2022-05-09T13:13:01-05:00 2021-06-30 941250261 LINDQUIST VON HUSEN & JOYCE LLP 301 HOWARD STREET SUITE 850 SAN FRANCISCO CA 94105 990 2020-07-01 952623230 TRI-COUNTIES ASSOCIATION FOR THE DEVELOPMENTALLY DISABLED INC TRI- 8059627881 520 E MONTECITO STREET SANTA BARBARA CA 93103 LORNA OWENS CFO 5624351191 2022-05-06 1 LORNA OWENS 999009999 ALEXIS H WONG P00604756 4159579999 2 AAL1 IAL1 2020 2022-09-23 18:48:47Z TRI-COUNTIES REGIONAL CENTER OMAR NOORZAD PHD 520 E MONTECITO STREET SANTA BARBARA CA 93103 376230919 0 X WWW.TRI-COUNTIES.ORG X 1968 CA TCRC PROVIDES PERSON AND FAMILY CENTERED PLANNING, SERVICES AND SUPPORTS FOR INDIVIDUALS WITH DEVELOPMENTAL DISABILITIES TO MAXIMIZE OPPORTUNITIES AND CHOICES FOR LIVING, WORKING, LEARNING, AND RECREATING IN THE COMMUNITY. THE MOST SIGNIFICANT ACTIVITIES INVOLVE ACCOMPLISHING THE GOALS THAT ARE IN THE FOCUS AREAS OF THE STRATEGIC PLAN. THESE FOCUS AREAS INVOLVE FAMILY SUPPORT, CULTURAL COMPETANCE, SPECIALIZED HEALTHCARE AND EMPLOYMENT. 13 12 400 75 0 0 343597021 368732248 8865696 7456465 359815 42206 0 0 352822532 376230919 315067972 336729145 0 0 29299374 31452084 0 0 0 8450775 8048843 352818121 376230072 4411 847 50817004 56668927 62811532 71204796 -11994528 -14535869 X TCRC PROVIDES PERSON AND FAMILY CENTERED PLANNING, SERVICES AND SUPPORTS FOR INDIVIDUALS WITH DEVELOPMENTAL DISABILITIES TO MAXIMIZE OPPORTUNITIES AND CHOICES FOR LIVING, WORKING, LEARNING, AND RECREATING IN THE COMMUNITY. 0 1 372994922 336729145 7456465 THE ENTITY WAS ORGANIZED IN ACCORDANCE WITH THE PROVISIONS OF THE LANTERMAN DEVELOPMENTAL DISABILITIES SERVICES ACT OF THE WELFARE AND INSTITUTIONS CODE OF CALIFORNIA. IN ACCORDANCE WITH THE ACT, THE ENTITY WORKS IN PARTNERSHIP WITH PEOPLE WITH DEVELOPMENTAL DISABILITIES, THEIR FAMILIES, LOCAL COMMUNITIES, SERVICE PROVIDERS, AND THE GOVERNMENT. ITS MISSION IS TO ENABLE PERSONS WITH DEVELOPMENTAL DISABILITIES TO LIVE INDEPENDENT, PRODUCTIVE, AND SATISFYING LIVES IN THEIR COMMUNITY. THE ENTITY ALSO STRIVES TO LESSEN DEVELOPMENTAL DELAYS IN INFANTS AND YOUNG CHILDREN, AND MINIMIZE THE RISK OF DEVELOPMENTAL DISABLITIES. AMONG THE SERVICES AND SUPPORT THE ENTITY PROVIDES OR COORDINATES ARE DIAGNOSIS AND ASSESSMENT, INDIVIDUALIZED PLANNING AND SERVICE COORDINATION, EARLY INTERVENTION AND PREVENTION, COMMUNITY LIVING OPTIONS, SUPPORTED WORK AND VOCATIONAL PROGRAMS, ADVOCACY, TRAINING AND EDUCATIONAL OPPORTUNITIES, AND OTHER SUPPORT SERVICES FROR PERSONS SERVED AND FAMILIES. THE ENTITY SERVED OVER 16,000 CLIENTS IN THE FISCAL YEAR ENDING JUNE 30,2021. 