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HomeMy WebLinkAbout2004-02-25 4�JN`+ SANI)A))off ORANGE COUNTY SANITATION DISTRICT o, February 19, 2004 F� �)N N Phone: NOTICE OF MEETING (714)962-2411 fax: (7141 962-0356 www.ocsd.com mailing address: BOARD OF DIRECTORS P.O. Box8127 ORANGE COUNTY SANITATION DISTRICT Fountain Valley,CA 92728-8127 street address: 10844 Ellis Avenue WEDNESDAY, February 25, 2004 — 7:00 P.M. Fountain Valley,CA 92706-7018 Member Agencies DISTRICT'S ADMINISTRATIVE OFFICES 0 10844 Ellis Avenue Cities Fountain Valley, California 92708 Anaheim Brea Buena Park Cypress Fountain Valley The Regular Meeting of the Board of Directors of the Orange County Sanitation Fullerton Garden Grove District will be held at the above location, time and date. Huntington Beach Irvine La Habra La Palma �� Los Alamitos C Newport Beach `-K- . t Orange Board Secreta' Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Linda OMTS COMMITTEE - Wednesday, March 3, 2004 at 5:00 p.m. County of Orange PDC COMMITTEE - Thursday, March 4, 2004 at 5:00 p.m. Sanitary Districts JOINT GROUNDWATER REPLENISHMENT Costa Mesa SYSTEM COOPERATIVE COMMITTEE - Monday, March 8, 2004 at 5:30 p.m. @OCWD Midway City Water Districts FAHR COMMITTEE - Wednesday, March 10, 2004 at 5:00 p.m. Irvine Ranch STEERING COMMITTEE - Wednesday, March 24, 2004 at 5:00 p.m. CIP WORKSHOP - Wednesday, March 31, 2004 at 5:00 p.m. To maintain world-class leadership in wastewater and water resource management. a �b N BOARD MEETING DATES Board Meeting March 24, 2004 April 28, 2004 May 26, 2004 June 23, 2004 *July 21, 2004 August 25, 2004 September 22, 2004 October 27, 2004 *November 17, 2004 *December 15, 2004 January 26, 2005 February 23, 2005 *Meetings are being held on the third Wednesday of the month HAdept\admin\BS\Agenda12004 Meeting Notices\MN2.2.doc ROLL CALL BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT MEETING DATE: _February 25, 2004 TIME:_7:00 PM (SIMONIAN) .................... ANDERSON................... ✓ (WILSON) ........................ BANKHEAD................... ✓ (MC GOWAN)................... BORTLE ................. ..... (SWAN) ............................ BRADY ......................... (YOST) ............................ CAMPBELL ................... (AMBRIZ).......................... CAVECCHE................... ✓ s a-q (GARCIA) CHRISTY..................... ✓ (CRANDALL).................... COLLINS ..................... ✓ (COERPER) .................... GREEN....................... ✓ (BROADWATER) ............. DALTON....................... (SHAWVER) .................... DONAHUE..................... (WILSON)......................... DUVALL...................... ✓ (UNDERHILL)................... ECKENRODE................ ✓ —� (SCHAFER)...................... FERRYMAN................... ✓ (POE)................................ JEMPSA...................... (DAVERT)......................... KAWASHIMA............... (SHEA) ............................. KROM........................ (DOW) .............................. MARSHALL.................. ✓ (HERNANDEZ)................. MC CRACKEN............... ✓ (BEAUMAN) ..................... MOORE........................ (EPPERSON)................... NEUGEBAUER.............. ✓ (KEENAN) ........................ PIERCY........................ (W E B B) .............................F49GEWA-Y.................. ✓ (SMITH, CHUCK) ............. SILVA........................... (HERMAN)........................ WALKER....................... ✓ STAFF: -r Anderson Beekman a Ghirelli 1 Ludwin ✓ �,� Miles o T ✓ P� omko ✓ � Streed r/ OTHERS: Woodruff ✓ �/ n ' C Nixon I� 1/28/04 G:\wp.dta\admin\BS\DIRECTOR\Directors Roll Call.doc a AGENDA BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CA 92708 REGULAR MEETING February 25, 2004—7:00 P.M. Agenda Posting: In accordance with the requirements of California Government Code Section 54954.2,this agenda has been posted in the main lobby of the District's Administrative offices not less than 72 hours prior to the meeting date and time above. All written materials relating to each agenda item are available for public inspection in the office of the Board Secretary. Items Not Posted: In the event any matter not listed on this agenda is proposed to be submitted to the Board for discussion and/or action, it will be done in compliance with Section 54954.2(b) as an emergency item or because there is a need to take immediate action, which need came to the attention of the Board subsequent to the posting of agenda, or as set forth on a supplemental agenda posted in the manner as above, not less than 72 hours prior to the meeting date. Accommodations for the Disabled: The Board of Directors Meeting Room is wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Board Secretary's office at (714) 593-7130 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Items Continued: Items may be continued from this meeting without further notice to a Committee or Board meeting held within five (5) days of this meeting per Government Code Section 54954.2(b)(3). Meeting Adjournment: This meeting may be adjourned to a later time and items of business from this agenda may be considered at the later meeting by Order of Adjournment and Notice in accordance with Government Code Section 54955 (posted within 24 hours). 1. Invocation and Pledge of Allegiance 2. Roll Call 3. Consideration of motion to receive and file minute excerpts of member agencies relating to appointment of Directors, if any. (See listing in Board Meeting folders) City/Agency Active Director Alternate Director Fullerton Don Bankhead Leland Wilson Tustin Tony Kawashima Doug Davert Board of Supervisors Jim Silva Charles V. Smith 4. Appointment of Chair pro tem, if necessary 02/25/04 Page 2 5. Public Comments: All persons wishing to address the Board on specific agenda items or matters of general interest should do so at this time. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and remarks may be limited to three minutes. Matters of interest addressed by a member of the public and not listed on this agenda cannot have action taken by the Board of Directors except as authorized by Section 54954.2(b). 6. The Chair, General Manager and General Counsel present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors. a. Report of Chair; consideration of Resolutions or commendations, presentations and awards Presentation by to Blake Anderson b. Report of General Manager C. Report of General Counsel 7. If no corrections or amendments are made, the minutes for the regular meeting held on January 28, 2004 will be deemed approved as mailed and be so ordered by the Chair. 8. Ratifying payment of claims of the District, by roll call vote, as follows: ALL DISTRICTS 01/15/04 01/31/04 Totals $10,000,129.14 $16,639,786.91 DIRECTORS: Pursuant to Government Code Section 84308, you are required to disclose any campaign contribution greater than $250 received in the past twelve months from any party to a contract involving OCSD. This requires that you identify the contributor by name. Further, you may not participate in the decision making process to award a contract to such party. For reference, you are directed to the Register of Warrants as to all current contractors/vendors with OCSD. For the specifics of Government Code Section 84308, please see your Director's Handbook or call the office of General Counsel. CONSENT CALENDAR All matters placed on the Consent Calendar are considered as not requiring discussion or further explanation and unless any particular item is requested to be removed from the Consent Calendar by a Director, staff member or member of the public in attendance, there will be no separate discussion of these items. All items on the Consent Calendar will be enacted by one action approving all motions, and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the Consent Calendar shall be considered in the regular order of business. Members of the public who wish to remove an item from the Consent Calendar shall, upon recognition by the Chair, state their name, address and designate by number the item to be removed from the Consent Calendar. 02/25/04 Page 3 The Chair will determine if any items are to be deleted from the Consent Calendar. 9. Consideration of motion to approve all agenda items appearing on the Consent Calendar not specifically removed from same, as follows: a. (1) Receive and file petition from Robert and Valerie Aronson requesting annexation of 1.24 acres to Orange County Sanitation District, in the vicinity of Meads Avenue and Orange Park Boulevard, in an unincorporated area of Orange County; and, tx (2) Adopt Resolution No. OCSD 04-03, authorizing initiation of proceedings to \IX annex said territory to OCSD (Proposed Annexation No. OCSD-39—Aronson \v Annexation). b. (1) Receive and file petition from Gene Holle, G. Michael Smith and Gary Bryan Warden requesting annexation of 1.17 acres to Orange County Sanitation District, in the vicinity of Clark Street and Orange Park Boulevard, in an unincorporated area of Orange County; and, (2) Adopt Resolution No. OCSD 04-04, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-40 — Holle Annexation). END OF CONSENT CALENDAR 10. Consideration of items deleted from Consent Calendar, if any. COMMITTEE REPORTS AND RECOMMENDED ACTIONS 11. STEERING COMMITTEE Consent Calendar a. Order draft Steering Committee Minutes for the meeting held on January 28, 2004 to be filed. Non-Consent Calendar b. Review and consideration of agenda items considered by the Steering Committee re the February 25, 2004 meeting. C. Consideration of items deleted from Steering Committee Consent Calendar, if any. From Supplemental Agenda: d. Receive and file report from National Water Research Institute (NWRI) on OCSD's Asset Management Strategic Plan 02/25/04 • Page 4 12. OPERATIONS, MAINTENANCE AND TECHNICAL SERVICES COMMITTEE (OMTS) OMTS Consent Calendar a. Order draft Operations, Maintenance and Technical Services Committee Minutes for the meeting held on February 4, 2004 to be filed. b. Ratify Change Order No. 1 to Treatment Plant No. 2 North and South Scrubber Complex Caustic Tank Replacement, Specification No. S-2003-131, with Jamison Engineering, authorizing an additional amount of $22,800, increasing the total amount not to exceed $112,489. C. Authorize the General Manager to award a sole source purchase order to Schwing America, Inc., for overhauling three Schwing sludge pumps for an amount not to exceed $129,460, for labor and materials. d. (1) Approve a budget amendment of$150,000 for Phase III Biotrickling Filter Demonstration Project, SP-90-7, for a total budget of $925,000, as an alternative treatment to control odors; and, (2) Approve Amendment No. 7 to the Study Agreement with the University of California, Riverside to provide continued support for testing biotrickling filters as an air emissions control technology for an additional amount of $150,000 for a total amount not to exceed $355,000. OMTS Non-Consent Calendar e. Consideration of items deleted from OMTS Committee Consent Calendar, if any 13. PLANNING, DESIGN AND CONSTRUCTION COMMITTEE (PDC) PDC Consent Calendar a. Order draft Planning, Design and Construction Committee Minutes for the meeting held on February 5, 2004 to be filed. b. Ratify Change Order No. 5 for Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2, with J.F. Shea Construction, Inc., authorizing t ^� an addition of$214,954, increasing the total contract amount to $14,946,310. v) C. Ratify Change Order No. 12 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing an addition of $22,390, increasing the total contract amount to $71,241,204. Approve Amendment No. 3 to the Professional Services Agreement with Ninyo & Moore, to provide for Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2001-3313D, for FY2003/04 for an additional amount not to exceed $75,000. 02/25/04 • Page 5 e. Approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2002-3313D, for FY2003/04 for an additional amount not to exceed $75,000. f. Approve Amendment No. 3 to the Professional Services Agreements with MDS Consulting and Bush & Associates, to provide for additional Surveying Services, Specification No. PSA-2001-34BD, for FY2003/04 for an additional amount not to exceed $75,000 for each agreement ($150,000 total). g. Ratify Change Order No. 4 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing an addition of$380,251, increasing the total contract amount to$30,685,478. h. Ratify Change Order No. 1 to Effluent Pump Station Annex, Job No. J-77, with J.F. Shea Construction, Inc., authorizing a deduction of $1,967,158, decreasing the total contract amount to $42,768,360. i. Approve a reimbursement agreement with the City of Tustin to reimburse the Orange County Sanitation District for the construction cost of two City water line projects located in Prospect Avenue and Cameron Lane in connection with Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; Gisler-Redhill/North Trunk Improvements, Contract No. 7-41, and City of Tustin Project Numbers 6106 and 6151, for an amount of$665,211, plus administrative fees, in a form approved by General Counsel. j. (1) Approve Professional Services Agreement with MWH Americas, Inc. for engineering services for Rehabilitation of Activated Sludge Plant at Plant No. 2, Job No. 132-74, for an amount not to exceed $2,139,998; and, (2) Authorize the General Manager to issue Task Authorizations not to exceed $100,000. k. Authorize the circulation of the revised Notice of Preparation for the Rehabilitation of Ellis Avenue Pump Station, Job No. 1-10, for public review. PDC Non-Consent Calendar n I. (1) Approve Professional Services Agreement with Black & Veatch Corporation Y to provide engineering services for Secondary Activated Sludge Facility 2 at Plant No. 1, Job No. P1-102, for an amount not to exceed $17,896,463; r (2) Authorize the General Manager to issue Task Authorizations not to exceed D $200,000; and, 3 Authorize the General Manager to issue Task Authorizations between ( ) 9 $200,000 and $500,000 providing there is a time sensitive need and a PDC meeting cannot be called within 72 hours. M. Consideration of items deleted from PDC Committee Consent Calendar, if any 02/25/04 Page 6 14. FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE (FAHR) FAHR Consent Calendar a. Order draft Finance, Administration and Human Resources Committee Minutes for the meeting held on February 11, 2004 to be filed. b. Receive and file Treasurer's Report for the month of January 2004. C. Receive and file the Mid-Year Financial Report for the period ending December 31, 2003. d. Receive and file Quarterly Investment Management Program Report for the period October 1, 2003 through December 31, 2003. e. Receive and file the SWAP Report for the quarter ended December 31, 2003. f. Adopt Resolution No. OCSD 04-05, Amending Resolution No. OCSD 98-33, Amending Human Resources Policies and Procedures Manual. g. Approve SAFETY-POL-115, Backflow Prevention Program, as provided for in Resolution No. OCSD 02-5, regarding the District's Injury and Illness Prevention Program Policy. FAHR Non-Consent Calendar The following item was considered by the FAHR Committee at the December 10, 2003 meeting, and recommended to go to the January 28, 2004 Board of Directors meeting with a modified recommendation . The item was inadvertently not included on the (� agenda for consideration: h. Authorize the General Manager to solicit Requests for Proposals to conduct G research services in connection with the Corporate Identity and Public Awareness Project, Specification No. CS-2003-162BD, in an amount not to exceed $50,000. i. Consideration of items deleted from FAHR Consent Calendar, if any. 15. JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE (JCC) � JCC Consent Calendar a. Order Joint Groundwater Replenishment System Cooperative Committee (� Minutes for the meeting held on January 12, 2004 to be filed. b. Authorize changing the name of the "Joint Groundwater Replenishment System Cooperative Committee"to the "GWR System Steering Committee." JCC Non-Consent Calendar C. Consideration of items deleted from JCC Consent Calendar, if any. 02/25/04 Page 7 NON-CONSENT CALENDAR 16. (1) Approve Plans and Specifications for Abandonment of Airbase Trunk Sewer - California Street, Contract No. 6-13-3, on file at the office of the Board Secretary; (2) Approve Addendum No. 1 to the plans and specifications; (3) Receive and file bid tabulation and recommendation; and, (4) Award a construction contract to Mike Prlich and Sons, Inc. for Abandonment of t Airbase Trunk Sewer- California Street, Contract No. 6-13-3, for an amount not to exceed $507,610. 17. Closed Session CLOSED SESSION: During the course of conducting the business set forth on this agenda as a regular meeting of the Board, the Chair may convene the Board in closed session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters, pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. Reports relating to (a) purchase and sale of real property; (b) matters of pending or potential litigation; (c) employment actions or negotiations with employee representatives; or which are exempt from public disclosure under the California Public Records Act, may be reviewed by the Board during a permitted closed session and are not available for public inspection. At such time as the Board takes final action on any of these subjects, the minutes will reflect all required disclosures of information. a. Convene in closed session, if necessary 1. Confer with Lisa Tomko, Human Resources Director, re Unrepresented Groups Compensation and Benefits (Government Code Section 54957.6). 2. Confer with General Counsel re Woodside v. Orange County Sanitation_ District, et al., Orange County Superior Court Case No. 03CC17413 (Government Code Section 54956.9). b. Reconvene in regular session C. Consideration of action, if any, on matters considered in closed session 18. Matters which a Director may wish to place on a future agenda for action and staff report. 