2019-04-29T19:28:24-05:00 2018-06-30 941250261 LINDQUIST VON HUSEN & JOYCE LLP 90 NEW MONTGOMERY STREET 11TH FLOOR SAN FRANCISCO CA 94105 990 2017-07-01 952623230 TRI-COUNTIES ASSOCIATION FOR THE DEVELOPMENTALLY DISABLED INC TRI- 8059627881 520 E MONTECITO STREET SANTA BARBARA CA 93103 LORNA OWENS CFO 5624351191 2019-04-22 1 ALEXIS H WONG P00604756 4159579999 208.185.144.202 2019-04-29 17:28:10 PD P 8F3CC105CC56221F51368DD5AC5F8DCE0424014A 5580CBDCB165DDBCCDEF28F3F899EECA018E51FA 2017 2019-02-21 02:37:17Z TRI-COUNTIES REGIONAL CENTER OMAR NOORZAD PHD 520 E MONTECITO STREET SANTA BARBARA CA 93103 305741758 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 12 393 95 0 0 284635171 297445562 8498906 8162201 106375 133995 0 0 293240452 305741758 260527856 271346361 0 0 25046911 26222911 0 0 0 7655837 8147800 293230604 305717072 9848 24686 39571730 40713175 49371221 52144901 -9799491 -11431726 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 0 302794720 271346361 8162201 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 14,165 CLIENTS IN THE FISCAL YEAR ENDING JUNE 30,2018. 302794720 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 1 398 0 1 393 1 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 ROBYN ADKINS PRESIDENT 2.00 X X 0 0 0 RYAN WILKINSON VICE PRESIDENT 2.00 X X 0 0 0 ADA GONZALES SECRETARY 2.00 X X 0 0 0 SHIRLEY DOVE DIRECTOR 2.00 X 0 0 0 TIM FARRAR DIRECTOR 2.00 X 0 0 0 DIANE FIGUEROA 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 RALPH MORALES DIRECTOR 2.00 X 0 0 0 MARK WOLFE DIRECTOR 2.00 X 0 0 0 HOWARD KRAUS DIRECTOR 2.00 X 0 0 0 MICHAEL KASZYCKI DIRECTOR 2.00 X 0 0 0 ROBIN ROSSO DIRECTOR 2.00 X 0 0 0 THOMAS KLINE DIRECTOR 2.00 X 0 0 0 OMAR NOORZAD PHD EXEC. DIRECTOR 40.00 X 293442 0 25643 LORNA OWENS CFO 40.00 X 157829 0 13173 JAMES O'HANLON PSYCHOPHARMACOLOGIST 40.00 X 150289 0 18046 DOMINIC NAMNATH DIR. OF INFO. SYS. 40.00 X 127199 0 12600 PAMELA CRABAUGH DIR. OF SERVICES 40.00 X 117174 0 4102 MICHAEL NAGEL DIR. OF HR 40.00 X 116366 0 14678 STEVE GRAFF DIR. OF CLINICAL SERV. 40.00 X 107150 0 16333 1069449 0 104575 8 0 1 0 PATHPOINT 315 W HALEY 102 SANTA BARBARA CA 93101 DAY PROGRAMS 11317940 ARC VENTURA 5103 WALKER ST VENTURA CA 93003 DAY PROGRAMS 11121962 PEOPLE CREATING SUCCESS 925 BROADBECK DR 215 NEWBURY PARK CA 91320 SUPPORTED LIVING 9414689 24HR HOME CARE 1801 SOLAR DRIVE SUITE 200 OXNARD CA 93030 AGENCY RESPITE 8594725 SERVICE TO ACHIEVE GROWTH & EMPOWER INC 44 DUVALI DRIVE VENTURA CA 93003 SUPPORTED LIVING 8459771 205 297334147 111415 297445562 ICF SUPPL SERVICES INC 624100 8088155 8088155 PREVENTION PROGRAMS 624100 36430 36430 OTHER INCOME 624100 25919 25919 MEDI-CAL DENTAL PROGRAMS 624100 11697 11697 8162201 133995 133995 305741758 8162201 0 133995 271346361 271346361 489793 447989 41804 18816258 17208892 1607366 3569168 3249144 320024 3074881 2821109 253772 272811 250638 22173 322080 294703 27377 76400 69906 6494 216221 197842 18379 135539 124018 11521 3236782 2961656 275126 686116 638489 47627 631174 577524 53650 204137 186785 17352 EQUIPMENT PURCHASES, RE 843989 772250 71739 GENERAL OFFICE EXPENSES 572303 523657 48646 TELEPHONE 411779 376778 35001 OFFICE RELOCATION 271746 248648 23098 539534 498331 41203 305717072 302794720 2922352 0 X 58858 80582 11436242 6086258 18273339 25079079 165987 91905 9637304 9375351 39571730 40713175 31156548 32586705 18214673 19558196 49371221 52144901 X -9799491 -11431726 -9799491 -11431726 39571730 40713175 X 24686 -1656921 X X 0 1 X 1 1 1 X 221466802 236108438 249711676 284635171 297445562 1289367649 221466802 236108438 249711676 284635171 297445562 1289367649 1289367649 73248 70228 77452 106375 133995 461298 1289828947 40144250 0.99960 0.99970 X 0 DEFERRED POST-RETIREMENT HEALTH CARE PLAN EXPENSE 5600174 DEFERRED COSTS FOR ACCRUED VAC./SICK AND EMPLOYEE BENEFITS 3775177 9375351 RESERVE FOR UNEMPLOYMENT INSURANCE 187538 POST-RETIREMENT HEALTH CARE PLAN OBLIGATION 2220395 UNFUNDED DEFINED BENEFIT PLAN LIABILITY 17150263 19558196 X 305741758 0 305741758 0 305741758 305717072 0 305717072 0 305717072 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 2014 THROUGH 2017 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 14673 49493518 DAY PROGRAM 14673 88973035 TRANSPORTATION 14673 18143445 SUPPORTED LIVING SERVICES 14673 61069949 BEHAVORIAL SERVICES 14673 13447611 MEDICAL SERVICES 14673 7008593 RESPITE SERVICES 14673 24559687 OTHER SERVICES 14673 8650523 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 283442 0 10000 0 0 0 5669 0 19974 0 319085 0 0 0 LORNA OWENS CFO 157829 0 0 0 0 0 3089 0 10084 0 171002 0 0 0 JAMES O'HANLON PSYCHOPHARMACOLOGIST 150289 0 0 0 0 0 2826 0 15220 0 168335 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 7882067 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 IV, LINE 28A 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 4 PERSONS SERVED, 7 PARENTS/LEGAL GUARDIANS OF PERSONS SERVED, AND 1 SERVICE PROVIDER AS OF JUNE 30, 2018. 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 2018. 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, 2018 AND 2017, EQUIPMENT PURCHASES TOTALED $392,856 AND $151,105. FORM 990, PART XI, LINE 9: CHANGE IN DEFINED BENEFIT PLAN LIABILITY -570,707. CHANGE IN DEFERRED POST-RETIREMENT HEALTH CARE PLAN -1,086,214. FORM 990, PART XII LINE 2C THERE WERE NO CHANGE TO THE OVERSIGHT PROCESS OR SELECTION PROCESS DURING THE TAX YEAR.