372994922 1 1 0 0 0 0 0 0 0 0 0 0 0 1 1 1 1 0 0 0 0 0 0 0 0 0 0 0 1 1 0 0 0 0 0 0 0 1 0 0 0 0 0 0 0 0 0 1 404 0 1 400 1 0 0 0 0 0 0 0 0 0 0 0 0 X 13 12 0 0 0 0 0 0 0 1 1 0 0 1 1 1 1 1 1 1 1 0 CA X THE ORGANIZATION 8059627881 520 EAST MONTECITO STREET SANTA BARBARA CA 931033245 ELIZABETH WEBSTER DIRECTOR 2.00 X 0 0 0 ADA GONZALES DIRECTOR 2.00 X 0 0 0 SHAWNA HALL DIRECTOR 2.00 X 0 0 0 SHARON FRANCIS DIRECTOR/VENDOR ADVISORY 2.00 X 0 0 0 MANI GAUR DIRECTOR 2.00 X 0 0 0 MARK WOLFE PRESIDENT 2.00 X X 0 0 0 HOWARD KRAUS VICE PRESIDENT 2.00 X X 0 0 0 MICHAEL KASZYCKI DIRECTOR 2.00 X 0 0 0 ROBIN ROSSO SECRETARY 2.00 X X 0 0 0 CRAIG JOHNSON DIRECTOR 2.00 X 0 0 0 RAMON HOOPER DIRECTOR 2.00 X 0 0 0 NICOLE TUROFSKY DIRECTOR 2.00 X 0 0 0 MARC GAMBERDELLA DIRECTOR 2.00 X 0 0 0 OMAR NOORZAD PHD EXEC. DIRECTOR 40.00 X 309720 0 57682 LORNA OWENS CFO 40.00 X 179288 0 37664 JAMES O'HANLON PSYCHOPHARMACOLOGIST 40.00 X 159693 0 35542 DOMINIC NAMNATH DIR. OF INFO. SYS. 40.00 X 145798 0 28052 PAMELA CRABAUGH DIR. OF SERVICES 40.00 X 141437 0 17052 MICHAEL NAGEL DIR. OF HR & ORG DEV 40.00 X 123415 0 28672 STEVE GRAFF DIRECTOR OF CLINICAL SERVICES 40.00 X 115095 0 25873 1174446 0 230537 13 0 1 0 24HR HOME CARE 1801 SOLAR DRIVE SUITE 200 OXNARD CA 93030 AGENCY RESPITE 17504410 SERVICE TO ACHIEVE GROWTH & ENPOWER INC 44 DUVALI DRIVE VENTURA CA 93003 SUPPORTED LIVING 14407569 CHANNEL ISLANDS SOCIAL SERVICES 4000 CALLE TECATE 200 CAMARILLO CA 93012 AGENCY RESPITE 13768969 RESPITE INC PO BOX 3380 PASO ROBLES CA 93447 AGENCY RESPITE 13289564 PATHPOINT 315 W HALEY 102 SANTA BARBARA CA 93101 DAY PROGRAMS 12579046 232 368705182 27066 368732248 ICF SUPPL SERVICES INC 624100 7429882 7429882 OTHER INCOME 624100 26583 26583 7456465 42206 42206 376230919 7456465 0 42206 336729145 336729145 601751 552848 48903 21834374 20090719 1743655 4584802 4195903 388899 4111799 3738296 373503 319358 294788 24570 141286 129701 11585 79550 73027 6523 182536 167568 14968 41767 38342 3425 4330318 3975232 355086 45903 43101 2802 105194 96568 8626 351380 322567 28813 EQUIPMENT PURCHASES, RE 734273 674063 60210 GENERAL OFFICE EXPENSES 657857 603913 53944 OFFICE RELOCATION 576475 529204 47271 TELEPHONE 379273 348173 31100 423031 391764 31267 376230072 372994922 3235150 0 X 55501 57222 19743182 17653390 21133937 28961647 258349 239440 9626035 9757228 50817004 56668927 43092914 48950876 19718618 22253920 62811532 71204796 X -11994528 -14535869 -11994528 -14535869 50817004 56668927 X 847 -2542188 X X 0 1 X 1 0 X 284635171 297445562 313786254 343597021 368732248 1608196256 284635171 297445562 313786254 343597021 368732248 1608196256 1608196256 106375 133995 262204 359815 42206 904595 1609100851 40833095 0.99940 0.99940 X RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED RESTRICTED 0 DEFERRED POST-RETIREMENT HEALTH CARE PLAN EXPENSE 3515549 DEFERRED COSTS FOR ACCRUED VAC./SICK AND EMPLOYEE BENEFITS 6241679 9757228 RESERVE FOR UNEMPLOYMENT INSURANCE 223866 POST-RETIREMENT HEALTH