19. Other business and communications or supplemental agenda items, if any 20. Future Meeting Date: The next Board of Directors regular meeting is scheduled for March 24, 2004, at 7:00 p.m. 02/25/04 Page 8 21. Adjournments ............................................................................................................................................................................................................................................ :NOTICE TO DIRECTORS:To place items on the agenda for the Regular Meeting of the Board of Directors, items shall be submitted to the Board Secretary no later than the close of business 14 days :preceding the Board meeting. The Board Secretary shall include on the agenda all items submitted by :Directors,the General Manager and General Counsel and all formal communications. :General Manager Blake Anderson (714) 593-7110 banderscn@ocsd.com :Board Secretary Penny Kyle (714) 593-7130 pkyle@ocsd.com :Director/Engineering David Ludwin (714)593-7300 dludwin@ocsd.com Director/Finance/Treasurer Gary Streed (714) 593-7550 astreed@ocsd.com :Director/Human Resources Lisa Tomko (714) 593-7145 Itomko@ocsd.com :Director/Information Technology Patrick Miles (714) 593-7280 pmiles@ocsd.com :Director/Operations& Maintenance Bob Ooten (714) 593-7020 rooten@ocsd.com Directodfechnical Services Bob Ghirelli (714)593-7400 rhirelli@ocsd.com :Communications Services Mgr. Carol Beekman (714)593-7120 cbeekman@ocsd.com :General Counsel Thomas L.Woodruff (714)564-2605 tlw@wss-law.com H:\dept\admin\BS\BOARD-SEC\022504 agenda w-comments for Chair.doc ORANGE COUNTY SANITATION DISTRICT 90 February 18, 2004 Phone: 1714)962-2411 fax: To the Chair and Members (714)962.0356 www.cead.com of the Board of Directors mailing address: Subject: Board Letter P.O. Box 8127 Fountain Valley.CA 92728-8127 street address: The following are items that you may find interesting. If you need additional 10844 Ellis Avenue information on any of the items, please call me. Fountain Valley,CA 92708-7018 Sanitation District's Property Tax Revenue may be in Jeopardy Member Agencies I have just learned that the Legislative Analyst, Elizabeth Hill, suggests that$400 0 million of enterprise special district property tax be allocated to other purposes as Cities determined by each County's board of supervisors. Look at the attached February 18 Anaheim letter from CASA's Executive Director, Mike Dillon, which provides additional Brea information. Buena Park Cypress Fountain Valley y I have not et had time to analyze this news or evaluate the likelihood of the Fullerton Legislative Analyst's recommendation being adopted in the FY 04-05 budget Garden Grove deliberations. Huntington Beach Irvine La Habra More later as news develops. La Palma Los Alamitos Newport Beach WP rPrpivP, approximately $4n million in property tax. A loss of this magnitildP, would Orange increase single-family user fees by approximately$40 per year. Placentia Santa Ana - Seal Beach Stanton Federal Funding Assistance for Full Secondary Treatment Tustin Villa Park Yorba Linda Good news! We have been designated by Congress to receive a $1 million EPA grant for secondary treatment within the FY 04-05 federal budget. Our game plan is County of Orange to seek a total of $50 million over the next 10 years. Sanitary Districts Earlier this month, Directors Silva and Ferryman were in DC to express our thanks Costa Mesa and our intentions to the Orange County Congressional delegation. A memo from Midway City our Washington consultant Eric Sapirstein is attached. Water Districts Director Ridgeway will visit DC in late February to express the same message. In !ruins Ranch March, Directors McCracken and Cavecche will be in DC for the National League of Cities Conference. We are making early plans for them to make the rounds as well. We intend to maintain a consistent and frequent drum beat about the District's financial needs and our interest in the federal government as a funding partner in our move to full secondary treatment. To maintain world-class leadership in wastewater and water resource management. • WOJN` SAN,,,f/� O A = 90, Board of Directors Page February 18, 2004 Orange County Leadership Symposium OCLS III is history and planning for OCLS IV is already underway. For the Board Members who attended OCLS III, you know first hand about the possibilities for improved leadership, coordination and relationship-building that the symposium offers. For those who have not yet attended, let me suggest that you consider OCLS IV—which will be held sometime in January 2005. 1 have included the hard-copy of Dr. Eric Allenbaugh's Power Point presentations used this year. A questionnaire has been sent to all OCLS III attendees. If you have not yet completed it, I urge you to do so. Your input will be vital to improving the symposium. OCCOG Growth Visioning Workshop There is a March 3, 2004 workshop scheduled at the Tustin Community Center. Six million people will be added to Southern California by 2030. Schools, transportation, water supply, wastewater systems, stormwater—all public institutions and infrastructure will be challenged by these new people. And over 70% of them will be the children and grandchildren born right here. They WILL come. This workshop is intended to begin the dialogue in which all elected and appointed officials have reason to join. The invitation letter and RSVP form are included. Secondary Treatment Standards Update All operationally available secondary treatment facilities are online. Staff continues to make in-plant adjustments and improvements to existing processes to advance toward secondary treatment standards. The final effluent is a blend of 68% secondary treatment and 320/o primary treatment, which is above our target of 64% secondary treatment. During the 12 months prior to the Board's decision of July 17, 2002, the District's final effluent quality averaged 51 ppm TSS and 72 ppm BOD. During January 2004, the final effluent averaged 36 ppm TSS and 60 ppm BOD versus the secondary treatment goal is 30/30 ppm TSS and BOD. Articles of Interest I have also included several additional published articles that you might find interesting. • 4oJat. SANIIAfa� W � O J 2 I Board of Directors 'A P Page 3 February 18, 2004 If you would like additional information on any of the above items, please call me. Blake P. Anderson General Manager BPA:jt H:\DEPT\ADMIN\GM\LETTERS TO THE BOARD\04\022504 BOARD LTR.DOC Attachments d SAKFA r -- H 925 L Street,Suite 1400 Sacramento,CA 95814 PH:(916)446-0388—FX:(916)4484808 www.casawcb.org February 18, 2004 TO: CASA Member Agencies CASA Associates CASA Attorneys CASA Executive Board FROM: Mike Dillon, Executive Director/Lobbyist Christina Dillon, Lobbyist RE: LEGISLATIVE ANALYST PROPOSES REVISION TO PROPERTY TAX ALLOCATIONS I. LAO ANALYSIS OF THE 2004-05 BUDGET BILL This morning, the Legislative Analyst, Elizabeth Hill, released the analysis of the Governor's 2004-05 Budget Bill. The 2-1/2-inch thick document, together with a second document, titled "Perspectives and Issues,"are developed annually to assist the Legislature in setting its priorities in the Budget Bill and in other legislation. The Analyst notes that a key element of the Governor's Plan is the assurned approval of a $15 billion economic recovery bond un the March Ballot, to pay off the accumulated 2002-03 budget deficit and help address the remaining shortfall. However, the Analyst states that"while the Governor's proposal is a solid starting point for budgetary negotiations, a considerable amount of work remains to fully resolve the State's chronic budget-related problems." The Analyst goes on to comment that '.we further project that an ongoing General Fund structural deficit of close to $7 billion would exist beyond the budget year, absent corrective action."She also notes that the Budget continues to rely on several revenue assumptions that may not materialize, such as $500 million from tribal gaming and $350 million from the federal government, etc. Beginning in early March,the various budget subcommittees, in both the Senate and the Assembly, will begin discussing the Governor's Budget in detail, at which time representatives of the Legislative Analyst's Office, serving as advisors to the Legislature, will either recommend agreement or alternatives to the multiple provisions in the Governor's Budget. II. ANALYST PROPOSES MAJOR PROPERTY TAX REALLOCATION As reported to you at the January CASA Conference, the Govemor's Budget proposes to shift$1.3 billion of property tax from local governments to K-14 districts, thereby freeing up a like amount that the State could use to help balance the Budget. The Analyst recommends the Legislature reject the Governor's proposal and instead suggests"the Legislature should 1 r use its authority over this tax for the overall betterment of local government, not as a state rainy day fund." The Governor's $1,336 billion property tax shift includes a$909 million reduction to counties, $188 million for cities, $135 million for redevelopment agencies, and $105 million for special districts. The Analyst instead recommends a $216 million reduction in local subventions (Citizens Option for Public Safety[COPS] -$100 million; Juvenile Justice Challenge Grants-$100 million; Public Library Funding-$16 million), $400 million locally determined special district property tax shift, $320 million redevelopment property tax shift, $400 million reduction in city and county sales taxes ($200 million each), and a reallocation of vehicle license fees. The Analyst's basis for this alternative proposal is that the State Constitution establishes the property tax as a local tax and should not be used as a"State resource." The Analyst outlines a proposal that she feels would minimize reductions to local government general purpose revenues, allow more local control, and take into consideration the effects on land use incentives. The following are some of the Analyst's comments with respect to the impact of previous reductions and the new proposed property tax reductions to local governments: • City and County Program Reductions: "Most city and county programs currently financed with property taxes are not amenable to user fee financing. Additionally, the Constitution requires voter or property owner approval before a local agency may impose or increase a local tax or assessment. Thus, reductions in city and county property taxes likely will trigger program reductions, including parks, recreation, libraries, public safety and, in some counties, local health programs." • Nonenterprise Special Districts: "The impact on nonenterprise special districts is not clear, as some have the ability to rely on other revenue sources, such as fees, assessments, and payments from other governments to finance their operations. However, many depend on property taxes for most of their budgets, and the Governor's shift could result in significant cuts to flood control, library, and park and • Enterprise Special Districts: "Most of the State's approximately 1,700 enterprise special districts provide water or waste disposal services and have considerable authority to levy user fees to pay for services. More than half of these districts do not receive property tax revenue and those that do, rely on property taxes for only 7% of their revenues. Given the significant fee authority of enterprise special districts and the nature of the services they provide, we assume that increased user fees, which do not require voter approval, would offset a significant portion of the property tax shift." • Redevelopment Agencies: "Redevelopment agencies may offset tax losses through project expansions. III. SPECIFIC RECOMMENDATION FOR ENTERPRISE SPECIAL DISTRICTS The Analyst proposes a $400 million special district property tax shift,which "is equivalent to almost an 80% reduction to enterprise special district 2004-05 property taxes, or about a 15% reduction to all special district property taxes." The allocation of this property tax shift would be locally determined. Specifically, "the Legislature would establish a special district property tax amount for each county. Every county board of supervisors, after public hearing and debate,would revise the share of property taxes received by special districts in their county to implement the shift and reallocate property tax resources in a manner that best meets the 2 needs of their county residents." The Analyst acknowledges that"such an approach would engender both concerns by special districts and significant public debate." The Analyst's rationale for the above is noted as: "The 1990s shifts did not allow communities to reconsider the shares of property taxes allocated to enterprise special districts. Because enterprise districts can finance most of their activities through user fees, local communities might have preferred to reduce or eliminate enterprise special district property taxes in order to preserve property tax resources for other local agencies. (Government Code, Section 16270, dating from 1978, declares the Legislature's intent that these districts transition to user fee financing.)" Note: Section 16270 states, "It is the intent of the Legislature that such districts rely on user fees and charges for raising revenue due to the lack of availability of property tax revenues after the 1978-79 fiscal year. Such districts are encouraged to begin the transition to user fees and charges during the 1978-79 fiscal year. IV. OTHER LOCAL GOVERNMENT IMPACTS In recommending against the$1.3 billion property tax shift, and to make up those revenues locally, the Analyst also proposes to shift$320 million from redevelopment agencies, which would represent approximately 11% of redevelopment 2004-05 property taxes. The Analyst would also replace the Administration's single-percentage redevelopment property tax shift with a sliding scale approach that"decreases on an ongoing basis—city and county incentives to inappropriately expand redevelopment activities." Lastly, as mentioned earlier, cities and counties would each give up $200 million in sales taxes, which the Analyst, in responding to a reporter's question at her press conference this morning, stated, "would reduce some of the fiscalization of land use." V. MORE LATER As more information is provided on the LAO recommendations, we will forward it to you. In the meantime, it is important to recognize that the Analyst's recommendations will be subject to extensive review in the budget process and will require legislation, in most cases, to be enacted. 3 MEMORANDUM TO. Robert Ghirelli FROM: Eric Sapirstein CC: John Freshman DATE: February 18,2004 SUBJECT: Washington Visit On February 3-5, 2004,Members of the Board of Directors James Silva and Jim Ferryman and you met the Orange County Congressional Delegation,House and Senate Committee on Appropriations staff,and U.S.EPA Office of Water officials. The purpose of the meetings was to express appreciation for the support of the secondary treatment upgrade initiative and to request funding support in fiscal year 2005.Because of the closure of the Senate office buildings attributable to the discovery of the poison Ricin, meetings with Senators Feinstein and Boxer's offices were cancelled. The following summarizes the meetings. By earlier email, a draft letter of thanks and the mailing addresses was provided for follow-up. Because of the recent problems associated with the Ricin episode,mail delivery has been halted for the 'U.S.Senate.Therefore,it is important that the final letters be faxed or mailed to us. We Neill then ensure that they are delivered on behalf of the District. Summary: Meetings Display Continuing Support for OCSD Funding Assistance In general,OCSD's request for continued support from the delegation was well received and endorsed as an appropriate request for fiscal year 2005. Directors Silva and Ferryman expressed the Board's deep appreciation for the support the delegation had provided in the past year,noting that their commitment resulted in a$1 million appropriation to begin the OCSD partnership with the federal government. In each meeting,the Members exhibited a sound understanding of the issue and the importance of providing Orange County and OCSD with federal assistance similar to that provided to other coastal communities. In a discussion on the benefits of the program,Director Ferryman noted the value of the project to the •Page 1 CADocurnents and SetdngsNtappanlocal SettingsWernporary Internet Fle9�01.K541triprpt204.doc Groundwater Replenishment Project. He informed the delegation that the ability to ensure full secondary treatment compliance will guarantee a secure and reliable source of water for reuse project,thereby protecting the region from shortages and salt water intrusion into the aquifer. Director Silva noted that the issue of equity was a major point of concern in making the request. It was noted that the County was a donor county and that States like New Jersey receive more funding assistance for their coastal needs than the entire West Coast. He highlighted the fact that the County's coastal waters and beaches are a major destination point for recreational purposes. As such,the secondary treatment upgrade represented an effort to protect this natural resource and maintain the economic activity generated by the recreational activities. The Members noted that this was an important fact to keep in mind. They agreed that Orange County was contributing more than its fair share to the federal government when comparing the amount of program assistance that is returned to the County. In closing the meetings,each Member voiced support for OCSD and its effort to maintain the federal partnership and increase funding assistance as the project is implemented. In separate meetings with senior staff to the House and Senate Committees on Appropriations, a review of the fiscal year 2005 budget process occurred. The staff informed OCSD that the project request seemed justified given the importance of ensuring secondary treatment compliance and the fact that in prior years Congress had provided substantial federal support to other coastal communities. This year,however,the prospect of timely completion of agency budgets is unlikely. Nonetheless, the staff emphasized the importance of pursuing the funding request to ensure that when the appropriations process does begin to move,the project request remains a visible and high priority issue. The staff also noted that while the President's budget request seeks to sharply reduce clean water grants assistance,Congress has resisted such efforts and is likely to follow this approach in fiscal year 2005. A meeting with U.S.EPA's Office of Water,Municipal Assistance Office was convened to identify the process by which the$1 million in initial grants assistance would become available to OCSD. EPA staff informed OCSD that the Office of Water was finalizing guidance detailing how