in accordance with the regulations.
Upon PHA implementation of HOTMA 102/104: Annual income. All amounts not specifically excluded in 24 CFR 5.609(b), received from all sources by each member of the family who is 18 years of age or older or is the head of household, spouse or cohead, plus unearned income by or on behalf of each dependent who is under 18 years of age.
Applicant (applicant family). A family that has applied for admission to a program but is not yet a participant in the program.
Area exception rent. An amount that exceeds the published FMR. See 24 CFR 982.504(b).
As-paid states. States where the welfare agency adjusts the shelter and utility component of the welfare grant in accordance with actual housing costs.
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Assets. (See net family assets.)
Authorized voucher units. The number of units for which a PHA is authorized to make assistance payments to owners under its annual contributions contract.
Auxiliary aids. Services or devices that enable persons with impaired sensory, manual, or speaking skills to have an equal opportunity to participate in, and enjoy the benefits of, programs or activities receiving federal financial assistance.
Biennial. Happening every two years.
Bifurcate. With respect to a public housing or Section 8 lease, to divide a lease as a matter of law such that certain tenants can be evicted or removed while the remaining family members’ lease and occupancy rights are allowed to remain intact.
Budget authority. An amount authorized and appropriated by the Congress for payment to PHAs under the program. For each funding increment in a PHA program, budget authority is the maximum amount that may be paid by HUD to the PHA over the ACC term of the funding increment.
Building. A structure with a roof and walls that contains one or more dwelling units.
Child. A member of the family other than the family head or spouse who is under 18 years of age.
Childcare expenses. Amounts anticipated to be paid by the family for the care of children under 13 years of age during the period for which annual income is computed, but only where such care is necessary to enable a family member to actively seek employment, be gainfully employed, or to further their education and only to the extent such amounts are not reimbursed. The amount deducted shall reflect reasonable charges for childcare. In the case of childcare necessary to permit employment, the amount deducted shall not exceed the amount of employment income that is included in annual income.
Citizen. A citizen or national of the United States.
Cohead. An individual in the household who is equally responsible for the lease with the head of household. A family may have a cohead or spouse but not both. A cohead never qualifies as a dependent. The cohead must have legal capacity to enter into a lease.
Common space. In shared housing, the space available for use by the assisted family and other occupants of the unit.
Computer match. The automated comparison of databases containing records about individuals.
Confirmatory review. An on-site review performed by HUD to verify the management performance of a PHA.
Consent form. Any consent form approved by HUD to be signed by assistance applicants and participants to obtain income information from employers and SWICAs; return information from the Social Security Administration (including wages, net earnings from selfemployment, and retirement income); and return information for unearned income from the IRS. Consent forms expire after a certain time and may authorize the collection of other information to determine eligibility or level of benefits.
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Congregate housing. Housing for elderly persons or persons with disabilities that meets the HQS for congregate housing. A special housing type: see 24 CFR 982.606–609.
Contiguous MSA. In portability (under subpart H of part 982): An MSA that shares a common boundary with the MSA in which the jurisdiction of the initial PHA is located.
Continuously assisted. An applicant is continuously assisted under the 1937 Act if the family is already receiving assistance under any 1937 Housing Act program when the family is admitted to the voucher program.
Contract authority. The maximum annual payment by HUD to a PHA for a funding increment.
Cooperative (term includes mutual housing). Housing owned by a nonprofit corporation or association, and where a member of the corporation or association has the right to reside in a particular apartment, and to participate in management of the housing. A special housing type (see 24 CFR 982.619).
Covered families. Statutory term for families who are required to participate in a welfare agency economic self-sufficiency program and who may be subject to a welfare benefit sanction for noncompliance with this obligation. Includes families who receive welfare assistance or other public assistance under a program for which federal, state or local law requires that a member of the family must participate in an economic self-sufficiency program as a condition for the assistance.
Dating violence. Violence committed by a person who is or has been in a social relationship of a romantic or intimate nature with the victim; and where the existence of such a relationship shall be determined based on a consideration of the following factors:
- The length of the relationship
- The type of relationship
- The frequency of interaction between the persons involved in the relationship Day laborer. An individual hired and paid one day at a time without an agreement that the individual will be hired or work again in the future.
De minimis error. An error that results in a difference in the determination of a family’s adjusted income of $30 or less per month.
Dependent. A member of the family (except foster children and foster adults) other than the family head or spouse, who is under 18 years of age, or is a person with a disability, or is a full-time student.
Dependent child. In the context of the student eligibility restrictions, a dependent child of a student enrolled in an institution of higher education. The dependent child must also meet the definition of dependent as specified above.
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Disability assistance expenses. Reasonable expenses that, when combined with health and medical care expenses, exceed 10 percent of annual income and are anticipated, during the period for which annual income is computed, for attendant care and auxiliary apparatus for a disabled family member, and that are necessary to enable a family member (including the disabled member) to be employed, provided that the expenses are neither paid to a member of the family nor reimbursed by an outside source.
Disabled family. A family whose head, cohead, spouse, or sole member is a person with disabilities; two or more persons with disabilities living together; or one or more persons with disabilities living with one or more live-in aides.
Disabled person. See person with disabilities.
Disallowance. Exclusion from annual income.
Displaced family. A family in which each member, or whose sole member, is a person displaced by governmental action, or a person whose dwelling has been extensively damaged or destroyed as a result of a disaster declared or otherwise formally recognized pursuant to federal disaster relief laws.
Domestic violence. Felony or misdemeanor crimes committed by a current or former spouse or intimate partner of the victim under the family or domestic violence laws of the jurisdiction receiving grant funding, and in the case of victim services, includes the user or attempted use of physical abuse or sexual abuse, or a pattern of any other coercive behavior committed, enabled, or solicited to gain or maintain power and control over a victim, including verbal, psychological, economic, or technological abuse that may or may not constitute criminal behavior, by a person who is:
- The current or former spouse or intimate partner of the victim, or person similarly situated to a spouse or intimate partner of the victim
- A person who is cohabitating or has cohabitated with the victim as a spouse or intimate partner
- A person with whom the victim shares a child in common - A person who commits acts against a youth or adult victim who is protected from those acts under the domestic or family violence laws of the jurisdiction Domicile. The legal residence of the household head or spouse as determined in accordance with state and local law.
Drug-related criminal activity. The illegal manufacture, sale, distribution, or use of a drug, or the possession of a drug with intent to manufacture, sell, distribute, or use the drug.
Earned income. Income or earnings from wages, tips, salaries, other employee compensation, and net income from self-employment. Earned income does not include any pension or annuity, transfer payments (meaning payments made or income received in which no goods or services are being paid for, such as welfare, social security, and governmental subsidies for certain benefits), or any cash or in-kind benefits.
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Economic abuse. Behavior that is coercive, deceptive, or unreasonably controls or restrains a person’s ability to acquire, use, or maintain economic resources to which they are entitle, including using coercion, fraud, and manipulation to:
- Restrict a person’s access to money, assets, credit, or financial information - Unfairly use a person’s personal economic resources, including money, assets, and credit, for one’s own advantage
- Exert undue influence over a person’s financial and economic behavior or decisions, including forcing default on joint or other financial obligations, exploiting powers of attorney, guardianship, or conservatorship, or to whom one has a fiduciary duty Economic self-sufficiency program. Any program designed to encourage, assist, train or facilitate the economic independence of assisted families, or to provide work for such families. Can include job training, employment counseling, work placement, basic skills training, education, English proficiency, Workfare, financial or household management, apprenticeship, or any other program necessary to ready a participant to work (such as treatment for drug abuse or mental health treatment). Includes any work activities as defined in the Social Security Act (42 U.S.C. 607(d)). Also see 24 CFR 5.603(c).
Elderly family. A family whose head, cohead, spouse, or sole member is a person who is at least 62 years of age; two or more persons who are at least 62 years of age living together; or one or more persons who are at least 62 years of age living with one or more live-in aides.
Elderly person. An individual who is at least 62 years of age.
Eligible family A family that is income eligible and meets the other requirements of the 1937 Act and Part 5 of 24 CFR. See also family.
Employer identification number (EIN). The nine-digit taxpayer identifying number that is assigned to an individual, trust, estate, partnership, association, company, or corporation.
Evidence of citizenship or eligible status. The documents which must be submitted as evidence of citizenship or eligible immigration status. See 24 CFR 5.508(b).
Extremely low-income family. A family whose annual income does not exceed the federal poverty level or 30 percent of the median income for the area, whichever number is higher.
Area median income is determined by HUD, with adjustments for smaller and larger families. HUD may establish income ceilings higher or lower than 30 percent of median income if HUD finds such variations are necessary due to unusually high or low family incomes. See 24 CFR 5.603.
Fair Housing Act. Title VIII of the Civil Rights Act of 1968, as amended by the Fair Housing Amendments Act of 1988.
Fair market rent (FMR). The rent, including the cost of utilities (except telephone), as established by HUD for units of varying sizes (by number of bedrooms), that must be paid in the housing market area to rent privately owned, existing, decent, safe, and sanitary rental housing of modest (non-luxury) nature with suitable amenities. In the HCV program, the FMR may be established at the ZIP code level (see definition of Small Area Fair Market Rents), metropolitan area level, or nonmetropolitan county level.
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Family. Includes but is not limited to the following, regardless of actual or perceived sexual orientation, gender identity, or marital status, and can be further defined in PHA policy.
Family includes a single person, who may be:
- An elderly person, displaced person, disabled person, near-elderly person, or any other single person;
- An otherwise eligible youth who has attained at least 18 years of age and not more than 24 years of age and who has left foster care, or will leave foster care within 90 days, in accordance with a transition plan described in section 475(5)(H) of the Social Security Act (42 U.S.C. 675(5)(H)), and is homeless or is at risk of becoming homeless at age 16 or older; or
Family also includes a group of persons residing together, and such group includes, but is not limited to:
- A family with or without children (a child who is temporarily away from the home because of placement in foster care is considered a member of the family); - An elderly family;
- A near-elderly family;
- A disabled family;
- A displaced family; and
- The remaining member of a tenant family.
Family rent to owner. In the voucher program, the portion of rent to owner paid by the family.
Family self-sufficiency program (FSS program). The program established by a PHA within its jurisdiction to promote self-sufficiency among participating families, including the coordination of supportive services to these families (24 CFR 984.103).
Family share. The portion of rent and utilities paid by the family. For calculation of family share, see 24 CFR 982.515(a).
Family unit size. The appropriate number of bedrooms for a family, as determined by the PHA under the PHA subsidy standards.
Federal agency. A department of the executive branch of the federal government.
Foster adult. A member of the household who is 18 years of age or older and meets the definition of a foster adult under state law. In general, a foster adult is a person who is 18 years of age or older, is unable to live independently due to a debilitating physical or mental condition, and is placed with the family by an authorized placement agency or by judgment, decree, or other order of any court of competent jurisdiction.
Foster child. A member of the household who meets the definition of a foster child under state law. In general, a foster child is placed with the family by an authorized placement agency (e.g., public child welfare agency) or by judgment, decree, or other order of any court of competent jurisdiction.
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Foster childcare payment. A payment to eligible households by state, local, or private agencies appointed by the state to administer payments for the care of foster children.
Full-time student. A person who is attending school or vocational training on a full-time basis (carrying a subject load that is considered full-time for day students under the standards and practices of the educational institution attended). See 24 CFR 5.603.
Funding increment. Each commitment of budget authority by HUD to a PHA under the consolidated annual contributions contract for the PHA program.
Gender identity. Actual or perceived gender-related characteristics.
Gross rent. The sum of the rent to owner plus any utility allowance.
Group home. A dwelling unit that is licensed by a state as a group home for the exclusive residential use of two to twelve persons who are elderly or persons with disabilities (including any live-in aide). (A special housing type: see 24 CFR 982.610–614.) Handicap. Any condition or characteristic that renders a person an individual with handicaps. (See person with disabilities.)
HAP contract. The housing assistance payments contract. A written contract between the PHA and an owner for the purpose of providing housing assistance payments to the owner on behalf of an eligible family.
Head of household. The adult member of the family who is the head of the household for purposes of determining income eligibility and rent.
Health and medical care expenses. Any costs incurred in the diagnosis, cure, mitigation, treatment, or prevention of disease or payments for treatments affecting any structure or function of the body. Health and medical care expenses include medical insurance premiums and long-term care premiums that are paid or anticipated during the period for which annual income is computed.
Household. A household includes additional people other than the family who, with the PHA’s permission, live in an assisted unit, such as live-in aides, foster children, and foster adults.
Housing assistance payment. The monthly assistance payment by a PHA, which includes: (1) A payment to the owner for rent to the owner under the family's lease; and (2) An additional payment to the family if the total assistance payment exceeds the rent to owner.
Housing agency (HA). See public housing agency.
Housing quality standards (HQS). The minimum quality standards developed by HUD in accordance with 24 CFR 5.703 for the HCV program, including any variations approved by HUD for the PHA under 24 CFR 5.705(a)(3).
HUD. The U.S. Department of Housing and Urban Development.
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Human trafficking. A crime involving the exploitation of a person for labor, services, or commercial sex. The Trafficking Victims Protection Act of 2000 and its subsequent reauthorizations recognize and define two primary forms of human trafficking:
- Sex trafficking is the recruitment, harboring, transportation, provision, obtaining, patronizing, or soliciting of a person for the purpose of a commercial sex act in which a commercial sex act is induced by force, fraud, or coercion, or in which the person induced to perform such act has not attained 18 years of age. See 22 U.S.C. § 7102(11)(A). - Forced labor is the recruitment, harboring, transportation, provision, or obtaining of a person for labor or services, through the use of force, fraud, or coercion for the purpose of subjection to involuntary servitude, peonage, debt bondage, or slavery. See 22 U.S.C. § 7102(11)(B).
Imputed welfare income. An amount of annual income that is not actually received by a family as a result of a specified welfare benefit reduction, but is included in the family’s annual income and therefore reflected in the family’s rental contribution.
Income for eligibility. Annual income.
Independent contractor. An individual who qualifies as an independent contractor instead of an employee in accordance with the Internal Revenue Code Federal income tax requirements and whose earnings are consequently subject to the Self-Employment Tax. In general, an individual is an independent contractor if the payer has the right to control or direct only the result of the work and not what will be done and how it will be done.
Independent entity. The unit of general local government; however, if the PHA itself is the unit of general local government or an agency of such government, then only the next level of general local government (or an agency of such government) or higher may serve as the independent entity; or a HUD-approved entity that is autonomous and recognized under state law as a separate legal entity from the PHA. The entity must not be connected financially (except regarding compensation for services performed for PHA-owned units) or in any other manner that could result in the PHA improperly influencing the entity.
Individual with handicaps. See person with disabilities.
Inflationary index. An index based on the Consumer Price Index for Urban Wage Earners and Clerical Workers (CPI-W) used to make annual adjustments to the deduction for elderly disabled families, the cap for imputing returns on assets, the restriction on net family assets, the amount of net assets the PHA may determine based on self-certification by the family, and the dependent deduction.
Initial PHA. In portability, the term refers to both: (1) A PHA that originally selected a family that later decides to move out of the jurisdiction of the selecting PHA; and (2) A PHA that absorbed a family that later decides to move out of the jurisdiction of the absorbing PHA.
Initial payment standard. The payment standard at the beginning of the HAP contract term.
Initial rent to owner. The rent to owner at the beginning of the HAP contract term.
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Inside. Under NSPIRE, the inside of HUD housing (or “inside areas”) refers to the common areas and building systems that can be generally found within the building interior and are not inside a unit. Examples of “inside” common areas may include, basements, interior or attached garages, enclosed carports, restrooms, closets, utility rooms, mechanical rooms, community rooms, day care rooms, halls, corridors, stairs, shared kitchens, laundry rooms, offices, enclosed porches, enclosed patios, enclosed balconies, and trash collection areas.
Examples of building systems include those components that provide domestic water such as pipes, electricity, elevators, emergency power, fire protection, HVAC, and sanitary services.
Institution of higher education. An institution of higher education as defined in 20 U.S.C. 1001 and 1002. See Exhibit 3-2 in this Administrative Plan.
Jurisdiction. The area in which the PHA has authority under state and local law to administer the program.
Landlord. Either the owner of the property or their representative, or the managing agent or their representative, as shall be designated by the owner.
Lease. A written agreement between an owner and a tenant for the leasing of a dwelling unit to the tenant. The lease establishes the conditions for occupancy of the dwelling unit by a family with housing assistance payments under a HAP contract between the owner and the PHA.
Life-Threatening deficiency. Under NSPIRE, the life-threatening category includes deficiencies that, if evident in the home or on the property, present a high risk of death or severe illness or injury to a resident.
Live-in aide. A person who resides with one or more elderly persons, or near-elderly persons, or persons with disabilities, and who:
- Is determined to be essential to the care and well-being of the persons; - Is not obligated for the support of the persons; and
- Would not be living in the unit except to provide the necessary supportive services.
Local preference. A preference used by the PHA to select among applicant families.
Low deficiency. Under NSPIRE, deficiencies critical to habitability but not presenting a substantive health or safety risk to resident.
Low-income family. A family whose income does not exceed 80 percent of the median income for the area as determined by HUD with adjustments for smaller or larger families, except that HUD may establish income limits higher or lower than 80 percent for areas with unusually high or low incomes.
Manufactured home. A manufactured structure that is built on a permanent chassis, is designed for use as a principal place of residence, and meets the HQS. (A special housing type: see 24 CFR 982.620 and 982.621.)
Manufactured home space. In manufactured home space rental: A space leased by an owner to a family. A manufactured home owned and occupied by the family is located on the space. See 24 CFR 982.622 to 982.624.
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Minor. A member of the family household other than the family head or spouse, who is under 18 years of age.
Mixed family. A family whose members include those with citizenship or eligible immigration status, and those without citizenship or eligible immigration status.
Moderate deficiency. Under NSPIRE, this includes deficiencies that, if evident in the home or on the property, present a moderate risk of an adverse medical event requiring a healthcare visit; cause temporary harm; or if left untreated, cause or worsen a chronic condition that may have long-lasting adverse health effects; or that the physical security or safety of a resident or their property could be compromised.
Monthly adjusted income. One twelfth of adjusted income.
Monthly income. One twelfth of annual income.
Mutual housing. Included in the definition of cooperative.
National. A person who owes permanent allegiance to the United States, for example, as a result of birth in a United States territory or possession.
National Standards for the Physical Inspection of Real Estate. HUD’s housing inspection approach. NSPIRE is a single inspection standard for all units under the Public Housing, HCV, Multifamily, and Community Planning and Development (CPD) programs. NSPIRE’s focus is on the areas that impact residents the most, such as the dwelling unit.
Near-elderly family. A family whose head, spouse, or sole member is a person who is at least 50 years of age but below the age of 62; or two or more persons, who are at least 50 years of age but below the age of 62, living together; or one or more persons who are at least 50 years of age but below the age of 62 living with one or more live-in aides.
Prior to PHA implementation of HOTMA 102/104: Net family assets. (1) Net cash value after deducting reasonable costs that would be incurred in disposing of real property, savings, stocks, bonds, and other forms of capital investment, excluding interests in Indian trust land and excluding equity accounts in HUD homeownership programs. The value of necessary items of personal property such as furniture and automobiles shall be excluded. - In cases where a trust fund has been established and the trust is not revocable by, or under the control of, any member of the family or household, the value of the trust fund will not be considered an asset so long as the fund continues to be held in trust. Any income distributed from the trust fund shall be counted when determining annual income under §5.609.
- In determining net family assets, PHAs or owners, as applicable, shall include the value of any business or family assets disposed of by an applicant or tenant for less than fair market value (including a disposition in trust, but not in a foreclosure or bankruptcy sale) during the two years preceding the date of application for the program or reexamination, as applicable, in excess of the consideration received therefore. In the case of a disposition as part of a separation or divorce settlement, the disposition will not be considered to be for less than fair market value if the applicant or tenant receives important consideration not measurable in dollar terms.
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Net family assets. The net cash value of all assets owned by the family, after deducting reasonable costs that would be incurred in disposing real property, savings, stocks, bonds, and other forms of capital investment. In determining net family assets, PHAs or owners, as applicable, must include the value of any business or family assets disposed of by an applicant or tenant for less than fair market value (including a disposition in trust, but not in a foreclosure or bankruptcy sale) during the two years preceding the date of application for the program or reexamination, as applicable, in excess of the consideration received therefor. In the case of a disposition as part of a separation or divorce settlement, the disposition will not be considered to be for less than fair market value if the applicant or tenant receives consideration not measurable in dollar terms. Negative equity in real property or other investments does not prohibit the owner from selling the property or other investments, so negative equity alone would not justify excluding the property or other investments from family assets.
Noncitizen. A person who is neither a citizen nor national of the United States.
Notice of funding availability (NOFA). For budget authority that HUD distributes by competitive process, the Federal Register document that invites applications for funding.
This document explains how to apply for assistance and the criteria for awarding the funding.
Office of General Counsel (OGC). The General Counsel of HUD.
Outside. Under NSPIRE, outside of HUD housing (or “outside areas”) refers to the building site, building exterior components, and any building systems located outside of the building or unit. Examples of “outside” components may include fencing, retaining walls, grounds, lighting, mailboxes, project signs, parking lots, detached garage or carport, driveways, play areas and equipment, refuse disposal, roads, storm drainage, non-dwelling buildings, and walkways. Components found on the exterior of the building are also considered outside areas, and examples may include doors, attached porches, attached patios, balconies, car ports, fire escapes, foundations, lighting, roofs, walls, and windows.
Overcrowded. A unit that does not have at least one bedroom or living/sleeping room for each two persons.
Owner. Any person or entity with the legal right to lease or sublease a unit to a participant.
PHA-owned unit. A dwelling unit in a project that is: (A) Owned by the PHA (including having a controlling interest in the entity that owns the project); (B) Owned by an entity wholly controlled by the PHA; or (C) Owned by a limited liability company or limited partnership in which the PHA (or an entity wholly controlled by the PHA) holds a controlling interest in the managing member or general partner. A controlling interest is: (A) Holding more than 50 percent of the stock of any corporation; (B) Having the power to appoint more than 50 percent of the members of the board of directors of a non-stock corporation (such as a nonprofit corporation); (C) Where more than 50 percent of the members of the board of directors of any corporation also serve as directors, officers, or employees of the PHA; (D) Holding more than 50 percent of all managing member interests in an LLC; (E) Holding more than 50 percent of all general partner interests in a partnership; or (F) Equivalent levels of control in other ownership structures.
PHA Plan. The annual plan and the 5-year plan as adopted by the PHA and approved by HUD.
GL Adminplan 6/1/26 -15
PHA’s quality control sample. An annual sample of files or records drawn in an unbiased manner and reviewed by a PHA supervisor (or by another qualified person other than the person who performed the original work) to determine if the work documented in the files or records conforms to program requirements. For minimum sample size see CFR 985.3.
Participant (participant family). A family that has been admitted to the PHA program and is currently assisted in the program. The family becomes a participant on the effective date of the first HAP contract executed by the PHA for the family (first day of initial lease term).
Payment standard. The maximum monthly assistance payment for a family assisted in the voucher program (before deducting the total tenant payment by the family).
Person with disabilities. For the purposes of program eligibility. A person who has a disability as defined under the Social Security Act or Developmental Disabilities Care Act, or a person who has a physical or mental impairment expected to be of long and indefinite duration and whose ability to live independently is substantially impeded by that impairment but could be improved by more suitable housing conditions. This includes persons with AIDS or conditions arising from AIDS but excludes persons whose disability is based solely on drug or alcohol dependence. For the purposes of reasonable accommodation. A person with a physical or mental impairment that substantially limits one or more major life activities, a person regarded as having such an impairment, or a person with a record of such an impairment.
Portability. Renting a dwelling unit with a Section 8 housing choice voucher outside the jurisdiction of the initial PHA.
Premises. The building or complex in which the dwelling unit is located, including common areas and grounds.
Private space. In shared housing, the portion of a contract unit that is for the exclusive use of an assisted family.
Project owner. The person or entity that owns the housing project containing the assisted dwelling unit.
Public assistance. Welfare or other payments to families or individuals, based on need, which are made under programs funded, separately or jointly, by federal, state, or local governments.
Public housing agency (PHA). Any state, county, municipality, or other governmental entity or public body, or agency or instrumentality of these entities, that is authorized to engage or assist in the development or operation of low-income housing under the 1937 Act.
Qualified census tract. With regard to certain tax credit units, any census tract (or equivalent geographic area defined by the Bureau of the Census) in which at least 50 percent of households have an income of less than 60 percent of Area Median Gross Income (AMGI), or where the poverty rate is at least 25 percent, and where the census tract is designated as a qualified census tract by HUD.
Real property. Real property has the same meaning as that provided under the law of the state in which the property is located.
GL Adminplan 6/1/26 -16
Reasonable rent. A rent to owner that is not more than rent charged: (1) For comparable units in the private unassisted market; and (2) For comparable unassisted units in the premises.
Reasonable accommodation. A change, exception, or adjustment to a rule, policy, practice, or service to allow a person with disabilities to fully access the PHA’s programs or services.
Receiving PHA. In portability: A PHA that receives a family selected for participation in the tenant-based program of another PHA. The receiving PHA issues a voucher and provides program assistance to the family.
Recertification. Sometimes called reexamination. The process of securing documentation of total family income used to determine the rent the tenant will pay for the next 12 months if there are no additional changes to be reported.
Remaining member of the tenant family. The person left in assisted housing who may or may not normally qualify for assistance on their own circumstances (i.e., an elderly spouse dies, leaving widow age 47 who is not disabled).
Rent to owner. The total monthly rent payable to the owner under the lease for the unit (also known as contract rent). Rent to owner covers payment for any housing services, maintenance, and utilities that the owner is required to provide and pay for.
Request for Tenancy Approval (RTA). A form (Form HUD-52517) submitted by or on behalf of a family to a PHA once the family has identified a unit that it wishes to rent using tenantbased voucher assistance.
Residency preference. A PHA preference for admission of families that reside anywhere in a specified area, including families with a member who works or has been hired to work in the area (See residency preference area).
Residency preference area. The specified area where families must reside to qualify for a residency preference.
Responsible entity. For the public housing and the Section 8 tenant-based assistance, projectbased voucher assistance, and moderate rehabilitation programs, the responsible entity means the PHA administering the program under an ACC with HUD. For all other Section 8 programs, the responsible entity means the Section 8 owner.
Secretary. The Secretary of Housing and Urban Development.
Section 8. Section 8 of the United States Housing Act of 1937.
Section 8 covered programs. All HUD programs which assist housing under Section 8 of the 1937 Act, including Section 8 assisted housing for which loans are made under Section 202 of the Housing Act of 1959.
Section 8 Management Assessment Program (SEMAP). A system used by HUD to measure PHA performance in key Section 8 program areas. See 24 CFR Part 985.
Section 214. Section 214 of the Housing and Community Development Act of 1980, as amended.
Section 214 covered programs. The collective term for the HUD programs to which the restrictions imposed by Section 214 apply. These programs are set forth in 24 CFR 5.500.
GL Adminplan 6/1/26 -17
Security deposit. A dollar amount (maximum set according to the regulations) which can be used for unpaid rent or damages to the owner upon termination of the lease.
Seasonal worker. An individual who is hired into a short-term position and the employment begins about the same time each year (such as summer or winter). Typically, the individual is hired to address seasonal demands that arise for the particular employer or industry.
Set-up charges. In a manufactured home space rental, charges payable by the family for assembling, skirting, and anchoring the manufactured home.
Severe deficiency. Under NSPIRE, the severe category includes deficiencies that, if evident in the home or on the property, present a high risk of permanent disability, or serious injury or illness, to a resident; or the physical security or safety of a resident or their property would be seriously compromised.
Sexual assault. Any nonconsensual sexual act proscribed by federal, tribal, or state law, including when the victim lacks capacity to consent (42 U.S.C. 13925(a)).
Sexual orientation. Homosexuality, heterosexuality or bisexuality.
Shared housing. A unit occupied by two or more families. The unit consists of both common space for shared use by the occupants of the unit and separate private space for each assisted family. (A special housing type: see 24 CFR 982.615–982.618.) Single person. A person living alone or intending to live alone.
Single room occupancy housing (SRO). A unit that contains no sanitary facilities or food preparation facilities, or contains either, but not both, types of facilities. (A special housing type: see 24 CFR 982.602–982.605.)
Small Area Fair Market Rents (SAFMRs). FMRs established for ZIP code areas.
Small rural public housing agency (PHA). Section 38 defines the term “small public housing agency” as a public housing agency “for which the sum of the number of public housing dwelling units administered by the agency and the number of vouchers under section 8(o) administered by the agency is 550 or fewer” and “that predominantly operates in a rural area, as described in section 1026.35(b)(2)(iv)(A) of title 12, Code of Federal Regulations.” After consideration of the public comments discussed above, HUD is interpreting “predominantly operates in a rural area” to mean a small PHA that:
(1) Has a primary administrative building with a physical address in a rural area as described in 12 CFR 1026.35(b)(2)(iv)(A); or
(2) more than 50 percent of its combined public housing units and voucher units under section 8(o) are in rural areas as described in 12 CFR 1026.35(b)(2)(iv)(A). HUD also clarifies that voucher units under section 8(o) include those in the tenant-based Housing Choice Voucher (HCV) program and the Project-Based Voucher (PBV) program.
Social security number (SSN). The nine-digit number that is assigned to a person by the Social Security Administration and that identifies the record of the person’s earnings reported to the Social Security Administration. The term does not include a number with a letter as a suffix that is used to identify an auxiliary beneficiary.
GL Adminplan 6/1/26 -18
Special admission. Admission of an applicant that is not on the PHA waiting list or without considering the applicant’s waiting list position.
Special housing types. See subpart M of part 982. Subpart M states the special regulatory requirements for: SRO housing, congregate housing, group homes, shared housing, cooperatives (including mutual housing), and manufactured homes (including manufactured home space rental).
Specified welfare benefit reduction. Those reductions of welfare benefits (for a covered family) that may not result in a reduction of the family rental contribution. A reduction of welfare benefits because of fraud in connection with the welfare program, or because of welfare sanction due to noncompliance with a welfare agency requirement to participate in an economic self-sufficiency program.
Spouse. The marriage partner of the head of household.
Stalking. To follow, pursue, or repeatedly commit acts with the intent to kill, injure, harass, or intimidate; or to place under surveillance with the intent to kill, injure, harass, or intimidate another person; and in the course of, or as a result of, such following, pursuit, surveillance, or repeatedly committed acts, to place a person in reasonable fear of the death of, or serious bodily injury to, or to cause substantial emotional harm to (1) that person, (2) a member of the immediate family of that person, or (3) the spouse or intimate partner of that person.
State wage information collection agency (SWICA). The state agency, including any Indian tribal agency, receiving quarterly wage reports from employers in the state, or an alternative system that has been determined by the Secretary of Labor to be as effective and timely in providing employment-related income and eligibility information.
Subsidy standards. Standards established by a PHA to determine the appropriate number of bedrooms and amount of subsidy for families of different sizes and compositions.
Suspension. The term on the family’s voucher stops from the date the family submits a request for PHA approval of the tenancy, until the date the PHA notifies the family in writing whether the request has been approved or denied. This practice is also called tolling.