CARE PLAN OBLIGATION 3797050 UNFUNDED DEFINED BENEFIT PLAN LIABILITY 18233004 22253920 X 376230919 0 376230919 0 376230919 376230072 0 376230072 0 376230072 PART X, LINE 2: THE CENTER BELIEVES THAT IT HAS APPROPRIATE SUPPORT FOR ANY TAX POSITIONS TAKEN, AND AS SUCH, DOES NOT HAVE ANY UNCERTAIN TAX POSITIONS THAT ARE MATERIAL TO THE FINANCIAL STATEMENTS. THE CENTER'S FEDERAL AND STATE INFORMATION RETURNS FOR THE YEARS 2017 THROUGH 2020 ARE SUBJECT TO EXAMINATION BY REGULATORY AGENCIES, GENERALLY FOR THREE YEARS AND FOUR YEARS AFTER THEY WERE FILED FOR FEDERAL AND STATE, RESPECTIVELY. 1 LIVING OUT OF HOME 16351 77477132 DAY PROGRAM 16351 90635378 TRANSPORTATION 16351 13925406 SUPPORTED LIVING SERVICES 16351 83945363 BEHAVORIAL SERVICES 16351 7299081 MEDICAL SERVICES 16351 9390011 RESPITE SERVICES 16351 41999316 OTHER SERVICES 16351 12057458 PART I, LINE 2: ASSISTANCE IS PROVIDED TO RESIDENTS OF THE STATE OF CALIFORNIA WHO HAVE DEVELOPMENTAL DISABILITIES. THE ENTITY KEEPS CONFIDENTIAL FILES ON EACH OF ITS CLIENTS. THE ORGANIZATION IS AUDITED BY THE STATE OF CALIFORNIA'S DEPARTMENT OF DEVELOPMENTAL SERVICES AND ALSO REVIEWED BY FEDERAL STAFF FROM CMS TO ENSURE COMPLIANCE. THE ORGANIZATION HAS INTERNAL ACCOUNTING AND AUDITING PROCEDURES TO REGULAR MONITOR USE OF STATE FUNDS. VARIOUS REPORTS ARE PROVIDED TO THE DEPARTMENT OF DEVELOPMENTAL SERVICES (DDS) AS REQUESTED. DDS ALSO HAS ACCESS TO THE ORGANIZATION'S FINANCIAL DATA THROUGH THE STATEWIDE ACCOUNTING SYSTEM (UNIFORM FISCAL SYSTEM) THAT ALL CALIFORNIA REGIONAL CENTERS USE. SERVICES FOR PERSONS WITH DEVELOPMENTAL DISABILITIES ARE AUTHORIZED THROUGH A PLANNING TEAM PROCESS. ONLY SERVICES AUTHORIZED THROUGH THIS PROCESS CAN BE PAID. X X X X X 0 0 0 0 0 0 0 0 0 OMAR NOORZAD PHD EXEC. DIRECTOR 299720 0 10000 0 0 0 35109 0 22573 0 367402 0 0 0 LORNA OWENS CFO 179288 0 0 0 0 0 20082 0 17582 0 216952 0 0 0 JAMES O'HANLON PSYCHOPHARMACOLOGIST 159693 0 0 0 0 0 17960 0 17582 0 195235 0 0 0 DOMINIC NAMNATH DIR. OF INFO. SYS. 145798 0 0 0 0 0 16398 0 11654 0 173850 0 0 0 PAMELA CRABAUGH DIR. OF SERVICES 141437 0 0 0 0 0 16317 0 735 0 158489 0 0 0 MICHAEL NAGEL DIR. OF HR & ORG DEV 123415 0 0 0 0 0 12810 0 15862 0 152087 0 0 0 SCHEDULE J, PART I, LINE 2 THE FILING ORGANIZATION HAS AN EXPENSE REIMBURSEMENT POLICY THAT ENSURES REIMBURSEMENTS TO REGIONAL CENTER EMPLOYEES FOR NECESSARY TRAVEL AND PER DIEM EXPENSES ARE EQUITABLE, REASONABLE, AND PROPERLY DOCUMENTED. THIS POLICY REQUIRES THAT EMPLOYEES OBTAIN PRIOR AUTHORIZATION BEFORE ANY EXPENSES ARE INCURRED. UPON REQUEST FOR REIMBURSEMENT, THE INDIVIDUAL INCURRING THE EXPENSE MUST PROVIDE DOCUMENTATION REGARDING REASONABLENESS OF THE EXPENSE AND PROOF OF PAYMENT. SHARON FRANCIS SHARON FRANCIS IS A BOARD MEMBER OF TCRC AS A VENDOR