communities should apply for the grant funding. Central to this process is compliance with NEPA and other regulatory issues. EPA hopes to have the guidance available by April and make funding available by July. OCSD was provided the names of officials in Region IX to contact regarding the release of the funding. Action Items As a result of the meetings,a number of action items deserve your consideration. These are: • Draft and email letters of thanks from Directors Silva and Ferryman to meeting attendees(draft and addresses provided under separate emails) • Arrange for meeting with Representative Sanchez in District Office to present request for continued support • Survey congressional staff for interest in tour of OCSD later this year to view progress in project design and construction 0 Page 2 5P&kb L-Icr,-lr- tz ORANGE COUN-rY LI: AI)I IZSI-IIP SYMPOSIUM -t-t-�� oC L S OF_XSc 64 4t February 2, 2004 ATI-ikC(.At'*S --- The OCLS Advisory Team Blake Anderson W LTA "C�fi EUM— BLAKE ANDERSON OCSD Genera!Manager 10844 Ellis Ave. Fog- ORANGE COUNTY SANITATION DISTRICT Fountain Valley,CA 92728 JANET M. HUSTON Dear Blake: Executive Director LEAGUE OF CALIFORNIA The Orange County Leadership Symposium Steering Committee thanks you for participating AN CITIES,CRGE COUNTY DIVISICti in OCLS III. We recognize that your attendance is very representative of your personal commitment to the future of Orange County. WALLY KREUTZEN Chief Executive Officer We want to especially thank those of you who participated in focus groups with Dr. Eric TRANSPORTATION CORRIDOR Allenbaugh last fall. Your participation in these focus groups was crucial in ensuring that AGENCIES the symposium continues to meet the needs of participants. The result was two days of ART LEAHY engaged dialogue on leadership and what it means to be a leader in Orange County. ORANGE COUNTY Planning has already begun for OCLS IV. The first step is to obtain your honest feedback on TRANSPORTATION AUTHOP,T.TY OCLS III. Enclosed you will find an evaluation form. We request that you fill it out quickly,while the weekend is still fresh in your mind,and send it back in the enclosed TIM Q'DONr of 5 envelope by February 16th. MANAGERS'ACCOCiATION Also enclosed is a roster of participants,select hand-outs from Dr. Allenbaugh's PowerPoint presentations during the symposium and notes from the nine groups who participated in CHIP PRATHER Sunday morning's exercise to define the meaning of quality of life in Orange County. AUTHORITY Again, thank you for committing to the journey. Watch for information about a one-day seminar with Dr. Allenbaugh in Orange County in April and we look forward to working Vacant together to find The"Third Great Idea"--whatever it may be. COUNTY OF ORANGE Sincerely, DANA M. SMITH Executive Cficer LOCAL AGENCY FORMAT ION COM^^ISSION Blake Anderson Janet M.Huston OC Sanitation District OC Division,LOCC Gc� n n n Wally Kreutzen Arthur Lea. Y Transportation Corridor Agencies OCTA Tim O'Donnell Chip Prather OC City Managers' Association OC Fire Authority Qom"".al_ _V Dana M. Smith LAFCO ORANGE COUNTY LEADERSHIP SYMPOSIUM January 2004 Eric Allenbaugh, Ph.D. m 2GO4 The answers are within! The 4 Corporate Cultures BEING THRIVING )cwm>ycwe) (Mastery) HUMAN ELEMENT EFFEC7IVENESS SURVIVING DOING (W.hm9 is—t SI w) WouneW) ^t 2 I 4 s BOTTOM LINE EFFECTIVENESS P-d=UNty OuaUty T.cnnldl Fl—cial 1 D►etm Delrilar If WUT Deride Y8U SEEKt Da�letee `� °Em ulebupn.rwD. THE CORPORATE NAVIGATOR MISSION: What is oDpurpose?VISION: Where are CULTURE: What d PARTNERSHIP COMMITMENT I COMPLIANCE I COMPLIA CENCY PASSIVE RESISTANCE 1 ACTIVE RESISTANCE INDIVIDUAL ORGANIZATIONAL VISION&VALUES VISION&VALUES 2 PRIORITY MATRIX* URGENT NOT URGENT IMPORTANT 1 2 NOT 3�� 4 IMPORTANT 'Reference:Roger Merrill ENGAGEMENT AT WORK Now does your organization compare to national averages? • 29%are engaged • 54%are not engaged • 17%am actively disengaged 4ru•w Wu a Yf w.•Min.w THE 3 CATEGORIES OF ASSOCIATES: QQ The"Bright"Eye Group V pp The"Glazed"Eye Group OThe"Beady"Eye Group 3 DIFFERENCES ARE RESOURCESI 0 0 z W Culture 2 Mission Ir Values, W O Vision Standards 0: a Strategies W 3 LEADERSHIP STYLES 1. Eagles 2. Ducks 3. Seagulls How does each style impact performance? PRINCIPLED DECISION MAKING Putting our"Content' into "Context" PRINCIPLES:The'Guiding"Factors • M]SSION:Wlul a eur pu�po.et • VISION:Who-am wapomp? pi CULTURE:What do—rat-? X X H PROCESS:The'Being'Factors Z Ne.w•nnewn n,1•am p New rn cemmun e.p V pa New...eppen enaLroy • NOw M haneM ceneM • H"rn aolr.pr.W.nu PRIORITIES:The"Doing'Factors CONTENT P3 .1t�itpt.�m.nbnq;.ct—P1.. •Erafuwnp"auf4 4 STRATEGIC DIRECTION CORE STRATEGY H Mjo 3130 GY J2 CURRENTY/3 STATUSp ❑ ❑ VISION GY+M GYlS ❑ ❑ ❑ ❑ ❑ ❑ Jd(357 Noftgam aM o mmdo H@A RE$PQND: •Accountable GROW •Conscious � —1 Siruation 4�U:S:E!) R'hcrc 1 am now! Choice Z'I Poin: I: STCCKSIAILCICLL REPEAT: I I REACT: •C1�liat�or ��-�- •A�armati.- •History Unconscious THE DECISION DIAMOND To what extent is this CUSTOMERS action or decision: 1. Consistent with our N mission? w MISSION W 2. Bringing us closer to > uj _ O VISION our vision? ii VALUES 3 3. Honoring our values? U.1 O 4. Serving our key stakeholders? EXTERNAL STAKEHOLDERS 5 COMMUNICATING TO CONNECT: Caring Straight Talk Strategies I C�c�G�(lc��L�ia�Gan pu'�Do STRAIGHT TALK: THINKING A caring approach to understanding through matching INNER our outer expression XPERIENC with our inner experience. FEELING WANTING CARING STRAIGHT TALK Tough on issues Tender on people! 6 2 ESSENTIAL COMMUNICATION ELEMENTS ' °k Tod h MR6@7&,,@ ID r St.Francis of Assisi SAFETY: Seeking their truth 1. Pause! 2. Say: "Tell me more!" 3. Listen with every bone in your body. 4. Find a way to understand: -their facts, -their feelings, and -their perceptions. 5. Reward the feedback! 7 THE 3 TRUTHS r11--j, -"-H Flo ft Nmn''ar o 7111de two COURAGE: Speak Your Truth! ✓GIVE FEEDBACK VSELF DISCLOSE: • Acknowledge their I am thinking... "Strengths" I am wanting... • Confront their I am feeling.. "Stretches" —Do more of... —Do less of... 8 MATCH RAPPORT PACE INFLUENCE THE "BIG-LITTLE-BIG" TECHNIQUE Actively Engaging Participants Introduce the issue to ihe'Big"group. Engage participants in'l-dtle'group discussions regarding the issue. While still in the small oroups.have each group provide feedback and observations to the"Big'group. ENGAGE IN CREATIVE THINKING 1. Withhold critical thinking until the creative process is complete. 2. Look for the"3rd Great Idea." 3. Ask"what if questions. 4. Conduct a"0 to 10 Survey" •ASSESSMENT:On a scale of 0 to 10,how would you assess the quality of this idea? • STRETCHES:What would make it a•10"for you? • STRENGTHS: What advantages to you see with this approach? 9 S WIN-WIN CONFLICT STRATEGIES Eric Allenbaugh, Ph.D. Meet my interests _ COMPETING COLLABORATING V W COMPROMISING z W Q M d AVIXDING ACCOMMODATING H9N Meet their interests lOM COOPERATIVENESS SCALE Creating Win-Win Results � c' o 1. What are my interests? AUSE 2. What are their interests? 3. What is the worst that could happen if I were to address this issue? 4. What is the best that could happen if I were to address this issue? 5. What if I didn't address this issue? 10 e The 10 Win-Win Strategies 1. Commit to win-win 6. Be tough on issues& 2. Focus on interests, tender on people not positions 7. Look for the 3rd great 3. Assume a positive solution intent 8. Let go of old baggage 4. Seek first to 9. Shovel while the piles understand,then to be are small understood 10. Be trusting and 5. Look for the 3 truths: trustworthy Yours,theirs,and the truth LOOPS HAPPEN! ESIRED �4s STATE O �� C PAUSE!Y ~ CU( RRENT- 1 STATE j 11 0 `rf'I �tY! 'r74 c;;,a tge county cot inci! of governments February 13, 2004 cities Dear Orange County Stakeholder: Alisoviejo. Anaheim Brea On behalf of the Orange Count Council of Governments OCCOG), I invite you to Buena Park g Y ( Costa Mesa attend our upcoming Growth Visioning Workshop. This event is scheduled to take place Cypress Dana Point March 3, 2004, from 10:30 a.m. to 3:00 p.m. at the Tustin Community Center, located at Fountain Valley Fullerton 300 Centennial Way, Tustin, California. This workshop represents the fourth phase of Garden Grove OCCOG's Growth Visioning Program. Huntington Beath Irvine La Habra La Palma As Orange County's population continues to grow, decision-makers will have to evaluate Laguna Beach alternatives, such as infill develo ment or mixed-use develo ment to accommodate the Laguna Hills P P Laguna Niguel growing need for housing and the strains that traditional forms of development have Laguna Woods Lake Forest placed on our transportation systems. OCCOG's Growth Visioning Workshop is a Los Alamitos chance for Orange Count decision-makers to learn and participate in a program designed MissionVielo Y P P P g Newport Beach to empower them to meet the new challenges in their communities. Orange Placentia Rancho Santa Margarita The attached brochure and RSVP form provide further information on the workshop and San Clemente how to take art in this exciting event. If you have an questions regarding the Growth San Juan P" t5 Y Y 9 g' Capistrano Visionin; Workshop, please contact Heather Dion. OCCOG's Regional Issues Analyst or Santa Ana Seal Beach Annabel Cook, OCCOG's Regional Issues Consultant at (714) 972-0077. Stanton Tustin Villa Park Thank you for our continued support of OCCOG. Together, we can plan for the future Westminster Y Y PP g P Yorba Linda and act collectively on important subregional and regional issues. I hope to see you all at the workshop. County of Orange agencies Costa Mesa Sanitary District Sincerely, East Orange Water District El Toro Water District Irvine Ranch Water District OC Sanitation District OC Transportation Authority f OC Water District l Transportation Corridor Lou Bone Agencies Chair, Board of Directors Mayor Pro Tem, City of Tustin Enclosures 'tvi '3ant.--ArtG 12'1 u.Ji 1=E 214, j2.-u Ana,C..ahlro n;a 7?27 Q t i 1 A,97--007 '71'tr1972-18:0 fax ��LCwGr�ItI�:;.Dia '.+..,.'.vCC_tSS. �dIOCCi� ORANGE COUNTY COUNCIL OF GOVERNMENTS GROWTH-VISIONING WORKSHOP c.I3, 004 \ O .ni� )4r t .. ><-- ..� � ; ♦�' r � .f Cam± ,� � �pl ►T{r, ',.i t. t �'y.. i 3 �tehtennial Ali u tin , •� Improving Our Neighborhoods, Increasing Our Sense of Place What are the benefits of attending? You'll have a much better grasp of the opportunities mixed-use and infill development present, a better understanding of alternative development choices, and ways to work with neighborhoods to gain support for these types of projects. ❑ YES! I would like to RSVP for the FREE Growth Visioning Workshop. Attendee RSVP Name: Title: City/Agency: Phone: Fax: E-mail: Please RSVP by February 27, 2004. Lunch will be provided. Fax or mail this form to: Orange County Council of Governments 600 West Santa Ana Blvd., Suite 214 Santa Ana, CA 92701 Phone (714) 972-0077 Fax (714) 972-1816 SO LI MAR ; M A I N S T R E E T RESEARCH GROUP INC. i ARCHITECT$ PLAT\jNERS INC. p O V a � V Q V n. O You'll learn: Conference facilitators.9 a Speakers: 1041 • How CMOM requirements Speakers. T can affect your agency Conference Facilitators: N ? ( • CMOM implementation James W. Graydon, P.E. c strategies Vice President Kennedy/Jenks Consultants " • Funding strategies Ln • Spill prevention and Dr. Nicholas (Nick) Pinhey, response planning CWEA Training Coordination Committee • Practical applications Chair TI Conference Speakers & Case Studies = 0 0 � r Panel• .4�, Z Nick Arhontes, Orange County SD — D n rn rn * += r-, Cl Sara Demio, San Mateo - r' o T r--t C ' T v` (nz C , Eileen, Fanelli, EMBUD—Upcountry = �— 7, < --A 1�1 In Mike Fisher, Kennedy/Jenks Consultants = ' w :D H G Jeff Harsha, Yosemite National Park = — r9 n n Pat Hassey, SRCSD 0o Z UJ ( < — I N Allan Highstreet, CH2M Hill - C7 rn Mario Osorio, Kennedy/Jenks Consultants = "0 H r� Rolf Olemutz, Vallejo Sanitation & Flood Control District March 9, 2004 RWQCB Staff from Region 5 & 8 o Elsinore, CA --1 � vv Ken Payne, City of Folsom -D O March 11, 2004 O D C p Folsom, CA Zoeanne Tafolla, Vallejo Sanitation and 3 7C (n =': 4 , Flood Control District D D + Brought to you by CWEA, Z its Santa Ana River Basin Warren Tellefson, Placer County Q Q Section and the OC) N• Sacramento Area Section. Tim Williams, Kennedy/Jenks Consultants W D �y 0 Practical & Proactive SSO Prevention Practical and Proactive SSO Prevention Fist Name -Last Name-- - Name for Badge - Agency/Company The California Water Environment Associa- helping your agency comply with the address --------�------ tion, Sacramento Area Section and Santa SSO/CMOM regulations. You will learn about Ana River Basin Section are spon- the current regulatory perspective on City -_---� State -- Zip Code soring two one-day specialty SS0/CMOM and you'll be given real seminars entitled Practical and world examples of how agencies are Email Address---- -----'-- Proactive SSO Prevention. L positioning themselves through agency Phone Fax Number case studies. _ Municipalities and sanitary dis- Member CWEA,WEF or CA-NV AWWA Mbr# tricts are proactively anticipating < < This seminar is intended for manage- Current membership required for member rates. the enforcement of the EPA's pro- nlent and staff who are responsible for Member Non-Member posed Sanitary Sewer Over- ` ` ` the development and implementation of ❑ So.California— March,9.2004 $135.00 S184.00 Elsinore Session flow/Capacity, Management, Operation SSO prevention programs. El No.California—March 11,2004$135.00 S184.00 and Maintenance (SSO%CMOM) regula- Folsom Session tions. These seminars are designed to pro- Method of Payment vide you with some strategies and tools for Check ,� E -- - -... ------- _— .__._. ____�__ -.��. _ - -'_s.-�•:�-r Discover Conference Schedule: Conference Locations: ❑ visa 8:30- 9:00 AM Registration ❑ MasterCard 9:00- 9:10 AM Welcome Southern(olifoinia—Elsinore, CA —March 9,2004 ❑ American Express 9:10 AM- 9:40 AM (MOM and Your Next Permit Elsinore Valley Municipal Water District Purchase Order—Must be attached 9:40 AM - 10:1 OAM The Business(use for(MOM 31315 Chaney Street, lake Elsinore, CA 10:10— 10:30 AM BREAK From the 1-15 freeway: dredit card ---- -Exp.date— 10:30 AM - 1 I:1S AM Tools for Smaller Communities Exit at Central Ave(Ortega Hwy 74); 11:15 AM- 11:45AM Spill Prevention & Response signature - -- Turr1 West on Central Ave.; Planning left on Collier Ave. If more than one person from your agency,please photocopy 11:45 AM - 1:00 PM Lunch & Proposed US EPA Wet and submit one form for each person. Right on Chaney Street Written cancellation notice is required,and must be received of least 15 days prior r or to Weather Blending the conference date. A 25%service fee shall be retained on all cancellations. No 1:00- 1:30 PM Prioritization Strategies for (MOM refunds shot)be given for cancellations made less than 15 days prior to any conference. Northern California—Folsom, CA —March 11,2004 All fees for conference registration shall be paid in full of the time of pre-registration or Implementation on-site registration. Full payment may be made b credit card,personal check or p Folsom Community Center, company/agency check.pPurchase orders are acceptable and mst be onached to the 1:30 2:00 PM Funding Strategies 52 Natomo Street, Folsom CA registration form. Registrations received by CWEA without full payment or purchase 2:00 2:20 PM BREAK order will not be processed. CREDIT CARD PAYMENTS MAY BE MAILED TO THE ADDRESS BELOW 2:20 4:30 PM lessons learned: Case Studies From Sacramento: OR FAXED To(51o)387-7810 CWEA Specialty Conferences 4:30 PM WrapUp& Adjourn Take Hwy 50 east toward South Lake Tahoe. Take the Folsom �c7;oakpart street, 21 s25 1 1 Y Oakland,CA 94621 Blvd.Exit and turn left onto Folsom Blvd. Go 2.7 miles to Phone: 510-382-7800 CWEA is working with SWRCB to determine if California Nrltoma Street and turn right onto Natoma Street. Go 1.1 Fax:510-382-7810 State CEU's will be available. Contact Hours w Questions? Call 510.382.7800.ill he given. miles to the Community Center on the left. Register online at www.cwea.ar g. Check the CWEA wehsite for updates. FieO goad 1t5S�c cd-7&e v etc Good government demands the intelligent interest of every citizen. (Inscription above the main door of the San Diego County Administration Center) You can't mandate good intentions. (J.Fred Silva,former Senate Local Government Committee consultant) The controversies facing the Sacramento Suburban Water District prompted legis- lators to ask questions about special districts' governance. Who really runs Cali- fornia's 3,300 special districts? Who supervises how they raise revenue and spend those public dollars? Who is responsible for protecting the public interest? These questions of governance, political accountability, and procedural transpar- ency are universal and timely. People ask these questions in California,just as they ask them Baghdad, Jerusalem, and Kabul. These questions came up again when the Sacramento Bee focused on the problems facing the Sacramento Subur- ban Water District. Senator Deborah Ortiz raised these policy issues in May 2003 when she amended Senate Bill 456 to limit the compensation that the Sacramento Suburban Water District can pay to the members of its board of directors. Rather than move SB 456 without a full examination of the larger issues, Senator Ortiz asked Senator Tom Torlakson to convene an interim hearing of the Senate Local Government Committee. An interim hearing is a special meeting that a legislative body holds during the Legislature's interim recess. Legislative committees cannot act on bills at hearings that are held outside the Capitol. However, during interim recesses, committees can hold topical hearings that prepare legislators to act on future bills. About This Paver This background paper prepares legislators and other interested persons for the November 24 interim hearing by reviewing the organization of special districts, their governance, ethical behavior, financial reporting, and oversight efforts. Throughout the paper there are questions which legislators may ask the witnesses at the November 24 hearing. The suggested questions appear in italics, preceded by the *- symbol. 