Tax credit rent. With regard to certain tax credit units, the rent charged for comparable units of the same bedroom size in the building that also receive the low-income housing tax credit but do not have any additional rental assistance (e.g., tenant-based voucher assistance).
GL Adminplan 6/1/26 -19
Technological abuse. An act or pattern of behavior that occurs within domestic violence, dating violence, sexual assault, or stalking and is intended to harm, threaten, intimidate, control, stalk, harass, impersonate, exploit, extort, or monitor another person, except as otherwise permitted by law, that occurs using any form of technology, including but not limited to:
- Internet enabled devices
- Online spaces and platforms
- Computers
- Mobile devices
- Cameras and imaging programs
- Apps
- Location tracking devices
- Communication technologies
- Any other emergency technologies
Tenancy addendum. For the housing choice voucher program, the lease language required by HUD in the lease between the tenant and the owner.
Tenant. The person or persons (other than a live-in aide) who executes the lease as lessee of the dwelling unit.
Tenant-paid utilities. Utilities and services that are not included in the rent to owner and are the responsibility of the assisted family, regardless of whether the payment goes to the utility company or the owner. The utilities and services are those necessary in the locality to provide housing that complies with HQS. The utilities and services may also include those required by HUD through a Federal Register notice after providing opportunity for public comment.
Tenant rent to owner. See family rent to owner.
Term of lease. The amount of time a tenant agrees in writing to live in a dwelling unit.
Total tenant payment (TTP). The total amount the HUD rent formula requires the tenant to pay toward rent and utilities.
Unearned income. Any annual income, as calculated under 24 CFR 5.609, that is not earned income.
Unit. Under NSPIRE, a unit (or “dwelling unit”) of HUD housing refers to the interior components of an individual unit. Examples of components included in the interior of a unit may include the balcony, bathroom, call-for-aid (if applicable), carbon monoxide devices, ceiling, doors, electrical systems, enclosed patio, floors, HVAC (where individual units are provided), kitchen, lighting, outlets, smoke detectors, stairs, switches, walls, water heater, and windows.
Utilities. Water, electricity, gas, other heating, refrigeration, cooking fuels, trash collection, and sewage services. Telephone service is not included.
GL Adminplan 6/1/26 -20
Utility allowance. If the cost of utilities (except telephone) and other housing services for an assisted unit is not included in the tenant rent but is the responsibility of the family occupying the unit, an amount equal to the estimate made or approved by a PHA or HUD of the monthly cost of a reasonable consumption of such utilities and other services for the unit by an energy-conservative household of modest circumstances consistent with the requirements of a safe, sanitary, and healthful living environment.
Utility reimbursement. In the voucher program, the portion of the housing assistance payment which exceeds the amount of rent to owner.
Utility hook-up charge. In a manufactured home space rental: Costs payable by a family for connecting the manufactured home to utilities such as water, gas, electrical and sewer lines.
Very low-income family. A low-income family whose annual income does not exceed 50 percent of the median income for the area, as determined by HUD, with adjustments for smaller and larger families. HUD may establish income limits higher or lower than 50 percent of the median income for the area on the basis of its finding that such variations are necessary because of unusually high or low family incomes. This is the income limit for the housing choice voucher program.
Veteran. A person who has served in the active military or naval service of the United States at any time and who shall have been discharged or released therefrom under conditions other than dishonorable.
Violence Against Women Act (VAWA). Prohibits denying admission to the program to an otherwise qualified applicant or terminating assistance on the basis that the applicant or program participant is or has been a victim of domestic violence, dating violence, sexual assault, stalking, or human trafficking.
Violent criminal activity. Any illegal criminal activity that has as one of its elements the use, attempted use, or threatened use of physical force against the person or property of another.
Voucher (housing choice voucher). A document issued by a PHA to a family selected for admission to the housing choice voucher program. This document describes the program and the procedures for PHA approval of a unit selected by the family. The voucher also states obligations of the family under the program.
Voucher holder. A family holding a voucher with an unexpired term (search time).
Voucher program. The housing choice voucher program.
Waiting list. A list of families organized according to HUD regulations and PHA policy who are waiting for a unit to become available.
Waiting list admission. An admission from the PHA waiting list.
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Welfare assistance. Income assistance from federal or state welfare programs, including assistance provided under TANF and general assistance. Does not include assistance directed solely to meeting housing expenses, nor programs that provide health care, childcare or other services for working families. For the FSS program (24 CFR 984.103), welfare assistance includes only cash maintenance payments designed to meet a family’s ongoing basic needs.
Does not include nonrecurring short term benefits designed to address individual crisis situations, work subsidies, supportive services such as childcare and transportation provided to families who are employed, refundable earned income tax credits, contributions to and distributions from Individual Development Accounts under TANF, services such as counseling, case management, peer support, childcare information and referral, financial empowerment, transitional services, job retention, job advancement, and other employmentrelated services that to not provide basic income support, amounts solely directed to meeting housing expenses, amounts for health care, Supplemental Nutrition Assistance Program (SNAP) and emergency rental and utilities assistance, SSI, SSDI, or social security, and child-only or non-needy TANF grants made to or on behalf of a dependent child solely on the basis of the child’s need and not the need of the child’s current non-parental caretaker.
Withholding. Stopping HAP payments to an owner while holding them for potential retroactive disbursement.
Appendix Adminplan 2/1/26 -1
HOTMA 102/104 Appendix to the
Administrative Plan
Purpose of the Appendix
HUD published a final rule on February 14, 2023, revising regulations related to income, assets, adjusted income, verification, and reexams (among others) to implement Sections 102 and 104 of HOTMA. While the new regulations were effective January 1, 2024, HUD has delayed the full compliance date for HOTMA 102/104. Initially, Compliance with Sections 102 and 104 of HOTMA means not only applying HOTMA 102/104 regulations to affected programs but also reporting in HUD’s new Housing Information Portal (HIP) system. Currently, PHAs remain unable to fully comply with HOTMA 102/104 because compliance depends on transitioning from HUD’s IMS/PIC system (which is unable to accept HOTMA-compliant Form HUD-50058) to HUD’s new HIP system (which will be the only system that accepts HOTMA-compliant Form HUD-50058). PHAs cannot transition to HOTMA until HIP is in place, HOTMA-compliant, and accessible.
On December 18, 2024, HUD published Notice PIH 2024-38, which identifies provisions in HOTMA 102/104 that PHAs must comply with no later than July 1, 2025. The notice states that all transactions with an effective date on or after July 1, 2025, must be processed using requirements in the notice. The July 1, 2025, compliance deadline does not apply to other HOTMA 102/104 provisions not listed in the notice. Other provisions are still dependent on HIP implementation and may not be implemented yet.
The PHA must:
• Have stopped enrolling families into the EID as of 12/31/23; • Transition to the new Form HUD-9886-A no later than 2/1/25; • Apply HOTMA 102/104 income exclusions listed in 24 CFR 5.609(b) (including new requirements for student financial assistance) for all income examinations effective on or after 7/1/25;
• Apply provisions related to de minimis errors; and
• Use these new HOTMA 102/104 definitions listed in the regulations for all transactions effective on or after 7/1/25.
Appendix Adminplan 2/1/26 -2
These definitions include:
• Earned income
• Unearned income
• Family
• Day laborer
• Independent contractor
• Dependent
• Foster child and foster adults
• Health and medical care expenses
• Minor
Further, PHAs may, but are not required to:
• Stop using the EIV Income Report during interim reexams. • Use Safe Harbor income determinations from means-tested federal assistance programs to verify a family’s income and assets.
Finally, in FAQs dated 2/22/24, HUD also stated PHAs may, but are not required to:
• Accept third-party verification dated within 120 days of the date received by the PHA (rather than 60 days of the reexam/PHA request date);
• Accept a statement dated within the appropriate benefit year for fixed income sources like Social Security; and
• Accept a self-certification of SSNs along with a third-party document as a last resort if an individual is not able to provide documentation of SSN.
More details about each of the above provisions can be found in Notice PIH 2023-27.
Other than what’s listed above, all other provisions of HOTMA 102/104 are on hold still. This means PHAs may not implement certain provisions of HOTMA yet. These include:
• All asset provisions, including the asset limitation; • All adjusted income provisions, with the exception of the definition of health and medical care expenses;
• Inflationary adjustments (although PHA may use the HUD-determined passbook rate); • The new verification hierarchy, which allows for EIV + self-certification; • Annuals using the previous 12-month period income;
• Interim reexam requirements; and
• Non-interim reexam transactions.
PHAs may not implement the above provisions because HUD has determined they depend on HIP implementation. PHAs should await further guidance from HUD on when these will be applicable.
Appendix Adminplan 2/1/26 -3
HOTMA 102/104 Policies Not Yet Implemented
Chapter 00
No HOTMA 102/104 policies apply.
Chapter 1
No HOTMA 102/104 policies apply.
Chapter 2
No HOTMA 102/104 policies apply.
Chapter 3
Model policy section 3-II.D. FAMILY CONSENT TO RELEASE OF INFORMATION is amended to comply with section J.2 of Notice PIH 2023-27, Revocation of Consent Model Policy section III.C. RESTRICTION ON ASSISTANCE BASED ON ASSETS is added to comply with section A.1 of Notice PIH 2023-27, Asset Limitation HOTMA 102/104 policies related to the definition of family, foster children, and foster adults are applicable no later than July 1, 2025.
Chapter 4
No HOTMA 102/104 policies apply.
Chapter 5
No HOTMA 102/104 policies apply.
Chapter 6
Prior to the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 6.A (as updated for Notice PIH 2024-38).
Upon the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 6.B.
Chapter 7
Prior to the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 7.A (as updated for Notice PIH 2024-38).
Upon the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 7.B.
Appendix Adminplan 2/1/26 -4
Chapter 8
No HOTMA 102/104 policies apply. However, prior to the NSPIRE compliance date, the PHA will follow policies in Chapter 8.A. Upon the NSPIRE compliance date, the PHA will follow policies in Chapter 8.B.
Chapter 9
No HOTMA 102/104 policies apply.
Chapter 10
No HOTMA 102/104 policies apply.
Chapter 11
Prior to the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 11.A.
Upon the PHA’s HOTMA compliance date, the PHA will follow policies in Chapter 11.B.
Chapter 12
Model policy section 12-I.D. MANDATORY TERMINATION OF ASSISTANCE is amended to comply with section J.2 of Notice PIH 2023-27, Revocation of Consent Model Policy section 12-I.E. MANDATORY POLICIES AND OTHER AUTHORIZED TERMINATIONS is added to comply with section A.1 of Notice PIH 2023-27, Asset Limitation
Chapter 13
No HOTMA 102/104 policies apply.
Chapter 14
HOTMA 102/104 policies related to de minimis errors are applicable no later than July 1, 2025.
Chapter 15
No HOTMA 102/104 policies apply.
Chapter 16
No HOTMA 102/104 policies apply.
Chapter 17
No HOTMA 102/104 policies apply.
Appendix Adminplan 2/1/26 -5
Chapter 18
No HOTMA 102/104 policies apply.
Chapter 19
No HOTMA 102/104 policies apply.
Glossary
The following definitions are applicable no later than July 1, 2025:
• Annual income (revised)
• Day laborer
• De minimis error
• Earned income
• Family (revised)
• Foster child
• Foster adult
• Independent contractor
• Inflationary index
• Net family assets (revised)
• Real property
• Seasonal worker
• Unearned income
AGENDA ITEM NO. 9.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
City Manager: Department Head:
SUBJECT:
Formation of the Internal Economic Development Advisory Committee RECOMMENDED MOTION:
That the City Councilacknowledge and support the formation ofan InternalEconomic Development Advisory Committee,a multi-departmental team focused on generatingideas and recommendations to enhance economic developmentand revenue opportunities for the City.
DISCUSSION:
The City Manager has initiated the creation of the Economic Development Advisory Committee to foster crossdepartmentalcollaboration and leverage staff expertise to identify innovative revenue streams, efficiency improvements,and strategic opportunities for the City.The committee brings together representatives from Finance, Planning, Public Works, City Attorney, BuildingSafety, Community Services, Business License,and Housingto ensure a holisticapproach incorporatingfinancial, operational, legal, community,and planning perspectives.The committee's goal is to maximize economic development opportunities, improve revenue collection and efficiency, and develop innovative programs that support the City's long-term financial health. By drawing on the knowledge and experience of multiple departments, the City aims to identify creative solutions, such as leveragingground leases, namingrights,EV infrastructure partnerships,and updated development fees, whilemaintainingafocus on community benefits and sustainability.This committee aligns with the City's commitment to innovation, proactive planning,and multi-departmentcollaboration as foundational strategies to drive economicgrowth and enhance the quality of services delivered to the community.
Committee Focus Areas
MaximizingEconomic Development
Evaluate Transient Occupancy Tax(TOT) opportuni1es.
Review billboard and digital signage agreements (WOW and City-owned).
Explore EV chargingsta1on partnerships.
Consider namingrights for parks, fields,and City facili1es.
Update development impact fees to reflectcurrentconstruc1on costs.
Technology & Efficiency Revenue Capture
Implementcompliance improvements genera1ng 2--5% addi1onal revenue.
U1lize ground leases for long-term revenue streams (e.g., old Public Works yard).
Improve collec1ons on past-due receivables.
The Council is requested to acknowledge and support the formation of this advisory committee.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
Goal 5: Develop a strategy for major developments
FISCAL IMPACT:
N/A
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
AGENDA ITEM NO. 10.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
City Manager: Department Head:
SUBJECT:
Appointment of Representative and Alternate to the South Bay Regional Housing Trust Governing Board RECOMMENDED MOTION:
Appoint Mayor Pro Tem (MPT) Monteiro as the City's primary Delegate to the South Bay Regional Housing Trust (SBRHT) Board of Directors.
Nominate and Appoint one (1) member of the City Council to serve as the Alternative Delegate.
DISCUSSION:
With the formal establishment of the South Bay Regional Housing Trust (SBRHT) as a Joint Powers Authority (JPA), member cities are required to appoint representatives to the Governing Board. The Board is responsible for making critical decisions on allocating the requested $10 million in Community Project Funding, establishing loan program criteria, and overseeing regional housing preservation efforts. Given that the SBRHT's first official meetings are scheduled for late April 2026, a timely appointment is necessary to ensure the City's interests are represented during the initial capitalization and program design phase. The SBRHT was formed to create a regional financing tool for affordable housing. Unlike traditional city committees, a JPA Governing Board functions as a legal oversight body.
The Delegate (and the Alternate, in the Delegate's absence) will hold voting power on:
Project selection for low-interest construction loans.
The acquisition of "Naturally Occurring Affordable Housing" (NOAH) properties.
Approval of annual budgets and federal/state grant applications.
Primary Delegate: Mayor Pro Tem Monteiro
MPT Monteiro is recommended for this role due to his ongoing involvement in regional coordination and community development. Having the Mayor Pro Tem serve as the primary delegate signals to federal and state partners that the City is prioritizing housing stability and regional cooperation.
Nomination of Alternative Delegate
The Council must now select an Alternative Delegate to attend meetings and vote if MPT Monteiro is unavailable.
Staff recommends the appointment of MPT Monteiro as Delegate and requests that the Council pass a motion to nominate an Alternate to ensure consistent representation in this critical new regional institution.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
N/A
FISCAL IMPACT:
There is no direct fiscal impact associated with these appointments.
NOTICING PROCEDURE:
72 Hours posted notice pursuant to the Ralph M. Brown Act.
AGENDA ITEM NO. 11.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Progress Payment #1 in the amount of $220,547.25 due to Martinez Landscape Co., Inc. for the Alley Improvement Project (Project #25-08).
RECOMMENDED MOTION:
Staff recommends that the City Council approve this Progress Payment #1 for Martinez Landscape Co., Inc.
DISCUSSION:
This project involves the rehabilitation of deteriorated alleys as part of the Alley Improvement Project (City Project No. 25-08). The work includes excavation and removal of damaged pavement and base materials, preparation and compaction of the subgrade, installation of Crushed Miscellaneous Base (CMB), and placement of new concrete pavement to improve safety, accessibility, and durability within the public right-of-way.
This progress payment includes completed work such as excavation and removal of existing pavement, initial subgrade preparation and compaction, installation of base materials, and project mobilization activities necessary to begin concrete placement.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure. City departments shall continue to work cooperatively to ensure that improvements to infrastructure are kept apace of wear and tear.
FISCAL IMPACT:
None. Funding for this progress payment, in the amount of $220,547.25, is included in the adopted Fiscal Year 2025--2026 budget and will be paid using funds from the Community Development Block Grant (CDBG) program, with no additional impact to the City's General Fund.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Progress Payment #1
AGENDA ITEM NO. 12.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Attorney
City Manager: Department Head:
SUBJECT:
City Council approval of payment to FEMA for Sub-recipient Management Costs of $8,600 for an update of its Local Hazard Mitigation Plan.
RECOMMENDED MOTION:
Staff recommends that the City Council approve payment to FEMA for Sub-recipient Management Cost in the amount of $8,600.00, to update the City's Local Hazard Mitigation Plan.
DISCUSSION:
At the regular City Council meeting of October 14, 2025, the City Council approved the Agreement between the City of Hawthorne and Constant and Associates to update the City's Local Hazard Mitigation Plan ("LHMP"). The plan works as a guidebook to ensure that the City has assessed all the potential hazards in the event of an emergency, e.g., an earthquake. The City's current plan expired in April 2025, and the LHMP requires the Federal Emergency Management Agency ("FEMA") approval, which requires the City to request reimbursement for costs resulting from disasters. The City accepted the award in the amount of $220,000, which did not, unfortunately, include Subrecipient Management Costs in the amount of $8,600. The City is now requesting approval of payment to FEMA for Subrecipient Management Costs of $8,600 for an update of its Local Hazard Mitigation Plan.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
None.
FISCAL IMPACT:
Funds for this project in the amount of $228,600 are available in the adopted 2025-20206 fiscal year budget and will be paid with approved allocated FEMA funds. The City needs to allocate $8,600 for Subrecipient Management Costs.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
FEMA Award Letter
AGENDA ITEM NO. 13.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Acceptance of 640 Square Feet of right-of-way dedication on a portion of the North Half of Lot 117 in Division "A" of Tract No. 874, in the City of Hawthorne, County of Los Angeles, State of California, as per map recorded in Book 17, pages 110 and 111 of maps, in the office of the County Recorder of the said County.
RECOMMENDED MOTION:
Accept the dedicated right-of-way easement for the purpose of constructing an ADA-accessible curb ramp and sidewalk.
DISCUSSION:
This acceptance of a 640 Square feet of right-of-way easement dedication will allow this section of sidewalk at 13429 Kornblum Ave to be made fully compliant with all relevant accessibility regulations.
The requirement for dedication of 640 square feet of easement land for the purpose of a curb ramp and sidewalk was first brought to the developer's attention during the Engineering plan review process.
Engineering met with the developer's consultants and reviewed and subsequently approved the land description as requested.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
N/A
FISCAL IMPACT:
There is no fiscal impact for acceptance of this right-of-way easement dedication.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Proposed Street Easement
AGENDA ITEM NO. 14.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Progress Payment #1 in the amount of $580,417.17 due to Martinez Landscape Company, Inc of Sylmar, CA for General Maintenance (Project 22-05).
RECOMMENDED MOTION:
Staff recommends that the City Council approves this Progress Payment #1 and change order #1 to Martinez Landscape Company, Inc of Sylmar, CA.
DISCUSSION:
This contract encompasses various crucial maintenance activities, including the City's Weed Abatement Project, landscape and general maintenance needs, and specific tasks such as concrete and asphalt replacement, sidewalk, curb, and gutter replacements. Additionally, it includes essential tree planting, removal, and maintenance services for the medians along Hawthorne Blvd, Prairie Ave, Inglewood Ave, and Imperial Hwy. These contract maintenance activities are designed to complement the work performed by City Staff as required.
Furthermore, the contract incorporates regular debris maintenance on Caltrans right of way, ensuring that roads and adjacent areas remain free from obstructions. This work plays a vital role in preserving safe and accessible roadways, while also preventing the accumulation of trash, plastic, and other debris from being washed into our storm drains by rainwater.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This contract supports economic development by maintaining clean, safe, and well-kept streets, landscaping, and infrastructure that enhance the City's appearance, protect public assets, and create an environment that attracts businesses, investment, and community activity.
FISCAL IMPACT:
None. Funds for this payment in the amount of $580,417.17 are available in the adopted Fiscal Year 2025-26 budget and will be paid for with approved and allocated funds from Proposition C, Measure R and Non-Gas Tax Funds.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Progress Payment 1
AGENDA ITEM NO. 15.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Progress Payment #3 in the amount of $122,075.00 due to Jermax Construction Inc. of San Fernando, CA for Holly Park Restroom Renovation (Project #25-07)
RECOMMENDED MOTION:
Staff recommends that the City Council approve this Progress Payment #3 for Jermax Construction Inc. of San Fernando, CA
DISCUSSION:
This project involves the complete demolition and replacement of the existing restroom building at Holly Park. The new structure will be a multi-use facility that includes restrooms, a snack bar, office space, a storage room, a drinking fountain, and an electrical room. The project also includes upgrades to the surrounding landscape and site features to improve accessibility, sustainability, and overall functionality.
This progress payment includes work done for the drainage, rough plumbing including vents, clean-out and lines, work on roofing, and electrical work.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure. City departments shall continue to work cooperatively to ensure that improvements to infrastructure are kept apace of wear and tear.
FISCAL IMPACT:
None. Funds for this progress payment in amount of $122,075.00 are available in the adopted Fiscal Year 2025-2026 budget and will be paid through the Baldwin Hills and Urban Watersheds Conservancy Grant Program (Prop 40) and local shares.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Holly Park Restroom PP3
APPLICATION AND CERTIFICATE FOR PAYMENT
AIA DOCUMENT G702/CMa PAGE ONE OF 1 PAGES
To Contractor: Jermax Construction Inc. PROJECT: Holly Park APPLICATION NO: 3 Distribution to:
11275 San Fernando Rd 2058 W 120th st 3326 W 52nd St., Los Angeles, CA 90043 PERIOD TO: 3/15/2026 OWNER San Fernando CA 91340 Hawthorne CA 90250 PROJECT NO: 2507 ARCHITECT FROM SUBCONTRACTOR: SUBMITTED DATE: X CONTRACTOR
CONTRACTOR'S APPLICATION FOR PAYMENT The undersigned Contractor certifies that to the best of the Contractor's knowledge, Application is made for payment, as shown below, in connection with the Contract. information and belief the Work covered by this Application for Payment has been Continuation Sheet, AIA Document G703, is attached. completed in accordance with the Contract Documents, that all amounts have been paid by the Contractor for Work for which previous Certificates for Payment were issued and payments received from the Owner, and that current payment shown herein is now due.
1. ORIGINAL CONTRACT SUM $ 779,000.00 CONTRACTOR:
2. Net change by Change Orders $ -
3. CONTRACT SUM TO DATE (Line 1 ± 2) $ 779,000.00
4. TOTAL COMPLETED & STORED TO DATE $ 517,000.00 By: ____________________________________________________________ Date: ___________________ (Column G on G703) State of: County of:
5. RETAINAGE: Subscribed and sworn to before me this day of a. 5 % of Completed Work $ 25,850.00 Notary Public:
(Column D + E on G703) My Commission expires:
b. 5 % of Stored Material $ -
(Column F on G703)
Total Retainage (Lines 5a + 5b or
Total in Column I of G703) $ 25,850.00
6. TOTAL EARNED LESS RETAINAGE $ 491,150.00
(Line 4 less Line 5 Total)
7. LESS PREVIOUS CERTIFICATES FOR $ 369,075.00
PAYMENT (Line 6 from prior Certificate)
8. CURRENT PAYMENT DUE $ 122,075.00
9. BALANCE TO FINISH, INCLUDING RETAINAGE $ 287,850.00
(Line 3 less Line 6)
CHANGE ORDER SUMMARY ADDITIONS DEDUCTIONS
Total changes approved in previous months by Owner $0.00 $0.00 Total approved this Month $0.00 $0.00
$0.00 $0.00
AIA DOCUMENT G702/CMa · APPLICATION AND CERTIFICATION FOR PAYMENT · CONSTRUCTION MANAGER-ADVISER EDITION · 1992 EDITION · AIA · ©1992 THE AMERICAN INSTITUTE OF ARCHITECTS, 1745 NEW YORK AVE., N.W., WASHINGTON, DC 20006-5292 $0.00
Totals:
Net Change by Change Order
1 Use Column I on Contracts where variable retainage for line items may apply.
B. C. D. E. F. H. I.
1 DEMOLITION, CLEARING AND GRUBBING /
IMPLEMENTATION OF BMPS/SWPPP $ 68,500.00 $ 68,500.00 $ - $ - $ 68,500.00 100.0% $ - $ 3,425.00 2 DRAINAGE $ 22,500.00 $ 11,250.00 $ 3,500.00 $ - $ 14,750.00 65.6% $ 7,750.00 $ 737.50 3 SEWER $ 25,000.00 $ 25,000.00 $ - $ - $ 25,000.00 100.0% $ - $ 1,250.00 4 CONCRETE PAVING $ 55,000.00 $ 43,750.00 $ - $ - $ 43,750.00 79.5% $ 11,250.00 $ 2,187.50 5 PLUMBING $ 288,000.00 $ 129,600.00 $ 85,000.00 $ - $ 214,600.00 74.5% $ 73,400.00 $ 10,730.00 6 PAINTING $ 30,000.00 $ - $ - $ - $ - 0.0% $ 30,000.00 $ - 7 RESTROOM BUILDING $ 88,000.00 $ 53,200.00 $ 20,000.00 $ - $ 73,200.00 83.2% $ 14,800.00 $ 3,660.00 8 ELECTRICAL $ 65,000.00 $ 26,500.00 $ 20,000.00 $ - $ 46,500.00 71.5% $ 18,500.00 $ 2,325.00 9 PLANTING/LANDSCAPING $ 41,000.00 $ - $ - $ - $ - 0.0% $ 41,000.00 $ - 10 IRRIGATION ** Digging $ 51,000.00 $ 10,200.00 $ - $ - $ 10,200.00 20.0% $ 40,800.00 $ 510.00 11 FLAG POLE REMOVAL AND INSTALLATION $ 35,000.00 $ 10,500.00 $ - $ - $ 10,500.00 30.0% $ 24,500.00 $ 525.00 12 PROJECT CONSTRUCTION SIGN $ 10,000.00 $ 10,000.00 $ - $ - $ 10,000.00 100.0% $ - $ 500.00 13 $ - $ - $ - $ - #DIV/0! $ - $ -
14 $ - $ - $ - $ - $ - #DIV/0! $ - $ -
ORIGINAL CONTRACT TOTAL: $ 779,000.00 $ 388,500.00 $ 128,500.00 $ - $ 517,000.00 66.4% $ 262,000.00 $ 25,850.00 1 $ - $ - $ - $ - $ - #DIV/0! $ - $ -
2 $ - $ - $ - $ - $ - 0.0% $ - $ -
CHANGE ORDER TOTAL: $ - $ - $ - $ - $ - 0.0% $ - $ -
GRAND TOTALS: $ 779,000.00 $ 388,500.00 $ 128,500.00 $ - $ 517,000.00 66.4% $ 262,000.00 $ 25,850.00 G.
CONTINUATION SHEET AIA DOCUMENT G703
AIA Document G702, APPLICATION AND CERTIFICATE FOR PAYMENT, containing Contractor's signed Certification is attached.
APPLICATION NUMBER:
APPLICATION DATE: 3/15/2026
In tabulations below, amounts are stated to the nearest dollar. PERIOD TO: 3/1/2026-3/31/2026 PROJECT NO:
A.
ITEM
NO. WORK IN PLACE STORED
MATERIALS
WORK COMPLETED
CSI
NUMBER DESCRIPTION OF WORK SCHEDULED VALUE FROM PREVIOUS APPLICATION (D+E)
TOTAL COMPLETED AND
STORED TO DATE (D+E+F) % (G/C) BALANCE TO FINISH (C-G) RETAINAGE 5%
AGENDA ITEM NO. 16.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Progress Payment #4 in the amount of $83,696.01 due to Chapman Coast Roof Co., Inc. of Fullerton, CA for Hawthorne Police Department Roof Replacement Project (Project #25-09).
RECOMMENDED MOTION:
Staff recommends that the City Council approve this Progress Payment #4 and Change Order #1 and Change Order #2 for Chapman Coast Roof Co. Inc. of Fullerton, CA.
DISCUSSION:
This project consisted of installation of specified roof replacement system, plus all other aspects of the project as specified, including a warranty and service agreement, for the Hawthorne Police Department with an estimated square footage of 27,940 square feet, as well as power wash and painting of the Wind Guards and Protective Painting of the Roof.
This progress payment includes removal of existing roofing material and installation of waterproofing and new roofing. The construction of the roof is approximately ninety-eight percent (98%) complete with some detail work still remaining.
Change order number one is for Power Wash and Painting of Wind Guards on the Hawthorne Police Department Roof. Change Order Number two is for Protective Painting of the Police Department Roof.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure. City departments shall continue to work cooperatively to ensure that improvements to infrastructure are kept apace of wear and tear.
FISCAL IMPACT:
None. Funds for this progress payment in amount of $83,696.01 are available in the adopted Fiscal Year 2025-2026 budget and will be paid through issuance of the 2024 Lease Revenue Bonds (the "2024 Bonds") and allocated funds from the 2025-2026 budget.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Progress Payment #4
AGENDA ITEM NO. 17.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Moneta Garden Mobility Improvements Project (City Project #22-08) -- Reject and Out to Bid.
RECOMMENDED MOTION:
Staff recommends that the City Council reject the bid received on the March 24, 2026, bid opening date and authorize the Director of Public Works to re-advertise for construction bids with a return date of May 12, 2026.
DISCUSSION:
This project was first approved for advertisement at the March 10, 2026 City Council Meeting. On March 24, 2026, one bid was received but rejected. As there were no remaining responsive and responsible bidders, the project will be re-advertised with a return date of May 12, 2026.
The work consists of construction of ADA ramps, sidewalks, driveways, traffic striping including parking Ts, regrading of street surface, illuminated flashing stop signs, street storm water BMPs system, Traffic Signal upgrades and all other work necessary to complete the improvements in accordance with the Plans and Specifications.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure.
FISCAL IMPACT:
None. The project will be funded through Measure M Grant and local share funds.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Notice Inviting Bids
I
NOTICE INVITING BIDS
Sealed proposals will be received by the City Clerk of the City of Hawthorne, California at the office of the City Clerk, located on the first floor in City Hall, 4455 West 126th Street, Hawthorne, California until 4:00 P.M. Tuesday, May 12, 2026.
Proposals will be publicly opened and recorded on a Bid List at 4:15 P.M. of the same day in the City Clerk's Office. Bidders, as well as the general public, are invited to view the proceedings.
Proposals will be read at a meeting of the City Council at 6:00 P.M. on Tuesday, May 12, 2026 for the following:
MONETA GARDEN MOBILITY IMPROVEMENTS PROJECT
(Project# 22-08)
SCOPE OF WORK
The work consists of construction of ADA ramps, sidewalks, driveways, traffic striping including parking Ts, regrading of street surface, illuminated flashing stop signs, street storm water BMPs system, Traffic Signal upgrades and all other work necessary to complete the improvements in accordance with the Plans and Specifications.