REPESENTATIVE 13768969 SHARON FRANCIS IS THE OWNER AND CEO OF CHANNEL ISLANDS SOCIAL SERVICES. TCRC CONTRACTS WITH SHARON'S COMPANY (CHANNEL ISLANDS SOCIAL SERVICES) TO PROVIDE IN-HOME RESPITE AGENCY SERVICES TO PEOPLE SERVED BY TCRC. SHARON FRANCIS SITS ON THE BOARD OF DIRECTORS AS A VENDOR REPRESENTATIVE PURSUANT TO REQUIREMENTS OF THE LANTERMAN ACT. 0 FORM 990, PART I, LINE 16B THE ENTITY RECEIVES FUNDING ON AN ANNUAL BASIS FROM THE STATE OF CALIFORNIA. THE REGIONAL CENTER CONTRACTS WITH THE DEPARTMENT OF DEVELOPMENT SERVICES TO PROVIDE OR COORDINATE SERVICES AND SUPPORTS FOR INDIVIDUALS WITH DEVELOPMENTAL DISABILITIES. THERE IS NO MONEY SPENT BY THE ORGANIZATION FOR FUNDRAISING FROM PRIVATE DONORS. FORM 990, PART III, LINE 3 ON MARCH 12,2020, GOVERNER GAVIN NEWSOM DECLARED A STATE OF EMERGENCY FOR CALIFORNIA AS A RESULT OF THE GLOBAL OUTBREAK OF A NOVEL CORONAVIRUS(COVD-19). FROM MID-MARCH 2020 THROUGH MAY 2021, THE MAJORITY OF TCRC EMPLOYEES CONDUCTED WORK REMOTELY. SINCE JUNE 2021, EMPLOYEES BEGAN WORKING HYBRID SCHEDULES OF APPROXIMATELY 50% IN-OFFICE AND 50% REMOTELY. ALSO SINCE MID-MARCH 2020, A SIGNIFICANT PORTION OF PROGRAM SERVICES WERE DONE REMOTELY BY THE SERVICE PROVIDERS, EXCEPT FOR RESIDENTIAL, SUPPORTED LIVING, PERSONAL SUPPORT, RESPITE, NURSING AND OTHER DIRECT CARE SERVICES. DDS HAS BEEN ISSUING TO REGIONAL CENTERS REGULAR DIRECTIVES RELATED TO VARIOUS ASPECTS OF SERVICE DELIVERY TO ENSURE PEOPLE SERVED ARE AS SAFE AND WELL CARED FOR AS POSSIBLE DURING THE PANDEMIC. IN RESPONSE TO COVID AND THE ONGOING IMPACT, THE STATE DEVELOPED AN ALTERNATIVE SERVICE DELIVERY MODEL THAT TCRC TRANSITIONED TO AND WAS EFFECTIVE JANUARY 1,2021. WE CONTINUE TO OFFER BOTH TRADITIONAL IN-PERSON AND ALTERNATIVE REMOTE OR HYBRID SERVICE OPTIONS TO PEOPLE SERVED. FORM 990, PART IV, LINE 28 PURSUANT TO THE LANTERMAN ACT OF THE STATE OF CALIFORNIA, THE FILING ORGANIZATION IS REQUIRED TO APPOINT PERSONS WITH DISABILITIES (PERSONS WHO RECEIVE SERVICES) OR THEIR PARENTS OR LEGAL GUARDIANS TO THE BOARD OF DIRECTORS. THE LANTERMAN ACT ALSO REQUIRES ONE BOARD MEMBER TO BE A SERVICE PROVIDER. COMPLY WITH THIS STATE LAW, THE CENTER'S BOARD OF DIRECTORS INCLUDES 6 PERSONS SERVED, 6 PARENTS/LEGAL GUARDIANS OF PERSONS SERVED, AND 1 SERVICE PROVIDER AS OF JUNE 30, 2021. FORM 990, PART VI, SECTION B, LINE 11B CPA FIRM AND CHIEF FINANCIAL OFFICER OF TCRC PRESENT THE FORM 990 TO THE AUDIT SUBCOMMITTEE OF THE TCADD BOARD FOR REVIEW AND APPROVAL. ONCE THIS IS APPROVED, THE FORM 990 IS PROVIDED TO THE FULL BOARD OF DIRECTORS BEFORE IT IS FILED. FORM 990, PART VI, SECTION B, LINE 12C THE BOARD MEMBERS AND STAFF ANNUALLY COMPLETE A CONFLICT OF INTEREST STATEMENT (COI). THE BOARD REVIEWS COI STATEMENTS FROM BOARD MEMBERS AND THE AGENCY