2 What's So Special About Special Districts? Celebrated by some as the best example of local democracy, cursed by others as the worst form of fragmented government, and generally misunderstood even by the experts, special districts are California's unique contribution to local govern- ment. What's so special about special districts? The best answer is focused service. Fo- cused because special districts serve only specifically defined areas, unlike cities and county governments that must provide services throughout their entire jurisdic- tions. Special districts are also focused because 85% of them deliver only a single service. In contrast, county governments provide over 40 programs and most cities offer about a dozen services. Service because special districts deliver only those public services and facilities that local residents and property owners want. Dis- tricts provide the programs that have local support; counties must offer state- mandated local programs. A special district is a separate local government that delivers public services to a defined territory. This definition relies on four distinguishing characteristics: • A form of local government. • Governed by a legally constituted board. • Provides public services and public facilities. • Within defined boundaries. Powers. Like cities and county governments, special districts have corpo- rate powers (the authority to Provide services and facilities) and tax powers (the power to raise money to pay for services and facilities). However, special districts rarely have police powers (the authority to regulate private behavior to accomplish a public goal). For example, a recreation and park district can own and operate public parks,just like a city or a county but it lacks the power that cities and coun- ties have to regulate land use. Numbers. As the table on page 3 shows, there were 3,298 special districts in 1999-00. Because special districts are the most common form of California lo- cal government, there is a lingering perception that their numbers are increasing. The reality is that the number of special districts has declined since 1977-78, the year in which the voters passed Proposition 13. In contrast, the number of cities increased by 55. (Currently there are 478 cities.) 3 Special Districts,by Oye, 1999-00 County Service Area 873 Fire Protection 385 Community Services 314 Cemetery 253 County Water 171 Reclamation 151 California Water 141 Recreation and Park 110 Resource Conservation 99 County Sanitation 81 Irrigation 96 Hospital 79 --�-Sanitary 75 Public Utility 54 Mosquito Abatement 46 Storm Water Drainage and Conservation 49 County Waterworks 34 Municipal Water 40 Flood Control and Water Conservation 39 Water Agency or Authority 30 Memorial 27 Drainage 22 Levee 15 Harbor and Port 13 Library 13 Transit 13 Water Conservation 13 Airport 9 Water Storage 8 Citrus Pest Control 8 Garbage Disposal 7 Pest Control 6 Municipal Improvement 5 Municipal Utility 5 Police Protection 3 Sanitation and Flood Control 2 Sewer 2 Water Replenishment 2 Bridge and Highway 1 Joint Highway 1 Metropolitan Water 1 Separation of Grade 1 Toll Tunnel Authority 1 TOTAL 3,298 Source:State Controller's Office,Appendix B, Special Districts Annual Report, Fiscal Year 1999-00. 4 How Many Local Governments`' Type 1977-78 1999-00 Change Counties 58 58 0 Cities 419 474 +55 Special districts 3,454 3,298 -156 These numbers differ from the total numbers in the State Controller's annual re- ports. Required by statute to use a broader definition, the State Controller must count agencies that are not really special districts such as air pollution control dis- tricts,joint powers agencies, and even nonprofit corporations (Government Code §12463.1). Does California have too many local governments? The 1998 study by Paul Lewis thoughtfully reviewed previous research and examined different data sources. While Lewis conceded the complexities of California's local governments, he found that "it is not abnormally fragmented, by U.S. standards, nor is it highly un- stable." A county's population size and its historical pattern of population growth influence the degree of governmental fragmentation, Lewis said, because "simply put, bigger and older areas tend to be more fragmented." Governance The structure and processes of any organization influence how it performs. How a government agency is structured and the processes that it follows in making deci- sions influences which facilities and services it provides. The study of public ad- ministration teaches that changing a government's structure and processes changes the likelihood of the agency's results. For example, if legislators want to open up a cemetery district's governing board to a wider range of viewpoints, they could amend the state statutes to increase the number of trustees from 3 to 11. Having a larger board of trustees would not guar- antee more public participation but it increases the possibility that more viewpoints could be represented. Similarly, changing the election of large sewer district's board members from at-large to by-districts could boost the influence of neighbor- hood interests. Changing processes can also change outcomes. Requiring more public reports, more public notice, and more public hearings could slow down the pace of a dis- 5 trict's decisions. Because legislators control special districts' structures and proc- esses, state statutes influence what the districts do and how they do it. Independent vs. dependent. About 2/3 of California's special districts are independent special districts with governing boards that are directly elected by lo- cal voters or composed of persons appointed for fixed terms. Among the most common independent special districts are the 341 fire protection districts and the 295 community service districts that have directly elected boards of directors, and the 253 public cemetery districts that have appointed boards of trustees. Depend- ent special districts depend on other legislative bodies to govern them. A city council or a county board of supervisors can be a district's ex oicio governing board. For example, county boards of supervisors govern 35 of the 44 dependent fire protection districts and city councils govern the other 9 dependent fire protec- tion districts. All of the 873 County Service Areas are dependent special districts, governed ex officio by county boards of supervisors. Examples of Independent and Dependent Districts County- City- Total Independent Dependent Dependent County service areas 873 0 873 0 Fire protection districts 385 341 35 9 Community service districts 314 295 14 5 Cemetery districts 253 253 0 0 Recreation & park districts 110 94 13 3 Who votes? Registered voters who reside within the districts' boundaries elect most independent special districts' governing boards. Observers call them registered-voter districts. However, state law allows landowners to elect the gov- erning boards of some special districts. For example, most of the 141 California Water Districts are landowner-voter districts. The state statutes governing land- owner-voter districts assign voting power to the landowners in proportion to the amount of land they own. In 1972, the United State Supreme Court's Salyer sand Company v. Tulare Lake Basin Water Storage District decision upheld landowner- voting because nearly all of the water that the District delivered went to irrigate farmland; very little was for domestic consumption. Because the District provided no services to the general public, the Court held that it was acceptable for state law to avoid the usual constitutional doctrine of one-person-one-vote. 6 Policies and implementation. Although there is no bright-line that crisply separates policy making from policy implementation, governing boards are usually the policy-makers and key appointed officials usually carry out the boards' poli- cies. Special districts' boards of directors make policy; general managers carry out policies. In the real world of practical local politics, general managers often gener- ate policy proposals for their governing boards to adopt. Likewise, board members often supervise district employees' work, especially in smaller agencies. District boards and managers admit that they sometimes step on each others' political toes - -- some strong managers drive their boards into adopting policies and intrusive board members can micro-manage daily operations. Sorting out and then respecting these roles can be difficult, particularly where an agency has a political history of interference. To help local officials distinguish their respective roles, the Legislature has amended the state laws that govern three types of special districts. Cemetery districts A legislative body of at least three members known as the board of trustees shall govern every district. The board of trustees shall establish policies for the operation of the district. The board of trustees shall provide for the faithful implementation of those policies which is the responsibility of the employees of the district. - Health & Safety Code §9020, added in 2003 Mosquito abatement and vector control districts A legislative body of at least five Inembe,s known as the board of trustees shall govern every district. The board of trustees shall establish policies.for the operation of the district. The board of trustees shall provide for the faithful implementation of those policies which is the responsibility of the employees of the district. - Health & Safety Code §2020, added in 2002 Recreation and park districts A legislative body known as the board of directors shall govern every dis- trict. The board of directors shall establish policies for the operation of the district. The board of directors shall provide for the faithful implementation of those policies which is the responsibility of the employees of the district. - Public Resources Code §5784 (a), added in 2001 The Senate Local Government Committee wrote these statements of statutory guidance into the state laws that govern the cemetery districts (SB 341 in 2003), the mosquito abatement and vector control districts (SB 1588 in 2002), and the rec- reation and park districts (SB 707 in 2001). The special district officials who ad- vised the Committee on these bills welcomed the new statutory declarations be- cause they said they would have practical benefit in their communities. Although these admonitions will not stop conflicts between determined board members and district managers, the language may help sort out their respective roles when fric- tion occurs. ■►Should the Legislature insert the statutory language that defines the re- spective roles of these districts' governing boards and their staff into the state laws that govern other types of special districts? 0-Should the Legislature require districts' governing boards to adopt for- mal statements that spell out the respective roles of the board and its employees? •- What happens when a district's general manager believes that a board member has violated district policies or state laws? How does an employee con- front elected or appointed board members with perceived wrongdoing? ■►Should the Legislature provide whistle-blower protections to district em- ployees who allege wrongdoing by district directors? Compensation. There is no standard statutory scheme for special districts to compensate the members of their governing boards. A few statutes permit dis- tricts to pay regular monthly salaries, most allow stipends for attending meetings, and some let the board members recover their expenses. In addition, state law al- lows all local governments --- including special districts --- to provide benefits to governing board members. Local practices vary widely, with some districts paying the maximum amounts allowed by law, while other districts do not offer any com- pensation. Even within the same district, some board members accept compensa- tion; others decline the offer. In 1987, the Senate Local Government Committee reviewed these practices at an interim hearing on "Deregulating Local Officials' Compensation." There has not been a comprehensive review since then. Salaries. Although rare, some districts have statutory permission to pay regular monthly salaries to their board members. For example, the East Bay Municipal Water District can pay its board members monthly salaries of up to $600 a month, with 5% annual increases (Public Utilities Code §11908.1, amended by SB 1606, Petris, 1986). Irrigation districts that are in the electricity business can pay their 8 board members monthly salaries of up to $600 or annual salaries of up to $15,000 (Water Code §21166, amended by SB 1805, Kelley, 1998). The Imperial Irriga- tion District can pay its directors annual salaries equivalent to the salaries of the Imperial County Board of Supervisors (Water Code §22840, amended by SB 454, Kelley, 1997). Substituting regular salaries for specific stipends calls into question the nature of local public service. Is service on a district's governing board a voluntary vocation or a professional career? Is a salary an inducement to work full-time on a district's governance? Should a stipend partially offset the regular earnings that an elected official must forego in order to attend to the public's business? Without decent salaries or stipends, perhaps only the wealthy can afford to be on districts' govern- ing boards. 0- Should the Legislature stop the practice of paying salaries to special dis- tricts' governing boards, converting these payments to stipends? Stipends. When state law allows agencies to compensate the members of their governing boards, the most common form is a specific stipend. Districts pay sti- pends to their governing officials for attending a meeting or performing a day's work, following statutory schedules. Recreation and park districts, for example, may pay stipends of up to $100 to directors for attending board meetings but a di- rector can't receive more than $500 a month (Public Resources Code §5784.15). Until 1984, districts would sponsor bills seeking legislative approval to boost the amounts of their directors' stipends. Tired of acting on repeated requests for what they perceived as a local matter, legislators partially deregulated many districts' stipends. Legislation authored by the Chairman of the Senate Agriculture and Wa- ter Resources Committee raised water districts' stipends to $100 a meeting and then allowed the districts to boost these stipends if they adopt local ordinances. A district's ordinance is referendable and the statute doubles the amount of time that opponents have to circulate referendum petitions from the usual 30 days to 60 days (Water Code §20200, et seq., added by SB 1370, Ayala, 1984). In 2000, the Legis- lature extended these procedures to sanitary, sanitation, and fire districts (SB 1559, Kelley, 2000, and SB 1756, Kelley, 2000), and later to recreation and park districts (SB 707, Senate Local Government Committee, 2001) and cemetery districts (SB 341, Senate Local Government Committee, 2003). 9 In 1989, the Legislature increased the number of meetings for which districts can- can pay stipends from 6 meeting a month to 10 meetings a month (Water Code §20202, amended by AB 653, Jones, 1989). ■►Should the Legislature reduce the number of meetings eligible for sti- pends from 10 a month back to 6? Lower the number to 4 a month? Many districts' statutes provide an open-ended definition of a meeting that quali- fies for a stipend. For example, the Recreation and Park District Law says that "a meeting of the board of directors includes, but is not limited to, regular meetings, special meetings, closed sessions, emergency meetings, board field trips, district public hearings, or meetings of a committee of the board." The maximum monthly amount is $500 (Public Resources Code §5784.15). A November 5, 2003, editorial in the Sacramento Bee scoffed at "10 of the more creative definitions of `meeting' as defined" by some water districts, including: • Two water district directors meeting for lunch. • Two water district directors attending a water art gala. • Chatting privately with the general manager. • Attending a Little League function. • Participation on a conference call on water reuse. The Sacramento Bee editorial called on legislators to "come up with a reasonable definition of a water meeting that merits a modest public stipend," suggesting that stipends be limited to publicly noticed meetings. ■►Should the Legislature limit stipends to official meetings that are noticed and conducted under the Brown Act? Expenses. Nearly all special districts' principal acts allow them to reimburse gov- erning board members for the expenses they incur while on district business. There are many variations on this theme. For example, a recreation and park dis- trict can pay its directors' expenses in addition to paying stipends (Public Re- sources Code §5784.15). But a cemetery district can pay its trustees "their actual and necessary traveling and incidental expenses incurred while on official business other than a meeting of the board" (Health & Safety Code §9031[c]). Mosquito abatement districts cannot pay stipends to their trustees but they can pay expenses. In lieu of paying for their actual expenses, district trustees can receive $100 a month (Health & Safety Code §2030). 