ESTIMATED QUANTITIES
ITEM DESCRIPTION UNIT APPROXIMAT
E QUANTITY
1 Surveying LS 1
2 Excavation (unclassified) for soft subgrade only when occurs. CY 1,000
3 Cold Milling Asphalt Pavement (0” to 2”). SF 550,000
4 Asphalt Concrete (C or D mix, PG 64-10). TON 3,100
5 Excavate, Remove and Reconstruct pavement
structural section per detail 2, sheet 17 at various
locations shown on plans or City engineer’s directed
locations including B-mix AC (2” thick. ARHM is not
included).
SF 10,000
6 Asphalt Rubber Hot Mix (ARHM). TON 6,200
7 Remove and Reconstruct 4” PCC sidewalk with 4”
CMB. SF 10,000
8 Construct New, Retrofit or Remove and Reconstruct 4”
thick. PCC ADA curb ramp over 4" CMB per Caltrans
Std. Plan A88A. SF 8,500
9 Remove existing driveway and construct new PCC
driveway over 6” CMB per Caltrans Std. Plan A87A. SF 4,000 II
10 Crushed Miscellaneous Base (CMB) for Excess
Backfill only when occurs. CY 1,000
11 Adjust Utility cover to grade. EA 115
12 Adjust Manhole Frame and Cover to grade. EA 80
13 Traffic Control. LS 1
14 Project Construction Signs. EA 6
15 Traffic Signal Detectors Loop (Type “D”). EA 10
16 Traffic Signal Detectors Bicycle Loop (Type “E”). EA 14 17 Speed Hump per City Detail. EA 2
18 Remove and reconstruct PCC curb and gutter per
SPPWC Std. 120-3 type A2-8(200) over 8" CMB. LF 500
19 Remove and excavate Hardscape or Landscape
parkway and install 3' TO 5 ' Width Parkway Retention
Bioswale per detail 1, sheet 17.
LF 250
20 Construct PCC Inlet basin per detail 1, sheet 17. EA 14 21 Striping, signs and pavement markings per sheet 18 to
32. LS 1
22 Plant 15 gallon Liquidambar Styraciflua (American
sweetgum) including root barrier per detail 4, sheet 17. EA 10 23 Traffic Signal Modification at Imperial Hwy. and
Inglewood Ave. LS 1
24 Traffic Signal Modification at Imperial Hwy. and
Ramona Ave. LS 1
25 Traffic Signal Modification at Imperial Hwy. and
Freeman Ave. LS 1
TIME OF COMPLETION
Time of completion for this project will be 90 working days.
ENGINEERING ESTIMATE
The engineering estimate for this project is $5,000,000
PREVAILING WAGE STATEMENT
This contract will be funded in whole or in part with federal and state funds. The Federal Labor Standards Provisions, including prevailing wage requirements of the Davis-Bacon and Related Acts will be enforced. A copy of the Federal Wage Decision applicable to this project is included in the Bid Document.
This is project is a public work in the State of California, funded in whole or in part with public funds. Therefore, the higher of the two applicable prevailing wage rates, federal or state, will be enforced. The Contractor’s duty to pay State prevailing wages can be found under Labor Code Section 1770 et seq. Labor Code Sections 1775 and 1777.7 outline the penalties for failure to pay prevailing wages and to employ apprentices, including forfeitures and debarment. The State Wage III
Decision is available online at http://www.dir.ca.gov/dlsr/ or by contacting the Awarding Body for this contract.
CLASSIFICATION OF CONTRACTORS
Contractors bidding this project must possess a valid State of California A Contractors' License and must meet minimum requirements set forth in the Specifications. The Contractor must be able to document five (5) years of satisfactory experience on project of similar complexity and dollar value.
SUBMISSION OF PROPOSALS
Proposals must be submitted on the blank forms, specifications and plans prepared and furnished for that purpose, which may be obtained through the City of Hawthorne’s Citizen self-service:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home No bid will be considered unless it conforms to the Proposal Requirements and Conditions. The City Council of the City of Hawthorne, also referred to as the City, reserves the right to reject any and all proposals, waive any irregularity, to accept any bid or portion thereof, and to take all bids under advisement for a period of ninety (90) calendar days after the bid opening date. Bids must be returned in the special envelopes provided, marked "SEALED BIDS", and addressed to the City Clerk.
Each proposal shall be accompanied by one of the following forms of bidder's security: cash, cashier's check, certified check, or bidder's bond, equal to ten percent (10%) of the bid price.
A list of subcontractors shall be submitted with the bid on the form provided by the City. ** NOTE TO PROSPECTIVE BIDDERS: THE COST OF PLANS AND
SPECIFICATIONS IS $100.00 (non-refundable). **
DEBARMENT AND SUSPENSION
CERTIFICATION OF OFFERER/BIDDER REGARDING DEBARMENT
By submitting a bid/proposal under this solicitation, the bidder or offeror certifies that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction.
CERTIFICATION OF LOWER TIER CONTRACTORS REGARDING DEBARMENT The successful bidder, by administering each lower tier subcontract that exceeds $25,000 as a “covered transaction”, must verify each lower tier participant of a “covered transaction” under the project is not presently debarred or otherwise disqualified from participation in this assisted project. The bidder is to provide a Data Universal Numbering System (DUNS) number. The bidder will accomplish this by:
1. Checking the System for Award Management at website: http://www.sam.gov IV
2. Collecting a certification statement similar to the Certification of Offeror/Bidder Regarding Debarment, above.
3. Inserting a clause or condition in the covered transaction with the lower tier contract.
If the City of Hawthorne later determines that a lower tier participation failed to disclose to a higher tier participant that it was excluded or disqualified at the time it entered the covered transaction, the City of Hawthorne may pursue any available remedies, including suspension and debarments of the non-compliant participant.
NONDISCRIMINATION
Any contract entered into pursuant to this notice will incorporate the provisions of the State Labor Code. Labor Code Section 1735 requires that no discrimination be made in the employment of persons upon public works because of the race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, or sex of such persons, except as provided in Government Code Section 12940. Affirmative action to ensure against discrimination in employment practices on the basis of race, color, national origin, ancestry, sex, or religion will also be required.
PERFORMANCE RETENTIONS
The successful bidder will be required to provide for performance security as provided by law.
Requirements for performance retentions may be satisfied by deposit or securities specified in Section 16430 of the Government Code and in accordance with Section 22300 of the Public Contract Code.
CONTRACTOR REGISTRATION
A contractor or subcontractor shall not be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, unless currently registered and qualified to perform public work pursuant to Labor Code Section 1725.5. An unregistered contractor may only submit a bid if authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 or 20103.5 of the Public Contract Code, provided the contractor is registered to perform public work at the time the contract is awarded.
WAGES AND EQUAL EMPLOYMENT OPPORTUNITIES
This proposed Contract is under and subject to Executive Order 11246, as amended, of September 24, 1965, and to the Equal Employment Opportunity (EEO) and Federal Labor Provisions. The EEO requirements, labor provisions, and wage rates are included in the Specifications and Bid documents and are available for inspection at the City Clerk’s Office, City Hall, City of Hawthorne.
NOTICE IS FURTHER GIVEN that pursuant to the provisions of Section 1773 of the Labor Code of the State of California, the City Council has obtained the general federal prevailing rate of per V
diem wages in accordance with the law to be paid for the construction of the above entitled Works and Improvements and General Prevailing rate for holiday and overtime work in this locality for each craft. The schedule has been obtained from the U.S. Department for Housing and Urban Development for Community Block Grant Programs of the type and nature proposed by the City, and reference is hereby made to copies thereof on file in the Office of the City Engineer, which said copies are available to any interested party upon request. Further, a copy shall be posted at the job site during the course of construction. All Contractors submitting bids must conform to current federal minimum prevailing wages.
In addition to the Contractor’s obligations as to minimum wages rates, the Contractor shall abide by all other provisions and requirements stipulated in Sections 1770-1780, inclusive, of the Labor Code of the State of California, including, but not limited to, those dealing with the employment of registered apprentices. The responsibility of compliance with Section 1777.5 of the Labor Code shall be with the prime contractor.
PROJECT INFORMATION
Plans and Specifications are available digitally through the City of Hawthorne’s Citizen Self Service portal:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home All contractors will need to create a free account. Once they have created an account then they will need to apply for the Public Works Bid Plans and Specifications. Fill in all necessary information and once the application is submitted the Contractor will receive an invoice (see project information section above for price). Once all fees have been paid the Contractor will then receive three (3) PDFs: 1) general information/provisions PDF, 2) bid proposal forms (see SUBMISSION OF PROPOSALS section below for instructions on how to submit all proposals) and 3) specifications/plans PDF.
If you have any questions regarding this project, please contact Jesus Velazquez, Associate Engineer, Department of Public Works, Engineering Division, at [email protected].
AGENDA ITEM NO. 18.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Digital Billboards (City Project #26-12) -- Out to Bid.
RECOMMENDED MOTION:
Staff recommends that the City Council approve the Plans and Specifications and authorize the Director of Public Works to advertise for construction bids with a return date of May 12th, 2026.
DISCUSSION:
The work consists of the construction of a double-sided internally illuminated ID cabinet, a double-faced electronic message center, pole and includes demolition, footings, concrete, utilities, electrical, pole, graffiti coating, painting, miscellaneous metals, and all other work necessary to complete the construction in accordance with the Plans and Specification. This Project will install two Digital Billboards, one on the median island of Hawthorne Blvd. between 116th St. and 105 Fwy. and the second one on the median island of Prairie Ave. between El Segundo Blvd. and 126th St.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure. These billboards will generate revenue, support local commerce and display public service announcements.
FISCAL IMPACT:
None. The project will be funded through allocated funds from FY 26-27 Grant and local share.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Notice Inviting Bids
I
NOTICE INVITING BIDS
Sealed proposals will be received by the City Clerk of the City of Hawthorne, California at the office of the City Clerk, located on the first floor in City Hall, 4455 West 126th Street, Hawthorne, California until 4:00 P.M. Tuesday, May 12, 2026.
Proposals will be publicly opened and recorded on a Bid List at 4:15 P.M. of the same day in the City Clerk's Office. Bidders, as well as the general public, are invited to view the proceedings.
Proposals will be read at a meeting of the City Council at 6:00 P.M. on Tuesday, May 12, 2026 for the following:
DIGITAL BILLBOARDS
(Project# 26-12)
SCOPE OF WORK
The work consists of the construction of double-sided internally illuminated ID cabinet, doublefaced electronic message center, pole and includes demolition, footings, concrete, utilities, electrical, pole, Graffiti coating, painting, miscellaneous metals, and all other work necessary to complete the construction in accordance with the Plans and Specification.
ESTIMATED QUANTITIES
ITEM DESCRIPTION UNIT APPROXIMATE
QUANTITY
1 Supplying and installing Digital Billboard with
hardware and appurtenances. EA 2
2 Excavation, potholes, backfill and compaction, site
preparation and street trenching per the provided
Standard Detail.
EA 2
3 Supplying and installing the entire sign structure. EA 2 4 Anti-graffiti coatings. EA 2
5 Install footing complete in place. EA 2
6 All required electrical work complete in place with
energizing the Electronic Board. EA 2
TIME OF COMPLETION
Time of completion for this project will be 60 working days.
II
PREVAILING WAGE STATEMENT
This contract will be funded in whole or in part with federal and state funds. The Federal Labor Standards Provisions, including prevailing wage requirements of the Davis-Bacon and Related Acts will be enforced. A copy of the Federal Wage Decision applicable to this project is included in the Bid Document.
This is project is a public work in the State of California, funded in whole or in part with public funds. Therefore, the higher of the two applicable prevailing wage rates, federal or state, will be enforced. The Contractor’s duty to pay State prevailing wages can be found under Labor Code Section 1770 et seq. Labor Code Sections 1775 and 1777.7 outline the penalties for failure to pay prevailing wages and to employ apprentices, including forfeitures and debarment. The State Wage Decision is available online at http://www.dir.ca.gov/dlsr/ or by contacting the Awarding Body for this contract.
CLASSIFICATION OF CONTRACTORS
Contractors bidding this project must possess a valid State of California A, B, C 45 or C10 Contractors' License. The Contractor must be able to document five (5) years of satisfactory experience on projects of similar complexity and dollar value.
SUBMISSION OF PROPOSALS
Proposals must be submitted on the blank forms, specifications and plans prepared and furnished for that purpose, which may be obtained through the City of Hawthorne’s Citizen self-service:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home No bid will be considered unless it conforms to the Proposal Requirements and Conditions. The City Council of the City of Hawthorne, also referred to as the City, reserves the right to reject any and all proposals, waive any irregularity, to accept any bid or portion thereof, and to take all bids under advisement for a period of ninety (90) calendar days after the bid opening date. Bids must be returned in the special envelopes provided, marked "SEALED BIDS", and addressed to the City Clerk.
Each proposal shall be accompanied by one of the following forms of bidder's security: cash, cashier's check, certified check, or bidder's bond, equal to ten percent (10%) of the bid price.
A list of subcontractors shall be submitted with the bid on the form provided by the City. ** NOTE TO PROSPECTIVE BIDDERS: THE COST OF PLANS AND
SPECIFICATIONS IS $50.00 (non-refundable). **
DEBARMENT AND SUSPENSION
CERTIFICATION OF OFFERER/BIDDER REGARDING DEBARMENT
III
By submitting a bid/proposal under this solicitation, the bidder or offeror certifies that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction.
CERTIFICATION OF LOWER TIER CONTRACTORS REGARDING DEBARMENT The successful bidder, by administering each lower tier subcontract that exceeds $25,000 as a “covered transaction”, must verify each lower tier participant of a “covered transaction” under the project is not presently debarred or otherwise disqualified from participation in this assisted project. The bidder is to provide a Data Universal Numbering System (DUNS) number. The bidder will accomplish this by:
1. Checking the System for Award Management at website: http://www.sam.gov
2. Collecting a certification statement similar to the Certification of Offeror/Bidder Regarding Debarment, above.
3. Inserting a clause or condition in the covered transaction with the lower tier contract.
If the City of Hawthorne later determines that a lower tier participation failed to disclose to a higher tier participant that it was excluded or disqualified at the time it entered the covered transaction, the City of Hawthorne may pursue any available remedies, including suspension and debarments of the non-compliant participant.
NONDISCRIMINATION
Any contract entered into pursuant to this notice will incorporate the provisions of the State Labor Code. Labor Code Section 1735 requires that no discrimination be made in the employment of persons upon public works because of the race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, or sex of such persons, except as provided in Government Code Section 12940. Affirmative action to ensure against discrimination in employment practices on the basis of race, color, national origin, ancestry, sex, or religion will also be required.
PERFORMANCE RETENTIONS
The successful bidder will be required to provide for performance security as provided by law.
Requirements for performance retentions may be satisfied by deposit or securities specified in Section 16430 of the Government Code and in accordance with Section 22300 of the Public Contract Code.
CONTRACTOR REGISTRATION
A contractor or subcontractor shall not be qualified to bid on, be listed in a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any contract for public work, unless currently registered and qualified to perform public work pursuant to Labor Code Section 1725.5. An unregistered contractor may only submit a bid if authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 or 20103.5 of the Public IV
Contract Code, provided the contractor is registered to perform public work at the time the contract is awarded.
WAGES AND EQUAL EMPLOYMENT OPPORTUNITIES
This proposed Contract is under and subject to Executive Order 11246, as amended, of September 24, 1965, and to the Equal Employment Opportunity (EEO) and Federal Labor Provisions. The EEO requirements, labor provisions, and wage rates are included in the Specifications and Bid documents and are available for inspection at the City Clerk’s Office, City Hall, City of Hawthorne.
NOTICE IS FURTHER GIVEN that pursuant to the provisions of Section 1773 of the Labor Code of the State of California, the City Council has obtained the general federal prevailing rate of per diem wages in accordance with the law to be paid for the construction of the above entitled Works and Improvements and General Prevailing rate for holiday and overtime work in this locality for each craft. The schedule has been obtained from the U.S. Department for Housing and Urban Development for Community Block Grant Programs of the type and nature proposed by the City, and reference is hereby made to copies thereof on file in the Office of the City Engineer, which said copies are available to any interested party upon request. Further, a copy shall be posted at the job site during the course of construction. All Contractors submitting bids must conform to current federal minimum prevailing wages.
In addition to the Contractor’s obligations as to minimum wages rates, the Contractor shall abide by all other provisions and requirements stipulated in Sections 1770-1780, inclusive, of the Labor Code of the State of California, including, but not limited to, those dealing with the employment of registered apprentices. The responsibility of compliance with Section 1777.5 of the Labor Code shall be with the prime contractor.
PROJECT INFORMATION
Plans and Specifications are available digitally through the City of Hawthorne’s Citizen Self Service portal:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home All contractors will need to create a free account. Once they have created an account then they will need to apply for the Public Works Bid Plans and Specifications. Fill in all necessary information and once the application is submitted the Contractor will receive an invoice (see project information section above for price). Once all fees have been paid the Contractor will then receive three (3) PDFs: 1) general information/provisions PDF, 2) bid proposal forms (see SUBMISSION OF PROPOSALS section below for instructions on how to submit all proposals) and 3) specifications/plans PDF.
If you have any questions regarding this project, please contact Jesus Velazquez, Associate Engineer, Department of Public Works, Engineering Division, at [email protected].
V
THE CITY OF HAWTHORNE RESERVES THE RIGHT TO REJECT ANY BID OR ALL BIDS AND TO WAIVE ANY INFORMALITY OR IRREGULARITY IN ANY BID. ANY
CONTRACT AWARDED WILL BE LET TO THE LOWEST, QUALIFIED, RESPONSIVE AND RESPONSIBLE BIDDER.
AGENDA ITEM NO. 19.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Purchase Request for three (3) Police Motorcycles.
RECOMMENDED MOTION:
Staff recommends that the City Council authorize the purchase of three (3) police motorcycles and authorize the City Manager or designee to execute all necessary purchasing documents.
DISCUSSION:
The Hawthorne Police Department uses motorcycles for traffic enforcement, investigations, DUI enforcement, escorts, and special events that require quick response and maneuverability. The current fleet includes two 2021 Harley-Davidson motorcycles that frequently have mechanical issues, making them unreliable, and an older Honda motorcycle (9--11 years old), which lacks modern safety features.
Newer motorcycles offer improved safety, technology, and performance. By purchasing three new police motorcycles there will be improved reliability, officer safety, and overall operations.
The Police Department obtained quotes from three authorized BMW vendors for the 2026 BMW R1300RT-P police motorcycle with law enforcement equipment.
Quotes received include:
Irv Seaver Motorcycles -- Orange, CA: Total unit cost $40,716.43 Long Beach BMW Motorcycles -- Long Beach, CA: Total unit cost $40,212.93 Ventura BMW Motorcycles -- Ventura, CA: Total unit cost $39,525.72 Although Ventura BMW provided the lowest price, staff recommends selecting Long Beach BMW Motorcycles due to its closer proximity to the City. This allows for faster maintenance, repairs, and warranty service, reducing downtime and ensuring motorcycles remain operational. The closer location provides better long-term value by improving efficiency and maintaining readiness for the Traffic Unit.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
Purchasing new police motorcycles improves traffic enforcement, reduces response times, and enhances safety along key corridors, making the City more attractive for businesses, visitors, and major events.
FISCAL IMPACT:
None. The estimated amount of $120,640 is available and will be paid with the approved and allocated equipment funds.
NOTICING PROCEDURE:
72 hour posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
BPO
Memo
Quote
PUBLIC WORKS DEPARTMENT
Vendor Name Agreement Amounts Account Number Description Long Beach BMW
Motorcycles In process $120,640.00 600-3103-000-0-0-47404 3 new PD Mototcycles Total: $120,640.00
POLICE DEPARTMENT
TO Eric Lane, Chief of Police
FROM Shawn Shimono, Operations Captain
DATE March 9th, 2026
RE Purchase Request for (3) Police Motorcycles
RECOMMENDED ACTION
Staff recommends that the City Council:
1. Authorize the purchase of three (3) 2026 BMW R1300RT-P police motorcycles for the Hawthorne Police Department Traffic Unit; and
2. Authorize the City Manager or designee to execute all necessary purchasing documents with Long Beach BMW Motorcycles in an amount not to exceed $120,638.79.
BACKGROUND
The Hawthorne Police Department maintains a motorcycle fleet assigned to the Traffic Unit.
Police motorcycles are used for traffic enforcement, collision investigations, DUI enforcement, escorts, special events, and other operations that require maneuverability and rapid response.
Currently, the department operates two 2021 Harley-Davidson police motorcycles that were received in a grant. While the grant funding is appreciated, these motorcycles have frequently experienced mechanical issues, which often makes them unavailable for regular patrol use. When these motorcycles are out of service, motor officers must rely on the department’s back-up Honda police motorcycles, which are between nine and eleven years old.
Due to their age, the Honda motorcycles contain older technology and aging equipment that does not provide the same level of safety, reliability, and performance as modern police motorcycles.
Newer police motorcycle platforms include improved braking systems, stability control, enhanced 12501 S. HAWTHORNE BOULEVARD * HAWTHORNE, CALIFORNIA 90250 - 4404 lighting systems, and other safety features designed to support officers during traffic enforcement operations.
The purchase of three new police motorcycles will help ensure motor officers have reliable and properly equipped vehicles that enhance operational capability and officer safety.
VENDOR QUOTES
The Police Department obtained quotes from three authorized BMW police motorcycle vendors for the 2026 BMW R1300RT-P police motorcycle configured with required law enforcement equipment.
Quotes received include:
Irv Seaver Motorcycles – Orange, CA
Total unit cost: $40,716.43
Long Beach BMW Motorcycles – Long Beach, CA
Total unit cost: $40,212.93
Ventura BMW Motorcycles – Ventura, CA
Total unit cost: $39,525.72
PROCUREMENT JUSTIFICATION
Although Ventura BMW submitted the lowest unit price, staff recommends purchasing the motorcycles from Long Beach BMW Motorcycles.
Long Beach BMW is located significantly closer to the City and will serve as the primary service and warranty provider for the motorcycles. Police motorcycles require frequent maintenance, inspections, and occasional warranty repairs due to the demands of traffic enforcement operations.
Selecting a dealership located closer to the City will provide more efficient access to service, faster turnaround times for maintenance and repairs, and reduced travel time for staff transporting motorcycles for service. This will help minimize equipment downtime and maintain operational readiness for the Traffic Unit.
For specialized public safety equipment, service accessibility and operational efficiency are important procurement considerations, and staff has determined that purchasing from Long Beach BMW provides the best long-term operational value to the City. 12501 S. HAWTHORNE BOULEVARD * HAWTHORNE, CALIFORNIA 90250 - 4404
FISCAL IMPACT
The total cost for the purchase of three (3) police motorcycles is $120,638.79.
CONCLUSION
The purchase of three new police motorcycles will improve the reliability of the department’s motorcycle fleet, enhance officer safety, and ensure the Traffic Unit can continue to provide effective traffic enforcement and public safety services. The Traffic Unit is also pursuing the acquisition of a fourth BMW police motorcycle through an Office of Traffic Safety (OTS) grant, which is why staff is requesting authorization to purchase three motorcycles at this time.
Staff recommends that the City Council approve the purchase of three BMW police motorcycles from Long Beach BMW Motorcycles.
AGENDA ITEM NO. 20.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Progress Payment #13 is in the amount of $974,517.70 due to PCN3 Inc of Los Alamitos, CA for the City of Hawthorne New Senior Center (Project #24-03).
RECOMMENDED MOTION:
Staff recommends that the City Council approve this Progress Payment #13 and all change orders associated with this progress payment to PCN3 Inc of Los Alamitos, CA.
DISCUSSION:
This project includes providing all services, labor, materials, permits, insurance, tools and equipment needed, in accordance with the Plan and Specifications to successfully and safely complete the renovations and addition to the existing Senior Center.
The work will consist of renovating the existing Hawthorne Senior Center situated on the northwest side of the existing Memorial Center facility. The renovations will bring the existing building, approximately 8,600 SF, up to current building codes and standards. The work will also consist of adding a first-floor extension and a second story, approximately 9700 SF of indoor space. There will also be some exterior landscaping to integrate the building into the park and create an outdoor courtyard. The work will also consist in providing all services, labor, materials, permits, insurance, tools and equipment needed, in accordance with the Plan and Specifications to successfully and safely complete the renovations, expansion and addition to the City of Hawthorne Senior Center located at 3901 El Segundo Blvd, Hawthorne, CA 90250.
During the construction phase of the project, necessary authorization will need to be granted to the City's Project Engineer(s) to conduct further testing, substitutions, and/or removal of materials such as new public right of way, new concrete slab between the New Senior Center and existing Memorial Center, etc.
Work done to date includes: demolition of the existing senior center structure, excavated trenches for underground plumbing and electrical conduits, footing/rebar for the elevator pit, concrete poured for the west expansion portion of the project, vertical steel reinforcement and preparing of steel columns and beams for the west expansion portion of the project. Excavation for new storm drain line, elevator pit and column footing for the existing portion of the building (East Side). Due to existing conditions uncovered during the demolition/excavation phase, it led to a few change orders, like repair and/or replacement of underground utility pipes, expansion of demolition (slab/ceiling), etc. Exterior and interior CMU walls for the west 1st floor addition and the existing east 1st floor is 100% completed and 1st floor ceiling and floor/deck for 2nd floor is being prepped for slab on grade. Elevator pit and walls on the existing portion of the project were completed. Underground utilities are nearly completed, and they are working on completing the new main electrical box installation with Edison.
The 2nd floor glulam beams have been installed, temporary wood rail has been installed, and metal framing for the second floor has commenced. The first stairway leading from the first floor to the second floor on the exterior side has been installed and the last stairway on the interior is currently being welded off site. A new roof has been installed on the existing portion of the senior center. Demoing of the existing parking lot and landscape start April 1st and will continue untill April 13th.
This progress payment had a few change orders (CO) : CO#15 is regarding additional underground conduits, CO#55 is regarding resized ducts and new additional connection equipment/material, CO#63R1 is regarding additional partition wall connection details/equipment, CO#65 is regarding relocating drain pipes, Co#80R1 is regarding additional lighting packages/installation, CO#87 is regarding new headers and installation details/equipment, and CO#101 is regarding VRF system central controller equipment/installation.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
This project is a result of the City working closely with funding and regulatory agencies to support and improve our infrastructure.
FISCAL IMPACT:
None. Funds for this progress payment in the amount of $974,517.70 will be funded through allocated funds from the 2024-2025 budget.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
PP#13 Invoice
APPLICATION AND CERTIFICATION FOR PAYMENT AIA DOCUMENT G702 Page 1 OF 1 TO OWNER: City of Hawthorne PROJECT: APPLICATION NO: 13 Distribution to:
4455 W. 126th Street City of Hawthrone New Senior Center OWNER Hawthorne, CA, 90250 PERIOD FROM: 3/1/2026 CM
PERIOD TO: 3/31/2026 ARCHITECT
FROM CONTRACTOR: VIA CONSTRUCTION MANAGER: CONTRACTOR
PCN3, INC. ENGINEER
10591 Humbolt Street, Unit A
Los Alamitos, CA, 90720 PROJECT NOS: 24-03
CONTRACT NO: 24-03
CONTRACT FOR: 24-03 CONTRACT DATE: 8/28/2024
CONTRACTOR'S APPLICATION FOR PAYMENT The undersigned Contractor certifies that to the best of the Contractor's knowledge, Application is made for payment, as shown below, in connection with the Contract. information and belief the Work covered by this Application for Payment has been Continuation Sheet, AIA Document G703, is attached. completed in accordance with the Contract Documents, that all amounts have been paid by the Contractor for Work for which previous Certificates for Payment were issued and payments received from the Owner, and that current payment shown herein is now due.
1. ORIGINAL CONTRACT SUM 14,445,000.00
2. Net change by Change Orders 619,572.79 CONTRACTOR: PCN3, INC.
3. CONTRACT SUM TO DATE (Line 1 ± 2) 15,064,572.79
4. TOTAL COMPLETED & STORED TO 10,142,376.27
DATE (Column G on G703) By: Date:
5. RETAINAGE:
a. 5 % of Work Completed $ 507,118.81 State of: California County of:
(Column D + E on G703) Subscribed and sworn to before me this day of b. 5 % of Stored Material $ - Notary Public:
(Column F on G703) My Commission expires:
Total Retainage (Lines 5a + 5b or
Total in Column I of G703) 507,118.81 PM'S CERTIFICATE FOR PAYMENT
6. TOTAL EARNED LESS RETAINAGE 9,635,257.46 In accordance with the Contract Documents, based on on-site observations and the data (Line 4 Less Line 5 Total) comprising the application, the Engineer certifies to the Owner that to the best of the
7. LESS PREVIOUS CERTIFICATES FOR Engineer's knowledge, information and belief the Work has progressed as indicated, PAYMENT (Line 6 from prior Certificate) 8,660,739.76 the quality of the Work is in accordance with the Contract Documents, and the Contractor
8. CURRENT PAYMENT DUE 974,517.70 is entitled to payment of the AMOUNT CERTIFIED.
9. BALANCE TO FINISH, INCLUDING RETAINAGE 5,429,315.33
(Line 3 less Line 6) AMOUNT CERTIFIED . . . . . . . . . . . $ 974,518 CHANGE ORDER SUMMARY ADDITIONS DEDUCTIONS (Attach explanation if amount certified differs from the amount applied. Initial all figures on this Total changes approved Application and on the Continuation Sheet that are changed to conform with the amount certified.) in previous months by Owner $ 619,573 $ - Project Manager:
Total approved this Month $0.00 $ - By: Date:
TOTALS $ 619,573 $ - This Certificate is not negotiable. The AMOUNT CERTIFIED is payable only to the Contractor named herein. Issuance, payment and acceptance of payment are without NET CHANGES by Change Order $ 619,573 prejudice to any rights of the Owner or Contractor under this Contract.
AIA DOCUMENT G702 · APPLICATION AND CERTIFICATION FOR PAYMENT · 1992 EDITION · AIA · ©1992 THE AMERICAN INSTITUTE OF ARCHITECTS, 1735 NEW YORK AVE., N.W., WASHINGTON, DC 20006-5292 Users may obtain validation of this document by requesting a completed AIA Document D401 - Certification of Document's Authenticity from the Licensee.