REVIEWS COI STATEMENTS FROM EMPLOYEES. ANY CONFLICT THAT ARISES THAT CANNOT BE RESOLVED BY MANAGEMENT OR IS NOT APPROPRIATE FOR MANAGEMENT, IS BROUGHT UP TO THE CHAIRMAN OF THE BOARD AND DEALT WITH BY THE BOARD ON A CASE BY CASE BASIS. FORM 990, PART VI, SECTION B, LINE 15 WHEN THE EXECUTIVE DIRECTOR'S CONTRACT IS UP FOR RENEWAL OR RENEGOTIATION, THE COMPENSATION SUBCOMMITTEE OF THE BOARD WILL RELY UPON COMPARABILITY DATA TO DETERMINE A FAIR COMPENSATION OF THE EXECUTIVE DIRECTOR. THE COMPENSATION SUB-COMMITTEE USES RESOURCES LIKE COMPARABLE NONPROFIT ORGANIZATIONS IN TRI-COUNTIES REGIONAL CENTER'S AREA TO BENCHMARK PAY, ALONG WITH MARKET INFORMATION FROM OTHER REGIONAL CENTERS, PRIVATE FOUNDATIONS, AND NOT-FOR-PROFIT OR FOR-PROFIT ORGANIZATIONS TO ASSESS THE COMPETITIVENESS OF THE COMPENSATION. ONCE A DECISION HAS BEEN MADE BY THE SUB-COMMITTEE, IT THEN PRESENTS TO THE FULL BOARD ITS COMPENSATION RECOMMENDATIONS AND THE FULL BOARD WILL VOTE WHETHER TO APPROVE. THE EXECUTIVE DIRECTOR (ED) HAS A 5 YEAR CONTRACT WITH THE BOARD OF DIRECTORS EFFECTIVE JANUARY 1, 2017. ALL COMPENSATION FOR THE ED FOLLOWS THE LANGUAGE OF THIS CONTRACT. NO ADDITIONAL COMPENSATION WAS PROVIDED AND NO CHANGES WERE MADE TO THE CONTRACT DURING THE TAX YEAR. AT THE TIME THE CONTRACT WAS ESTABLISHED, THE BOARD USED A PROCESS THAT INCLUDED THE ELEMENTS ABOVE. IN ADDITION, ALL EMPLOYEES, INCLUDING OFFICERS AND KEY EMPLOYEES, RECEIVED A 2.0% INCREASE IN THEIR COMPENSATION EFFECTIVE JANUARY 2021. THE EXECUTIVE DIRECTOR PRESENTS TO THE BOARD FOR APPROVAL A RECOMMENDATION TO INCREASE SALARIES AND/OR BENEFITS OF MANAGEMENT AND CONFIDENTIAL EMPLOYEES. SALARY AND BENEFIT DATA FOR COMPARABLE NONPROFIT ORGANIZATIONS IN TRI-COUNTIES REGIONAL CENTER'S AREA, ALONG WITH MARKET INFORMATION FROM OTHER REGIONAL CENTERS, PRIVATE FOUNDATIONS, AND NOT-FOR-PROFIT OR FOR-PROFIT ORGANIZATIONS WILL BE USED TO ASSESS THE COMPETITIVENESS OF THE COMPENSATION. FORM 990, PART VI, SECTION C, LINE 19 THE FORM 990 IS AVAILABLE UPON WRITTEN OR VERBAL REQUEST TO ANYONE WHO INQUIRES TO THE ORGANIZATION. DOCUMENTS, INCLUDING THE DETERMINATION LETTER, THE BYLAWS, AND THE ARTICLES OF INCORPORATION ARE ALSO AVAILABLE UPON REQUEST TO THE ORGANIZATION. FORM 990, PART X, LINE 10 PURSUANT TO THE TERMS OF THE CONTRACT WITH THE DDS, EQUIPMENT PURCHASES BECOME THE PROPERTY OF THE STATE AND, ACCORDINGLY, ARE CHARGED AS EXPENSES WHEN INCURRED. FOR THE YEARS ENDED JUNE 30, 2021 AND 2020, EQUIPMENT PURCHASES TOTALED $187,624 AND $217,935. FORM 990, PART XI, LINE 9: CHANGE IN DEFINED BENEFIT PLAN LIABILITY -2,385,218. CHANGE IN DEFERRED POST-RETIREMENT HEALTH CARE PLAN -156,970. FORM 990, PART XII LINE 2C THERE WERE NO CHANGE TO THE OVERSIGHT PROCESS OR SELECTION PROCESS DURING THE TAX YEAR.