14 • Districts to publicize their reserves. • Policy-makers to integrate enterprise district reserve information into infra- structure planning. • Guidelines for prudent reserves. One response to the Little Hoover Commission's recommendations was a 2001 law that requires the State Controller to report on the districts' fund balances, retained earnings, fixed assets, and cash earnings. The State Controller must report this in- formation for the 250 special districts with the largest annual total revenues. In- stead of issuing a printed document, the State Controller reports this information electronically (Government Code §12463.1 [c], amended by SB 282, Dunn, 2001). In October 2003, the State Controller's Office released its second annual electronic report, covering the 2001-02 fiscal year: http://Iars.sco.ca.gov/sb282. *►Should the Legislature ask the State Controller's Office to post additional information about special districts on the its website? "-If so, which types of fiscal information would be most useful to local resi- dents and property owners? Another legislative response to the Little Hoover Commission's recommendations has been to require some districts to formally account for their budgetary reserves and make it harder for district boards to transfer funds from restricted reserves back to their general funds. Based on provisions the 1987 Fire Protection District Law for a capital reserve account (Health & Safety Code §13902), legislators tightened up the use of reserve finds when it rewrote the Recreation and Park Dis- trict Law (SB 707, Senate Local Government Committee, 2001), the Mosquito Abatement and Vector Control District Law (SB 1588, Senate Local Government Committee, 2002), and the Public Cemetery District Law (Senate Local Govern- ment Committee, 2003). As part of their annual budgets, these special districts must now distinguish be- tween restricted reserves and an unallocated general reserve. For example, a mos- quito abatement district can put money aside in separate restricted reserves for public health emergencies, capital and asset preservation, and contingencies, in ad- dition to an unallocated general reserve (Public Resources Code §2070). Money placed in a restricted reserve can be spent only for that fund's declared purpose. In a public health emergency such as an outbreak of the West Nile virus, a mosquito abatement district's board of trustees can temporarily transfer funds to its public health emergency reserve from other its other restricted reserves. This transfer re- 9 In 1989, the Legislature increased the number of meetings for which districts can- can pay stipends from 6 meeting a month to 10 meetings a month (Water Code §20202, amended by AB 653, Jones, 1989). ■-Should the Legislature reduce the number of meetings eligible for sti- pends from 10 a month back to 6? Lower the number to 4 a month? Many districts' statutes provide an open-ended definition of a meeting that quali- fies for a stipend. For example, the Recreation and Park District Law says that "a meeting of the board of directors includes, but is not limited to, regular meetings, special meetings, closed sessions, emergency meetings, board field trips, district public hearings, or meetings of a committee of the board." The maximum monthly amount is $500 (Public Resources Code §5784.15). A November 5, 2003, editorial in the Sacramento Bee scoffed at "10 of the more creative definitions of `meeting' as defined" by some water districts, including: • Two water district directors meeting for lunch. • Two water district directors attending a water art gala. • Chatting privately with the general manager. • Attending a Little League function. • Participation on a conference call on water reuse. The Sacramento Bee editorial called on legislators to "come up with a reasonable definition of a water meeting that merits a modest public stipend," suggesting that stipends be limited to publicly noticed meetings. W Should the Legislature limit stipends to official meetings that are noticed and conducted under the Brown Act? Expenses. Nearly all special districts' principal acts allow them to reimburse gov- erning board members for the expenses they incur while on district business. There are many variations on this theme. For example, a recreation and park dis- trict can pay its directors' expenses in addition to paying stipends (Public Re- sources Code §5784.15). But a cemetery district can pay its trustees "their actual and necessary traveling and incidental expenses incurred while on official business other than a meeting of the board" (Health & Safety Code §9031[c]). Mosquito abatement districts cannot pay stipends to their trustees but they can pay expenses. In lieu of paying for their actual expenses, district trustees can receive $100 a month (Health & Safety Code §2030). 10 Critics say that some districts pay for their board members' expenses without ob- taining receipts or other supporting documentation. Further, say the critics, some of these expenses are unworthy of public officials: large cell-phone bills, first class airfare, foreign trips, bar tabs, extravagant meals, and luxurious hotel rooms. W Should the Legislature require special districts' boards to annually adopt written policies for expense payments? W Should the Legislature clarify that districts' expense records must be dis- closed under the Public Records Act? W Should the Legislature limit special districts' expense payments to the per diem and travel amounts permitted for state workers? W Should the Legislature restrict reimbursements to only those expenses that a district's board approves in advance or that are consistent with a set of re- imbursement policies that a district must publicly review and adopt each year? W Should the Legislature prohibit the practice of advancing travel funds to board members? +Should the Legislature extend these reforms to cities and counties? Benefits. For nearly 65 years, state law has allowed all local agencies --- including special districts --- to provide their governing board members with a wide variety of fringe benefits in addition to their stipends, salaries, or expenses (AB 2103, Desmond, 1939). These benefit programs include group insurance for hospital, medical, surgical, disability, legal, dental, life insurance, income protection, and annuities (Government Code §53200, et seq.). Local agencies can also allow their governing board members to participate in deferred compensation plans (Govern- ment Code §53212, et seq.) and pension trusts (Government Code §53215, et seq.) just like their employees. Paying benefits to former local elected officials grew from several smaller legisla- tive decisions. By the late 1970s, some counties were already paying the premi- ums on group insurance benefits for former county supervisors. In 1979, the Leg- islature codified this practice, allowing all local agencies to pay health and welfare benefits to "retired" elected officials (Government Code §53201, added by AB 1742, Thurman, 1979). Responding to an Attorney General's opinion, the Legisla- 11 ture clarified the law and allowed local agencies to pay health and welfare benefits to "former" elected officials (AB 2162, Thurman, 1980) who had served at least 12 years (AB 1572, Marguth, 1982). At the request of the Los Angeles Unified School District, the Legislature reduced the minimum service to one term of office, provided that the board member paid the full cost (SB 98, Carpenter, 1982). In 1993, the Legislature closed off access to the Public Employees Retirement Sys- tem for newly elected members of school boards and special districts' governing boards but not to city councilmembers or county supervisors (Government Code §20321 [c], amended by SB 53, Russell, 1993). In 1994, responding to allegations of high (but undocumented) costs to local agen- cies, the Legislature imposed new restrictions on health and welfare benefits (SB 1983, Leslie, 1994). Local agencies can provide health and welfare benefits to former elective members of their legislative bodies only under specific conditions: • A local agency that provided benefits to former elective officials before January 1, 1995, cannot provide those benefits to an official to takes office after that date, unless the person pays for the benefits. • A local agency that did not provide benefits to former elective officials before January 1, 1994, cannot provide those benefits to former elective officials un- less they pay for the benefits. • A local agency that provided benefits to former elective officials before January 1, 19Q4, can continue to provide those benefits to those former elective offi- cials. *-Should the Legislature further limit the benefits that special districts can provide to former elective officials? •-Should the Legislature extend any new limits on benefits to former mem- bers of city councils and county boards of supervisors? Ethical Behavior Only a few special districts' principal acts remind their governing boards that leg- islators expect them to act in the public interest. For example, when legislators rewrote the state laws governing mosquito abatement districts, the new statute told 12 the districts' trustees that they must "exercise their independent judgment on behalf of the interests of the residents, property owners, and the public as a whole in fur- thering the purposes and intent" of the Mosquito Abatement and Vector Control Law (Health & Safety Code §2022 [d]). The new Public Cemetery District Law contains a similar statutory admonition (Health & Safety Code § 9022 [b]). In 2001, the Senate Agriculture and Water Resources Committee's staff gathered press accounts of 11 special districts with ethical lapses, some of them criminal. The newspaper articles described expense account padding, diversion of public funds to private uses, excessive travel costs, and nepotism from 1994 to 2001. Upset by these articles, the Committee's Chair noted that state law requires legisla- tors, legislative staff, and legislative advocates to take regular training in ethics (Government Code §8958 and §86103). Senator Costa authored a bill that would have required water districts' board members and their executive officers to attend regular ethics courses (SB 609, Costa, 2001). SB 609 would have required each water district to offer an annual, four-hour ethics course to its board members and executive officers. The bill would have required board members and executives to take the required ethics course once every two years. The ethics course would have covered potential ethical abuses relating to: • Business relationships with contractors and vendors. • Campaign contributions from bidders, contractors, or subcontractors. • Using the district's funds for personal expenses. SB 609 would have required water districts to pay for the costs of these ethics courses, creating a state mandated local program. The hill disclaimed the state's responsibility to pay for these programs, citing the water districts' ability to raise service charges. Faced with fiscal opposition, Senator Costa removed these provi- sions from SB 609 and they did not become law. ■-Should the Legislature require special districts' governing boards and key staff to take ethics training, much like legislators, staff, and lobbyists? W Should the Legislature pay for this state mandated local program, or should legislators require special districts to finance their own courses? *-Should the Legislature direct the Fair Political Practices Commission (or another state agency) to develop a standard curriculum on ethical practices for special districts? 13 ■� Would formal training change the behavior of public officials who may be tempted to abuse their offices for personal gain, or is mandatory ethics training just another example of state interference in local affairs? 0- Should the Legislature extend these reforms to cities and counties? Financial Reporting Special districts generate revenues from several sources, including property taxes, benefit assessments, and fees for services. Enterprise districts run much like busi- nesses, delivering specific services to paying customers. About 27% of special districts are enterprise districts, providing services that include airports, harbors, ports, hospitals, transit, waste disposal, water, and electricity. Enterprise districts' primary funding sources are the fees that they charge to recover the costs of pro- viding services. However, some enterprise districts still get a share of local prop- erty tax revenues. Some critics say that these property tax revenues subsidize the districts' enterprise operations, resulting in lower service charges. In 1999-00, en- terprise districts generated about $15.5 billion in revenues. Non-enterprise districts deliver services that generally benefit entire regions, communities, or neighborhoods. These public services --- such as cemeteries, fire protection, flood control, libraries, and parks --- do not lend themselves to service charges and fees. Non-enterprise districts rely primarily on property tax revenues to fund their operations. In 1999-00, non-enterprise districts' revenues were about $5.8 billion. The State Controller publishes annual reports on special districts' financial transac- tions. Although the reports have lagged in recent years --- the most current report covers the 1999-00 fiscal year --- improvements in the Controller's data collection and reporting suggest that the annual reports will be more timely in the future. Re- cent legislation requires the State Controller's Office to publish its special district report by October 1 of each year (Government Code §12463, amended by SB 1068, Senate Local Government Committee, 2003). In 2000, the Little Hoover Commission drew attention to special districts when it released a report recommending that the "Governor and Legislature should enact policies that will ensure prudent management of special district reserve funds and incorporate these resources into regional and statewide infrastructure planning." Specifically, the Commission recommended that the state should require: 14 i • Districts to publicize their reserves. • Policy-makers to integrate enterprise district reserve information into infra- structure planning. • Guidelines for prudent reserves. One response to the Little Hoover Commission's recommendations was a 2001 law that requires the State Controller to report on the districts' fund balances, retained earnings, fixed assets, and cash earnings. The State Controller must report this in- formation for the 250 special districts with the largest annual total revenues. In- stead of issuing a printed document, the State Controller reports this information electronically (Government Code §12463.1 [c], amended by SB 282, Dunn, 2001). In October 2003, the State Controller's Office released its second annual electronic report, covering the 2001-02 fiscal year: hqp://Igrs.sco.ca.gov/sb282. 0-Should the Legislature ask the State Controller's Office to post additional information about special districts on the its website? W If so, which types of fiscal information would be most useful to local resi- dents and property owners? Another legislative response to the Little Hoover Commission's recommendations has been to require some districts to formally account for their budgetary reserves and make it harder for district boards to transfer funds from restricted reserves back to their general funds. Based on provisions the 1987 Fire Protection District Law for a capital reserve account (Health & Safety Code §13902), legislators tightened up the use of reserve finds when it rewrote the Recreation and Park Dis- trict Law (SB 707, Senate Local Government Committee, 2001), the Mosquito Abatement and Vector Control District Law (SB 1588, Senate Local Government Committee, 2002), and the Public Cemetery District Law (Senate Local Govern- ment Committee, 2003). As part of their annual budgets, these special districts must now distinguish be- tween restricted reserves and an unallocated general reserve. For example, a mos- quito abatement district can put money aside in separate restricted reserves for public health emergencies, capital and asset preservation, and contingencies, in ad- dition to an unallocated general reserve (Public Resources Code §2070). Money placed in a restricted reserve can be spent only for that fund's declared purpose. In a public health emergency such as an outbreak of the West Nile virus, a mosquito abatement district's board of trustees can temporarily transfer funds to its public health emergency reserve from other its other restricted reserves. This transfer re- 15 quires a majority vote of the board's total membership. Otherwise, state law re- quires a 4/5 vote of the district's board to transfer funds from a restricted reserve to the general fund (Public Resources Code §2071). Similar provisions exist for rec- reation and park districts (Public Resources Code §5788 and §5788.9) and for cemetery districts (Health & Safety Code §9070 and §9071). *-Should the Legislature amend the principal acts of other types of special districts, including water districts, to limit the use of restricted reserves and to re- quire extraordinary votes before districts can transfer money out of their reserves? Oversight Efforts One of the politically least attractive but potentially most powerful legislative du- ties is overseeing existing institutions and their programs. Voters and public offi- cials create new agencies and services to respond to pressing problems, only to forget about them over time. Institutional inertia, changing social and political goals, and nearly automatic budgeting combine to allow archaic agencies and inef- fective programs to persist. Legislators, local officials, and their shared constituents can avoid perpetuating outdated programs by insisting that organizations undertake regular oversight ef- forts. In short, they should ask: How do we know that they did what we said we wanted them to do? Special districts face this question in four ways: • Regular audits. Special audits. • Annual financial reports. • Municipal service reviews. Regular audits. Since the mid-1950s, state law has required county auditors to annual audit special districts' books (Government Code §26909). A county auditor must either audit a special district or contract with a certified public accountant to perform the work. The audit must follow the State Controller's requirements and conform to generally accepted auditing standards. The district pays for the audit. A district can shift from an annual audit to biennial audits with the unanimous ap- proval of the district's governing board. A district can also shift to an audit once every five years if the size of the district's budget is below a threshold set by the county board of supervisors. 16 w Should the Legislature repeal the opportunities for biennial audits or au- dits every five years, and require annual audits for all special districts? W Should the Legislature require special districts to change auditors peri- odically? State law also allows a county auditor to review a special district's books "at any reasonable time and place," provided that the district is located wholly within that county (Government Code §26910). Good management practices suggest that an organization's governing body review its audit with the auditor. A special district's governing board should invite the district's auditor to present the audit at a public meeting and solicit additional ad- vice about the condition of its fiscal records and management practices. Some special districts follow this practice to educate themselves and to listen for any im- pending problems. W Should the Legislature require special districts' governing boards to meet with their independent auditors? W Should a district's management be present when the governing board meets with its auditor? W If so, should these discussions occur in a public meeting, or should the Legislature allow a special district's board to Iueet with its auditor at a closed meeting? Should the Legislature amend the Brown Act to allow for this closed meeting? Unlike the statutes governing redevelopment agencies' annual audits, state law does not require special districts' governing boards to respond to their audits. If the annual report identifies major audit violations, a redevelopment agency must tell its city council. The city council then has 21 days to act on the redevelopment agency's annual report, including any major violations (Health & Safety Code §33080.2). w Should the Legislature require special districts' governing boards to take prompt remedial action in response to major audit violations? W If so, which errors and omissions should state law identify as major audit violations? 