CONSTRUCTION MANAGER:
By:
Project Manager
PCN3, INC. City of Hawthrone New Senior Center APPLICATION NUMBER: 13 10591 Humbolt Street, Unit A CITY OF Hawthrone APPLICATION DATE: 3/31/2026 Los Alamitos, CA, 90720 Schedule of Values PERIOD TO: 3/31/2026
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
1.00 EXISTING CONDITIONS (SITEWORK) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
1.a DEMO @ SENIOR CENTER SITE (HAULING INCLUDED) 38,406.64 38,406.64 0.00 0.00 0.00 $0.00 $38,406.64 100% $0.00 $1,920.33
1.b DEMO @ EAST PARKING LOT (HAULING INCLUDED) 47,072.56 47,072.56 0.00 0.00 0.00 $0.00 $47,072.56 100% $0.00 $2,353.63
1.c DEMO @ NORTH PARKING LOT (HAULING INCLUDED) 32,013.40 32,013.40 0.00 0.00 0.00 $0.00 $32,013.40 100% $0.00 $1,600.67
1.d MISC. SITE DEMO 8,260.00 8,260.00 0.00 0.00 0.00 $0.00 $8,260.00 100% $0.00 $413.00
2.00 EARTHWORK: SITE PREPARATION (SITEWORK) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
2.a SITE CLEARING 20,731.42 20,731.42 0.00 0.00 0.00 $0.00 $20,731.42 100% $0.00 $1,036.57
2.b ROUGH GRADING 41,462.84 41,462.84 0.00 0.00 0.00 $0.00 $41,462.84 100% $0.00 $2,073.14
2.c RAW CUT - PER C.E. QUANTITY 2,147.60 2,147.60 0.00 0.00 0.00 $0.00 $2,147.60 100% $0.00 $107.38
2.d FINE GRADING 52,204.38 45,000.00 7,204.38 0.00 0.00 $0.00 $52,204.38 100% $0.00 $2,610.22
2.e BUILDING PAD OVEREXCAVATION - WEST ADDITION 66,599.20 66,599.20 0.00 0.00 0.00 $0.00 $66,599.20 100% $0.00 $3,329.96
2.f BUILDING PAD OVEREXCAVATION - EXTENDED SLAB 10,431.20 10,431.20 0.00 0.00 0.00 $0.00 $10,431.20 100% $0.00 $521.56
2.g SCARIFY & COMPACT U/S PAVING 11,756.34 11,756.34 0.00 0.00 0.00 $0.00 $11,756.34 100% $0.00 $587.82
2.h EXPORT/HAUL DIRT SURPLUS + 15% SWELL VOLUME 16,726.50 16,726.50 0.00 0.00 0.00 $0.00 $16,726.50 100% $0.00 $836.33
2.i EROSION CONTROL 31,097.13 31,097.13 0.00 0.00 0.00 $0.00 $31,097.13 100% $0.00 $1,554.86
3.00 EXTERIOR IMPROVEMENTS (SITEWORK) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
3.a.I SENIOR CENTER SITE - HARDSCAPE 139,670.70 0.00 14,000.00 0.00 0.00 $0.00 $14,000.00 10% $125,670.70 $700.00
3.a.II SENIOR CENTER SITE - BRICK PAVERS 121,197.80 2,500.00 10,000.00 0.00 0.00 $0.00 $12,500.00 10% $108,697.80 $625.00
3.a.III SENIOR CENTER SITE - LANDSCAPE 197,109.89 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $197,109.89 $0.00
3.a.IV SENIOR CENTER SITE - SITE WALLS 43,660.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $43,660.00 $0.00
3.a.V
SENIOR CENTER SITE - ORNAMENTAL STEEL FENCING &
GATES 106,412.40 30,000.00 0.00 0.00 0.00 $0.00 $30,000.00 28% $76,412.40 $1,500.00
3.b EAST PARKING LOT 109,801.36 0.00 40,000.00 0.00 0.00 $0.00 $40,000.00 36% $69,801.36 $2,000.00
3.C NORTH PARKING LOT 69,844.20 0.00 20,000.00 0.00 0.00 $0.00 $20,000.00 29% $49,844.20 $1,000.00
3.d SIGNAGE 1,180.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $1,180.00 $0.00
4.00 UTILITIES (SITEWORK) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
4.a STORM DRAINS 135,924.20 135,924.20 0.00 0.00 0.00 $0.00 $135,924.20 100% $0.00 $6,796.21
4.b FIRE WATER 203,904.00 203,904.00 0.00 0.00 0.00 $0.00 $203,904.00 100% $0.00 $10,195.20
4.c SANITARY SEWER 37,288.00 37,288.00 0.00 0.00 0.00 $0.00 $37,288.00 100% $0.00 $1,864.40
4.d NATURAL GAS 5,900.00 5,900.00 0.00 0.00 0.00 $0.00 $5,900.00 100% $0.00 $295.00
4.e PRIMARY/SECONDARY POWER SERVICE 102,424.00 65,000.00 0.00 0.00 0.00 $0.00 $65,000.00 63% $37,424.00 $3,250.00
4.f ELECTRIC VEHICLE CHARGING STATION 43,365.00 20,000.00 0.00 0.00 0.00 $0.00 $20,000.00 46% $23,365.00 $1,000.00
4.g SITE LIGHTING 47,200.00 10,000.00 0.00 0.00 0.00 $0.00 $10,000.00 21% $37,200.00 $500.00
4.h MISCELLANEOUS 1,180.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $1,180.00 $0.00
5.00 EXISTING CONDITIONS (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
5.a SELECTIVE BUILDING DEMOLITION (HAULING INCLUDED) 292,287.18 292,287.18 0.00 0.00 0.00 $0.00 $292,287.18 100% $0.00 $14,614.36
5.b PLUMBING DEMOLITION 4,814.40 4,814.40 0.00 0.00 0.00 $0.00 $4,814.40 100% $0.00 $240.72
5.c HVAC DEMOLITION 9,086.00 9,086.00 0.00 0.00 0.00 $0.00 $9,086.00 100% $0.00 $454.30
5.d ELECTRICAL DEMOLITION 48,757.60 48,757.60 0.00 0.00 0.00 $0.00 $48,757.60 100% $0.00 $2,437.88
6.00 CONCRETE (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 2
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
6.a FOUNDATION - INCLUDED PER SEPARATE ADDITION 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
6.b ELEVATOR 208,904.34 208,904.34 0.00 0.00 0.00 $0.00 $208,904.34 100% $0.00 $10,445.22
6.c SLAB-ON-GRADE/CURBS 99,426.80 99,426.80 0.00 0.00 0.00 $0.00 $99,426.80 100% $0.00 $4,971.34
7.00 MASONRY (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
7.a EXTERIOR CMU WALL 40,419.72 40,419.72 0.00 0.00 0.00 $0.00 $40,419.72 100% $0.00 $2,020.99
7.b INTERIOR CMU WALL 154,374.68 154,374.68 0.00 0.00 0.00 $0.00 $154,374.68 100% $0.00 $7,718.73
8.00 METALS (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
8.a PERFORATED METAL PANEL SYSTEM 186,381.00 140,000.00 20,000.00 0.00 0.00 $0.00 $160,000.00 86% $26,381.00 $8,000.00
8.b MISC. METALS 11,800.00 5,900.00 2,450.00 0.00 0.00 $0.00 $8,350.00 71% $3,450.00 $417.50 9 CARPENTRY (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
9.a FINISH CARPENTRY 166,675.00 5,000.00 0.00 0.00 0.00 $0.00 $5,000.00 3% $161,675.00 $250.00
9.b ROUGH CARPENTRY 228,092.23 228,092.23 0.00 0.00 0.00 $0.00 $228,092.23 100% $0.00 $11,404.61 10 THERMAL & MOISTURE PROTECTION (EXISTING BUILDING
RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
10.a ROOFING 186,857.25 90,000.00 50,000.00 0.00 0.00 $0.00 $140,000.00 75% $46,857.25 $7,000.00
10.b MISCELLANEOUS 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 11 OPENINGS (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
11.a EXTERIOR DOORS + H.W. 49,678.00 39,750.00 4,950.00 0.00 0.00 $0.00 $44,700.00 90% $4,978.00 $2,235.00
11.b WINDOWS 227,364.76 75,000.00 30,000.00 0.00 0.00 $0.00 $105,000.00 46% $122,364.76 $5,250.00
11.c DOORS + H.W. 100,250.44 85,000.00 5,000.00 0.00 0.00 $0.00 $90,000.00 90% $10,250.44 $4,500.00
11.d WINDOWS 16,903.50 2,500.00 5,000.00 0.00 0.00 $0.00 $7,500.00 44% $9,403.50 $375.00
12.00 FINISHES (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
12.a EXTERIOR WALLS 167,562.36 120,000.00 20,000.00 0.00 0.00 $0.00 $140,000.00 84% $27,562.36 $7,000.00
12.b INTERIOR WALLS 343,807.16 225,000.00 35,000.00 0.00 0.00 $0.00 $260,000.00 76% $83,807.16 $13,000.00
12.c FLOOR FINISHES 150,590.42 0.00 0.00 0.00 30,000.00 $30,000.00 $30,000.00 20% $120,590.42 $1,500.00
12.d CEILING FINISHES 203,943.81 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $203,943.81 $0.00
12.e VERTICAL SOFFITS 53,764.20 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $53,764.20 $0.00
12.f EXTERIOR SOFFIT 738.68 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $738.68 $0.00 13 SPECIALTIES (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
13.a RESTROOM SPECIALTIES 33,722.04 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $33,722.04 $0.00
13.b MISC. SPECIALTIES 24,965.02 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $24,965.02 $0.00 14 ALL EQUIPMENT - N.I.C. 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 15 FURNISHINGS (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
15.a WINDOW SHADES 23,564.60 3,564.60 0.00 0.00 0.00 $0.00 $3,564.60 15% $20,000.00 $178.23
15.b FURNISHINGS - ALL FF & E - N.I.C. 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 16 SPECIAL CONSTRUCTION (EXISTING BUILDING RENOVATION
+ EXTENSION) - THIS SECTION NOT APPLICABLE 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 17 CONVEYING EQUIPMENT (EXISTING BUILDING RENOVATION
+ EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 18 FIRE SUPPRESSION (EXISTING BUILDING RENOVATION +
EXTENSION) 121,240.00 72,000.00 0.00 0.00 0.00 $0.00 $72,000.00 59% $49,240.00 $3,600.00 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 3
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
19 PLUMBING (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
19.a
PLUMBING EQUIPMENT - INCLUDED PER SEPARATE
ADDITION ESTIMATE 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
19.b PLUMBING FIXTURES 34,220.00 16,000.00 0.00 0.00 5,000.00 $5,000.00 $21,000.00 61% $13,220.00 $1,050.00
19.c COLD WATER 37,771.80 37,771.80 0.00 0.00 0.00 $0.00 $37,771.80 100% $0.00 $1,888.59
19.d HOT WATER 21,428.80 21,428.80 0.00 0.00 0.00 $0.00 $21,428.80 100% $0.00 $1,071.44
19.e SANITARY SEWER & VENT 62,315.80 62,315.80 0.00 0.00 0.00 $0.00 $62,315.80 100% $0.00 $3,115.79
19.f CONDENSATE DRAINS 22,007.00 1,000.00 0.00 0.00 0.00 $0.00 $1,000.00 5% $21,007.00 $50.00
19.g
ROOF DRAINS - SEE DIVISION 7 FOR GUTTER &
DOWNSPOUT 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
19.h NATURAL GAS 3,352.14 1,500.00 0.00 0.00 0.00 $0.00 $1,500.00 45% $1,852.14 $75.00 20 HVAC (EXISTING BUILDING RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
20.a ROOFTOP AC UNIT 115,223.46 84,500.00 15,500.00 0.00 0.00 $0.00 $100,000.00 87% $15,223.46 $5,000.00
20.b VRF SPLIT SYSTEM 92,712.60 65,500.00 20,000.00 0.00 0.00 $0.00 $85,500.00 92% $7,212.60 $4,275.00
20.c MINI SPLIT SYSTEM 30,326.00 23,250.00 2,750.00 0.00 0.00 $0.00 $26,000.00 86% $4,326.00 $1,300.00
20.d EXHAUST FAN 2,861.50 2,600.00 0.00 0.00 0.00 $0.00 $2,600.00 91% $261.50 $130.00
20.e CONTROLS 11,363.40 6,000.00 0.00 0.00 0.00 $0.00 $6,000.00 53% $5,363.40 $300.00
20.f MISCELLANEOUS 1,180.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $1,180.00 $0.00 21 ELECTRICAL (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
21.a ELECTRICAL EQUIPMENT & PANELS 42,480.00 35,000.00 5,000.00 0.00 0.00 $0.00 $40,000.00 94% $2,480.00 $2,000.00
21.b PANEL "K" FEEDER 16,862.20 15,500.00 0.00 0.00 0.00 $0.00 $15,500.00 92% $1,362.20 $775.00
21.c BRANCH POWER 32,579.56 27,500.00 2,500.00 0.00 0.00 $0.00 $30,000.00 92% $2,579.56 $1,500.00
21.d HVAC/PLUMBING EQUIPMENT POWER 89,028.99 70,000.00 5,000.00 0.00 0.00 $0.00 $75,000.00 84% $14,028.99 $3,750.00
21.e LIGHTING 111,156.00 95,000.00 0.00 0.00 0.00 $0.00 $95,000.00 85% $16,156.00 $4,750.00
21.f EXT 305,717.82 160,000.00 55,000.00 0.00 0.00 $0.00 $215,000.00 70% $90,717.82 $10,750.00
21.g MISCELLANEOUS 1,180.00 0.00 590.00 0.00 0.00 $0.00 $590.00 50% $590.00 $29.50 22 COMMUNICATIONS (EXISTING BUILDING RENOVATION +
EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
22.a SIGNAL SYSTEM 139,118.66 27,500.00 13,500.00 0.00 0.00 $0.00 $41,000.00 29% $98,118.66 $2,050.00 23 ELECTRONIC SAFETY & SECURITY (EXISTING BUILDING
RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
23.a FIRE ALARM 99,214.40 50,000.00 0.00 0.00 0.00 $0.00 $50,000.00 50% $49,214.40 $2,500.00
23.b SECURITY 119,057.28 45,000.00 10,000.00 0.00 0.00 $0.00 $55,000.00 46% $64,057.28 $2,750.00
24.00 EXTERIOR IMPROVEMENTS (EXISTING BUILDING
RENOVATION + EXTENSION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
24.a EAST COURT 25,315.72 0.00 5,350.00 0.00 0.00 $0.00 $5,350.00 21% $19,965.72 $267.50 25 EXISTING CONDITIONS (1ST FLOOR WEST & 2ND FLOOR
BUILDING ADDITION) - SEE SEPARATE SITEWORK FOR SITE
DEMOLITION 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 26 CONCRETE (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
26.a FOUNDATION 186,440.00 186,440.00 0.00 0.00 0.00 $0.00 $186,440.00 100% $0.00 $9,322.00
26.b SLAB-ON-GRADE/CURBS 97,168.28 97,168.28 0.00 0.00 0.00 $0.00 $97,168.28 100% $0.00 $4,858.41
26.c CONCRETE COLUMN 246,030.00 246,030.00 0.00 0.00 0.00 $0.00 $246,030.00 100% $0.00 $12,301.50
26.d SUSPENDED CONCRETE SLAB & BEAMS 770,999.02 770,999.02 0.00 0.00 0.00 $0.00 $770,999.02 100% $0.00 $38,549.95
26.e MISC. CONCRETE 7,021.00 7,021.00 0.00 0.00 0.00 $0.00 $7,021.00 100% $0.00 $351.05 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 4
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
27 MASONRY (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
27.a EXTERIOR CMU WALL 311,367.78 311,367.78 0.00 0.00 0.00 $0.00 $311,367.78 100% $0.00 $15,568.39 28 METALS (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
28.a STRUCTURAL STEEL 358,039.14 350,000.00 8,039.14 0.00 0.00 $0.00 $358,039.14 100% $0.00 $17,901.96
28.b EXTERIOR METAL STAIR 108,896.30 102,500.00 4,500.00 0.00 0.00 $0.00 $107,000.00 98% $1,896.30 $5,350.00
28.c METAL PAN STAIR, INTERIOR 206,183.76 164,000.00 20,000.00 0.00 0.00 $0.00 $184,000.00 89% $22,183.76 $9,200.00
28.d EXTERIOR SCREEN SYSTEM 1,020,169.00 620,000.00 50,000.00 0.00 0.00 $0.00 $670,000.00 66% $350,169.00 $33,500.00
28.e MISC. METALS 187,195.20 163,000.00 12,500.00 0.00 0.00 $0.00 $175,500.00 94% $11,695.20 $8,775.00
29.00 CARPENTRY (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
29.a FINISH CARPENTRY 149,270.00 2,500.00 0.00 0.00 0.00 $0.00 $2,500.00 2% $146,770.00 $125.00
29.b ROUGH CARPENTRY 232,353.80 215,000.00 17,353.80 0.00 0.00 $0.00 $232,353.80 100% $0.00 $11,617.69
30.00 THERMAL & MOISTURE PROTECTION (1ST FLOOR WEST &
2ND FLOOR BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
30.a ROOFING 135,812.34 2,500.00 15,000.00 0.00 0.00 $0.00 $17,500.00 13% $118,312.34 $875.00
30.b WATERPROOFING 97,783.59 21,500.00 0.00 0.00 0.00 $0.00 $21,500.00 22% $76,283.59 $1,075.00
30.c MISCELLANEOUS 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 31 OPENINGS (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
31.a EXTERIOR DOORS + H.W. 44,958.00 33,000.00 8,000.00 0.00 0.00 $0.00 $41,000.00 91% $3,958.00 $2,050.00
31.b EXTERIOR WINDOWS 149,067.13 22,500.00 20,000.00 0.00 0.00 $0.00 $42,500.00 29% $106,567.13 $2,125.00
31.c INTERIOR DOORS + H.W. 100,250.44 70,000.00 15,000.00 0.00 0.00 $0.00 $85,000.00 85% $15,250.44 $4,250.00
31.d INTERIOR WINDOWS 16,903.50 2,500.00 5,000.00 0.00 0.00 $0.00 $7,500.00 44% $9,403.50 $375.00 32 FINISHES (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
32.a EXTERIOR WALLS 669,247.62 260,000.00 95,000.00 0.00 0.00 $0.00 $355,000.00 53% $314,247.62 $17,750.00
32.b INTERIOR WALLS 492,469.46 300,000.00 55,000.00 0.00 0.00 $0.00 $355,000.00 72% $137,469.46 $17,750.00
32.c FLOOR FINISHES 224,244.86 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $224,244.86 $0.00
32.d CEILING FINISHES 107,511.85 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $107,511.85 $0.00
32.e VERTICAL SOFFITS 98,997.28 0.00 25,000.00 0.00 0.00 $0.00 $25,000.00 25% $73,997.28 $1,250.00
32.f EXTERIOR SOFFIT/FASCIA 68,864.80 0.00 15,000.00 0.00 0.00 $0.00 $15,000.00 22% $53,864.80 $750.00 33 SPECIALTIES (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
33.a RESTROOM SPECIALTIES 87,426.31 20,000.00 0.00 0.00 0.00 $0.00 $20,000.00 23% $67,426.31 $1,000.00
33.b MISC. SPECIALTIES 42,461.59 0.00 10,000.00 0.00 0.00 $0.00 $10,000.00 24% $32,461.59 $500.00 34 EQUIPMENT (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) - N.I.C 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
35.00 FURNISHINGS (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
35.a WINDOW SHADES, MOTORIZED - ALLOWANCE 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
35.b FURNISHINGS - N.I.C. 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 36 SPECIAL CONSTRUCTION (1ST FLOOR WEST & 2ND FLOOR
BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
36.a OUTDOOR DECK PEDESTAL SYSTEM 188,698.82 2,500.00 0.00 0.00 0.00 $0.00 $2,500.00 1% $186,198.82 $125.00
36.b OUTDOOR GREEN DECK 109,032.00 2,500.00 0.00 0.00 0.00 $0.00 $2,500.00 2% $106,532.00 $125.00 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 5
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
37.00 CONVEYING EQUIPMENT (1ST FLOOR WEST & 2ND FLOOR
BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
37.a PASSENGER ELEVATOR 160,480.00 90,000.00 40,000.00 0.00 0.00 $0.00 $130,000.00 81% $30,480.00 $6,500.00
38.00 FIRE SUPPRESSION (1ST FLOOR WEST & 2ND FLOOR
BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
38.a FIRE SPRINKLER SYSTEM 123,489.45 62,500.00 0.00 0.00 0.00 $0.00 $62,500.00 51% $60,989.45 $3,125.00 39 PLUMBING (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
39.a PLUMBING EQUIPMENT 20,650.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $20,650.00 $0.00
39.b PLUMBING FIXTURES 59,000.00 2,500.00 0.00 0.00 30,000.00 $30,000.00 $32,500.00 55% $26,500.00 $1,625.00
39.c COLD WATER 70,575.80 55,000.00 5,000.00 0.00 0.00 $0.00 $60,000.00 85% $10,575.80 $3,000.00
39.d HOT WATER 36,509.20 29,000.00 2,500.00 0.00 0.00 $0.00 $31,500.00 86% $5,009.20 $1,575.00
39.e SANITARY SEWER & VENT 94,588.80 80,000.00 10,000.00 0.00 0.00 $0.00 $90,000.00 95% $4,588.80 $4,500.00
39.f CONDENSATE DRAINS 19,765.00 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $19,765.00 $0.00
39.g ROOF DRAINS 4,845.55 4,845.55 0.00 0.00 0.00 $0.00 $4,845.55 100% $0.00 $242.28
40.00 HVAC (1ST FLOOR WEST & 2ND FLOOR BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
40.a VRF SPLIT SYSTEM 232,029.30 137,500.00 15,000.00 0.00 0.00 $0.00 $152,500.00 66% $79,529.30 $7,625.00
40.b MINI SPLIT SYSTEM 9,440.00 5,000.00 0.00 0.00 0.00 $0.00 $5,000.00 53% $4,440.00 $250.00
40.c EXHAUST FAN 19,169.10 10,000.00 0.00 0.00 0.00 $0.00 $10,000.00 52% $9,169.10 $500.00 41 ELECTRICAL (1ST FLOOR WEST & 2ND FLOOR BUILDING
ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
41.a ELECTRICAL EQUIPMENT 25,665.00 15,500.00 5,000.00 0.00 0.00 $0.00 $20,500.00 80% $5,165.00 $1,025.00
41.b PANEL BOARD 12,390.00 9,000.00 0.00 0.00 0.00 $0.00 $9,000.00 73% $3,390.00 $450.00
41.c SECONDARY FEEDER 53,336.00 53,336.00 0.00 0.00 0.00 $0.00 $53,336.00 100% $0.00 $2,666.80
41.d BRANCH POWER 45,496.08 35,500.00 0.00 0.00 0.00 $0.00 $35,500.00 78% $9,996.08 $1,775.00
41.e HVAC/PLUMBING EQUIPMENT POWER 44,092.12 24,092.12 0.00 0.00 0.00 $0.00 $24,092.12 55% $20,000.00 $1,204.61
41.f LIGHTING 201,952.16 85,000.00 45,000.00 0.00 0.00 $0.00 $130,000.00 64% $71,952.16 $6,500.00
41.g MISCELLANEOUS 1,180.00 0.00 590.00 0.00 0.00 $0.00 $590.00 50% $590.00 $29.50 42 COMMUNICATIONS (1ST FLOOR WEST & 2ND FLOOR
BUILDING ADDITION) 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
42.a SIGNAL SYSTEM 155,747.02 40,000.00 10,000.00 0.00 0.00 $0.00 $50,000.00 32% $105,747.02 $2,500.00
43.00 ELECTRONIC SAFETY & SECURITY (1ST FLOOR WEST & 2ND FLOOR BUILDING ADDITION) 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
43.a FIRE ALARM 101,055.20 50,500.00 10,000.00 0.00 0.00 $0.00 $60,500.00 60% $40,555.20 $3,025.00
43.b SECURITY 121,266.24 24,000.00 0.00 0.00 0.00 $0.00 $24,000.00 20% $97,266.24 $1,200.00
0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 Change orders 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 1 Change order #1 - Abatement 137,865.00 137,865.00 0.00 0.00 0.00 $0.00 $137,865.00 100% $0.00 $6,893.25 2 Change order #2 - Extra interior demo 74,270.00 74,270.00 0.00 0.00 0.00 $0.00 $74,270.00 100% $0.00 $3,713.50 3 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 4 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 5 Change order #5 - removal and disposal of 2 subpanels 4,121.65 4,121.65 0.00 0.00 0.00 $0.00 $4,121.65 100% $0.00 $206.08 6 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 7 Change Order # 7 - Structural Columns Clarification 37,075.78 37,075.78 0.00 0.00 0.00 $0.00 $37,075.78 100% $0.00 $1,853.79 8 Change order # 8 - exploratory work for water intrusion 1,671.86 1,671.86 0.00 0.00 0.00 $0.00 $1,671.86 100% $0.00 $83.59 9 Change Order #9 - Voltage Reading 8,399.33 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $8,399.33 $0.00 10 Change order #10 - Removal of cabinetry 1,999.66 1,999.66 0.00 0.00 0.00 $0.00 $1,999.66 100% $0.00 $99.98 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 6
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
11 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 12 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 13 Change Order #13 - Added Demolition & Grading - South Of Existing Building 62,452.85 62,452.85 0.00 0.00 0.00 $0.00 $62,452.85 100% $0.00 $3,122.64 14 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 15 Change Order #15R1 - Low Voltage Underground Conduits 11,683.17 0.00 2,500.00 0.00 0.00 $0.00 $2,500.00 21% $9,183.17 $125.00 16 Change order #16 - Storm drain 27,060.80 27,060.80 0.00 0.00 0.00 $0.00 $27,060.80 100% $0.00 $1,353.04 17 Change Order #17 - Addendum 1 - Landscaping and Irrigation Changes 19,789.86 10,000.00 0.00 0.00 0.00 $0.00 $10,000.00 51% $9,789.86 $500.00 18 Change Order #18 - Lighting Package Tariff Increase (1st Floor) 24,988.03 24,988.03 0.00 0.00 0.00 $0.00 $24,988.03 100% $0.00 $1,249.40 19 Change Order #19 - Hose Bibb Clarification 1,081.73 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $1,081.73 $0.00 20 Change order #20 - Electrical Floor Boxes 20,727.74 20,727.74 0.00 0.00 0.00 $0.00 $20,727.74 100% $0.00 $1,036.39 21 Change Order #21 - Gas Routing to Water Heater or AC Unit on the Roof 4,055.57 2,000.00 0.00 0.00 0.00 $0.00 $2,000.00 49% $2,055.57 $100.00 22 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 23 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 24 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 25 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 26 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 27 Change Order #27 - Post Bid Addendum 1 - Mechanical Changes 25,413.19 25,300.00 0.00 0.00 0.00 $0.00 $25,300.00 100% $113.19 $1,265.00 28 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 29 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 30 Change Order #30 - Existing Communications Conduit 2,177.74 2,177.74 0.00 0.00 0.00 $0.00 $2,177.74 100% $0.00 $108.89 31 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 32 Change Order #32 - ASI 014 Roof Demolition Scope Clarification 25,355.20 25,355.20 0.00 0.00 0.00 $0.00 $25,355.20 100% $0.00 $1,267.76 33 Change Order #33 - Clarification of Demolition Scope in between Senior Center and Memorial Center 7,682.43 7,682.43 0.00 0.00 $0.00 $7,682.43 100% $0.00 $384.12 34 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 35 Change Order #35 - Stucco Barrier Behind Existing Wall 1,591.35 1,591.35 0.00 0.00 0.00 $0.00 $1,591.35 100% $0.00 $79.57 36 Change Order #36 - Removal of (E) Roof Insulation where New 2nd Floor Called out Above 1,185.70 1,185.70 0.00 0.00 $0.00 $1,185.70 100% $0.00 $59.29 37 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 38 Change Order #38 - Elevator Pit Clarifications 4,224.54 4,224.54 0.00 0.00 0.00 $0.00 $4,224.54 100% $0.00 $211.23 39 Change Order #39 - Post-Bid Addendum 1 - Concrete Reinforcing Changes 18,982.99 18,982.99 0.00 0.00 0.00 $0.00 $18,982.99 100% $0.00 $949.15 40 Change Order #40 - Relocation of Existing Kitchen Wall 12,282.11 12,282.11 0.00 0.00 $0.00 $12,282.11 100% $0.00 $614.11 41 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 42 Change Order #42 - Post Bid Addendum 1 - Changes to Light Fixtures 80,078.32 80,078.32 0.00 0.00 0.00 $0.00 $80,078.32 100% $0.00 $4,003.92 43 0.00 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 44 Change Order #44 - Added Tile in WC-108 2,476.59 0.00 0.00 0.00 0.00 $0.00 $0.00 0% $2,476.59 $0.00 45 Change Order #45 - Existing Foundation Extended Beyond Bid Set Drawings 18,999.99 18,999.99 0.00 0.00 0.00 $0.00 $18,999.99 100% $0.00 $950.00 46 Change Order #46 - Existing Trees in front of N Storefront Door 875.73 875.73 0.00 0.00 0.00 $0.00 $875.73 100% $0.00 $43.79 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 7
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
47 Change Order #47 - Existing Catch Basin Clash with New Foundation 3,301.27 $3,301.27 $0.00 $3,301.27 100% $0.00 $165.06 48 Change Order #48 - Plywood Water Damage at (E) East Elevation 5,895.53 5,895.53 0.00 0.00 0.00 $0.00 $5,895.53 100% $0.00 $294.78 49 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
50 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
51 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
52 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
53 Chage Order #53 - Credit for Changed CMU Type -24,525.00 -24,525.00 0.00 0.00 0.00 $0.00 -$24,525.00 100% $0.00 -$1,226.25 54 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
55 Change Order #55 - FC-1 Duct Size and Connection Changes 6,702.03 0.00 6,702.03 0.00 0.00 $0.00 $6,702.03 100% $0.00 $335.10 56 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
57 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
58 Change Order #58 - (E) Overflow Drain on East Wall 1,417.07 1,417.07 0.00 0.00 0.00 $0.00 $1,417.07 100% $0.00 $70.85 59 Change Order #59 - ASI-27 - Added Beam and Posts for E Roofing Situation 11,241.71 11,241.71 0.00 0.00 0.00 $0.00 $11,241.71 100% $0.00 $562.09 60 Change Order #60 - Wall Type for (E) Door Opening Missing 1,646.08 1,646.08 0.00 0.00 0.00 $0.00 $1,646.08 100% $0.00 $82.30 61 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
62 Change Order #62 - Level 1 Bathroom Demolition and Wall Finishing 2,414.80 2,414.80 0.00 0.00 0.00 $0.00 $2,414.80 100% $0.00 $120.74 63 Change Order #63R1 - Additional Partition Work Requested 2,590.46 0.00 2,590.46 0.00 0.00 $0.00 $2,590.46 100% $0.00 $129.52 64 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
65 Change Order #65 - Clash of (N) Beam Posts w Drain Pipe at (E) Stem Wall 1,453.19 0.00 1,453.19 0.00 0.00 $0.00 $1,453.19 100% $0.00 $72.66 66 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
67 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
68 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
69 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
70 Change Order #70 - Existing Footing with Curb in the Way of Steel Column Baseplate Installation 852.54 852.54 0.00 0.00 0.00 $0.00 $852.54 100% $0.00 $42.63 71 Change Order #71 - Existing Stem Wall on Gridline 3 and Smooth Floor Transition Required 7,427.23 5,000.00 0.00 0.00 $0.00 $5,000.00 67% $2,427.23 $250.00 72 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
73 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
74 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
75 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
76 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
77 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
78 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
79 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
80 Change Order #80R1 - Lighting Package Tariff Price Increase - Second Floor 24,988.03 0.00 24,988.03 0.00 0.00 $0.00 $24,988.03 100% $0.00 $1,249.40 81 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
82 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
83 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
84 Change Order #84 - New RR Wall Conflict with Roof Hatch 4,736.14 4,736.14 0.00 0.00 0.00 $0.00 $4,736.14 100% $0.00 $236.81 85 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
86 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 8
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
87 Change Order #87 - Header Sizes for Openings Over 8' 2,647.07 0.00 2,647.07 0.00 0.00 $0.00 $2,647.07 100% $0.00 $132.35 88 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
89 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
90 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
91 Change Order #91 - RR Floor Finish Room 113 and 114 8,477.64 4,238.82 0.00 0.00 0.00 $0.00 $4,238.82 50% $4,238.82 $211.94 92 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
93 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
94 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
95 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
96 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
97 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
98 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
99 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00
100 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 101 Change Order #101 - VRF System Central Controller 10,805.76 0.00 2,650.00 0.00 0.00 $0.00 $2,650.00 25% $8,155.76 $132.50 102 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 103 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 104 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 105 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 106 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 107 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 108 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 109 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 110 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 111 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 112 Change Order #112 - Added Rebar for Block outs 3,447.39 3,447.39 0.00 0.00 0.00 $0.00 $3,447.39 100% $0.00 $172.37 113 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 114 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 115 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 116 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 117 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 118 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 119 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 120 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 121 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 122 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 123 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 124 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 125 Change Order #125 - Door D112-1 Height Conflict with (E) Wall 2,806.46 2,806.46 0.00 0.00 0.00 $0.00 $2,806.46 100% $0.00 $140.32 126 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 127 Change Order #127 - Damaged Plywood Around Door D101-3 3,456.01 3,456.01 0.00 0.00 0.00 $0.00 $3,456.01 100% $0.00 $172.80 128 Change Order #128 - AV Cabinet Power Requirement 2,572.75 1,572.75 0.00 0.00 0.00 $0.00 $1,572.75 61% $1,000.00 $78.64 129 Change Order #129 - Added Shut-Off Valves Throughout 20,332.40 20,332.40 0.00 0.00 0.00 $0.00 $20,332.40 100% $0.00 $1,016.62 130 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 131 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 132 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 133 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 134 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 9
A B C D E F G H I
ITEM DESCRIPTION OF WORK SCHEDULED TOTAL BILLED MATERIALS STORED TOTAL % BALANCE RETAINAGE NO. VALUE PREVIOUS THIS PRIOR CURRENT TOTAL COMPLETED T/D TO FINISH 5%
APPLICATIONS PERIOD STORED STORED STORED AND STORED (C-G)
TO DATE
135 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 136 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 137 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 138 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 139 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 140 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 141 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 142 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 143 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 144 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 145 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 146 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 147 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 148 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 149 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 150 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 151 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 152 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 153 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 154 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 155 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 156 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 157 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 158 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 159 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 160 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 161 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 162 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 163 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 164 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 165 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 166 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 167 0.00 0.00 0.00 0.00 $0.00 $0.00 #DIV/0! $0.00 $0.00 168 $0.00 #DIV/0! $0.00 $0.00
TOTALS 15,188,255.47 9,116,568.17 960,808.10 0.00 65,000.00 65,000.00 10,142,376.27 66.78% 5,045,879.20 507,118.81 Hawthorne-SeniorCenter-March 26-PayApp-DRAFT-UPDATED.xls Page 10 AGENDA ITEM NO. 21.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Public Works
City Manager: Department Head:
SUBJECT:
Hawthorne Municipal Airport Rehabilitation Taxiway N& S Lighting, Rehabilitate Taxiway Runway 7/25 Lighting, Rehabilitate Airfield Vault, Replace Airfield Signs & Install Airport Beacon Project (Project #22- 09) - Out to Bid.