17 When the State Controller's Office compiles redevelopment agencies' annual re- ports for publication, the resulting report identifies the agencies that received audit exceptions from their independent auditors. The Controller must compile a list of the agencies with major audit violations and then determine if these agencies have corrected their problems. If not, the Controller forwards the list to the Attorney General's Office which can file suits to force agencies to correct their major audit violations (Health & Safety Code §33080.8, added by SB 497, Rainey, 1999). W Should the Legislature follow the precedent that it set with redevelopment agencies and require the State Controller to identify the special districts that have major audit violations? W If special districts fail to correct their major audit violations, should the State Controller forward the districts' names to the Attorney General for enforce- ment actions? Reacting to audit problems in the public sector, new auditing standards are taking effect. In 1999, the Governmental Standards Accounting Board (GASB) released revised requirements for governments' financial statements. GASB Statement No. 34 requires financial statements to report on the agency's overall fiscal health, con- tain more information about service costs, include information about the agency's infrastructure assets, and present a narrative discussion of the agency's financial performance. Because the GASB 34 changes were so significant, GASB called for a phased implementation based on a government agency's annual revenues. GASB 34 applies to all agencies by the 2003-04 fiscal year. Some observers be- lieve that adherence to the GASB 34 will improve the quality of districts' audits. •F How have special districts' audits implemented GASB 34? ■r Have the new auditing standards changed how special districts' govern- ing boards use the information contained in their independent audits? W What can the Legislature do to promote better special district audits? In 2002, the American Institute of Certified Public Accountants released its "Statement on Auditing Standards No. 99, Consideration of Fraud in a Financial Statement." SAS 99 guides auditors on how to use their "professional skepticism." 18 W Are local governments --- including special districts --- asking their audi- tors to implement SAS 99 as part of their regular audits? W Should the State Controller require special districts' auditors to follow SAS 99? In 2000, the Legislature authorized the State Controller to refer inadequate school district audits to the California Board of Accountancy for hearings and possible sanctions. If the Board determines that an accountant had performed poorly for two consecutive years, the accountant cannot audit school districts for three years (Education Code §41020.5, added by AB 2889, Assembly Committee on Con- sumer Protection, Governmental Efficiency, and Economic Development, 2000). In 2002, the Legislature authorized the Controller to perform quality reviews of school districts' audits and similarly refer poorly performing accountants to the California Board of Accountancy (Education Code §14404.2, added by AB 2834, Migden, 2002). W Should the Legislature follow the precedent that it set with school districts and ask the State Controller to perform quality reviews of special districts' audits? W If so, and if the State Controller finds poorly performing accountants, should the Legislature require the Controller to refer them to the California Board of Accountancy for sanctions? Special audits. When suspicions attract attention or when new leadership assumes power, public officials call for special audits of public agencies' spending and management practices. For example, the Sacramento Suburban Water Dis- trict's board of directors hired Richardson & Company to review the District's business expense reimbursement and payroll practices, and the practices of its predecessor agencies, the Northridge Water District and the Arcade Water District. The accounting firm submitted reports in January and February 2003. The District has posted the firm's February report along with a memorandum from the Board's ad hoc audit committee on its website: www.sswd.org. In August 2003, Assembly Member Rebecca Cohn, chair of the Joint Legislative Audit Committee, proposed that the Bureau of State Audits review the financial status, reserves, compensation practices, and meeting practices of a representative sample of independent water districts. W What is the status of the Bureau of State Audits' reviews? 19 In October 2003, State Senator Deborah Ortiz asked the State Controller to audit five water districts: • Fair Oaks Water District (Sacramento County). • Otay Water District (San Diego County). • Rio Linda/Elverta Community Water District (Sacramento County). • Sacramento Suburban Water District (Sacramento County). • West Basin Municipal Water District (Los Angeles County). ml- What is the status of the State Controller's audits? Annual reports. Local agencies --- including special districts --- must file copies of their annual budgets with the county auditor. Local agencies must file their budgets within 60 days of the start of the fiscal year; for most local agencies that deadline is the end of August. County auditors can exempt agencies from this requirement. County auditors must hold these budgets on file "for public inspec- tion at all reasonable hours" (Government Code §53901). Within 90 days after the end of their fiscal years, local agencies --- including spe- cial districts --- must send reports on their financial transactions to the State Con- troller. The deadline is 110 days if local officials file their reports electronically. The Controller must formally adopt uniform accounting and reporting procedures for these special district reports (Government Code §53891). It is a misdemeanor for local officials to "willfully and knowingly" provide false reports (Government Code §53894). An annual financial transaction report must contain (Government Code §53892): • The amount of property taxes levied. • The amount of property taxes collected. • Total annual revenue, identifying sources and amounts. • Total annual expenditures, identifying purposes and amounts. • Total assessed value of property. • Information on bonds and other indebtedness. • Population information. ■-Should the Legislature increase the amount of information it requires special districts to provide in their annual financial transactions reports? If so, what additional information would help legislators monitor districts' activities? 20 If the State Controller suspects that a local government --- including a special dis- trict --- has filed a false annual report, the Controller can appoint an accountant to investigate and report. If the State Controller orders an investigation for the same agency in two consecutive years, the Controller must file the results of the investi- gation with the county grand jury (Government Code §12464). W Has the State Controller ordered investigations of special districts' an- nual reports because of suspected false information? W Has the State Controller referred any investigations to grand juries? W Should the Legislature expand the investigative powers of grand juries to examine special districts' annual financial reports? Local officials must give copies of these completed reports to anyone who asks and they cannot charge more than 250 a copy (Government Code §53893). W Should the Legislature allow local officials to recover the full cost for copying annual reports, the practice allowed by the Public Records Act? Local agencies that fail to file their reports with the State Controller face civil pen- alties ranging from $1,000 to $5,000, depending on the amount of their annual revenues (Government Code §53895). According to the State Controller, five spe- cial districts failed to file their annual reports for 1998-99, and 24 districts failed to file their 1999-00 required reports. The five districts that failed to file in 1998-99 also failed to file in 1999-00: • Donner Summit Public Utility District. • Goshen Community Services District • Greater Hayfork Valley Park and Recreation District. • Southern California International Airport Authority. • Volta Community Services District. When redevelopment agencies fail to file their annual reports in consecutive years, state law requires increasingly severe civil penalties. If a redevelopment agency fails to report for three consecutive years, the State Controller conducts the audit and the agency pays the state's costs (Government Code §53895.5). . 21 Penalties for Redevelopment Agencies that Fail To Report Annual I" Year 2nd Year P Year Revenues Penalty Penalty Consequence < $100,000 $1,000 $2,000 Controller audits $100,1014250,000 $2,500 $5,000 Controller audits >$250,000 $5,000 $10,000 Controller audits W Should the Legislature follow the precedent that it set for redevelopment agencies and impose graduated penalties for special districts that repeatedly fail to file their required reports? Municipal service reviews. The newest oversight mechanism available to local officials are the municipal service reviews conducted by Local Agency For- mation Commissions (LAFCOs) in each county. For more than 30 years, state law has required the LAFCOs to adopt a sphere of influence for each city and special district in their counties. A sphere of influence designates the city or district's future service area and boundaries. When the Commission on Local Governance in the 21 S` Century reviewed the LAFCOs' stat- utes and practices, it noted that there was no specific statutory schedule to revise the spheres of influence. In 2000, the Legislature accepted the Commission's rec- ommendation and required the LAFCOs to update the spheres of influence for all cities and special districts. The first deadline will be January 1, 2006 (Government Code §56425, amended by AB 2838, IIertzberg, 2000). The Legislature also accepted another recommendation from the Commission on Local Governance in the 2151 Century and required the LAFCOs to undertake peri- odic service reviews as they prepare to revise their spheres of influence. A mu- nicipal service review must determine: • Infrastructure needs or deficiencies. • Growth and population projections. • Financing constraints and opportunities. • Cost avoidance opportunities. • Opportunities for rate structuring. • Opportunities for shared facilities. • Government structure options. • Evaluations of management efficiencies. • Local accountability and governance. 22 To help the LAFCOs prepare their municipal service reviews, the Legislature di- rected the Governor's Office of Planning and Research (OPR) to prepare advisory guidelines by July 1, 2001 (Government Code §56430, added by AB 2838, Hertz- berg, 2000). OPR released its advisory guidelines in August 2003, more than two years late. These municipal service reviews should pull together relevant information about what special districts and cities do, how they are financed, and how their services relate to the public services delivered by other, adjacent districts and cities. Mu- nicipal service reviews should develop the information that could become the basis for proposals to consolidate services to achieve economies of scale. They may also spark proposals that would lead to the consolidation of cities and districts. 0-How will local officials and state legislators use the information from the LAFCOs' municipal service reviews to evaluate the effectiveness and responsive- ness of special districts? ■- Because of OPR's delay in issuing its advisory guidelines, will the LAF- COs be able complete their municipal service guidelines before the January 1, 2006 deadline for revising special districts' spheres of influence? ■-If not, should the Legislature postpone the deadline for revising spheres of influence? 23 Sources & Credits In preparing this background policy paper, the Committee's staff relied on: Detwiler, Peter & Leslie McFadden, Deregulating Local Officials' Compensation, Senate Local Government Committee, October 1987. Detwiler, Peter & Jennifer Swenson, Taking Their Pulse: How The LAFCOs Im- plemented AB 2838 (Hertzberg 2000), Senate Local Government Committee, September 2002. Lewis, Paul, Deep Roots: Local Government Structure in California, Public Policy Institute of California, 1998. Little Hoover Commission, Special Districts: Relics of the Past or Resources for the Future?, Little Hoover Commission, May 2000. Mizany, Kimia & April Manatt, What's So Special About Special Districts? A Citizen's Guide to Special Districts in California (Third Edition), Senate Local Government Committee, February 2002. Philp, Tom, "Let's meet for lunch" (editorial), Sacramento Bee, November 5, 2003. State Controller's Office, Special Districts Annual Report, Fiscal Year 1998-99, Office of the State Controller, March 2002. State Controller's Office, Special Districts Annual Report, Fiscal Year 1999-00, Office of the State Controller, April 2003. Swenson, Jennifer, "Special District Fact Sheet," Senate Local Government Com- mittee, November 2003. ow Qq# ow This background policy paper was written and produced by the Committee's Staff Director Peter Detwiler and Committee Assistant Elvia Diaz. AGENDA BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CA 92708 REGULAR MEETING February 25, 2004 — 7:00 P.M. Agenda Posting: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted in the main lobby of the District's Administrative offices not less than 72 hours prior to the meeting date and time above. All written materials relating to each agenda item are available for public inspection in the office of the Board Secretary. Items Not Posted: In the event any matter not listed on this agenda is proposed to be submitted to the Board for discussion and/or action, it will be done in compliance with Section 54954.2(b) as an emergency item or because there is a need to take immediate action, which need came to the attention of the Board subsequent to the posting of agenda, or as set forth on a supplemental agenda posted in the manner as above, not less than 72 hours prior to the meeting date. Accommodations for the Disabled: The Board of Directors Meeting Room is wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Board Secretary's office at (714) 593-7130 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Items Continued: Items may be continued from this meeting without further notice to a Committee or Board meeting held within five (5) days of this meeting per Government Code Section 54954.2(b)(3). Meeting Adjournment: This meeting may be adjourned to a later time and items of business from this agenda may be considered at the later meeting by Order of Adjournment and Notice in accordance with Government Code Section 54955 (posted within 24 hours). 1. Invocation and Pledge of Allegiance 2. Roll Call 3. Consideration of motion to receive and file minute excerpts of member agencies relating to appointment of Directors, if any. (See listing in Board Meeting folders) City/Agency Active Director Alternate Director Fullerton Don Bankhead Leland Wilson Tustin Tony Kawashima Doug Davert Board of Supervisors Jim Silva Charles V. Smith 4. Appointment of Chair pro tem, if necessary 02/25/04 Page 2 5. Public Comments: All persons wishing to address the Board on specific agenda items or matters of general interest should do so at this time. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and remarks may be limited to three minutes. Matters of interest addressed by a member of the public and not listed on this agenda cannot have action taken by the Board of Directors except as authorized by Section 54954.2(b). 6. The Chair, General Manager and General Counsel present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors. a. Report of Chair; consideration of Resolutions or commendations, presentations and awards b. Report of General Manager C. Report of General Counsel 7. If no corrections or amendments are made, the minutes for the regular meeting held on January 28, 2004 will be deemed approved as mailed and be so ordered by the Chair. 8. Ratifying payment of claims of the District, by roll call vote, as follows: ALL DISTRICTS 01/15/04 01/31/04 Totals $10,000,129.14 $16,639,786.91 DIRECTORS: Pursuant to Government Code Section 84308, you are required to disclose any campaign contribution greater than $250 received in the past twelve months from any party to a contract involving OCSD. This requires that you identify the contributor by name. Further, you may not participate in the decision making process to award a contract to such party. For reference, you are directed to the Register of Warrants as to all current contractors/vendors with OCSD. For the specifics of Government Code Section 84308, please see your Director's Handbook or call the office of General Counsel. CONSENT CALENDAR All matters placed on the Consent Calendar are considered as not requiring discussion or further explanation and unless any particular item is requested to be removed from the Consent Calendar by a Director, staff member or member of the public in attendance, there will be no separate discussion of these items. All items on the Consent Calendar will be enacted by one action approving all motions, and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the Consent Calendar shall be considered in the regular order of business. Members of the public who wish to remove an item from the Consent Calendar shall, upon recognition by the Chair, state their name, address and designate by number the item to be removed from the Consent Calendar. The Chair will determine if any items are to be deleted from the Consent Calendar. 02/25/04 Page 3 9. Consideration of motion to approve all agenda items appearing on the Consent Calendar not specifically removed from same, as follows: a. (1) Receive and file petition from Robert and Valerie Aronson requesting annexation of 1.24 acres to Orange County Sanitation District, in the vicinity of Meads Avenue and Orange Park Boulevard, in an unincorporated area of Orange County; and, (2) Adopt Resolution No. OCSD 04-03, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-39 — Aronson Annexation). b. (1) Receive and file petition from Gene Holle, G. Michael Smith and Gary Bryan Warden requesting annexation of 1.17 acres to Orange County Sanitation District, in the vicinity of Clark Street and Orange Park Boulevard, in an unincorporated area of Orange County; and, (2) Adopt Resolution No. OCSD 04-04, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-40 — Holle Annexation). END OF CONSENT CALENDAR 10. Consideration of items deleted from Consent Calendar, if any. COMMITTEE REPORTS AND RECOMMENDED ACTIONS 11. STEERING COMMITTEE Consent Calendar a. Order draft Steering Committee Minutes for the meeting held on January 28, 2004 to be filed. Non-Consent Calendar b. Review and consideration of agenda items considered by the Steering Committee re the February 25, 2004 meeting. C. Consideration of items deleted from Steering Committee Consent Calendar, if any. 12. OPERATIONS, MAINTENANCE AND TECHNICAL SERVICES COMMITTEE (OMTS) OMITS Consent Calendar a. Order draft Operations, Maintenance and Technical Services Committee Minutes for the meeting held on February 4, 2004 to be filed. 02/25/04 Page 4 b. Ratify Change Order No. 1 to Treatment Plant No. 2 North and South Scrubber Complex Caustic Tank Replacement, Specification No. S-2003-131, with Jamison Engineering, authorizing an additional amount of$22,800, increasing the total amount not to exceed $112,489. C. Authorize the General Manager to award a sole source purchase order to Schwing America, Inc., for overhauling three Schwing sludge pumps for an amount not to exceed $129,460, for labor and materials. d. (1) Approve a budget amendment of$150,000 for Phase III Biotrickling Filter Demonstration Project, SP-90-7, for a total budget of$925,000, as an alternative treatment to control odors; and, (2) Approve Amendment No. 7 to the Study Agreement with the University of California, Riverside to provide continued support for testing biotrickling filters as an air emissions control technology for an additional amount of$150,000 for a total amount not to exceed $355,000. OMTS Non-Consent Calendar e. Consideration of items deleted from OMTS Committee Consent Calendar, if any 13. PLANNING, DESIGN AND CONSTRUCTION COMMITTEE (PDC) PDC Consent Calendar a. Order draft Planning, Design and Construction Committee Minutes for the meeting held on February 5, 2004 to be filed. b. Ratify Change Order No. 5 for Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2, with J.F. Shea Construction, Inc., authorizing an addition of$214,954, increasing the total contract amount to $14,946,310. C. Ratify Change Order No. 12 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing an addition of$22,390, increasing the total contract amount to $71,241,204. d. Approve Amendment No. 3 to the Professional Services Agreement with Ninyo & Moore, to provide for Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2001-33BD, for FY2003/04 for an additional amount not to exceed $75,000. e. Approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2002-33BD, for FY2003/04 for an additional amount not to exceed $75,000. f. Approve Amendment No. 3 to the Professional Services Agreements with MDS Consulting and Bush & Associates, to provide for additional Surveying Services, 02/25/04 Page 5 Specification No. PSA-2001-3413D, for FY2003/04 for an additional amount not to exceed $75,000 for each agreement ($150,000 total). g. Ratify Change Order No. 4 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing an addition of$380,251, increasing the total contract amount to $30,685,478. h. Ratify Change Order No. 1 to Effluent Pump Station Annex, Job No. J-77, with J.F. Shea Construction, Inc., authorizing a deduction of$1,967,158, decreasing the total contract amount to $42,768,360. i. Approve a reimbursement agreement with the City of Tustin to reimburse the Orange County Sanitation District for the construction cost of two City water line projects located in Prospect Avenue and Cameron Lane in connection with Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; Gisler-Redhill/North Trunk Improvements, Contract No. 7-41, and City of Tustin Project Numbers 6106 and 6151, for an amount of$665,211, plus administrative fees, in a form approved by General Counsel. j. (1) Approve Professional Services Agreement with MWH Americas, Inc. for engineering services for Rehabilitation of Activated Sludge Plant at Plant No. 2, Job No. P2-74, for an amount not to exceed $2,139,998; and, (2) Authorize the General Manager to issue Task Authorizations not to exceed $100,000. k. Authorize the circulation of the revised Notice of Preparation for the Rehabilitation of Ellis Avenue Pump Station, Job No. 1-10, for public review. PDC Non-Consent Calendar 1. (1) Approve Professional Services Agreement with Black & Veatch Corporation to provide engineering services for Secondary Activated Sludge Facility 2 at Plant No. 1, Job No. P1-102, for an amount not to exceed $17,896,463; (2) Authorize the General Manager to issue Task Authorizations not to exceed $200,000; and, (3) Authorize the General Manager to issue Task Authorizations between $200,000 and $500,000 providing there is a time sensitive need and a PDC meeting cannot be called within 72 hours. M. Consideration of items deleted from PDC Committee Consent Calendar, if any 14. FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE (FAHR) FAHR Consent Calendar a. Order draft Finance, Administration and Human Resources Committee Minutes for the meeting held on February 11, 2004 to be filed. 02/25/04 Page 6 b. Receive and file Treasurer's Report for the month of January 2004. • C. Receive and file the Mid-Year Financial Report for the period ending December 31, 2003. d. Receive and file Quarterly Investment Management Program Report for the period October 1, 2003 through December 31, 2003. e. Receive and file the SWAP Report for the quarter ended December 31, 2003. f. Adopt Resolution No. OCSD 04-05, Amending Resolution No. OCSD 98-33, Amending Human Resources Policies and Procedures Manual. g. Approve SAFETY-POL-115, Backflow Prevention Program, as provided for in Resolution No. OCSD 02-5, regarding the District's Injury and Illness Prevention Program Policy. FAHR Non-Consent Calendar The following item was considered by the FAHR Committee at the December 10, 2003 meeting, and recommended to go to the January 28, 2004 Board of Directors meeting with a modified recommendation . The item was inadvertently not included on the agenda for consideration: h. Authorize the General Manager to solicit Requests for Proposals to conduct research services in connection with the Corporate Identity and Public Awareness Project, Specification No. CS-2003-16213D, in an amount not to exceed $50,000. i. Consideration of items deleted from FAHR Consent Calendar, if any. 15. JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE (JCC) JCC Consent Calendar a. Order Joint Groundwater Replenishment System Cooperative Committee Minutes for the meeting held on January 12, 2004 to be filed. b. Authorize changing the name of the "Joint Groundwater Replenishment System Cooperative Committee" to the "GWR System Steering Committee." JCC Non-Consent Calendar C. Consideration of items deleted from JCC Consent Calendar, if any. 02/25/04 Page 7 NON-CONSENT CALENDAR 16. (1) Approve Plans and Specifications for Abandonment of Airbase Trunk Sewer- California Street, Contract No. 6-13-3, on file at the office of the Board Secretary; (2) Approve Addendum No. 1 to the plans and specifications; (3) Receive and file bid tabulation and recommendation; and, (4) Award a construction contract to Mike Prlich and Sons, Inc. for Abandonment of Airbase Trunk Sewer- California Street, Contract No. 6-13-3, for an amount not to exceed $507,610. 17. Closed Session CLOSED SESSION: During the course of conducting the business set forth on this agenda as a regular meeting of the Board, the Chair may convene the Board in closed session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters, pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. Reports relating to (a) purchase and sale of real property; (b) matters of pending or potential litigation; (c) employment actions or negotiations with employee representatives; or which are exempt from public disclosure under the California Public Records Act, may be reviewed by the Board during a permitted closed session and are not available for public inspection. At such time as the Board takes final action on any of these subjects, the minutes will reflect all required disclosures of information. a. Convene in closed session, if necessary 1. Confer with Lisa Tomko, Human Resources Director, re Unrepresented Groups Compensation and Benefits (Government Code Section 54957.6). 2. Confer with General Counsel re Woodside v. Orange County Sanitation District, et al., Orange County Superior Court Case No. 03CC17413 (Government Code Section 54956.9). b. Reconvene in regular session C. Consideration of action, if any, on matters considered in closed session 18. Matters which a Director may wish to place on a future agenda for action and staff report. 19. Other business and communications or supplemental agenda items, if any 20. Future Meeting Date: The next Board of Directors regular meeting is scheduled for March 24, 2004, at 7:00 p.m. 02/25/04 Page 8 21. Adjournments .......................................................................................................................................................................................................................................................................................- NOTICE TO DIRECTORS: To place items on the agenda for the Regular Meeting of the Board of :Directors, items shall be submitted to the Board Secretary no later than the close of business 14 days :preceding the Board meeting. The Board Secretary shall include on the agenda all items submitted by :Directors, the General Manager and General Counsel and all formal communications. ::General Manager Blake Anderson (714)593-7110 banderson(cDocsd.com :Board Secretary Penny Kyle (714)593-7130 pkyle(Qocsd.com Director/Engineering David Ludwin (714)593-7300 dludwin(Ei)ocsd.com :Director/Finance/Treasurer Gary Streed (714)593-7550 gstreed ocsd.com :Director/Human Resources Lisa Tomko (714)593-7145 Itomko(cDocsd.com Director/Information Technology Patrick Miles (714)593-7280 pmileseocsd.com :Director/Operations& Maintenance Bob Ooten (714)593-7020 rooteneocsd.com :Director/Technical Services Bob Ghirelli (714)593-7400 rghirellieocsd.com :Communications Services Mgr. Carol Beekman (714)593-7120 cbeekmanna.ocsd.com :General Counsel Thomas L.Woodruff ( 564-2605 tlwd)wss-law.com H:\dept\agenda\Board Agendas\2004 Board Agendas\022504 agenda.doc 1 Orange County Sanitation District MINUTES BOARD MEETING JANUARY 28, 2004 sANjTar�o lg� N� ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CALIFORNIA 92708-7018 Minutes for Board Meeting ;a Page 2 n 01/28/04 ROLL CALL A regular meeting of the Board of Directors of the Orange County Sanitation District was held on January 28, 2004, at 7:00 p.m., in the District's Administrative Offices. Following the Pledge of Allegiance and invocation the roll was called and the Secretary reported a quorum present as follows: ACTIVE DIRECTORS ALTERNATE DIRECTORS A Shirley McCracken, Chair Bob Hernandez X Steve Anderson, Vice Chair Steve Simonian X Don Bankhead Leland Wilson X Patricia Bortle Robert McGowan X Brian Brady Peer A. Swan X Patricia Campbell Paul Yost X Carolyn Cavecche Steve Ambriz X Alberta Christy Mike Garcia X John Collins Larry Crandall X Bill Dalton Bruce Broadwater A Brian Donahue David Shawver X Michael Duvall Keri Lynn Wilson X Norman Z. Eckenrode Constance Underhill X James M. Ferryman Arlene Schafer X Cathy Green Gil Coerper X Alice B. Jempsa Marilynn M. Poe Tony Kawashima X Doug Davert X Beth Krom Christina Shea X Patsy Marshall Jim Dow X Roy Moore John Beauman X Joy Neugebauer Grace Epperson X Anna L. Piercy Tim Keenan X Tod Ridgeway Don Webb X Jim Silva Chuck Smith Paul Walker X Larry Herman STAFF MEMBERS PRESENT: Blake P. Anderson, General Manager; Penny Kyle, Board Secretary; Carol Beekman; Bob Ghirelli; Dave Ludwin; Patrick Miles; Bob Ooten; Gary Streed; Lisa Tomko; Ingrid Hellebrand; Rich Castillon; Jeremy Baum; Daisy Covarrubias; Norbert Gaia; Simon Watson; Paula Zeller OTHERS PRESENT: Thomas Nixon, Assistant General Counsel; Howard Lembke; Don Hughes; Greg Jewell; Art Perry; Adam Probolsky; Darrell A. Nolta; Bob Lockhart n Minutes for Board Meeting Page 3 01/28/04 PUBLIC COMMENTS Darrell A. Nolta addressed the Board of Directors regarding urban runoff issues. 3. MOVED, SECONDED AND DULY CARRIED: Receive and file minute excerpts from the following re appointment of active and alternate Directors, as follows: City/Agency Active Director Alternate Director Fountain Valley John Collins Larry Crandall Huntington Beach Cathy Green Gil Coerper La Palma Paul Walker Larry Herman Newport Beach Tod Ridgeway Don Webb Stanton Brian Donahue David Shawver REPORT OF THE CHAIR Vice Chair Anderson reported that Chair McCracken was still recovering from surgery and would be unable to attend meetings for the next four to five weeks. The meeting schedule for February was reviewed. It was noted that a special orientation meeting for new Directors would be held on Wednesday, February 18, at 5:00 p.m. Active and alternate Directors are encouraged to attend, as well as all council members. Patrick Miles, Director of Information Technology, then recognized Howard Lembke who retired after 39 years with the District. REPORT OF THE GENERAL MANAGER Blake Anderson, General Manager, announced the District will receive a $1 million federal allocation earmarked for this fiscal year towards secondary treatment. The Legislative Ad Hoc Committee, along with staff, have been working towards this for the past year, and will look to receive a$10 million allocation towards secondary treatment next year. He then announced that July 1, 2004 will be the District's 501" anniversary. At the monthly board meetings until the anniversary date milestones of each of the first five decades will be noted. The Board Chair photo gallery was then unveiled in the Board Room, depicting the 32 men and women who have served as Chairs of the Sanitation District. Vice Chair Anderson thanked Director Eckenrode for his idea and development of this project, along with Ingrid Hellebrand of Communications who helped to finalize the project. Minutes for Board Meeting u Page 4 0 01/28/04 REPORT OF THE GENERAL COUNSEL Mr. Nixon announced that in regard to the Crow-Winthrop Litigation, a petition for review has been filed seeking relief from the California Supreme Court. A decision to review this case should be made by the Supreme Court within 90 days. Mr. Nixon also announced that in the matter of Woodside litigation, the City of Placentia has been dismissed. APPROVAL OF MINUTES The Chair ordered that the minutes of the regular meeting held December 17, 2003, be deemed approved, as written. Directors Patricia Bortle, Patty Campbell, Cathy Green, Tod Ridgeway and Jim Silva abstained. RATIFICATION OF PAYMENT OF CLAIMS MOVED, SECONDED AND DULY CARRIED: Ratify payment of claims set forth on exhibits"A" and "B", attached hereto and made a part of these minutes. ALL DISTRICTS 12/15/03 12/31/03 Totals $7,785,279.15 $14,617,931.91 Directors Eckenrode abstained. Director Cavecche abstained from discussion and voting on Warrant No. 58581. Director Davert abstained from discussion and voting on Warrant Nos. 57921, 58199 and 58218. Abstentions were pursuant to California Government Code Section 84308. CONSENT CALENDAR 9. a. MOVED, SECONDED AND DULY CARRIED: Adopt Resolution No. OCSD 04-01, Appointing a Secretary Pro Tern to the Board of Directors, and Repealing Resolution No. OCSD 03-01. b. MOVED, SECONDED AND DULY CARRIED: (1) Receive and file petition from Richard Dittberner requesting annexation of 0.55 acres to Orange County Sanitation District(OCSD), in the vicinity of Via Vista and Cooks Corner, in an unincorporated area of Orange County; and, (2) Adopt Resolution No. OCSD 04-02, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-38—Dittberner Annexation). C. Item removed by staff. d. General Counsel requested that the motion be amended as follows: Minutes for Board Meeting Page 5 01/28/04 MOVED, SECONDED AND DULY CARRIED: Approve Amendment No. 3 to the Professional Services Agreement with ADS Environmental Services for Long Term Flow Monitoring Program, Job No. J-73-2, regarding the acceptance of a new insurance carrier for Errors and Omissions insurance coverage, with no change to the total contract amount not to exceed $6,337,400. COMMITTEE REPORTS AND RECOMMENDED ACTIONS 11. DRAFT STEERING COMMITTEE: A verbal report was presented by Director Anderson, Vice Chair of the Steering Committee, re the January 28, 2004 meeting. Vice Chair Anderson reported that several members of the Steering Committee attended the CASA conference in Palm Springs earlier that month and gave verbal reports. The General Manager updated the Directors on the following: a) In-county biosolids management options; b) Miscellaneous committee housekeeping issues; c) 50h anniversary celebration plans; d) $1 million appropriation from EPA for secondary treatment and suggested strategy to receive $10 million for the next year, and a total of$50 million over the next 10 years; e) Ideas on how to better integrate the District's efforts with those of the County and the Cities; f) Status on SAWPA negotiations; and, g) Update on negotiations with EPA on the terms and conditions of the ocean discharge permit. Additional items discussed by the Committee were NWRI Asset Management Blue Ribbon Panel Report, the Regional Water Quality Control Board Order re Urban Runoff, and the Biosolids Advisory Committee. Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order the Steering Committee Minutes for the meeting held on December 17, 2003 to be filed. Non-Consent Calendar No items considered. 