RECOMMENDED MOTION:
Staff recommends that the City Council approve the Plans and Specifications and authorize the Director of Public Works to advertise for construction bids with a return date of May 26th, 2026.
DISCUSSION:
Provide all services, labor, materials, permits, insurance, tools and equipment needed, in accordance with the Plan(s), Technical Provisions, and Specifications to successfully and safely complete the Rehabilitation Taxiway N& S Lighting, Rehabilitate Taxiway Runway 7/25 Lighting, Rehabilitate Airfield Vault, Replace Airfield Signs & Install Airport Beacon for Hawthorne Municipal Airport located at 12101 Crenshaw Blvd., Hawthorne, CA 90250.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
Improve safety for all airport users and safe operation of airport.
FISCAL IMPACT:
None. The project will be funded through FAA Grant and Airport fund.
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Notice of Bids
projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
i
NOTICE INVITING BIDS
(A Cash Contract)
Pursuant to statute and to the authorization by the City Council of the City of Hawthorne, California, and on file in the office of the City Clerk of said city, notice is hereby given that sealed proposals will be received by the City Clerk of the City of Hawthorne, California in the City Clerk’s office in City Hall, 4455 W. 126th Street, Hawthorne, CA 90250, until 4:00 P.M. on TUESDAY, May 26th, 2026.
Proposals will be publicly opened and recorded on a Bid List at 4:15 P.M. of the same day in the City Clerk's office. Bidders, as well as the general public, are invited to view this proceeding.
Proposals will be read at a meeting of the City Council at 6:00 P.M. on TUESDAY, May 26th, 2026 for the following:
HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S
LIGHTING, REHABILITATE RUNWAY 7/25 LIGHTING,
REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS &
INSTALL AIRPORT BEACON PROJECT
(Project #22-09)
AIP Project No: 3-06-0101-025-2026
SCOPE OF WORK
The work consists of Replacement of all taxiway edge lighting fixtures and associated cables and transformers, Replacement of the airfield lighting vault’s Constant Current Regulators (CCRs), and Replacement of the airfield lighting control system’s ACLS hardware and software. Replacement of runway edge and threshold/end light fixtures, and associated cable and transformers.
Replacement of all existing airfield signage and associated transformers, and replacement of airfield guidance sign foundations and surface painted taxiway location markings as needed to rename all taxiways to conform to the naming convention proposed in the current ALP. Replacement the rotating beacon, including a new mounting pole and foundation and any necessary conduit per Plans and Specifications for Hawthorne Airport located at 12101 Crenshaw Blvd., Hawthorne, CA 90250 projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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ESTIMATED QUANTITIES
BASE BID
ITEM
#
FAA
SPEC
NO.
DESCRIPTION UNIT APPROX
QTY
Element 1 (Taxiway Edge Lighting & ALCMS Upgrades)
1 L-108-1 Furnish and install 1-1/C NO. 8 AWG, 5KV, L824C PRIMARY CABLE LF 25902 2 L-108-2
Furnish and install 1-1/C NO. 6 AWG, GREEN
GROUND WIRE LF 21363
3 L-109-1
ACLS MODIFICATION (WORK BY
MANUFACTURER) LS 1
4 L109-2
FURNISH AND INSTALL NEW 10KCONSTANT
CURRENT REGULATOR (CCR) LS 1
5 L109-3
ACLS MODIFICATION (WORK BY
CONTRACTOR) EA 4
6 L-110-1
FURNISH AND INSTALL NEW CONCRETE
ENCASED 1W-2”C PVC SCH 40 IN EXISTING
ASPHALT PAVEMENT
LF 600
7 L-125-1
FURNISH AND INSTALL L-861T(L) ELEVATED
TAXIWAYS EDGE LIGHT AND TRANSFORMER EA 190
8 L-125-2
FURNISH AND INSTALL L-852T(L)
INPAVEMENT TAXIWAYS EDGE LIGHT AND
TRANSFORMER
EA 106
9 L-125-3
FURNISH AND INSTALL L-867B COVER
PLATE INPAVEMENT TAXIWAYS EDGE LIGHT
AND TRANSFORMER
EA 26
10 L-125-4
FURNISH AND INSTALL L-868B BASE CAN
AND EXTENSION IN EXISTING ASPHALT
PAVEMENT
EA 10
11 L-125-5
FURNISH AND INSTALL L-868B SPACER
PACKAGE ON EXISTING BASE EA 22
12 L-125-6
FURNISH AND INSTALL L-868B SPACER
PACKAGE EA 10
13 L-125-7
FURNISH AND INSTALL L-868B TO L-867B, ¾”
DEEP ADAPTOR PLATESPACER PACKAGE EA 18
projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
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14 L-128-1
DEMOLITION AND REMOVAL OF ELECTRICAL
ITEMS - TAXIWAYS EDGE LIGTHS LS 1
15 L-128-2
MISCELLANEOUS ELECTRICAL WORK –
RUNWAY EDGE LIGHTS LS 1
Element 2 (Runway Edge Lighting Upgrades )
ITEM
#
FAA
SPEC
NO.
DESCRIPTION UNIT APPROX
QTY
16 L-108-1 FURNISH AND INSTALL 1-1/C NO. 8 AWG,
5KV, L-824C PRIMARY CABLE LF 14,754
17 L-108-2 FURNISH AND INSTALL 1-1/C NO. 6 AWG,
600V, GREEN GROUND WIRE LF 13,557
18 L-125-7 FURNISH AND INSTALL L-868B TO L-867B,
3/4" DEEP ADAPTOR PLATE EA 16
19 L-125-8 FURNISH AND INSTALL L-862(L) ELEVATED
RUNWAY EDGE LIGHT & TRANSFORMER EA 39
20 L-125-9
FURNISH AND INSTALL L-862E(L) ELEVATED
RUNWAY END/THRESHOLD LIGHT &
TRANSFORMER
EA 32
21 L-125-10 FURNISH AND INSTALL L-850C(L) INPAVEMENT RUNWAY EDGE LIGHT &
TRANSFORMER
EA 7
22 L-128-3 DEMOLITION AND REMOVAL OF ELECTRICAL
ITEMS - RUNWAY EDGE LIGHTS LS 1
23 L-128-2 MISCELLANEOUS ELECTRICAL WORK -
RUNWAY EDGE LIGHTS LS 1
Element 3 (Airfield Signage Upgrades)
ITEM
#
FAA
SPEC
NO.
DESCRIPTION UNIT APPROX
QTY
projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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24 L-125-11
FURNISH AND INSTALL AIRFIELD GUIDANCE
SIGN - ONE MODULE - ON EXTENDED
FOUNDATION
EA 2
25 L-125-12
FURNISH AND INSTALL AIRFIELD GUIDANCE
SIGN - TWO MODULE - ON EXTENDED
FOUNDATION
EA 43
26 L-125-13
FURNISH AND INSTALL AIRFIELD GUIDANCE
SIGN - THREE MODULE - ON EXTENDED
FOUNDATION
EA 13
27 L-125-14
FURNISH AND INSTALL AIRFIELD GUIDANCE
SIGN - RDR - ON NEW FOUNDATION EA 4
28 L-128-5
DEMOLITION AND REMOVAL OF ELECTRICAL
ITEMS - SIGNAGE LS 1
29 L-128-6
MISCELLANEOUS ELECTRICAL WORK -
SIGNAGE LS 1
Element 4 (Airfield Rotating Beacon)
ITEM
#
FAA
SPEC
NO.
DESCRIPTION UNIT APPROX
QTY
30 L-125-15
FURNISH AND INSTALL AIRPORT ROTATING
BEACON LS 1
31 L-128-1
DEMOLITION AND REMOVAL OF ELECTRICAL
ITEMS - BEACON LS 1
32 L-128-2
MISCELLANEOUS ELECTRICAL WORK -
BEACON LS 1
TIME OF COMPLETION
Time of completion for this project will be 60 Calendar days.
BID PROPOSAL, SPECIFICATIONS, AND PLANS
All proposal forms, specifications and plans can be purchased through the City of Hawthorne’s Citizen self-service: https://hawthorneca-energovweb.tylerhost.net/apps/selfservice#/home.
All contractors will need to create a free account. Once they have created an account then they will need to apply for the Public Works Bid Plans and Specifications. Fill in all necessary information and once the application is submitted the Contractor will receive an invoice (see project information section below for price). Once all fees have been paid the Contractor will then receive three (3) PDFs: 1) general information/provisions PDF, 2) bid proposal forms PDF (see SUBMISSION OF PROPOSALS section below for instructions on how to submit all proposals) and 3) specifications/plans PDF.
NOTE TO PROSPECTIVE BIDDERS: THE COST OF PLANS AND SPECIFICATIONS IS $150.00 (non-refundable).
projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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CLASSIFICATION OF CONTRACTORS
Contractors bidding this project must possess a valid State of California A and C-10 and must meet minimum requirements set forth in the Specifications. The Contractor must be able to document five (5) years of satisfactory experience on project of similar complexity and dollar value and must provide a list of related construction projects at airports using FAA-specified materials.
MANDATORY PRE-BID JOB WALK
A mandatory pre-bid meeting job walk will be conducted at the Hawthorne Airport located at 12101 Crenshaw Blvd., Hawthorne, CA 90250 on Monday, May 4, 2026, at 10:00 a.m. All Bidders shall sign a Sign-In sheet at the job walk. All Bidders’ questions will be answered at this time or by addenda. In addition, Bidders will have the opportunity to tour the proposed improvement and have an opportunity to talk to the City’s Consultant and City’s staff concerning any aspect of the job or the site. BIDS WILL BE NULL AND VOID IF CONTRACTOR DOES NOT ATTEND THIS PRE-BID JOB WALK.
SUBMISSION OF PROPOSALS
Original proposals must be submitted on the blank forms prepared and furnished for that purpose, See BID PROPOSAL SPECIFICATION, AND PLANS section above for instruction on how to obtain all needed forms, specifications and plans. All proposals must be physically submitted to the City Clerk’s office located on the first floor of City of Hawthorne City Hall no later than 4:00 PM on Tuesday May 26th, 2026. Plans and specifications prepared and furnished for that purpose, which may be obtained through the City of Hawthorne’s Citizen self-service:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home.
No bid will be considered unless it conforms with the Proposal Requirements and Conditions.
The City Council of the City of Hawthorne, also referred to as the City, reserves the right to reject any and all submitted proposals. Bids must be submitted in the special envelopes provided marked "Sealed Bid", and addressed to the City Clerk, and bearing on the outside the name of the bidder, address, and the name of the project for which the bid is submitted. It is the sole responsibility of the bidder to see that its bid is delivered to the proper place and received at the proper time. Any bid received after the scheduled closing time for receipt of bids will be returned to the bidder unopened.
Each bid shall be accompanied by bid security in the form of a bid bond, cashier’s check, certified check, or in the amount of 10% of the total bid amount. All cashier’s checks or certified checks must be drawn on a responsible bank doing business in the State of California and shall be made payable to the City of Hawthorne. Bid bonds must be issued by an admitted surety insurer licensed to do business in the State of California. Bids not accompanied by the required bid security will be rejected. Personal or company checks are not acceptable unless certified. projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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The City shall return bid security of unsuccessful bidders when the successful bidder (“Contractor”) enters into the Contract with the City.
A list of subcontractors shall be submitted with the bid on the form provided by the city.
Each bidder must supply all information required by the bid documents and specifications.
NONDISCRIMINATION
Any contract entered into pursuant to this notice will incorporate the provisions of the State Labor Code. Labor Code Section 1735 requires that no discrimination be made in the employment of persons upon Public Works because of race, religious creed, color, national origin, ancestry, physical handicap, medical condition, marital status, or sex of such persons, expect as provided in Government Code Section 12940. Affirmative action to ensure against discrimination in employment practices on the basis of race, color, national origin, ancestry, sex, or religion will also be required.
PERFORMANCE RETENTION
The successful bidder will be required to provide for performance security as provided by law.
Requirements for performance retentions may be satisfied by deposit or securities specified in Section 16430 of the Government Code and in accordance with Section 22300 of the Public Contract Code.
CONTRACTOR REGISTRATION
A contractor or subcontractor shall not be qualified to bid on, be listed a bid proposal, subject to the requirements of Section 4104 of the Public Contract Code, or engage in the performance of any contract for Public Works, unless currently registered and qualified to perform Public Work pursuant to Labor Code Section 1725.5. An unregistered contractor may only submit a bid if authorized by Section 7029.1 of the Business and Professions Code or by Section 10164 0r 20103.5 of the Public Contract Code, provided the contractor is registered to perform public work at the time the contract is awarded.
WAGES AND EQUAL EMPLOYMENT OPPORTUNITIES
This proposed Contract is under and subject to Executive Order 11246, as amended, of September 24, 1965, and to the Equal Employment Opportunity (EEO) and Federal Labor Provisions. The EEO requirement, labor provisions, and wage rates are included in the Specifications and Bid documents and are available for inspection at the City Clerk’s Office, City Hall, City of Hawthorne.
NOTICE IS FURTHER GIVEN that pursuant to the provisions of Section 1773 of the Labor Code of the State of California, the City Council has obtained the general federal prevailing rate of per diem wages in accordance with the law to be paid for the construction of the above entitled Works and Improvements and General Prevailing rate for holiday and overtime work in this locality for each craft. The schedule has been obtained from the U.S. Department for Housing and Urban Development for Community Block Grant Programs of the type and nature proposed by the City, and reference is hereby made to copies thereof on file in the Office of the City Engineer, which said projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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copies are available to any interested party upon request. Further, a copy shall be posted at the job site during the course of construction. All Contractors submitting bids must conform to current federal minimum prevailing wages.
In addition to the Contractor’s obligations as to minimum wages rates, the Contractor shall abide by all other provisions and requirements stipulated in Sections 1770-1780, inclusive, of the Labor Code of the State of California, including, but not limited to, those dealing with the employment of registered apprentices. The responsibility of compliance with Section 1777.5 of the Labor Code shall be with the prime contractor.
AMERICANS WITH DISABILITIES ACT:
By signing this Grant Agreement, Grantee assures State that it complies with the Americans with Disabilities Act (ADA) of 1990, (42 U.S.C., 12101 et seq.), which prohibits discrimination on the basis of disability, as well as all applicable regulations and guidelines issued pursuant to the ADA.
DBE REQUIREMENTS
Contractor or subcontractor shall take necessary and reasonable steps to ensure that DBEs have opportunities to participate in the contract (49 CFR 26) The contractor or subcontractor shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR, Part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as recipient deems appropriate.
PROJECT INFORMATION
Plans and specifications prepared and furnished for that purpose, which may be obtained through the City of Hawthorne’s Citizen self-service:
http://hawthorneca-energovweb.tylerhost.net/apps/selfservice#home.
All contractors will need to create a free account. Once they have created an account then they will need to apply for the Public Works Bid Plans and Specifications. Fill in all necessary information once the application is submitted the Contractor will receive an invoice (see project information section).
NOTE TO PROSPECTIVE BIDDERS: THE COST OF PLANS AND
SPECIFICATIONS IS $150.00 (non-refundable).
If you have any questions regarding this project, please contact Guido Fernandez, Airport Manager, at 310-349-1636 or David Esfandi Senior Engineer, Department of Public Works, at telephone number (310) 349-2984.
projects/specs/22-09 HAWTHORNE MUNICIPAL AIRPORT REHABILITATE TAXIWAY N& S LIGTHGING, REHABILITATE RUNWAY 7/25 LIGTHING, REHABILITATE AIRFIELD VAULT, REPLACE AIRFIELD SIGNS & INSTALL AIRPORT BEACON
PROJECT
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CERTIFICATION OF OFFEROR/BIDDER REGARDING DEBARMENT
By submitting a bid/proposal under this solicitation, the bidder or offeror certifies that neither it nor its principals are presently debarred or suspended by any Federal department or agency from participation in this transaction.
Certification of Lower Tier Contractors Regarding Debarment The successful bidder, by administrating each lower tier subcontract that exceeds $25,000 as a “covered transaction”, must verify each lower tier participant of a “covered transaction “under the project is not presently debarred or otherwise disqualified from participation in this assisted project, The bidder is to provide a Data Universal Numbering System (DUNS) number. The bidder will accomplish this by:
1. Checking the system for Award Management at website: http://www.sam.gov
2. Collecting a certification statement similar to the Certification of Offeror/Bidder Regarding Debarment, above.
3. Inserting a clause or condition in the covered transaction with the lower tier contract The Contractor is required to obtain an “Active Status”. If the City of Hawthorne later determines that a lower tier participation failed to disclose a higher tier participant that it was excluded or disqualified at the time it entered the covered transaction, the City of Hawthorne may pursue any available remedies, including suspension and debarments of the noncompliant participant.
AGENDA ITEM NO. 22.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Finance
City Manager: Department Head:
SUBJECT:
Receive and file the Single Audit Report for FY 2024-2025.
RECOMMENDED MOTION:
Staff recommends that the City Council receive and file the Single Audit Report for FY 2024-2025.
DISCUSSION:
The City's independent auditors, Rogers, Anderson, Malody & Scott, LLP, have completed their annual audit of the City's fiscal activities for the fiscal year ended June 30, 2025. The annual Single Audit Report is being submitted for the City Council's review and approval. The Single Audit Report was submitted to the Federal Audit Clearinghouse and State Controller's Office by the March 31, 2026, deadline.
The Single Audit Report is required for all federal and state funded programs. These programs are audited in conformity with the provisions of the Single Audit Act of 1984 and the U.S. Office of Management and Budget (OMB) Circular A-133, Audits and State and Local Governments. The auditors did not identify any deficiencies in internal control over compliance that are considered to be material weaknesses. No findings were identified.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
None.
FISCAL IMPACT:
None
NOTICING PROCEDURE:
72 hours posted notice pursuant to the Ralph M. Brown Act
ATTACHMENTS
2025 Single Audit Report
City of Hawthorne, California
Single Audit Report on Federal Awards
Year Ended June 30, 2025
City of Hawthorne
Single Audit Report on Federal Awards
Table of Contents
Page
Report on Internal Control Over Financial Reporting and on Compliance and Other Matters Based on an Audit of Financial Statements Performed in Accordance with Government Auditing Standards ......................................................................... 1 Report on Compliance for Each Major Federal Program; Report on Internal Control Over Compliance; and Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance .................................................................................................... 3 Schedule of Expenditures of Federal Awards ........................................................................................... 6 Notes to the Schedule of Expenditures of Federal Awards ...................................................................... 8 Schedule of Findings and Questioned Costs:
Section I - Summary of Auditor's Results ........................................................................................... 9 Section II - Financial Statement Findings ......................................................................................... 10 Section III - Federal Awards Findings and Questioned Costs .......................................................... 10
Summary Schedule of Prior Audit Findings ............................................................................................ 11 -1-
REPORT ON INTERNAL CONTROL OVER FINANCIAL REPORTING AND ON COMPLIANCE AND
OTHER MATTERS BASED ON AN AUDIT OF FINANCIAL STATEMENTS PERFORMED IN
ACCORDANCE WITH
GOVERNMENT AUDITING STANDARDS
Independent Auditor’s Report
To the Honorable City Council
City of Hawthorne, California
We have audited, in accordance with the auditing standards generally accepted in the United States of America and the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States (Government Auditing Standards), the financial statements of the governmental activities, the business-type activities, each major fund, and the aggregate remaining fund information of the City of Hawthorne (the entity), as of and for the year ended June 30, 2025, and the related notes to the financial statements, which collectively comprise the entity’s basic financial statements, and have issued our report thereon dated January 16, 2026.
Report on Internal Control over Financial Reporting
In planning and performing our audit of the financial statements, we considered the entity’s internal control over financial reporting (internal control) as a basis for designing procedures that are appropriate in the circumstances for the purpose of expressing our opinions on the financial statements, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control. Accordingly, we do not express an opinion on the effectiveness of the entity’s internal control.
A deficiency in internal control exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control, such that there is a reasonable possibility that a material misstatement of the entity’s financial statements will not be prevented, or detected and corrected, on a timely basis. A significant deficiency is a deficiency, or a combination of deficiencies, in internal control that is less severe than a material weakness, yet important enough to merit attention by those charged with governance.
Our consideration of internal control was for the limited purpose described in the first paragraph of this section and was not designed to identify all deficiencies in internal control that might be material weaknesses or significant deficiencies. Given these limitations, during our audit we did not identify any deficiencies in internal control that we consider to be material weaknesses. However, material weaknesses or significant deficiencies may exist that were not identified. -2-
Report on Compliance and Other Matters
As part of obtaining reasonable assurance about whether the entity’s financial statements are free from material misstatement, we performed tests of its compliance with certain provisions of laws, regulations, contracts, and grant agreements, noncompliance with which could have a direct and material effect on the financial statements. However, providing an opinion on compliance with those provisions was not an objective of our audit and, accordingly, we do not express such an opinion. The results of our tests disclosed no instances of noncompliance or other matters that are required to be reported under Government Auditing Standards.
We noted certain matters that we have reported to management of the entity in a separate letter dated January 16, 2026.
Purpose of this Report
The purpose of this report is solely to describe the scope of our testing of internal control and compliance and the results of that testing, and not to provide an opinion on the effectiveness of the entity’s internal control or on compliance. This report is an integral part of an audit performed in accordance with Government Auditing Standards in considering the entity’s internal control and compliance. Accordingly, this communication is not suitable for any other purpose.
San Bernardino, California
January 16, 2026
-3-
REPORT ON COMPLIANCE FOR EACH MAJOR FEDERAL PROGRAM;
REPORT ON INTERNAL CONTROL OVER COMPLIANCE; AND
REPORT ON SCHEDULE OF EXPENDITURES OF FEDERAL AWARDS
REQUIRED BY THE UNIFORM GUIDANCE
Independent Auditor’s Report
To the Honorable City Council
City of Hawthorne, California
Report on Compliance for Each Major Federal Program
Opinion on Each Major Federal Program
We have audited the City of Hawthorne’s (the entity’s) compliance with the types of compliance requirements identified as subject to audit in the OMB Compliance Supplement that could have a direct and material effect on each of the entity’s major federal programs for the year ended June 30, 2025. The entity’s major federal programs are identified in the summary of auditor’s results section of the accompanying schedule of findings and questioned costs.
In our opinion, the entity complied, in all material respects, with the compliance requirements referred to above that could have a direct and material effect on each of its major federal programs for the year ended June 30, 2025.
Basis for Opinion on Each Major Federal Program
We conducted our audit of compliance in accordance with auditing standards generally accepted in the United States of America (GAAS); the standards applicable to financial audits contained in Government Auditing Standards issued by the Comptroller General of the United States (Government Auditing Standards); and the audit requirements of Title 2 U.S. Code of Federal Regulations Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Our responsibilities under those standards and the Uniform Guidance are further described in the Auditor’s Responsibilities for the Audit of Compliance section of our report.
We are required to be independent of the entity and to meet our other ethical responsibilities, in accordance with relevant ethical requirements relating to our audit. We believe that the audit evidence we have obtained is sufficient and appropriate to provide a basis for our opinion on compliance for each major federal program. Our audit does not provide a legal determination of the entity’s compliance with the compliance requirements referred to above.
Responsibilities of Management for Compliance
Management is responsible for compliance with the requirements referred to above and for the design, implementation, and maintenance of effective internal control over compliance with the requirements of laws, statutes, regulations, rules and provisions of contracts or grant agreements applicable to the entity’s federal programs.
-4-
Auditor’s Responsibilities for the Audit of Compliance
Our objectives are to obtain reasonable assurance about whether material noncompliance with the compliance requirements referred to above occurred, whether due to fraud or error, and express an opinion on the entity’s compliance based on our audit. Reasonable assurance is a high level of assurance but is not absolute assurance and therefore is not a guarantee that an audit conducted in accordance with GAAS, Government Auditing Standards, and the Uniform Guidance will always detect material noncompliance when it exists. The risk of not detecting material noncompliance resulting from fraud is higher than for that resulting from error, as fraud may involve collusion, forgery, intentional omissions, misrepresentations, or the override of internal control. Noncompliance with the compliance requirements referred to above is considered material, if there is a substantial likelihood that, individually or in the aggregate, it would influence the judgment made by a reasonable user of the report on compliance about the entity’s compliance with the requirements of each major federal program as a whole.
In performing an audit in accordance with GAAS, Government Auditing Standards, and the Uniform Guidance, we:
Exercise professional judgment and maintain professional skepticism throughout the audit. Identify and assess the risks of material noncompliance, whether due to fraud or error, and design and perform audit procedures responsive to those risks. Such procedures include examining, on a test basis, evidence regarding the entity’s compliance with the compliance requirements referred to above and performing such other procedures as we considered necessary in the circumstances. Obtain an understanding of the entity’s internal control over compliance relevant to the audit in order to design audit procedures that are appropriate in the circumstances and to test and report on internal control over compliance in accordance with the Uniform Guidance, but not for the purpose of expressing an opinion on the effectiveness of the entity’s internal control over compliance. Accordingly, no such opinion is expressed.
We are required to communicate with those charged with governance regarding, among other matters, the planned scope and timing of the audit and any significant deficiencies and material weaknesses in internal control over compliance that we identified during the audit.
Report on Internal Control Over Compliance
A deficiency in internal control over compliance exists when the design or operation of a control over compliance does not allow management or employees, in the normal course of performing their assigned functions, to prevent, or detect and correct, noncompliance with a type of compliance requirement of a federal program on a timely basis. A material weakness in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control over compliance, such that there is a reasonable possibility that material noncompliance with a type of compliance requirement of a federal program will not be prevented, or detected and corrected, on a timely basis. A significant deficiency in internal control over compliance is a deficiency, or a combination of deficiencies, in internal control over compliance with a type of compliance requirement of a federal program that is less severe than a material weakness in internal control over compliance, yet important enough to merit attention by those charged with governance.
Our consideration of internal control over compliance was for the limited purpose described in the Auditor’s Responsibilities for the Audit of Compliance section above and was not designed to identify all deficiencies in internal control over compliance that might be material weaknesses or significant deficiencies in internal control over compliance. Given these limitations, during our audit we did not identify any deficiencies in internal control over compliance that we consider to be material weaknesses, as defined above. However, material weaknesses or significant deficiencies in internal control over compliance may exist that were not identified.
Our audit was not designed for the purpose of expressing an opinion on the effectiveness of internal control over compliance. Accordingly, no such opinion is expressed. -5-
The purpose of this report on internal control over compliance is solely to describe the scope of our testing of internal control over compliance and the results of that testing based on the requirements of the Uniform Guidance. Accordingly, this report is not suitable for any other purpose.
Report on Schedule of Expenditures of Federal Awards Required by the Uniform Guidance We have audited the financial statements of the governmental activities, the business-type activities, each major fund, and the aggregate remaining fund information of the entity as of and for the year ended June 30, 2025, and the related notes to the financial statements, which collectively comprise the entity’s basic financial statements. We issued our report thereon, dated January 16, 2026, which contained unmodified opinions on those financial statements. Our audit was conducted for the purpose of forming opinions on the financial statements that collectively comprise the basic financial statements. The accompanying schedule of expenditures of federal awards is presented for purposes of additional analysis as required by the Uniform Guidance and is not a required part of the basic financial statements. Such information is the responsibility of management and was derived from and relates directly to the underlying accounting and other records used to prepare the basic financial statements. The information has been subjected to the auditing procedures applied in the audit of the basic financial statements and certain additional procedures, including comparing and reconciling such information directly to the underlying accounting and other records used to prepare the basic financial statements or to the basic financial statements themselves, and other additional procedures in accordance with auditing standards generally accepted in the United States of America. In our opinion, the schedule of expenditures of federal awards is fairly stated, in all material respects, in relation to the basic financial statements as a whole.
San Bernardino, California
March 25, 2026 (except for our report on the Schedule of Expenditures of Federal Awards, for which the date is January 16, 2026)
City of Hawthorne
Schedule of Expenditures of Federal Awards Year Ended June 30, 2025 See accompanying notes to the schedule of expenditures of federal awards. -6-
Federal
Federal Grantor/ Assistance Agency or Amount
Pass-Through Grantor/ Listing Pass-Through Federal Provided to Program Title Number Number Expenditures Subrecipients
U.S. Department of Housing and Urban Development
Direct Assistance:CDBG-Entitlement/Special Purpose Grants Cluster Community Development Block Grants/Entitlement Grants 14.218 B-20-MW-06-0519 8,745 $ - $ Community Development Block Grants/Entitlement Grants 14.218 B-21-MC-06-0519 395,945 -Community Development Block Grants/Entitlement Grants 14.218 B-22-MC-06-0519 292,459 -Community Development Block Grants/Entitlement Grants 14.218 B-23-MC-06-0519 576,568 -Community Development Block Grants/Entitlement Grants 14.218 B-24-MC-06-0519 793,374 174,416Community Development Block Grants/Entitlement Grants 14.218 B-25-MC-06-0519 30,373 - Total - CDBG-Entitlement/Special Purpose Grants Cluster / ALN 14.218 2,097,464 174,416 Home Investment Partnerships Program 14.239 M-17-MC-06-0513 24,389 -Home Investment Partnerships Program 14.239 M-18-MC-06-0513 538,093 -Home Investment Partnerships Program 14.239 M-19-MC-06-0513 441,950 -Home Investment Partnerships Program 14.239 M-20-MC-06-0501 446,775 -Home Investment Partnerships Program 14.239 M20MC060513 / M21MC060513 49,900 -Home Investment Partnerships Program 14.239 M-21-MC-06-0501 489,080 -Home Investment Partnerships Program 14.239 M-21-MP-06-0513 177,446 -Home Investment Partnerships Program 14.239 M-23-MC-06-0513 3,306 - Total - Assistance Listing 14.239 - 2,170,939
Housing Voucher Cluster
Section 8 Housing Choice Vouchers 14.871 HAPP Various 11, - 673,085 Passed through the County of Los Angeles and Other Cities:
Section 8 Housing Choice Vouchers 14.871 Various 1,168,111 - Total - Housing Voucher Cluster / ALN 14.871 12,841,196 - Total U.S. Department of Housing and Urban Development 17,109,599 174,416 U.S. Department of Justice
Direct Assistance:
Edward Byrne Memorial Justice Assistance Grant Program 16.738 15PBJA-23-GG-03160-JAGX 53,080 - Total - Assistance Listing 16.738 - 53,080
Equitable Sharing Program 16.922 CA0192800 678,067 -
Total - Assistance Listing 16.922 - 678,067
Total U.S. Department of Justice - 731,147
City of Hawthorne
Schedule of Expenditures of Federal Awards Year Ended June 30, 2025 See accompanying notes to the schedule of expenditures of federal awards. -7-
Federal
Federal Grantor/ Assistance Agency or Amount
Pass-Through Grantor/ Listing Pass-Through Federal Provided to Program Title Number Number Expenditures Subrecipients
U.S. Department of Transportation
Direct Assistance:
Airport Improvement Program, Infrastructure Investment
and Jobs Act Programs, and COVID-19 Airports Programs 20.106 3-06-0101-022-2021 19,023 $ - $ Total - Assistance Listing 20.106 - 19,023
Passed through the State of California, Office of Traffic Safety:Highway Safety Cluster State and Community Highway Safety 20.600 PT25094 81,391 - Total - Assistance Listing 20.600 - 81,391
National Priority Safety Programs 20.616 MC25003 101,563 - Total - Assistance Listing 20.616 - 101,563
Total - Highway Safety Cluster - 182,954
Minimum Penalties for Repeat Offenders
for Driving While Intoxicated 20.608 PT25094 85,256 -
Total - Assistance Listing 20.608 - 85,256
Total U.S. Department of Transportation - 287,233
U.S Department of Treasury
Direct Assistance:
Equitable Sharing Program 21.016 CA0192800 305,245 -
Total - Assistance Listing 21.016 - 305,245
Coronavirus State and Local Fiscal Recovery Funds 21.027 N/A 4,223,722 - Total - Assistance Listing 21.027 - 4,223,722
Total U.S. Department of Treasury - 4,223,722
U.S. Department of Homeland Security
Direct Assistance:
Homeland Security Grant Program 97.067 C.F. #22-0988 88,000Homeland Security Grant Program 97.067 2023-0042 106,000 - Total - Assistance Listing 97.067 - 194,000
Total U.S. Department of Homeland Security - 194,000Total Expenditures of Federal Awards $ 174,416 22,850,946 $ City of Hawthorne
Notes to the Schedule of Expenditures of Federal Awards Year Ended June 30, 2025
-8-
NOTE 1: BASIS OF PRESENTATION
The accompanying Schedule of Expenditures of Federal Awards (SEFA) includes the federal award activity of the City of Hawthorne (the entity) that are reimbursable under federal programs of the federal government for the year ended June 30, 2025. The information in this SEFA is presented in accordance with Title 2 U.S.
Code of Federal Regulations (CFR) Part 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (Uniform Guidance). Because the SEFA presents only a selected portion of the operations of the entity, it is not intended to and does not present the financial position, changes in net position or fund balance, or cash flows of the entity. For the purposes of this schedule, federal financial assistance includes both federal financial assistance received directly from a federal agency, as well as federal funds received indirectly by the entity from a nonfederal agency or other organization. Only that portion of program expenditures reimbursable with such federal funds are reported in the accompanying schedule. Program expenditures in excess of the maximum federal reimbursement authorized or the portion of the program expenditures that were funded with state, local or other non-federal funds are excluded from the accompanying schedule.
NOTE 2: SUMMARY OF SIGNIFICANT ACCOUNTING POLICIES
Expenditures reported on the SEFA are reported on the modified accrual basis of accounting. Such expenditures are recognized following the cost principles contained in the Uniform Guidance, wherein certain types of expenditures are not allowable or are limited as to reimbursement. Negative amounts shown on the SEFA, if any, represent adjustments or credits made in the normal course of business to amounts reported as expenditures in prior years. Effective October 1, 2024, the Office of Management and Budget (OMB) revised the Uniform Guidance under 2 CFR Part 200 to increase the de minimis indirect cost rate from 10% to 15% of Modified Total Direct Costs (MTDC). Awards issued prior to October 1, 2024 (and not subsequently amended) continue to apply the 10% de minimis rate. Awards issued or amended on or after October 1, 2024 apply the revised 15% de minimis rate. The entity has elected to use the de minimis indirect cost rate, where applicable, allowed under the Uniform Guidance.
NOTE 3: SUBRECIPIENTS
During the fiscal year ended June 30, 2025, the entity disbursed $174,416 of federal awards to several subrecipients.
City of Hawthorne
Schedule of Findings and Questioned Costs
Year Ended June 30, 2025
-9-
Section I - Summary of Auditor's Results
Financial Statements
Internal control over financial reporting:
Material weakness identified? Yes X No
Significant deficiencies identified
that are not considered to be
material weaknesses? Yes X None Reported
Noncompliance material to financial
statements noted? Yes X No
Federal Awards
Internal control over major programs:
Material weakness identified? Yes X No
Significant deficiencies identified
that are not considered to be
material weaknesses? Yes X None Reported
Any audit findings disclosed that
are required to be reported in
accordance with 2 CFR 200.516(a)? Yes X No
Identification of major programs:
Assistance Listing Number
14.871
Dollar threshold used to distinguish
between type A and type B programs: $750,000
Auditee qualified as low-risk auditee? X Yes No
Type of auditor's report issued on compliance for major programs: Unmodified Name of Federal Program
Type of report the auditor issued on whether the financial statements audited were prepared in accordance with GAAP: Unmodified
Housing Voucher Cluster
City of Hawthorne
Schedule of Findings and Questioned Costs (continued)
Year Ended June 30, 2025
-10-
Section II - Financial Statement Findings
No findings to be reported.
Section III - Federal Awards Findings and Questioned Costs No findings to be reported.
City of Hawthorne
Summary Schedule of Prior Audit Findings
Year Ended June 30, 2025
-11-
Financial Statement Findings
No prior year findings to report.
Federal Awards Findings and Questioned Costs
No prior year findings to report.
AGENDA ITEM NO. 23.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
City Manager: Department Head:
SUBJECT:
Approval of Updated Lifeguard Pay Scale to Support Recruitment, Retention,and PublicSafety RECOMMENDED MOTION:
Staff recommends that the City Councilapprove the proposed update to the hourly pay scale for Aquatics staff positions to improve recruitmentand retention and ensure continued safety at City aquatic facilities.
DISCUSSION:
The City of Hawthorne operates aquatic programs that require certified and qualified lifeguards to ensure the safety of residents and visitors using City pools and aquatic facilities. In recentyears, cities across Los Angeles County have experienced increased competition for trained lifeguards, driven by high demand and alimited pool ofavailable lifeguards.Staff has evaluated currentcompensation levels and compared them with those of surrounding jurisdictions to determine whether adjustments are necessary to remain competitive in the regional labor market.
After reviewingregionalcompensation dataand assessingthe operational needs of the City's aquatic programs, staff worked with the City Manager and Finance Director to develop arevised pay structure that better aligns with neighboringcities. Recruitingand retaining qualified lifeguards is critical to maintainingsafe aquatic operations.
Adequate staffing ensures that pools can operate safely, programs can continue without interruption,and emergency response capabilities remain strong.
Staff believes the proposed pay adjustments will:
• Improve the City's ability to recruit qualified lifeguards • Increase retention of trained seasonaland returningstaff •Maintain high safety standards at City aquatic facilities • Keep the City competitive with surroundingagencies
The City of Hawthorne's current pay rates for aquatic staffare as follows:
Lifeguard: $17.04 per hour
Senior Lifeguard: $19.06 per hour
Aquatics Director: $21.96 per hour
Staff is proposingthe following updated hourly pay rates:
Lifeguard: $20.00 per hour
Senior Lifeguard: $22.00 per hour
Aquatics Director: $24.00 per hour
These rates were developed after reviewingcompensation offered by nearby agencies.
REGIONAL PAY COMPARISON
City of Inglewood
PoolSupervisor: $25.75
Senior Lifeguard: $21.28
Lifeguard: $18.00
City ofElSegundo
Senior Lifeguard: $26.00
Lifeguard: $22.00
City ofTorrance
Senior Lifeguard: $26.77 -- $29.88 (step system)
Lifeguard: $20.51 -- $23.57 (step system)
City of Gardena
Senior Lifeguard: $21.02 -- $26.83
Lifeguard: $19.53 -- $24.93
City of Los Angeles
Senior Lifeguard: $21.02 -- $26.83
Lifeguard: $23.92
Maintainingsafe aquatic facilities requires highly trained and dependable lifeguards. Adjustingthe pay scale will strengthen the City's recruitmentand retention efforts while ensuringthe safety of residents and visitors who utilize City aquatic facilities. Staff respectfully recommends that the City Councilapprove the updated aquatics pay scale.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
N/A
FISCAL IMPACT:
The proposed pay adjustments will have a modest fiscal impactand can be accommodated within the existing Community Services Department budgetallocated for seasonalaquatic staffing.
NOTICING PROCEDURE:
72 Hours posted notice pursuant to the Ralph M. Brown Act.
AGENDA ITEM NO. 24.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: Finance
City Manager: Department Head:
SUBJECT:
Agreement between the City of Hawthorne and Rogers, Anderson, Malody, & Scott, LLP, CPA's to perform independent audit services.
RECOMMENDED MOTION:
Staff recommends that the City Council approve the agreement between the City of Hawthorne and Rogers, Anderson, Malody, & Scott, LLP, CPA's to perform independent audit services for four years plus two optional years beginning with Fiscal Year ending June 30, 2026.
DISCUSSION:
The City's financial policies require the performance of an annual audit. The Government Finance Officers Association (GFOA) recommends that an annual audit of an agency's financial statements should be conducted by an external auditor as a best practice. The purpose of an annual audit is to provide stakeholders with an auditor's opinion on whether the financial statements of an entity are presented fairly in all material respects. As a result of the Office of Management and Budget Circular A133 (also known as the Uniform Guidance), all non-federal government agencies spending more than $750,000 of federal awards in a fiscal year are required to obtain an annual audit from an independent certified public accountant.
These audits are to be conducted in conformance with Generally Accepted Government Auditing Standards (GAGAS) by a licensed independent public accounting firm. As such, auditors complete a risk assessment at the beginning of each audit during the planning stage and create a list of items to be tested while on-site during fieldwork. At a minimum, the City's financial principles require the City to bid for audit services every five to six years.
The City's current audit firm is Rogers, Anderson, Malody, & Scott, LLP, CPA's. The original contract with Rogers, Anderson, Malody, & Scott, LLP, CPA's has expired at the conclusion of the FY 2024-2025 audit. In accordance with the City's financial policies, staff issued a Request for Proposal (RFP), on January 12, 2026, for financial audit services for a new four-year engagement, including two optional years, to commence with Fiscal Year Ending June 30, 2026. The City solicited and issued a request for proposals (RFP) directly to sixteen firms. The City received nine proposals on or before March 19, 2026.
Proposals were opened, and reviewed by members of the Finance staff.
Professional services, such as auditing, are awarded primarily on criteria other than cost, which include proposal content, resources, and technical abilities.
The Finance Department is recommending that the City engage the services of Rogers, Anderson, Malody, & Scott, LLP, CPA's based on the overall proposal, along with the following Criteria:
• Experience in auditing mid-sized government entities; • Technical qualifications;
• Personalized service;
• Referrals received on their behalf;
• Practical and streamlined approach to fieldwork; and • Seasoned audit team.
Rogers, Anderson, Malody, & Scott, LLP, CPA's is a public accounting firm located in San Bernardino that has been providing audit services for more than 78 years, specializing in governmental agencies. As such, over sixteen thousand hours per year are devoted to governmental agencies. The firm is known for its partners and supervisory staff participating in the field with staff accountants, which lends greater expertise and ensures a smooth, efficient, and effective audit. Therefore, the Finance Department believes that the City of Hawthorne will get exceptional audit work for a reasonable cost and recommends the City Council award the contract for audit services to the firm of Rogers, Anderson, Malody & Scott, LLP for four fiscal years beginning with the June 30, 2026 year-end, with the option for two additional years.
Section 12410.6 of Assembly Bill (AB) 1345 prescribes that, effective fiscal 2013-2014, the lead partner in the audit engagement serves in that capacity for no more than 6 consecutive years. Thus, after fiscal year 2025-2026, the lead partner will change.
Staff recommends that the City Council approve a four-year contract with RAMS for financial audit services with an annual value of $78,715, and authorize the City Manager to extend the term of the agreement for an additional two-year period if deemed in the City's best interest. The City may cancel the contract at any time without cause.
Interim audit work for FY 2025-2026 is expected to commence in June, with fieldwork concluding in November, and the audit results will be presented to the City Council in February 2027.
ECONOMIC DEVELOPMENT STRATEGIC PLAN:
Establish partnerships with entities that can work toward City goals and objectives.
FISCAL IMPACT:
The amount of $78,715 for audit services to be performed has been appropriated in the FY 2026-27 annual budget in the General Fund, the Community Redevelopment Fund, and various Grant Funds.
Sufficient funds will also be included in future budgets.
NOTICING PROCEDURE:
72 Hours posted notice pursuant to the Ralph M. Brown Act.
ATTACHMENTS
Agreement between City & RAMS
Proposal
Vendor Comparison
AGREEMENT BETWEEN THE CITY OF HAWTHORNE AND ROGERS ANDERSON MALODY & SCOTT, LLP FOR AUDIT SERVICES.
THIS AGREEMENT is made and effective as of April 15, 2026, between the City of Hawthorne ("City") and Rogers Anderson Malody & Scott, LLP ("Consultant"). In consideration of the mutual covenants and conditions set forth herein, the parties agree as follows:
1. TERM
This Agreement shall commence on April 15, 2026 for various AUDIT SERVICES. This agreement shall remain and continue in effect until tasks described herein are completed, but in no event later than April 30, 2032, unless sooner terminated pursuant to the provisions of this Agreement.
2. SERVICES
Consultant shall perform the tasks described and set forth in Exhibit A, attached hereto and incorporated herein as though set forth in full.
3. PERFORMANCE
Consultant shall at all times faithfully, competently, and to the best of its ability, experience, and talent, perform all tasks described herein. Consultant shall employ, at a minimum, generally accepted standards and practices utilized by persons engaged in providing similar services as are required of Consultant hereunder in meeting its obligations under this Agreement.
4. CITY MANAGEMENT
The City Manager or the Finance Director shall represent CITY in all matters pertaining to the administration of this Agreement, review and approval of all products submitted by Consultant, but not including the authority to enlarge the Tasks to Be Performed or change the compensation due to Consultant. The City Manager shall be authorized to act on the City's behalf and to execute all necessary documents, which enlarge the Tasks to Be Performed or change the Consultant's compensation.
5. COMPENSATION
(a) The City agrees to pay Consultant in accordance with the payment rates and terms and the schedule of payment as set forth in Exhibit A, attached hereto and incorporated herein by this reference as though set forth in full, based upon a time and materials. This amount shall not exceed $491,260 for the 6 year contract period.
(b) Consultant shall not be compensated for any services rendered in connection with its performance of this Agreement, which are in addition to those set forth herein, unless such additional services are authorized in advance and in writing by the City Manager. Consultant shall be compensated for any additional services in the amounts and in the manner as agreed to by City Manager and Consultant at the time City's written authorization is given to Consultant for the performance of said services.
(c) Consultant will submit invoices for actual services performed. Payment shall be made within fortyfive (45) days of receipt of each invoice as to all nondisputed fees. If the City disputes any of Consultant's fees it shall give written notice to Consultant within thirty (30) days of receipt of an invoice of any disputed fees set forth on the invoice.
6. SUSPENSION OR TERMINATION OF AGREEMENT WITHOUT CAUSE (a) The City may at any time, for any reason, with or without cause, suspend or terminate this Agreement, or any portion hereof, by serving upon the consultant at least ten (10) days prior written notice. Upon receipt of said notice, the Consultant shall immediately cease all work under this Agreement, unless the notice provides otherwise. If the City suspends or terminates a portion of this Agreement, such suspension or termination shall not make void or invalidate the remainder of this Agreement.
(b) In the event this Agreement is terminated pursuant to this Section, the City shall pay to Consultant the actual value of the work performed up to the time of termination, provided that the work performed is of value to the City. Upon termination of the Agreement pursuant to this Section, the Consultant will submit an invoice to the City. (c) Consultant may terminate this Agreement for cause if the City fails to cure a material default in performance within a period of 30 days, or such longer period as Consultant may allow, after receipt from Consultant of a written termination notice specifying the default in performance. In the event of termination for cause by Consultant, the City will pay Consultant for all services performed up to and including the effective date of termination.
7. DEFAULT OF CONSULTANT
(a) The Consultant's failure to comply with the provisions of this Agreement shall constitute a default. In the event that Consultant is in default for cause under the terms of this Agreement, City shall have no obligation or duty to continue compensating Consultant for any work performed after the date of default and can terminate this Agreement immediately by written notice to the Consultant. If such failure by the Consultant to make progress in the performance of work hereunder arises out of causes beyond the Consultant's reasonable control, and without fault or negligence of the Consultant, it shall not be considered a default. (b) If the City Manager or his/her delegate determines that the Consultant is in default in the performance of any of the terms or conditions of this Agreement, he/she shall cause to be served upon the Consultant a written notice of the default. The Consultant shall have ten (10) days after service upon it of said notice in which to cure the default by rendering a satisfactory performance.
In the event that the Consultant fails to cure its default within such period of time, the City shall have the right, notwithstanding any other provision of this Agreement, to terminate this Agreement without further notice and without prejudice to any other remedy to which it may be entitled at law, in equity or under this Agreement.
8. OWNERSHIP OF DOCUMENTS
(a) Consultant shall maintain complete and accurate records with respect to sales, costs, expenses, receipts, and other such information required by City that relate to the performance of services under this Agreement. Consultant shall maintain adequate records of services provided in sufficient detail to permit an evaluation of services. All such records shall be maintained in accordance with generally accepted accounting principles and shall be clearly identified and readily accessible. Consultant shall provide free access to the representatives of City or its designees at reasonable times to such books and records; shall give City the right to examine and audit said books and records; shall permit City to make transcripts therefrom as necessary; and shall allow inspection of all work, data, documents, proceedings, and activities related to this Agreement. Such records, together with supporting documents, shall be maintained for a period of three (3) years after receipt of final payment.
(b) Upon completion of, or in the event of termination or suspension of this Agreement, and provided that consultant has been paid in full for services rendered hereunder, all original documents, designs, drawings, maps, models, computer files, surveys, notes, and other documents prepared in the course of providing the services to be performed pursuant to this Agreement shall become the sole property of the City and may be used, reused, or otherwise disposed of by the City without the permission of the Consultant. Any reuse without written verification or adaptation by Consultant for the specific purpose intended will be at City's sole risk and without liability or legal exposure to Consultant.
9. INDEMNIFICATION
When the law establishes a professional standard of care for Consultant's Services, to the fullest extent permitted by law, Consultant shall indemnify, and hold harmless City and any and all of its officials, employees ("Indemnified Parties") from and against any and all losses, liabilities, damages, costs and expenses, including reasonable attorney's fees and costs to the extent same are caused by any negligent act, error or omission of Consultant, its officers, agents, employees or subconsultants (or any entity or individual that Consultant shall bear the legal liability thereof) in the performance of professional services under this Agreement. With respect to the design of public improvements, the Consultant shall not be liable for any injuries or property damage resulting from the reuse of the design at a location other than that specified in Exhibit A without the written consent of the Consultant.
To the extent that the Consultant's services are subject to California Civil Code 2782.8, the above indemnity, including the cost to defense, shall be limited to the extent required by Civil Code Section 2782.8.
10. INSURANCE
(a) Consultant shall maintain inforce: Commercial General Liability and Professional Liability Insurance. During the term of this Agreement, Consultant shall maintain in full force and effect a policy of public liability insurance with minimum coverage of $2,000,000 in accordance with the requirements provided by City to Consultant. Consultant shall also maintain inforce; Professional Liability Insurance (and/or Errors & Omissions Insurance) with minimum limits of liability of $2,000,000 per claim against an injury, death, loss or damages because of wrongful or negligent acts or omissions by the named insured.
(b) Contractor shall maintain inforce Workers' Compensation and Employer's Liability Insurance as required by the California Labor Code. Evidence of coverage shall take the form of a Certificate of Insurance or a California Certificate to SelfInsure. Acceptable minimum limits for this coverage are: Workers' Compensation; Statutory in California; Employer's Liability: $1,000,000. (c) Certificates of Insurance. Contractor shall furnish to City evidence of any insurance required by this Agreement. A Certificate of Insurance from an insurer admitted or authorized to do business in the State of California will be provided, indicating that the respective policy(s) meets the following requirements: (1) The City, its officers, employees, and agents shall be named as additional insured on the General Liability Insurance; (2) Insurance shall not be canceled or terminated without 30 days written notice to City or 10 day notice for nonpayment of the premium; (3) General Liability shall be primary and any insurance held by City for its own protection shall be excess and shall be effective only upon exhaustion of Contractor's insurance; (4) Insurance shall be maintained for the duration of the Agreement, including any period extended beyond the expiration date of this Agreement required to complete performance as stipulated in this Agreement and all amendments thereto. (d) To the extent permitted by law, Consultant's total aggregate liability arising out of or relating to this Agreement shall not exceed $2,000,000 or the total compensation received by Consultant under this Agreement, whichever is greater.
11. INDEPENDENT CONSULTANT
(a) Consultant is and shall at all times remain as to the City a wholly independent Consultant. The personnel performing the services under this Agreement on behalf of Consultant shall at all times be under Consultant's exclusive direction and control. Neither City nor any of its officers, employees, or agents shall have control over the conduct of Consultant or any of Consultant's officers, employees, or agents, except as set forth in this Agreement. Consultant shall not at any time or in any manner represent that it or any of its officers, employees, or agents are in any manner officers, employees, or agents of the City. Consultant shall not incur or have the power to incur any debt, obligation, or liability whatever against City, or bind City in any manner. (b) No employee benefits shall be available to Consultant in connection with the performance of this Agreement. Except for the fees paid to Consultant as provided in the Agreement, City shall not pay salaries, wages, or other compensation to Consultant for performing services hereunder for City. City shall not be liable for compensation or indemnification to Consultant for injury or sickness arising out of performing services hereunder.
12. LEGAL RESPONSIBILITIES
The Consultant shall keep itself informed of applicable State and Federal laws and regulations, which in any manner affect those employed by it or in any way affect the performance of its service pursuant to this Agreement. The Consultant shall at all times observe and comply with all such laws and regulations pursuant to sound professional practices. The City, and its officers and employees, shall not be liable at law or in equity occasioned by negligent failure of the Consultant to comply with this Section.
13. UNDUE INFLUENCE
Consultant declares that no undue influence or pressure is used against or in concert with any officer or employee of the City in connection with the award, terms or implementation of this Agreement, including any method of coercion, confidential financial arrangement, or financial inducement. No officer or employee of the City of Hawthorne will receive compensation, directly or indirectly, from Consultant, or from any officer, employee or agent of Consultant, in connection with the award of this Agreement or any work to be conducted as a result of this Agreement. Violation of this Section shall be a material breach of this Agreement entitling the City to any and all remedies at law or in equity.
14. NO BENEFIT TO ARISE TO LOCAL EMPLOYEES
No member, officer, or employee of City, or their designees or agents, and no public official who exercises authority over or responsibilities with respect to the Project during his/her tenure or for one year thereafter, shall have any interest, direct or indirect, in any agreement or sub agreement, or the proceeds thereof, for work to be performed in connection with the Project performed under this Agreement.
15. RELEASE OF INFORMATION/CONFLICTS OF INTEREST
(a) All information gained by Consultant in performance of this Agreement shall be considered confidential and shall not be released by Consultant without City's prior written authorization.
Consultant, its officers, employees, agents, or subconsultants, shall not without written authorization from the City Manager or unless requested by the City Attorney, voluntarily provide declarations, letters of support, testimony at depositions, response to interrogatories, or other information concerning the work performed under this Agreement or relating to any project or property located within the City. Response to a subpoena or court order shall not be considered "voluntary" provided Consultant gives City notice of such court order or subpoena. (b) Consultant shall promptly notify City should Consultant, its officers, employees, agents, or subconsultants be served with any summons, complaint, subpoena, notice of deposition, request for documents, interrogatories, request for admissions, or other discovery request, court order, or subpoena from any person or party regarding this Agreement and the work performed thereunder or with respect to any project or property located within the City. City retains the right, but has no obligation, to represent Consultant and/or be present at any deposition, hearing, or similar proceeding. Consultant agrees to cooperate fully with City and to provide the opportunity to review any response to discovery requests provided by Consultant. However, City's right to review any such response does not imply or mean the right by City to control, direct, or rewrite said response.
16. NOTICES
The Parties shall submit in writing all notices and correspondence that this Agreement requires or permits, and shall deliver the notices and correspondence to the places set forth below. The parties may give notice by: (a) personal delivery; (b) U.S. mail, first class postage prepaid; (c) "Certified" U.S. mail, postage prepaid, return receipt requested; (d) facsimile or (e) email.
CITY: Vontray Norris, City Manager
City of Hawthorne
4455 West 126th Street
Hawthorne, CA 90250
CONSULTANT: Rogers Anderson Malody & Scott, LLP
Scott Manno, CPA, CGMA, Partner
735 E Carnegie Drive, Suite 100
San Bernardino, CA 92408
17. ASSIGNMENT
The Consultant shall not assign the performance of this Agreement, nor any part thereof, nor any monies due hereunder, without prior written consent of the City. Because of the personal nature of the services to be rendered pursuant to this Agreement, only Consultant staff shall perform the services described in this Agreement.
18. LICENSES
At all times during the term of this Agreement, Consultant shall have in full force and effect, all licenses required of it by law for the performance of the services described in this Agreement.
19. GOVERNING LAW
The City and Consultant understand and agree that the laws of the State of California shall govern the rights, obligations, duties, and liabilities of the parties to this Agreement and also govern the interpretation of this Agreement. Any litigation concerning this Agreement shall take place in the municipal, superior, or federal district court with jurisdiction over the City of Hawthorne.
20. ENTIRE AGREEMENT
This Agreement contains the entire understanding between the parties relating to the obligations of the parties described in this Agreement. All prior or contemporaneous agreements, understandings, representations, and statements, oral or written, are merged into this Agreement and shall be of no further force or effect. Each party is entering into this Agreement based solely upon the representations set forth herein and upon each party's own independent investigation of any and all facts such party deems material.
21. AUTHORITY TO EXECUTE THIS AGREEMENT
The person or persons executing this Agreement on behalf of Consultant warrants and represents that he/she has the authority to execute this Agreement on behalf of the Consultant and has the authority to bind Consultant to the performance of its obligations hereunder.
IN WITNESS WHEREOF, the parties hereto have caused this Agreement to be executed the dayand year first above written.
CITY OF HAWTHORNE CONSULTANT
Vontray Norris, City Manager Scott Manno, CPA, CGMA, Partner City of Hawthorne Rogers Anderson Malody & Scott, LLP
EXHIBIT A
RAMS Proposal
Dated
MARCH 19, 2026
0 The auditor may advise management in the proposal or otherwise that the auditor’s acceptance of the engagement cannot be final until the inquiries have been made and the responses of the predecessor auditor have been evaluated.
RFP #2025-006
CITY OF HAWTHORNE
PROPOSAL FOR PROFESSIONAL AUDITING SERVICES
FOR THE FISCAL YEARS ENDING JUNE 30, 2026 THROUGH 2031
(WITH THE OPTION FOR UP TO TWO ADDITIONAL YEARS)
CONTACT PERSONS:
SCOTT MANNO, CPA, CGMA
[email protected]
GARDENYA DURAN, CPA, CGMA
[email protected]
909.889.0871
PREPARED BY
ROGERS ANDERSON MALODY & SCOTT, LLP
735 E Carnegie Drive, Suite 100
San Bernardino, CA 92408
LICENSE #2596
FEIN 95-2662063
MARCH 19, 2026
City of Hawthorne
Proposal for Professional Auditing Services
Table of Contents
Page
Transmittal letter .................................................................................................................................. i Technical Proposal
Audit Team ................................................................................................................................. 1 Partner and supervisory staff involvement
Staff continuity
Continuing professional education
Assigned personnel
Engagement team resumes
Audit Scope and provisions ....................................................................................................... 9 Services to be provided
Engagement approach
Audit approach and proposed audit segmentation
Level of staff and approximate number of hours assigned to each segment Sample sizes (including for compliance testing)
Intelligent audit technology
Analytical procedures
Auditing in a remote environment
Proposed audit timing
Cost Data ................................................................................................................................... 17 Additional Data ........................................................................................................................... 17 Independence ...................................................................................................................... 17 License to practice ............................................................................................................... 18 Firm qualifications and experience ...................................................................................... 18 About our firm
External quality control review
Disciplinary action
Similar Engagements with Other Government Entities
Engagement quality control
Range of services
Governmental Audit Quality Center
Housing Authority and Successor Agency experience
Single Audit experience
ACFR preparation
Equal Opportunity Employer
References
Identification of potential audit problems ............................................................................. 24 Working paper retention ...................................................................................................... 24 Attachment A: Cost Data
Tel. 909-889-0871 | www.ramscpa.net | 735 E. Carnegie Dr. Suite 100, San Bernardino, CA 92408
CERTIFIED PUBLIC ACCOUNTANTS
-iMarch 19, 2026
City of Hawthorne
4455 W. 126th Street
Hawthorne, CA 90250
We are pleased to respond, on behalf of Rogers, Anderson, Malody & Scott, LLP (RAMS), to your request for a proposal regarding professional auditing services. As a recognized industry leader and innovator for the past 78 years, our goal has been to provide honest, high-quality, and objective results to all our clients, including governmental organizations such as yours. This dedication has fueled our firm's tremendous organic growth while ensuring personalized, client-focused services, with some governmental clients being with us for over 25 years.
At RAMS, we are committed to achieving the highest quality audit in the most effective manner possible.
We understand the complexities of performing governmental audits, which is why we have a dedicated team of auditors with specialized knowledge and experience to ensure our audits are planned and executed efficiently and effectively, providing you with the highest quality services.
We understand that the City of Hawthorne (the City) will review other proposals during this process, but we believe that RAMS is the exceptional choice for your audit for the following reasons:
Reputation: We are a local firm and have an established reputation in the governmental and not-forprofit accounting and auditing community for providing excellent, timely service with high-quality reporting.
Advanced Tools: We utilize Teammate Analytics, a suite of over 200 Computer Aided Audit Tools (CAATs), empowering our audit teams to perform powerful data analysis that enhances our substantive audit procedures and helps identify transactions or amounts indicative of potential fraud.
Risk-Based Approach: Our intelligent, risk-based audit (using CAAT) allows us to focus on key audit areas, increasing efficiency and resulting in a higher quality audit at a reasonable fee.
Experience: We currently provide auditing services to over 70 governmental agencies and not-forprofit organizations, including over 30 cities with enterprise activities and over 35 special districts.
Remote Capabilities: We have developed a comprehensive remote working environment for our audits. All our staff are equipped to work remotely, effectively and efficiently, ensuring a quality audit.
Commitment to Deadlines: We are committed to meeting all reporting/auditing deadlines, resolving any issues encountered during your audit, and providing you with quality audit services.
Minimizing Stress: We understand the audit process can be stressful for you and your staff. We strive to make the audit process as trouble-free as possible by comprehensively planning and utilizing our staff and audit technologies efficiently and effectively while minimizing disruptions and miscommunications.
Personable Team: Our audit team members are personable and easy to work with yet focused on the audit. Through open and responsive communication, we aim to minimize operational distractions for your staff while maximizing quality service.
Quality Control: We have an extensive internal quality control review process to ensure your financial reports meet the highest standards. Each report is prepared by the engagement team, reviewed by the engagement manager, and thoroughly examined by two partners and at least one professional proofreader.
Award-Winning Assistance: We have assisted many clients with the preparation of their Annual Comprehensive Financial Reports. All our clients who submitted reports for the GFOA award have received them. Our participation as a GFOA reviewer also indirectly benefits our clients in the quality review process.
-iiValue for Investment: Our fee estimate provides a fair and reasonable investment, commensurate with the level of service provided and the experience of the audit team members. While we may not be the lowest bidder, our focus is on delivering the best value and high-quality services, pricing our engagements accordingly.
We are a local firm which has a total staff of 58 people, which includes nineteen certified public accountants.
The staff consists of six partners, nine managers, thirteen supervisors/senior accountants, twenty-five staff accountants, and five support staff, all full time.
Our firm provides various services ranging from audits, consulting, management advisory services, tax preparation, etc. For additional information our range of activities, please refer to the “About Our firm” section on page 18.
We currently use an Engagement (audit software) and Teammate Analytics (a suite of over 200 dynamic Computer Aided Audit Tools (CAAT). For more information regarding the firm’s information technology (IT) audit capabilities, please see the “Segment 1 - Interim testing” on page 11 and the “Intelligent audit technology” section on page 14.
Our firm has been auditing local government for over 78 years, we have extensive experience in this field.
For a listing of the firm’s recent auditing experience with similar audits and contact information for five of the audits refer “Similar Engagements with Other Government Entities” section on page 20.
Engagement offers integrated financial statement preparation directly from the audited trial balances. In addition, the firm has a department that specializes in formatting the financial statements and utilizes adobe acrobat for document publication. For more information on the staff proofreading expertise, refer to the “Engagement quality control” section on page 21.
Our proposal is prepared clearly, concisely, and in accordance with the request for proposal. We believe our firm, staff, and reputation as a leader in governmental auditing exceed the need for the typical excessive information found in other proposals.
Rogers, Anderson, Malody & Scott, LLP, is a local firm and is properly licensed to practice in California, including all the professional staff assigned to this engagement. Mr. Scott Manno, Partner, and Mrs.
Gardenya Duran, Partner are authorized to represent the firm, submit the bid, and sign a contract with the City. They can be reached at 735 E Carnegie Drive, Suite 100, San Bernardino, CA 92408 or 909.889.0871.
We understand the work to be done as listed in the section of this proposal titled "Services to be Provided," and we are committed to meeting any agreed-upon time frames.
Thank you for the opportunity to present our proposal to the City. We are committed to exceeding your expectations of an auditor and believe this proposal provides you with comprehensive information about our firm, service team members, and our customized audit approach. We look forward to establishing a long and mutually beneficial relationship with the City. Please feel free to contact us if you have any questions regarding this proposal.
Respectfully yours,
ROGERS, ANDERSON, MALODY & SCOTT, LLP
Scott W. Manno, CPA, CGMA
Partner
City of Hawthorne
Proposal for Professional Auditing Services
-1-
Audit Team
The quality of service you receive hinges on the capabilities of the individuals assigned to your engagement and how effectively these personnel resources are organized. Our professionals are highly trained, knowledgeable, and have a deep understanding of the environment in which governmental and not-for-profit entities operate. This expertise is crucial for providing the City with an effective and efficient audit.
Our engagement team brings significant experience and a practical understanding of governmental accounting and auditing, combined with a broad business perspective. Each member has access to a wide range of technical resources and knowledge bases, enabling them to offer practical observations and effective solutions to the City.
Partner and supervisory staff involvement
Our partners and supervisory staff are actively and continuously involved in all aspects of their engagements. We believe that their involvement is a key aspect of the overall audit process. This includes being on-site for interim and year-end fieldwork, ensuring a proper, efficient, and effective audit with minimal disruption to your staff. The time spent on-site by partners and supervisory staff allows them to understand the City’s accounting processes and procedures thoroughly. This understanding helps in evaluating and developing opportunities for efficiency and offering practical advice to improve your accounting processes and procedures.
All professionals on this engagement have extensive experience with audits similar to the City’s, eliminating the need for the City to train our team.
Staff continuity
Maintaining continuity of audit staff is a principal concern for our firm. To retain our staff, we offer competitive wages, advancement opportunities, generous medical packages, a retirement plan, bonus opportunities, and educational benefits. While we strive for continuity, we acknowledge that staff changes may occur. We plan to provide consistent staff year to year, which is in the best interest of both the City and our firm. Continuity ensures an orderly, efficient, and less disruptive audit experience.
In case of staff changes, principal supervisory and management staff, including engagement partners, managers, other supervisory staff, and specialists, may be replaced if they leave the firm or are promoted. However, the City reserves the right to accept or reject replacements.
Due to the significant involvement of our partners in all engagements, any staff transition would have a minimal impact on audit efficiency and effectiveness in subsequent years. Other audit personnel may be changed at the discretion of the City provided that the replacements have substantially the same or better qualifications/experience.
Continuing Professional Education
Our auditor specialists stay current in this technical practice area by adhering to, and typically exceeding, the continuing professional education requirements of Government Auditing Standards and the State Board of Accountancy guidelines. All professionals at our firm participate in continuing professional education (CPE) programs sponsored by various organizations, including the Government Finance Officers Association, the American Institute of Certified Public Accountants, the California State Society of Certified Public Accountants, the California Society of Municipal Finance Officers, and the Association of Government Accountants. These programs ensure our clients are serviced by the best-trained and most proficient government auditors and accountants available. We also provide inhouse training conducted by our partners and senior staff using published resources. All staff are required to attend fraud and ethics training. Our goal is to provide professional staff with continuing education that exceeds the minimum standard of 80 hours over two years.
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
According to our firm’s Quality Control document and Government Auditing Standards (GAS), all staff working on audits subject to GAS must complete CPE in line with GAS standards, requiring 24 hours directly related to governmental accounting and auditing.
To further increase our technical knowledge, we utilize resources such as the Governmental Audit Quality Center Annual Webcast Update, other relevant seminars, and monthly publications from the AICPA, the GFOA, and other sources. We also attend conferences and seminars sponsored by the GFOA, California Society of Municipal Finance Officers, California State Society of Certified Public Accountants, and the California Special Districts Association.
Assigned personnel
Our goal is to provide you with capable, competent, and personable individuals who possess an extensive background in governmental accounting and auditing and general business practices. This allows us to offer practical solutions and technical support, keeping you at the forefront of governmental accounting and helping you navigate complex issues.
Our engagement team has the managerial and supervisory experience to provide the City with a comprehensive audit of the highest quality while focusing on personal service. The resumes of the key engagement personnel assigned to the audit are presented below. These individuals will be assigned to the engagement for the entire contract period.
Scott W. Manno, CPA, CGMA – Partner, Engagement Partner Scott will serve as the Engagement Partner for your municipal audit. He is licensed to practice as a certified public accountant in the State of California and brings over 29 years of public accounting experience, specializing in serving local governments. As the engagement partner, Scott will be responsible for the overall quality of the engagement, ensuring it is performed efficiently and effectively. He will directly oversee all engagement staff, assist in planning and performing the engagement, and review all workpapers and required reports prepared during the engagement.
Scott, like all our partners, is a working partner and will be actively involved in all aspects of the engagement, ensuring a high standard of service and attention to detail throughout the process.
Gardenya Duran, CPA, CGMA – Partner, Concurring Partner Garden will serve as the Concurring Partner for the engagement. She is licensed to practice as a certified public accountant in the State of California and brings over 16 years of public accounting experience, specializing in serving local governments. As the concurring partner, she will work directly with Scott in planning and performing the engagement. In addition, he will provide technical consultation for the engagement team.
Brianna Schultz, CPA – Partner, Quality Control Reviewer Brianna will be the Quality Control Reviewer. She is licensed to practice as a certified public accountant in the State of California. She has over 16 years of practical, governmental accounting and auditing experience. Brianna will be responsible for the final quality control review of all released opinions and related reports
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Laura Arvizu, CPA – Engagement Manager
Laura is a manager with the firm and is licensed to practice as a certified public accountant in the State of California. Laura has over 10 years of experience in providing accounting and auditing services for municipalities, special districts, and various nonprofit organizations. As the engagement manager, she will work directly with the audit in-charge and partner, while supervising the engagement team during all phases of the engagement. In conjunction with the audit in-charge, she will also oversee the preparation of any required reports.
Sean Schmidt, CPA – Audit Senior
Sean is an audit senior with the firm and is licensed to practice as a certified public accountant in the State of California. Sean is an Audit Senior with our firm, bringing four years of experience in providing accounting and auditing services to municipalities, special districts, and various not-forprofit organizations.
As an Audit Senior, Sean will work closely with the engagement partner and manager. He will be responsible for planning the audit, supervising the staff assigned to the engagement, and reviewing all workpapers prepared for the engagement. Additionally, he will oversee the preparation of any required reports, ensuring thoroughness and compliance with all standards.
Mr. Terry Shea, CPA – Consultant
Terry is a retired municipal audit partner with the firm providing consulting services. He is licensed to practice as a certified public accountant in the State of California. Terry has over 40 years of public accounting experience and has provided accounting, auditing, and consulting services for municipalities, special districts, water agencies, and various not-for-profit organizations. Terry will assist on an as needed basis with the engagement. In addition, he will provide technical consultation for the engagement team.
Staff level accountants
All our staff accountants working on governmental audits are highly qualified to perform these audits. Prior to the audit season, our staff undergoes rigorous training that covers all aspects of our audit process and programs, ensuring they have a solid foundation before starting fieldwork. Each staff member is encouraged to take on increased responsibilities in engagements they have previously worked on, enabling them to grow and continually enhance their skills and knowledge.
Currently, Scott, Gardenya, Brianna, and Laura are all GFOA ACFR reviewers.
In summary, we emphasize the credentials of the professionals who will be directly responsible for the quality of service you will receive. Additionally, our audit team possesses an important, albeit intangible, attribute: the professionals assigned to your audits have previously worked together as a multidisciplined team. This ensures a smooth, efficient, and effective audit process. We are committed to allocating the necessary resources to ensure continuity of personnel throughout our relationship with the City.
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Engagement team resumes
Scott W. Manno, CPA, CGMA
Engagement Partner
Professional experience
Mr. Manno began his career with Thomas, Bigbie and Smith in 1996 after serving in the United States Army. He spent six years with the firm primarily working on audits of municipalities, special districts and redevelopment agencies as well as various not-forprofit organizations. He joined Rogers, Anderson, Malody & Scott, LLP in July 2001.
Currently, Mr. Manno serves as a technical reviewer for the GFOA ACFR Award program and he is also on the GFOA Special Review Executive Committee. In addition, he is part of the California State Society of Certified Public Accountants Governmental Accounting which meets periodically to discuss current events, pronouncements, etc.
Education/licenses
Bachelor of Science, Business Administration – California State University, San Bernardino Certified Public Accountant – State of California
Chartered Global Management Accountant – American Institute of Certified Public Accountants Related professional experience
Partial listing of relevant governmental agencies served (*includes enterprise fund accounting):
City of El Cajon* Town of Yucca Valley City of La Mesa* City of Santee City of Sierra Madre* City of Santa Paula* City of Eastvale City of 29 Palms City of Moreno Valley* City of Beaumont* City of San Marcos* City of Loma Linda* City of Live Oak* City of Perris* City of Exeter* City of Woodlake* City of San Jacinto* City of Menifee City of Rolling Hills Est. City of Ojai* Mr. Manno has completed over 183 hours of continuing professional education courses over the past three years of which the following select courses are relevant to this engagement:
♦ State and Local Government Audit Planning Considerations ♦ Audits of State and Local Governments
♦ 2025 Government Accounting and Auditing Update
♦ Auditing Internal Controls for Governments
Professional affiliations
Mr. Manno is a member of the following organizations:
♦ American Institute of Certified Public Accountants (AICPA) ♦ California Society of Certified Public Accountants (CalCPA) ♦ Association of Government Accountants (AGA)
♦ Association of Certified Fraud Examiners (ACFE)
♦ Government Finance Officers Association (GFOA)
♦ California Special Districts Association (CSDA)
♦ California Society of Municipal Finance Officers (CSMFO)
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Gardenya Duran, CPA, CGMA
Concurring Partner
Professional experience
Mrs. Duran joined Rogers, Anderson, Malody & Scott, LLP in 2010. She works primarily on audits of governmental agencies, small to mid-sized businesses, and nonprofit organizations. Mrs. Duran has served as a technical reviewer for the GFOA ACFR Award program. Mrs. Duran specializes in advisory services gearing towards helping local governments restore their finance departments and compliance after staffing disruptions for governments, municipalities and various non-profit organizations. Prior to joining our firm, she was an Information Systems Technician in the U.S. Navy for nine years.
Education/licenses
Bachelor of Science, Business Administration – California State University, San Bernardino Certified Public Accountant – State of California
Chartered Global Management Accountant – American Institute of Certified Public Accountants Related professional experience
Partial listing of relevant governmental agencies served (*includes enterprise fund accounting):
City of Hawthorne* City of El Cajon* City of Aliso Viejo City of Capitola City of Poway* City of San Jacinto* City of San Bernardino City of Goleta City of Canyon Lake City of San Marcos* City of Redondo Beach* City of West Covina* City of La Mesa* City of Thousand Oaks* City of Claremont* City of Chula Vista* Continuing professional education
Mrs. Duran has completed over 145 hours of continuing professional education courses in the past three years of which the following select courses are relevant to this engagement:
♦ GASB Update - Recently issued Pronouncements
♦ Fundamental of Preparing an Annual Comprehensive Financial Report ♦ Single Audit Update
♦ Audits of State and Local Governments
Professional affiliations
Mrs. Duran is a member of the following professional organizations:
♦ American Institute of Certified Public Accountants (AICPA) ♦ California Society of Certified Public Accountants (CalCPA) ♦ Government Finance Officers Association (GFOA)
♦ California Society of Municipal Finance Officers (CSMFO)
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Brianna Schultz, CPA, CGMA
Quality Control Partner
Professional experience
Mrs. Schultz began her career with Rogers, Anderson, Malody & Scott, LLP in 2014, and had over three years’ experience with another public accounting firm serving the same industry. Currently, Mrs. Schultz serves as a technical reviewer for the GFOA ACFR Award program. During her time with the firm, she has worked primarily on audits of municipalities, special districts and redevelopment agencies, as well as various nonprofit organizations.
Education
Bachelor of Science, Business Administration – California State University, San Bernardino Certified Public Accountant – State of California
Chartered Global Management Accountant – American Institute of Certified Public Accountants Related professional experience
Partial listing of relevant governmental agencies served (*includes enterprise fund accounting):
City of Menifee City of Aliso Viejo City of Claremont* City of Chino* City of Glendora* City of Rolling Hills Est. City of San Bernardino City of Sierra Madre* City of La Verne* City of Loma Linda* City of South Pasadena* City of West Covina* City of La Mesa* City of Baldwin Park City of El Cajon* City of Hawthorne* Mrs. Schultz obtained the AICPA’s Advanced Single Audit Certificate in 2019 and the Intermediate Single Audit Certificate in 2017. She served as the contract Interim Accounting Manager for the City of Glendora in 2016 and the Senior Accountant for the City of Rancho Cucamonga in 2015. Additionally, she is a reviewer for the GFOA ACFR Program.
Continuing professional education
Mrs. Schultz has completed over 160 hours of continuing professional education courses over the past three years of which the following select courses are relevant to this engagement:
♦ Governmental Accounting and Auditing Conference
♦ Single Audit Update
♦ How to Implement GASBS 87 and Maintain Compliance
Professional Affiliations
Mrs. Schultz is a member of the following organizations:
♦ American Institute of Certified Public Accountants (AICPA) ♦ California Society of Certified Public Accountants (CalCPA) ♦ Government Finance Officers Association (GFOA)
♦ California Society of Municipal Finance Officers (CSMFO)
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Laura Arvizu, CPA
Audit Manager
Professional Experience
Laura is an Audit Manager with the firm. She has over 10 years of experience in providing accounting and auditing services for municipalities, special districts and various nonprofit organizations. As an audit manager, she will work closely with the engagement partner and be responsible for planning the audit, supervising the staff assigned to the engagement, and performing reviews of all workpapers prepared for the engagement. In addition, she will also be responsible for the preparation of any required reports. Currently, Laura serves as a technical reviewer for the GFOA ACFR Award program.
Education
Bachelor of Arts, Business Administration – California State University, San Bernardino Certified Public Accountant – State of California
Related professional experience
Partial listing of relevant governmental agencies served (*includes enterprise fund accounting):
City of Imperial Beach* City of Yorba Linda* City of El Cajon* City of Brawley* City of Twentynine Palms* City of Claremont* City of Ojai* City of La Mesa* City of San Dimas City of Fountain Valley* City of Wildomar City of Hawthorne* City of Sierra Madre* City of Mission Viejo* City of Live Oak* Continuing Professional Education
Ms. Arvizu has completed over 120 hours of continuing professional education courses over the past three years of which the following select courses are relevant to this engagement:
♦ Annual Governmental GAAP Update
♦ Government-wide Financial Statements, and Conversions and Consolidations ♦ GASB Update - Recently Issued Pronouncements
♦ GASB 101 Compensated Absences
Professional affiliations
Mrs. Arvizu is a member of the following professional organizations:
♦ American Institute of Certified Public Accountants (AICPA) ♦ California Society of Certified Public Accountants (CalCPA) ♦ California Society of Municipal Finance Officers (CSMFO) ♦ Government Finance Officers Association (GFOA)
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Team (continued)
Sean Schmidt, CPA
Audit Senior
Professional experience
Mr. Schmidt joined Rogers, Anderson, Malody & Scott, LLP in May 2021, primarily providing accounting and auditing services for municipalities, special districts, and various nonprofit organizations. As an audit senior, he will work closely with the engagement partner and manager and be responsible for planning the audit, supervising the staff assigned to the engagement, and performing reviews of all workpapers prepared for the engagement. In addition, he will also be responsible for the preparation of any required reports.
Education
Bachelor of Arts, Business Administration – California State University, San Bernardino Master of Science in Accountancy – California State University, San Bernardino Certified Public Accountant – State of California
Related professional experience
Partial listing of relevant governmental agencies served (*includes enterprise fund accounting):
City of Hawthorne* City of Fountain
Valley*
City of San Marcos* Crestline-Lake Arrowhead
Water Agency
City of San Bernardino* City of San Jacinto* City of Santee City of San Dimas West Basin Water District Valley Water Company City of El Cajon* City of Exeter Continuing professional education
Mr. Schmidt has completed the following select courses that are relevant to this engagement:
♦ 2025 Annual Governmental GAAP Update
♦ 2025 Auditing and Attestation Standards for CPAs: Spring Update ♦ GASB-103 and 104 - Gearing Up!
Professional affiliations
Mr. Schmidt is a member of the following professional organizations:
♦ American Institute of Certified Public Accountants (AICPA) ♦ California Society of Certified Public Accountants (CalCPA) ♦ California Society of Municipal Finance Officers (CSMFO)
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Scope and Provisions
Services to be provided
The City desires the auditor to express opinions on the fair presentation of the financial statements for the following: the City of Hawthorne, its component units: the Housing Authority, the Financing Authority and the Parking Authority and the Successor Agency in accordance with generally accepted accounting principles.
In addition, we shall:
• Perform procedures to determine whether the City has complied with laws and regulations that may have a material effect upon the financial statements. • Examine the City’s internal accounting controls and accounting procedures and render written reports of their findings and recommendations to the Finance Director. • Prepare the financial statements (ACFR), in accordance with General Accepted Accounting Principles, with management’s direct oversight and approval. • Apply certain limited procedures related to Management’s Discussion and Analysis and Required Supplementary Information and provide an “in-relation-to" report on the combining and individual fund financial statements and supporting schedules, if applicable. • Auditors shall include all funds of the City and its component units: the Housing Authority, the Successor Agency, the Financing Authority and the Parking Authority. • Prepare the component units’ financial statements for each fiscal year, which shall include such component unit, general purpose and supplementary financial statements, notes to the financial statements and an opinion as to the fairness of their presentation in conformity with generally accepted accounting principles, applicable to the various funds or state the reasons for any exceptions to said principles.
• Provide opinions as to the compliance with the Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (OMB Uniform Guidance). RAMS is to provide an "in-relation-to" report on the Schedule of Expenditures of Federal Awards based on the auditing procedures applied during the audit of the financial statements. • Test compliance with Article XIIIB pertaining to the City's appropriation limit and prepare an Agreed-Upon Procedures report to the City Council regarding compliance.
Our audit(s) will be in accordance with:
• Generally Accepted Auditing Standards as promulgated by the American Institute of Certified Public Accountants, including requirements found in the most recent AICPA audit guide Audits of State and Local Governments.
• Government Auditing Standards issued by the Comptroller of the United States of America. • Single Audit Act of 1984, as amended in 1996.
• Uniform Administrative Requirements, Cost Principles and Audit Requirements for Federal Awards (OMB Uniform Guidance).
• Any other applicable standards for other items outlined in the Scope of Work to be performed and/or reports to be issued.
Reports to be issued:
• A report on the fair presentation of the financial statements in conformity with GAAP. • A report on internal control over financial reporting and on compliance and other matters based on an audit of financial statements performed in accordance with Government Auditing Standards (material weaknesses or significant deficiencies). • A report in compliance with requirements applicable to each major federal program and internal control over compliance in accordance with the Uniform Guidance. • Prepare Management Letter that includes significant and less significant (i.e., reportable and non-reportable) recommendations for improvements to internal control. • We will issue reports to those charged with governance (SAS 114 letters) as required by auditing standards.
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Scope and Provisions (continued)
RAMS will also perform the following:
• Make an immediate, written notification of all irregularities and illegal acts or indication of illegal acts of which we become aware to the following: City Council, City Manager, City Attorney and Finance Director.
Engagement approach
Our engagement approach for your audit is meticulously designed to ensure measurable progress and successful outcomes. This involves setting clear goals and maintaining frequent communication between the engagement partner, lead auditor, and the team. Our approach leverages our extensive knowledge and expertise in governmental accounting and auditing to identify and address key audit and accounting risks specific to the government sector. Each year's audit includes a complete reassessment of the control environment, enabling us to respond to any changes in risk assessment effectively.
Key components of our engagement approach
Knowledge and Experience: With over 78 years of auditing governmental entities of all sizes, we possess in-depth knowledge of the governmental environment. This enables us to perform efficient and effective audits, conduct detailed risk assessments, and identify significant audit risk areas within the City's control environment.
Intelligent Design: Utilizing advanced audit software and data analytic tools (Engagement and Teammate Analytics), we can analyze large volumes of data quickly, enhancing both the efficiency and effectiveness of our audits.
Professional Oversight: Our partners, managers, and supervisors have extensive experience in governmental audits, allowing us to design and execute audit strategies that are both effective and efficient.
Timeliness: Meeting deadlines is a professional commitment for us. We ensure that all required and agreed-upon deadlines are met.
Open Communication: Maintaining open lines of communication with all parties involved, including City management and staff, helps eliminate surprises and ensures a smooth audit process.
Availability: Our engagement team members are available year-round for any questions or additional consultation. City staff will have direct access to the partner, manager, and supervisory staff during and after the engagement.
Cost-Effectiveness: Our customized audit approach and experienced auditors help reduce overall audit costs while delivering effective audits and high-quality reports.
Risk-Based Approach: We perform detailed risk assessment procedures to understand the City and its environment, including internal controls. This forms the basis for our assessment of risks of material misstatement at the financial statement and relevant assertion levels. We may perform further audit procedures concurrently with risk assessment as necessary.
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Scope and Provisions (continued)
As stated in our proposal, our primary objective is to conduct an audit of the financial statements in accordance with required auditing standards and to express an opinion on those statements. Our engagement approach also offers several value-added benefits at no additional cost:
Efficiency and Minimal Disruption: Our audits are designed to be efficient and effective, minimizing disruption to office operations.
Practical Observations and Recommendations: We provide practical observations and recommendations on internal control issues, accounting standards implementation, and related policies and procedures.
Operating Efficiency Opportunities: We identify opportunities for operating efficiencies that can help reduce the City's operating costs.
By employing this comprehensive engagement approach, we ensure that the City's audit is conducted with the highest standards of quality and professionalism.
Audit approach and proposed audit segmentation
The following is a summary of the audit team’s approach for your engagement. The audit will be divided into the following segments:
Segment 1 - Interim Testing: Planning, Pre-Audit Administration, and Internal Control Testing Objectives: During this phase, our principal objectives will be to gather information about the City and its environment, including its internal controls over financial reporting.
Approach:
• Initial Meetings:
o Meet with the City’s staff to determine convenient dates to begin our audit and to discuss the assistance to be provided by the City’s staff.
• Engagement Team Brainstorming:
o Hold brainstorming sessions with engagement team members to discuss the susceptibility of the City’s financial statements to material misstatement and fraud. • Review and Evaluation:
o Review and evaluate the City’s accounting and reporting processes by examining the prior year's audit workpapers, City-prepared documents such as budgets, in-house financial reports, previously issued ACFR, organizational charts, manuals, programs, policies and procedures manuals, and minutes of governance meetings.
o Perform analytical procedures to enhance our understanding of the City and identify areas that may need further assessment and additional testing.
• Regulatory Review:
o Review and retain copies of any pertinent local, state, and federal statutes, regulations, or charters that apply to the City.
o Obtain a full population of potential compliance areas to perform testing and select a random or stratified sample, utilizing our data analytic software, to ensure a true representation of the appropriate compliance requirements are being selected.
City of Hawthorne
Proposal for Professional Auditing Services
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Audit Scope and Provisions (continued)
• Internal Control Evaluation:
o Obtain a thorough understanding of the City’s internal controls over financial reporting and compliance by documenting key internal control components, utilizing questionnaires, walkthroughs, inquiries, and observation.
o Evaluate the design of controls relevant to the audit and test controls, if control risk is to be assessed below maximum, by selecting a sample of transactions and reviewing supporting documentation.
• Management Communication:
o Document and review any findings noted during the testing of internal controls with management.
o Provide a preliminary management letter with recommendations for improving any weaknesses in operations and suggestions for enhancing the efficiency of the City’s operations. • Audit Data Analytics:
o Utilize powerful audit data analytic software to analyze large amounts of data quickly and focus on areas/transactions that are red flagged.
IT General Controls:
• Security Access Controls:
o Evaluate general system security settings, password parameters, processes for adding, deleting, and changing security access, access capabilities of various user types, access controls to networks and financial applications, data file access controls, and physical access to networks and servers.
• Computer Operations:
o Evaluate backup and recovery processes and review procedures for identifying and handling operational problems.
• System Development and Changes:
o Evaluate processes related to system development and system changes, if applicable. • Application Testing:
o Determine the necessity of testing application controls based on professional judgment during the planning stages of the engagement.
Audit Team: This phase will be performed by the audit senior and three to four staff accountants, under the direct supervision of the audit manager and partner.
This comprehensive approach ensures a thorough understanding of the City's financial environment and internal controls, setting a solid foundation for the audit.
Segment 2 - Year-End Testing: Substantive Testing
Objectives: During this phase, our primary objectives will be to assess the risk of material misstatement at the financial statement level and specific assertions, design overall responses to assessed risks and further audit procedures, perform substantive tests, and complete the audit while evaluating audit findings, if applicable.
City of Hawthorne
Proposal for Professional Auditing Services
-13-
Audit Scope and Provisions (continued)
Approach:
• Risk Assessment and Audit Plan Development:
o Identify significant risks and develop a detailed audit plan using the results from Segment 1. • Design and Perform Substantive Tests:
o Design substantive tests of account balances tailored to the City’s operations and assessed level of risk. Substantive procedures will include testing material balance sheet accounts, material revenue and expenditure/expense accounts, along with various analytical procedures as necessary.
o Confirm various accounts with outside parties (e.g., cash, investments). • Risk Evaluation:
o Determine whether our testing supports the initially assessed level of risk at both the financial statement level and the assertion level.
• Audit Adjustments:
o If any proposed audit adjustments are noted, we will discuss and explain them in detail with the appropriate level of management before posting.
Audit Team: This phase will be performed by the senior accountant and two to three staff accountants, under the direct supervision of the audit manager and partner.
Segment 3 - Reporting: Report Preparation and Audit Conclusion (Workpaper Review) Objectives: During this phase, our principal objectives will be to evaluate whether the financial statements, as a whole, are free from material misstatement, form an opinion(s), and issue our report.
Approach:
• Material Misstatement Evaluation:
o Determine, based on our substantive testing and other procedures, whether the financial statements, as a whole, are free of material misstatement. This will provide the basis for our opinion(s).
• Workpaper Review:
o Review all audit workpapers to ensure the audit was performed in accordance with required standards (GAAS, GAGAS, etc.) and prepare drafts of all required reports by the agreed-upon dates.
• Quality Control Review:
o Conduct an independent review of the financial statement draft by the engagement’s quality control partner and issue all reports by the agreed-upon dates.
Audit Team: This phase will be performed by the audit senior and one staff accountant, under the direct supervision of the audit manager and partner. Additionally, the engagement’s quality control partner will perform a detailed quality control review of the financial statements.
Customization and Communication: The procedures listed above are general. After our initial review of the City and our detailed risk assessment, we will customize the engagement to address the specifics of the City and the audit itself. We will determine which procedures to perform based on our risk assessment.
All our audits are customized to each entity, ensuring a complete, effective, and efficient audit. Our approach is founded on open communication, a strong knowledge of the City's operations, and detailed planning at the initial stages of the audit.
City of Hawthorne
Proposal for Professional Auditing Services
-14-
Audit Scope and Provisions (continued)
Timeliness and Resource Allocation: Our firm is dedicated to performing a timely audit engagement.
Prior to the start of the audit, we will meet with City staff to agree on adequate timeframes for the performance of the audit and the release of the financial statements. We will allocate the necessary resources to meet these agreed-upon timeframes.
Level of staff and approximate number of hours assigned to each segment Segment Partner Manager Senior Staff Total
Segment 1 11 8 27 92 138
Segment 2 17 13 44 122 196
Segment 3 15 17 38 29 99
Totals 43 38 109 243 433
Sample sizes (including for compliance testing)
Our sample sizes will be determined in accordance with the AICPA's Audit and Accounting Guide, Audit Sampling, and will be selected using professional judgment or our TeamMate Analytics software, depending upon circumstance, as permitted by Statement on Auditing Standards. Our methods are designed to provide the most audit coverage without expending excess time. Our sample sizes will depend upon our preliminary assessment of control risk, our planned substantive testing and analytical procedures as well as our professional judgement.
We utilize our Computer Aided Audit Tools (CAAT) software, Teammate Analytics, to draw our audit samples. The software allows us to generate random samples, systematic samples, stratified samples, attributes samples as well as monetary unit samples (also called probability-proportional-to-size or dollar unit sampling).
Intelligent audit technology
Our audits leverage advanced technology through powerful software tools such as Engagement and Teammate Analytics. Additionally, all audit team members are connected wirelessly, enabling real-time information sharing. The benefits of our audit technologies include:
• Teammate Analytics: This suite of over 200 dynamic Computer Aided Audit Tools (CAATs) allows us to analyze large amounts of data in seconds. Using data directly from the City, we can search for duplicate checks, detect transactions during unusual hours or on holidays/weekends, perform Benford’s Law analysis, and identify instances where a vendor has issued multiple invoices with sequential references, among many other tests. This empowers our audit teams to perform powerful and meaningful data analysis, enhancing our value-added services. • Customized Analytical Schedules: We create our own analytical schedules to easily compare current balances to prior year balances and current vs. budget balances, significantly reducing the time required from City staff.
• Real-Time Financial Statement Analysis: Once your trial balances and financial statements are entered into our software, we can review your financial statements in the field, allowing us to notice and address any variances immediately.
City of Hawthorne
Proposal for Professional Auditing Services
-15-
Audit Scope and Provisions (continued)
• Linked Financial Statement Schedules: We link financial statement schedules directly to our audit software trial balances, enabling us to provide the City with fund financial statements almost immediately after importing the trial balances.
• Audited Trial Balances: We provide the City with audited trial balances that show the coding of the financial statement schedules, making it easier for City staff to review. These reports include each account coded to a specific financial statement line item/function and journal entries posted during the audit.
Analytical Procedures
To effectively utilize analytical procedures, industry background and knowledge are essential. With our firm’s extensive experience and qualified staff, we possess the necessary knowledge to apply analytical procedures efficiently throughout our audit of the City. • Interim Phase:
o Compare current and prior year unadjusted balances to identify areas requiring additional analysis.
o Compare current year actual amounts to the City’s annual budget (both original and adopted). • Final Phase:
o Perform procedures similar to those in the interim phase. o Compare certain financial ratios for current and prior years. o Conduct reasonableness tests.
o Investigate any significant variances further through inquiry and additional substantive testing until resolved to our satisfaction.
• Post-Fieldwork:
o Compare current and prior year audited balances, considering expected relationships based on our knowledge of the City, similar entities, and the general economic environment. o Utilize additional analytical techniques such as trend analysis as needed.
Unlike other audit firms, we use analytical procedures to supplement, not supplant, our substantive testing, ensuring a thorough and comprehensive audit.
Auditing in a remote environment
The evolution of technology has revolutionized the accounting and auditing profession, enabling us to provide high-quality services remotely with efficiency, precision, and timeliness. During the COVID-19 pandemic, our firm adapted quickly to a fully remote audit environment and developed processes that have since become integral to our standard approach. These advancements not only enhanced the quality of our audits but also resulted in significant efficiencies for both our team and our clients.
Remote Audit Approach
• Technology Utilization:
o We use secure cloud-based platforms for document sharing and management, such as Engagement Organizer, ensuring client data remains safe and accessible. o Video conferencing tools (e.g., Zoom, Microsoft Teams) facilitate real-time communication with City staff, enabling collaborative discussions and efficient issue resolution. • Workflow and Communication:
o Regular Communication: We maintain routine contact with clients throughout all phases of the audit via email, phone calls, and video meetings.
City of Hawthorne
Proposal for Professional Auditing Services
-16-
Audit Scope and Provisions (continued)
o Responsiveness: Our team prides itself on quick turnaround times for questions or issues, making remote collaboration as seamless as on-site interactions. • Flexibility for On-Site Presence:
o While we anticipate performing the majority of our work remotely, we understand that some aspects of the audit may benefit from an on-site presence. If desired, we will work with the City to determine an acceptable staffing level for in-person activities, balancing health, safety, and operational needs.
Benefits of Remote Auditing
• Efficiency Gains:
o Remote auditing reduces the need for travel time, allowing both auditor and auditee to focus on the tasks at hand, resulting in faster turnaround on requests and issue resolution. o Immediate access to digital documents and records eliminates delays associated with physical transfers of information.
• Enhanced Quality of Life:
o By minimizing travel, our staff can dedicate more time to client work and professional development, improving overall morale and productivity. • Environmental Impact:
o Reducing unnecessary travel decreases traffic congestion, lowers fuel consumption, and contributes to improved air quality in Southern California. • Year-Round Availability:
o Our remote-first approach fosters an ongoing partnership, encouraging clients to reach out throughout the year for guidance on matters that could impact the audit or their financial reporting.
City of Hawthorne
Proposal for Professional Auditing Services
-17-
Audit Scope and Provisions (continued)
Proposed audit timing
• Entrance
conference
to meet with
management
for pre-audit
planning.
• Preliminary
risk
assessment
procedures.
Anticipated timing of each segment
June/July October/November November/December
• Obtain an understanding of
systems, internal controls,
and current-year issues.
• Assess and evaluate design
and implementation of key
internal controls (including
IT related).
• Perform tests of internal
controls as needed.
• Identify control deficiencies
• Perform detailed risk
assessment procedures.
• Draft internal control
comment letter.
• Develop detailed audit plan
– provide management with
a detailed listing of items
needed to perform the audit,
including the timing of when
items are needed.
• Perform substantive audit
fieldwork, including
substantive analytical
procedures.
• Consider whether audit
evidence is sufficient to
form an opinion.
• Conduct exit conference
with management to
discuss proposed entries,
internal control issues, etc.
• Determine whether,
based on our substantive
testing and other
procedures, the financial
statements, taken as a
whole, are free of
material misstatement.
• Review all workpapers.
• Evaluate financial
statements and note
disclosures.
• Perform final analytical
procedures.
• Draft required reports.
• Issue final required
reports by or before
agreed upon date of
December 17th of each
year, provided that all
previous milestones have
been achieved.
• Present to governing
body if requested.
Cost Data
In accordance with the Request for Proposal for Audit Services issued by the City of Hawthorne, we have included Attachment A that includes the all-inclusive maximum fee and the total hours and hourly rates by staff classification that compose the all-inclusive maximum fee.
Additional Data
Independence
Rogers, Anderson, Malody & Scott, LLP is independent of the City and any component units, as defined by general standard number two of the generally accepted auditing standards, and by the second general standard for government auditing in the U.S. Government Accountability Office’s Government Auditing Standards.
Segment 1 -
Planning/internal
control testing
Segment 2 -
Substantive
testing/analysis
Segment 3 - Report
preparation/workpaper
review
Audit planning (continuous)
City of Hawthorne
Proposal for Professional Auditing Services
-18-
Additional Data (continued)
License to practice in California
Rogers, Anderson, Malody & Scott, LLP is licensed to practice in the State of California. Our key professional staff, which includes the partners, managers, and supervisors, are all certified public accountants licensed to practice in the State of California and follow all applicable Board of Accountancy standards.
Firm qualifications and experience
About our firm
We were established in 1948, located at 735 E. Carnegie Drive, Suite 100, San Bernardino, California.
As a comprehensive accounting firm, we offer a full spectrum of services. With over 77 years of public practice experience, we are one of the oldest, most trusted, and respected CPA firms in Southern California, specializing in auditing, accounting, and management advisory services for governmental agencies and not-for-profit organizations. Annually, we dedicate over sixteen thousand hours to our audit practice, encompassing cities, redevelopment successor agencies, water districts, other special districts, not-for-profit corporations, and joint power authorities. Our focus on government accounting and auditing is a primary commitment, ensuring we deliver top-quality services to local governments.
We recognize the importance of engaging auditors with a deep understanding of the complex and everevolving accounting and compliance issues that governments face today. Our firm boasts a rich history in governmental accounting and auditing, equipping us with invaluable experience, in-depth knowledge, and the technical expertise necessary to conduct high-quality governmental audits. This expertise enables us to provide exceptional service and effective solutions at competitive fees, reflecting our value to clients. Furthermore, our active participation in various industry associations ensures we stay updated on the latest issues in governmental accounting, auditing, and operations. We promptly share any valuable insights with our clients to enhance their benefit.
Our firm has a total staff of 58 people, which includes nineteen certified public accountants. The staff consists of six partners, nine managers, thirteen supervisors/senior accountants, twenty-five staff accountants, and five support staff. The audit staff consists of thirty-six members who devote over 80% of their time to municipal engagements. The engagement team assigned to the City’s engagement will consist of the following full-time staff: one audit partner, one audit manager, one audit supervisor/senior, and two to three staff auditors. Additionally, the engagement partner and audit manager are technical reviewers for the GFOA ACFR Award program.
Disciplinary action
Our firm has a spotless record with no disciplinary actions taken or pending against it by state regulatory bodies or professional organizations. Additionally, there has never been any pending or settled litigation, nor any civil or criminal investigations. We are also not aware of any federal or state desk reviews or field reviews of our audits in the last three years.
Our firm has no record of substandard work.
In addition to external quality control reviews, our firm conducts annual in-house monitoring procedures that mirror the external peer review processes, ensuring ongoing compliance and quality in our audit and attest engagements.
City of Hawthorne
Proposal for Professional Auditing Services
-19-
Additional Data (continued)
External quality control review
As a member of the AICPA Private
Companies Practice Section, our
firm has actively participated in the
“Peer Review” program since
1993. Every three years, an
independent firm of certified public
accountants conducts an external
review of our firm. This
participation ensures that our
engagements, firm policies, and
audit procedures consistently meet
the standards set by the AICPA,
the Yellow Book, and the California
State Board of Accountancy.
Notably, throughout our
participation in this program, our
firm has consistently received pass
ratings from the peer reviewers.
During each peer review, an
independent firm assesses our
policies and procedures and
inspects a representative sample
of engagement workpapers and
reports, including those related to
governmental entities and
engagements subject to the
Uniform Guidance. For the year
ended November 30, 2023, our
firm received a pass rating. This
rating indicates that our auditing
practices are suitably designed
and complied with, providing
reasonable assurance of
performing and reporting in
accordance with applicable standards. The results affirm that our custom audit approach and procedures are technically sound and compliant with all relevant standards.
City of Hawthorne
Proposal for Professional Auditing Services
-20-
Additional Data (continued)
Similar Engagements with Other Government Entities
Our firm has provided similar services to various public section agencies over the past three years. Below is a listing of those most similar to the City of Hawthorne.
Entity: City of Chula Vista
Scope of work: Financial Audit/ACFR*/Successor Agency/Single Audit/Measure Audits/BSCC Audit
Date: Years ending June 30, 2024- present
Engagement partner: Mrs. Gardenya Duran
Total hours: Approximately 500 hours each year
Contact person: Mr. Sarah Schoen, Finance Director (619) 409-3818, [email protected]
Entity: City of El Cajon
Scope of work: City ACFR*/Successor Agency/Public Financing Authority/Single Audit/GANN limit/Measure O
Date: Years ending June 30, 2008 - present
Engagement partner: Mr. Scott Manno
Total hours: Approximately 400 hours each year
Contact person: Mr. Luca Gonzales, Financial Operations Manager, (619) 441-1543 Entity: City of Signal Hill
Scope of work: Financial Audit/ACFR*/Successor Agency/Single Audit/Measure Audits Date: Years ending June 30, 2019 - present
Engagement partner: Mrs. Gardenya Duran
Total hours: Approximately 250 hours each year
Contact person: Ms. Siamlu Cox, Adminstrative Services Officer/Finance Director, (562) 989-7312, [email protected]
Entity: City of San Marcos
Scope of work: Financial Audit/ACFR*/Successor Agency/Single Audit/Measure Audits Date: Years ending June 30, 2010 - present
Engagement partner: Mr. Scott Manno
Total hours: Approximately 250 hours each year
Contact person: Ms. Donna Apar, Finance Director, (760) 744-1050, ext. 3133, [email protected]
Entity: City of San Jacinto
Scope of work: Financial Audit/ Single Audit/Successor Agency Date: Years ending June 30, 2011 - present
Engagement partner: Mr. Scott Manno/Mrs. Gardenya Duran Total hours: Approximately 350 hours each year
Contact Person: Mr. Tom Prill, Deputy City Manager, (951) 487-7330, [email protected]
*GFOA award recipients
City of Hawthorne
Proposal for Professional Auditing Services
-21-
Additional Data (continued)
Engagement quality control
Our internal quality control review process ensures your audit meets the highest standards. Financial reports prepared by a senior member of the engagement team undergo multiple levels of review: first by the engagement manager/supervisor, followed by the engagement partner, and finally a technical review by the engagement Quality Control partner. Additionally, all reports are proofread by at least one professional staff member. All audit workpapers are reviewed by the in-charge auditor and the partner in charge of the engagement.
Range of services
In addition to auditing services for governmental entities, our firm offers a wide range of other services, including:
• SB 341 compliance (Successor Agencies)
• Internal control agreed-upon procedures
• Finance director and accounting support services
• Studies and evaluations of financial condition and fiscal policies • Development and review of accounting policies and procedures • Cash management studies
• Assistance with financing and public bond offerings
Additionally, we provide accounting, auditing, attest, and consulting services to both for-profit and notfor-profit entities. Our services also include tax preparation and consulting for individuals, corporations, and partnerships. We offer complimentary tax consultation services to our municipal audit clients.
Governmental Audit Quality Center
As a member of the American Institute of CPAs Governmental Audit Quality Center (GAQC), we at RAMS are dedicated to maintaining the highest quality standards. Our commitment to the GAQC membership requirements includes designating a partner responsible for the quality of our governmental audit practice, establishing rigorous quality control programs, conducting annual internal inspections, and publicly sharing our peer review report findings. Our goal is to continually enhance our quality initiatives to provide the highest quality audit services possible.
Being a part of the GAQC also grants us access to comprehensive resources that further improve the quality of your audit. Our membership ensures we receive timely information on technical, legislative, and regulatory matters, which we apply to your audit to ensure compliance with current standards and regulatory changes, benefiting our clients.
City of Hawthorne
Proposal for Professional Auditing Services
-22-
Additional Data (continued)
Housing Authority and Successor Agency experience
Over the past five fiscal years, the firm has audited the Housing Authorities and Successor Agencies for the following entities:
City of South Pasadena City of San Bernardino
City of Thousand Oaks City of La Verne
City of San Marcos City of San Jacinto
City of Moorpark City of Twentynine Palms
City of Fillmore City of La Mesa
City of Sierra Madre City of Rosemead
City of El Cajon City of Hawthorne
Town of Yucca Valley City of West Covina
City of Poway City of Claremont
Single audit experience
Many of our municipal clients, as well as other governmental and not-for-profit clients, require audits in accordance with Uniform Guidance. Recently, we have conducted single audits for numerous entities.
Our specialized Single Audits Team is led by Partners and Managers who hold Intermediate and Advanced Single Audit Certifications from the AICPA, ensuring a successful and thorough engagement.
ACFR preparation
We have extensive experience in preparing Annual Comprehensive Financial Reports (ACFR). For the fiscal years ending June 30, 2023, and 2024, our team prepared over 20 ACFRs, with each entity receiving the Certificate of Achievement for Excellence in Financial Reporting from the GFOA. For the fiscal year ending June 30, 2025, we prepared over 25 ACFRs for our clients for submission to the GFOA. Additionally, we have assisted many cities and special districts in developing their first-year reports for submission. Four of our audit partners and five of our managers/supervisory staff serve as technical reviewers for the GFOA award program. We ensure all ACFRs comply with the GFOA certificate program checklist and address any prior year comments to guarantee thorough and compliant reports.
Equal Opportunity Employer
Our firm is an equal opportunity employer committed to providing employment opportunities to all qualified individuals, regardless of race, color, sex, religion, national origin, or disability. Our diverse staff represents a wide range of cultures and ethnic backgrounds. We offer advancement opportunities based on ability, skill, and desire to progress within the firm.
City of Hawthorne
Proposal for Professional Auditing Services
-23-
Additional Data (continued)
References
Our firm has proudly partnered with a wide range of government entities over the past five years, including cities, successor agencies, special districts, and Federal Single Audit engagements. The breadth of our client base reflects our deep expertise in public sector auditing and our ability to deliver high-quality, reliable service tailored to each organization’s unique needs.
Because of the large number of government clients we have served, providing a complete listing for this proposal would not be practical. However, we are pleased to provide detailed client references for five current clients, including contact information, the nature of services performed, and years of service, when such information is explicitly necessary for evaluation. This ensures that the requesting agency receives the most relevant examples of our experience. If a full client list is determined to be absolutely necessary, we can provide it upon request.
Entity: Town of Yucca Valley
Scope of work: Financial Audit/ACFR*/Successor Agency
Date: Years ending June 30, 2008 - present
Engagement partner: Mr. Scott Manno
Total hours: Approximately 350 hours each year
Contact person: Mr. Curtis Yakimow, Town Manager (760) 369-7207 Entity: City of Thousand Oaks
Scope of work: Financial Audit/ACFR*/Successor Agency/Single Audit Date: Years ending June 30, 2018 - present
Engagement partner: Mrs. Gardenya Duran
Total hours: Approximately 420 hours each year
Contact person: Ms. Elisa Quezada, Accounting Manager, (805) 449-2216, [email protected]
Entity: City of Sierra Madre
Scope of work: Financial Audit/ACFR*
Date: Years ending June 30, 2012 - present
Engagement partner: Mr. Scott Manno/Mr. Brad Welebir
Total hours: Approximately 300 hours each year
Contact person:
Mrs. Rait Satnam, Finance and Budget Manager, (626) 355-7135, [email protected]
Entity: City of San Dimas
Scope of work: Financial audit/ACFR*/Single Audit/Successor Agency Date: Years ending June 30, 2021- present
Engagement partner: Mrs. Gardenya Duran
Total hours: Approximately 350 hours each year
Contact person: Mr. Michael O'Brien Finance Director, (909) 394-6200, [email protected]
Entity: City of Twentynine Palms
Scope of work: Financial Audit/ACFR*/Successor Agency/Single Audit Date: Years ending June 30, 2010 - present
Engagement partner: Brianna Schultz
Total hours: Approximately 225 hours each year
Contact person:
Mrs. Abigail Hernandez, Finance Director, (760) 367-6799 ex: 1013, [email protected]
*GFOA award recipients
City of Hawthorne
Proposal for Professional Auditing Services
-24-
Additional Data (continued)
Identification of potential audit problems
One potential problem could be the implementation of any future GASBS. With our deep understanding of governmental accounting and auditing, constant training, and broad resources, we do not anticipate any issues during a GASB implementation. Our approach to any GASB statement implementation would be as follows: gain a thorough understanding of the pronouncement; determine applicability to the City; if applicable, discuss the statement and how it will affect the City with City staff; and provide guidance to City staff on the accounting and financial reporting implications.
Working paper retention
Rogers, Anderson, Malody & Scott, LLP will retain all workpapers and reports related to the audit for a minimum of seven (7) years, unless we are notified by the City of Hawthorne to extend that period.
Attachment A
FY2025/2026 FY2026/2027 FY2027/2028 FY2028/2029
FY2029/2030
Optional
FY2030/2031
Optional
Basic report to be issued
City audit and related reports 56,100 $ 56,100 $ 58,000 $ 58,000 $ 59,900 $ 61,800 $ Successor Agency 5,590 5,590 5,790 5,790 5,990 6,190
Parking Authority 5,275 5,275 5,465 5,465 5,655 5,845
Housing Authority 6,025 6,025 6,240 6,240 6,455 6,670
Single Audit* and related reports 5,725 5,725 5,930 5,930 6,135 6,340 Out of pocket expenses - - - - - -
Total $ 78,715 78,715 $ 81,425 $ 81,425 $ 84,135 $ 86,845 $ Rates for additional professional services:
Position FY2025/2026 FY2026/2027 FY2027/2028 FY2028/2029 FY2029/2030
Optional
FY2030/2031
Optional
Partner 340 $ 340 $ 345 $ 345 $ 350 $ 355 $
Manager 215 215 220 220 225 230
Senior accountant 185 185 195 195 205 215
Staff accountant 150 150 155 155 160 165
Clerical 55 55 60 60 60 65
Other - - - - - -
Scott Manno, CPA, CGMA
Partner
City of Hawthorne
Cost Summary
Not to exceed price for proposed services schedule
In accordance with the Request for Proposal for Audit Services issued by the City of Hawthorne, the Rogers, Anderson, Malody & Scott, LLP hereby submits the following cost proposal:
Certification: Scott Manno, CPA, CGMA is entitled to represent Rogers, Anderson, Malody & Scott, LLP, empowered to submit the bid, and is authorized to sign a contract with the City of Hawthorne. In addition, we can comply with the requirements of the professional services agreement and insurance requirements.
* = for the first major program, each additional major program $4,750 for fiscal year 2026 and 2027, $5,000 for fiscal years 2028 and 2029, and $5,250 for fiscal year 2030 and 2031.
Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 450 $ 340 $ 38 12,920 $
Manager 230 215 42 9,030
Senior 210 185 109 20,165
Staff 185 150 244 36,600
433
Total for audit services 78,715
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2026 audit 78,715 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2026 Financial Statements Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 455 $ 340 $ 38 12,920 $
Manager 235 215 42 9,030
Senior 215 185 109 20,165
Staff 190 150 244 36,600
433
Total for audit services 78,715
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2027 audit 78,715 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2027 Financial Statements Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 460 $ 345 $ 38 13,110 $
Manager 240 220 42 9,240
Senior 220 195 109 21,255
Staff 195 155 244 37,820
433
Total for audit services 81,425
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2028 audit 81,425 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2028 Financial Statements Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 465 $ 345 $ 38 13,110 $
Manager 245 220 42 9,240
Senior 225 195 109 21,255
Staff 200 155 244 37,820
433
Total for audit services 81,425
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2029 audit 81,425 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2029 Financial Statements Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 470 $ 350 $ 38 13,300 $
Manager 250 225 42 9,450
Senior 230 205 109 22,345
Staff 205 160 244 39,040
433
Total for audit services 84,135
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2030 audit 84,135 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2030 Financial Statements Attachment A (continued)
Standard Quoted
Hourly Hourly
Rates Rates Hours Total
Partners 475 $ 355 $ 38 13,490 $
Manager 255 230 42 9,660
Senior 235 215 109 23,435
Staff 210 165 244 40,260
433
Total for audit services 86,845
Out-of-pocket expenses -
Meals and lodging -
Transportation -
Other (specify): -
Total all-inclusive maximum price for 2031 audit 86,845 $ City of Hawthorne
Schedule of professional fees and expenses
For the audit of the June 30, 2031 Financial Statements City of Hawthorne
Vendor Quotation Record
E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 RFP #2026-006 Auditing
Services
COMPANY #1 COMPANY #2 COMPANY #3 COMPANY #4 COMPANY #5
NAME CLA - Nitin Patel LSL, LLP Rogers Anderson Malody & Scott The Pun Group Vasquez & Co.
ADDRESS 2875 Michelle Drive Ste 300 500 Technology Dr., Ste 350 735 E Carnegie Dr Ste 100 6 Hutton Center Drive, Ste 1200
655 N. Central Avenue, St
1550
CITY/ST/ZIP Irvine, CA 92606 Irvine, CA 92618 San Bernardino 92408 Santa Ana 92707 Glendale, CA 91203 TELEPHONE 714-795-5483 949-829-8299 909-889-0871 949-777-8800 213-873-1720 E-mail [email protected] [email protected] [email protected] [email protected] [email protected] [email protected]
CONTACT Joseph Ludin Ryan Domino Scott Manno Frances J. Kuo Cristy Canieda Gardenya Duran
DATE 3/19/2026 3/19/2026 3/19/2026 3/19/2026 3/19/2026
Fiscal Years: Cost Cost Cost Cost Cost
2026 $104,850.00 $89,500.00 $78,715.00 $95,000.00 $81,500.00 2027 $102,230.00 $89,500.00 $78,715.00 $99,750.00 $84,100.00 2028 $107,350.00 $93,970.00 $81,425.00 $104,738.00 $86,700.00 2029 $112,720.00 $93,970.00 $81,425.00 $109,974.00 $89,400.00 2030 $118,360.00 $98,660.00 $84,135.00 $115,473.00 $92,200.00 Estimate NO PROPOSED FEE 2031 $124,041.28 $98,660.00 $86,845.00 $121,247.00 $95,300.00 Total 6 year Quote $669,551.28 $564,260.00 $491,260.00 $646,182.00 $529,200.00 9 6 1 7 4
Total Hours Allocated 485 485 433 543 765
Partner 65 25 38 55 54
Manager 120 70 43 100 130
Senior 150 121 109 190 86
Staff 150 269 243 198 495
Percentage increase/decrease 0.36 0.15 0 0.32 0.08
178,291.28 73,000.00 154,922.00 37,940.00
$ 669,551 $ 564,260 $ 491,260 $ 646,182 $ 529,200
Hours proposed over RAMS 52 52 0 110 332
City of Hawthorne
Vendor Quotation Record
RFP #2026-006 Auditing
Services
NAME
ADDRESS
CITY/ST/ZIP
TELEPHONE
E-mail
CONTACT
DATE
Fiscal Years:
2026
2027
2028
2029
2030
Estimate NO PROPOSED FEE 2031
Total 6 year Quote
Total Hours Allocated
Partner
Manager
Senior
Staff
Percentage increase/decrease
Hours proposed over RAMS
E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 E-Mail Sent 4/9/26 COMPANY #6 COMPANY #7 COMPANY #8 COMPANY #9
Brown Armstrong
Accountancy Eadie and Payne, LLP Badawi & Associates Moss Levy & Hartzheim 4200 Truxtun Avenue, St 300 3880 Lemon St, St 300 5901 Christie Avenue, Ste 307 5800 Hannum Ave Ste E Bakersfield, CA 93309 Riverside, CA 92501 Emeryville, CA 94608 Culver City, CA 90230 661-324-4971 951-241-7805 510-768-8244 310-670-2745
[email protected] [email protected] [email protected] [email protected] Lindsey Zimmerman Eden Casareno Ahmed Badawi Craig Hertzheim 3/19/2026 3/19/2026 3/19/2026 3/19/2026
Cost Cost Cost Cost
$88,600.00 $121,700.00 $74,548.00 $79,750.00
$88,600.00 $127,700.00 $76,895.00 $81,965.00
$88,600.00 $134,100.00 $79,222.00 $84,380.00
$88,600.00 $140,700.00 $81,430.00 $86,825.00
$97,570.00 $147,900.00 $83,846.00 $89,300.00
$97,570.00 $155,300.00 $86,590.00 $91,925.00
$549,540.00 $827,400.00 $482,531.00 $514,145.00
5 8 2 3
590 1145 508 560
40 375 54 110
100 310 79 180
150 210 128 130
300 250 247 140
0.12 0.68 -0.02 0.05
58,280.00 336,140.00 -8,729.00 22,885.00
$ 549,540 $ 827,400 $ 482,531 $ 514,145
157 712 75 127
AGENDA ITEM NO. 25.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
SUBJECT:
Exhibit A -- List of Organizations for City Council Stipend Donations for Review - A. Monteiro Attachments
Resolution 8434, Exhibit A
EXHIBIT A
1. Movies in the Park – Sponsored by Hawthorne Police Department (HPD)
2. Hawthorne President’s Council Holiday Assistance Dinner
3. Hawthorne Education Foundation (HEG) Golf Tournament
4. Service Provider Fair/Earth Day/Bunny Extravaganza
5. Hawthorne Parks & Recreation Foundation Gold Tournament
6. National Night Out (HPD)
7. Ramona Neighborhood Picnic (Ramona Homeowner’s Association)
8. American Cancer Society Relay for Life
9. Wiseburn Education Foundation (WEF) Rock Around the Block
10. Hawthorne President’s Council Volunteer Appreciation Day
11. Hawthorne President’s Council K-9 BBQ Dinner
12. Wounded Heroes of America Golf Tournament
13. Sociedad Jose Marti Cuban Festival
14. Hawthorne Historical Society Good Neighbor’s Day
15. Hawthorne Historical Society Holiday Celebration
16. St. Joseph’s Fiesta
17. North Hawthorne Community Association Picnic/Egg Hunt
18. Hawthorne Police Dept. (HPD) Youth League Program/Basketball Clinic
19. Chamber of Commerce/Hope is Helping Events
a. Thanksgiving Turkey Basket Donation
b. Christmas Gift/Toy Basket Donation
c. Golf Tournament
20. Holly Park HOA Pancake Breakfast
21. New Star Family Justice Center Domestic Violence Workshop
22. Senior Citizen Resource Fair
23. Hawthorne Business Expo
24. Hawthorne Imperial Lions Club Vision Screening Program
25. Hawthorne World Fest
26. Hawthorne Juneteenth Day Celebration
27. Hawthorne Mother’s Day Celebration
28. Hawthorne Women’s History Month Celebration
29. Women’s Health Resources Fair
30. Feed The Street Cali Foundation
31. American Heart Association
32. Summer Concert Series
AGENDA ITEM NO. 26.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
SUBJECT:
4/10 Work Schedule Pilot Program for City Staff - A. Vargas AGENDA ITEM NO. 27.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Manager
SUBJECT:
Annual Appointment of Elected Officials to Regional Committees - A. Vargas AGENDA ITEM NO. 29.
CITY OF HAWTHORNE
City Council
AGENDA BILL
For the meeting of 04/14/2026
Originating Department: City Attorney
SUBJECT:
CONFERENCE WITH LEGAL COUNSEL - EXISTING LITIGATION
(Pursuant to Gov. Code Section 54956.9(d)(1))
Name of Case: Barry Rosen v. City of Hawthorne
LASC Case No. 23STLC01829