12. DRAFT URBAN RUNOFF AD HOC COMMITTEE: A verbal report was presented by Director Bankhead, Chair of the Urban Runoff Ad Hoc Committee, re the January 14, 2004 meeting. Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order draft Urban Runoff Ad Hoc Committee Minutes for the meetings held on May 21, 2003, and January 14, 2004, to be filed. Minutes for Board Meeting Page 6 01/28/04 Non-Consent Calendar b. MOVED, SECONDED AND DULY CARRIED: Approve a sole source Consultant Services Agreement with CH2M Hill, Inc., to conduct an urban runoff study in an amount not to exceed $223,123. Director Alberta Christy opposed. 13. JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE (JCC): A verbal report was presented by Director Eckenrode, Vice Chair of the Joint Groundwater Replenishment System Cooperative Committee, re the January 12, 2004 meeting. He also reported a groundbreaking ceremony would be held on February 19, 12-1:30, at the Arrowhead Pond, and invited all Directors to attend the event. JCC Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order Joint Groundwater Replenishment System Cooperative Committee Minutes for the meetings held on November 10, 2003, and December 1, 2003 to be filed. JCC Non-Consent Calendar No items considered. Non-Consent Calendar 14. MOVED, SECONDED AND DULY CARRIED: Receive and file Treasurer's Report for the month of December 2003. 15. MOVED, SECONDED AND DULY CARRIED: Ratify use of General Manager's emergency purchasing authority, Resolution No. OCSD 99-23, for Purchase Order No. 41835-OS issued to Dynamic Fabrication Inc. for$121,568.94, including tax and freight, and a contingency of $3,341.06 for any unforeseen work that may be required to complete the repair, for a total amount not to exceed $125,000.00, for the Emergency Repair of the Plant 2 Truck Loading Station Auger System. 16. MOVED, SECONDED AND DULY CARRIED: (a) Establish a budget for Realignment of Coast Highway Trunk Sewer, Contract No. 5-13-1, in the amount of $103,000 for the reimbursement of Orange County Sanitation District's share of construction and staff costs; (b) Approve a reimbursement agreement with the City of Newport Beach for Realignment of Coast Highway Trunk Sewer, Contract No. 5-13-1 near Jamboree Road and Backbay Drive, in a form approved by General Counsel, for an estimated amount not to exceed $80,000; and, (c) Authorize the General Manager to execute quitclaim deeds, in a form approved by General Counsel, to transfer the existing easement to the Irvine Company and the Minutes for Board Meeting Page 7 ' 01/28/04 Orange County Public Facilities Resource Department, which upon project completion will no longer be required. 17. MOVED, SECONDED AND DULY CARRIED: (a) Approve plans and specification and Addenda Nos. 1, 2, and 3 for Peak Flow Management, Job No. J-67, on file at the office of the Board Secretary; (b) Receive and file bid tabulation and recommendation; and, (c) Award a construction contract to Margate Construction, Inc. for Peak Flow Management, Job No. J-67, for an amount not to exceed $1,250,900. Director Davert abstained. 18. MOVED, SECONDED AND DULY CARRIED: (a) Approve Plans and Specifications and Addenda Nos. 1 and 2 for Plant Utilities Rehabilitation and Refurbishment, Job No. P2- 82, on file at the office of the Board Secretary; (b) Receive and file bid tabulation and recommendation; and, (c) Award a construction contract to Norman A. Olsson Construction, Inc. for Plant Utilities Rehabilitation and Refurbishment, Job No. P2-82, for an amount not to exceed $2,778,985. Director Davert abstained. 19. MOVED, SECONDED AND DULY CARRIED: (a) Approve plans and specifications for Rehabilitation of Crystal Cove Pump Station, Contract No. 5-54, on file at the office of the Board Secretary; (b) Receive and file bid tabulation and recommendation; and, (c) Award a construction contract to L.H. Engineering Co.for Rehabilitation of Crystal Cove Pump Station, Contract No. 5-54, for an amount not to exceed $144,806.85. 20. MOVED, SECONDED AND DULY CARRIED: (a) Approve plans and specifications and Addendum No. 1 for Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; Gisler-Redhill/North Trunk Improvements, Contract No. 7-41; and City of Tustin Project Nos. 6106 and 6151, on file at the office of the Board Secretary; (b) Receive and file bid tabulation and recommendation; and, (c) Award a construction contract to ARB, Inc., for Gisler-Redhill Trunk Improvements, Reach "A" Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; Gisler- Redhill/North Trunk Improvements, Contract No. 7-41; and City of Tustin Project Nos. 6106 and 6151, for an amount not to exceed $18,375,999. Minutes for Board Meeting Page 8 01/28/04 21. Adam Problosky, representing the Revenue Enhancement Group, spoke to the Directors regarding the proposal submitted for identifying undercharged commercial parcels, and addressed concerns the Directors might have. Director Brian Brady, Chair of the FAHR Committee, indicated the committee had no consensus on this item and thus requested the item to go forward to the Board of Directors for consideration. Gary Streed, Director of Finance, had no changes or additional information to the staff report provided to the Directors in the agenda package. He also suggested that if the Directors desire to pursue investigating possible improperly charged parcels, that the work should be sent out for a competitive bid process or be conducted in-house by staff. Directors entered into lengthy discussion regarding setting policy for the number of years to charge a parcel for incorrect user fees. General Counsel was requested to investigate if not going back four years would be considered a gift of public funds. Mr. Nixon suggested that a cost benefit analysis be conducted prior to determining how many years to go back. A motion was then moved and seconded to refer back to the FAHR Committee to: (a) Reject the unsolicited proposal submitted by Revenue Enhancement Group, dated November 2003, Identifying Undercharged Commercial Parcels; and, (b) Direct staff to evaluate non-residential parcels to determine if those parcels have been undercharged for annual sewer service user fees and, if so, to collect the proper charges on the property tax bill on a going forward basis. Following additional discussion, a substitute motion was moved and seconded to direct staff to conduct a formal RFP process, compare the costs to complete the process in house and return to the FAHR Committee with a recommendation. After lengthy discussion, the substitute motion failed by a vote of 6 ayes and 17 noes. The original motion was then voted upon: MOVED, SECONDED AND DULY CARRIED: To refer back to the FAHR Committee, and to: (a) Reject the unsolicited proposal submitted by Revenue Enhancement Group, dated November 2003, Identifying Undercharged Commercial Parcels; and, (b) Direct staff to evaluate non-residential parcels to determine if those parcels have been undercharged for annual sewer service user fees and, if so, to collect the proper charges on the property tax bill on a going forward basis. Directors Don Bankhead and John Collins opposed. 22. Adopt Ordinance No. OCSD-21, An Ordinance of the Board of Directors of Orange County Sanitation District, Adopting Fees, Procedures and Policies Concerning Annexations of Territory to the District; and Repealing Ordinance No. OCSD-03: Minutes for Board Meeting Page 9 01/28/04 a. OPEN HEARING: The Vice Chair declared the hearing opened at 9:06 p.m. Gary Streed, Director of Finance, provided a brief verbal report on the proposed ordinance. b. CLOSE HEARING: The Vice Chair declared the hearing closed at 9:07 p.m. C. There was no discussion by the Board of Directors. d. 1. MOVED, SECONDED AND DULY CARRIED: Read Ordinance No. OCSD-21 by title only and waive reading of said entire ordinance. 2. MOVED, SECONDED AND DULY CARRIED: Adopt Ordinance No. OCSD-21, An Ordinance of the Board of Directors of Orange County Sanitation District, Adopting Fees, Procedures and Policies Concerning Annexations of Territory to the District; and Repealing Ordinance No. OCS D-03. 23. Adopt Ordinance No. OCSD-22, An Ordinance of the Board of Directors of Orange County Sanitation District, Reaffirming Sanitary Sewer Service Charges; Adopting Revised Capital Facilities Capacity Charges; Adopting Revised Miscellaneous Charges and Fees Relating to Industrial Dischargers, Source Control Permittees and Wastehaulers; and repealing Ordinance No. OCSD-20: a. OPEN HEARING: The Vice Chair declared the hearing opened at 9:08 p.m. Gary Streed, Director of Finance, provided a brief verbal report on the proposed ordinance. b. CLOSE HEARING: The Vice Chair declared the hearing closed at 9:10 p.m. C. There was no discussion by the Board of Directors. d. 1. MOVED, SECONDED AND DULY CARRIED: Read Ordinance No. OCSD-22 by title only and waive reading of said entire ordinance. 2. MOVED, SECONDED AND DULY CARRIED: Adopt Ordinance No. OCSD-22, An Ordinance of the Board of Directors of Orange County Sanitation District, Reaffirming Sanitary Sewer Service Charges; Adopting Revised Capital Facilities Capacity Charges; Adopting Revised Miscellaneous Charges and Fees Relating to Industrial Dischargers, Source Control Permittees and Wastehaulers; and repealing Ordinance No. OCSD-20. Director Alberta Christy opposed. 24. There was no closed session. Minutes for Board Meeting Page 10 0 01/28104 ADJOURNMENT: The Chair declared the meeting adjourned at 9:13 p.m. Secretary o he Board of irectors of Orange Co my SanitatipfiDistrict H:\dept\agenda\Board Minutes\2004 Board Minutes\012804 minutes.doc Claims Paid From 12101/03 to 12/16/03 Warrant No. Vendor Amount Description Accounts Payable-Warrants 57905 ADS Environmental Services, Inc. $ 66,261.10 Professional Services J-73-2 57905 Brown&Caldwell 153,936.05 Professional Services P1-37 and CMOM/WDR 579C6 Carollo Engineers 74,863.51 Professional Services J-25-4 57907 City of Seal Beach 74,571.35 Cooperative Projects 57908 CH2M Hill 33,348.49 Professional Services J-40-6 57909 Dell Direct Sales 39,226.28 (2)1750 Servers&(10)Printers 57910 Kemiron Pacific, Inc. 126,758.09 Ferric Chloride MO 9-27-95 57911 Parsons, Inc. 159,275,54 Engineering Services J-42 57912 Pioneer Americas, Inc. 88,643.17 Sodium Hypochlorite 57913 Sancon Engineering, Inc. 170,650.00 Construction-Manhole Rehabilitation Program 57914 SWRCB Accounting Office 41,420.00 NPDES Permit Fee 57915 Tule Ranch/Magan Farms 212,059.91 Residuals Removal MO 3-29-95 57916 U.S. Metro Group, Inc. 26,235.00 Janitorial&Floor Maintenance at Plants 1 &2 57917 U.S. Peroxide 48,149.27 Hydrogen Peroxide 57918 Union Bank of California 45,909.10 Construction 1-2-4, Retention 57919 UBS Financial Services, Inc. 30,149.69 Remarketing Fee- 1992 Series Advanced Refunding COPs 57920 ARB, Inc. 284,796.42 Construction 11-22 57921 J F Shea Construction, Inc. 56,423.32 Construction J-71-3 57922 Ken Thompson, Inc. 111,870.00 Construction 5-56 57923 Steve P Rados, Inc. 413,181.90 Construction 1-2-4 57924 A Tint of Glass 150.00 Window Tinting 57925 Adult Day Care Services of O.C. 307.09 Banners-Community Outreach for Bushard Trunkline Project 57926 Airborne Express 88.49 Air Freight 57927 Airgas-West 45.26 Demurrage 57928 Airgas Safety, Inc. 1,003.91 Safety Supplies 57929 Alta-Robbins, Inc. 377.74 Instrument Supplies 57930 American Training Resources, Inc. 537.31 Safety Videos 57931 Arch Wireless 1,616.17 Airtime, Service&Equipment 57932 Archie Ivy, Inc. 3,800.00 Construction-Installation of(2)Speed Humps&Striping 57933 Atlantis Pool Care 500.00 Service Agreement-Admin.Bldg.Atrium 57934 ASAP Software Express 842.84 Software Maintenance 57935 AT&T Wireless Services 4,027.90 Wreless Phone Services 57936 AT&T Wireless Services 3,094.27 Wireless Phone Services-Flow Meters J-73-2 57937 Baker Tanks 1,206.77 Tank Rentals 57938 Barrett Engineered Pumps 436.37 Pump 57939 Battery Specialties 444.62 Batteries 57940 Black&Veatch Corporation 13,271.47 Engineering Services J-87 57941 Brenton Safety, Inc. 6,727.82 Electrical Safety Equipment 57942 Bush&Associates, Inc. 1,964.00 Surveying Services MO 6-25-97 57943 California Auto Collision 5,984.39 Vehicle Repairs-V-455 57944 Callan Associates, Inc. 3,550.00 Investment Advisor 57945 Ce112Cell 57.48 Phones&Accessories 57946 Clean Street, Inc. 350.00 Street Sweeping Services 57947 Clickguard Corporation 659.00 Printer Service Agreement fin/21011c EXHIBIT A H:kleptlfinlEXCEL.dta12201APSHARE1Claims Paid Report102-03\Claims Paid Report-121503.)ds Page 1 of 7 1/13/2004 Claims Paid From 12/01/03 to 12/15/03 Warrant No. Vendor Amount Descrip0on 57948 Coast Fire Equipment 1,089.46 Fire Extinguishers, Inspection&Servicing 57949 Columbia Analytical Services, Inc. 850.00 Analysis of Wastewater, Industrial Wastewater&Biosolids 57950 Communications Performance Group,Inc. 12.500.00 Prof. Services-Additions& Revisions to IERP-Volume 2 57951 CompuMaster 2,725.00 On-Site Training-Outlook 57952 Consolidated Elect. Distributors 3,207.32 Electrical Supplies 57953 Consumers Pipe&Supply Co. 221.03 Plumbing Supplies 57954 Cooper Cameron Corporation 216.51 Engine Supplies 57955 Cooper Energy Services 4.13 Freight 57956 Corporate Express 1,849.53 Office Supplies 57957 Corporate Image Maintenance,Inc. 155.00 Custodial Services Spec. No. 9899-09 57958 Cortech Engineering 13,961.67 Mechanical Parts&Supplies 57959 County of Orange-Auditor Controller 367.32 Maint.Agreement-Repair/Installation of Base,Handheld&Vehicle Radios 57960 County Wholesale Electric Co. 148.24 Electrical Parts&Supplies 57961 Crane Veyor Corp. 1,686.28 Repairs&Maintenance-Power Cord Reel Assembly 57962 Cytec Industries, Inc. 18,376.37 Chemicals/Solutions 57963 CASA 375.00 Technical Services Meeting Registration 57964 CGvL Engineers 911.00 Engineering Services P2-82 57965 CGvL Engineers 17,215.22 Engineering Services P1-94 57966 CMAA 360.00 Membership-Construction Management Association of America 57967 CPI International 1,221.25 Lab Supplies 57968 CSMFO 35.00 CAFR Award Application Fee for Year Ended 6/30/03 57969 CWEA Membership 291.00 Membership-Calif.Water Environment Assoc. 57970 David's Tree Service 3,525.00 Tree Maint.Service 57971 Del Mar Analytical 3,776.00 Analysis of Biosolids and Wastewater 57972 Diamond H Recognition 100.66 Employee Service Awards 57973 Douglass Truck Bodies, Inc. 323.25 Towing/Transporting Fees 57974 Dunn-Edwards Corporation 418.21 Paint Supplies 57975 E.Sam Jones Distributors, Inc. 605.16 Electrical Supplies 57976 Ecology Control Industries 17,027.32 Hazardous Waste Disposal 57977 Employee Benefits Specialists, Inc. 653.10 Reimbursed Prepaid Employee Medical&Dependent Care 57978 Enchanter, Inc. 3,600.00 Ocean Monitoring&Outfall Inspection&Maintenance 57979 Environmental Resource Association 1,432.90 Lab Parts&Supplies 57980 Ferguson Enterprises, Inc.#677 3,144.13 Mechanical Parts&Supplies 57981 First American Real Estate Solutions 647.50 Orange County Property Information 57982 Fisher Scientific 5,411.41 Lab Supplies 57983 Flo-Systems,Inc. 33.20 Pump Supplies 57984 Fluor Enterprises,Inc. 6,825.67 Engineering Services J-84 57985 Foodcraft Coffee&Refreshment Services 563.10 Meeting Supplies 57986 Full Spectrum Analytics 4,239.80 Instrument Repairs&Service 57987 City of Fullerton 271.99 Water Use 57988 Garratt-Callahan Company 70.00 Chemicals 57989 Gierlich-Mitchell, Inc. 3,575.88 Belt Filter Press Supplies 57990 Goldenwest Window Service 2,547.00 Window Cleaning Service-Spec.#990015 57991 Grainger,Inc. 680.14 Electrical Parts&Supplies 57992 Graphic Distributors 1,939.50 Photographic Supplies fin/210Ac EXHIBIT A _ H:Wept\fm\EXCEL.dta\220\APSHARE\Claims Paid Report102-031Claims Paid Report-121503.As Page 2 of 7 1/13/2pp4 Claims Paid From 12/01103 to 12/16103 Warrant No. Vendor Amount Description 57993 Guarantee Records Management 285.95 Off-Site Records Storage 57994 Hach c/o Ponton Industries 1,430.80 Lab Parts,Supplies&Batteries 57995 Hagemeyer North America 5,820.29 Prescription Safety Glasses 57996 Harold Primrose Ice 55.50 Ice For Samples 57997 Hill Brothers 20,639.26 Chemicals-Odor&Corrosion Control-Newport Trunkline 57998 Home Depot 901.91 Misc.Repair&Maintenance Material 57999 Industrial Distribution Group 1,917.13 Mechanical Parts, Supplies,Tools&Oil 58000 Industrial Metal Supply 70.01 Metal 58001 Innerline Engineering 740.00 CCTV Videoing of Trunkline Sewers 58002 Innovative Net Systems 2.050.00 Trawl Nets 58003 Intratek Computer, Inc. 540.00 Network&Server Maintenance 58004 Iron Mountain Off-Site Data Protection 234.00 Offsite Back-Up Tape Storage for NT Server 58005 J&B Auto Parts 35.49 Automotive Supplies 58006 J R Filanc Construction 11,655.47 Construction-Repair Sludge Line at Plant 2 58007 Kforce,Inc. 15,167.83 Temporary Employment Services 58008 Kings County Tax Collector 11,395.20 Property Taxes 58009 Lab Safety Supply, Inc. 59.55 Publication 58010 Lee&Ro, Inc. 6,375.00 Professional Services P1-93 58011 Lucci's Gourmet Foods, Inc. 411.43 Meeting Expense 58012 LINJER 4,730.00 Professional Service-DART MO 9-22-99 58013 Malcolm Pirnie, Inc. 12,818.08 Engineering Services J-79 58014 Marden Susco, Inc. 2,138.84 Plumbing Supplies 58015 MassMutual Michel Financial Group 2,530.06 Executive Disability Plan Premium 58016 McKenna Engineering&Equipment Co., Inc. 276.00 Filters 58017 McMaster-Carr Supply Co. 83.92 Mechanical Parts&Supplies 58018 Mechanical Seal Repair, Inc. 681.46 Repairs&Maintenance Services 58019 Medlin Controls Co. 139.47 Instrument Parts&Supplies 58020 Megger 1,568.12 Software 58021 Midway Mfg&Machining Co. 5,247.64 Repairs&Maintenance Services 58022 Mission Uniform Service 2,096.80 Uniform Rentals 58023 Moody's Investor's Service 5,000.00 1993 Certificates of Participation Maintenance Fees 58024 MARMAC Field Services, Inc. 5,070.00 Professional Services P1-92 58025 National Plant Services,Inc. 440.00 Vacuum Truck Services 58026 Neal Supply Co. 750.80 Plumbing Supplies 58027 City of Newport Beach 8.66 Water Use 58028 Nickey Petroleum Co.,Inc. 1,514.89 Industrial Turbine Oil 58029 Ninyo&Moore Corporate Accounting 5,755.32 Professional Services-Materials Testing, Inspection&Geotechnical Engrg. 58030 The Norco Companies 170.78 Mail Delivery Service 58031 Nu-Way Laser Engraving 919.95 Steel Tags 58032 Office Depot Business Services Div. 606.75 Office Supplies 58033 OneSource Distributors, Inc. 84.05 Electrical Parts&Supplies 58034 Orange Fluid System Technologies, Inc. 181.16 Plumbing Parts&Supplies 58035 Oxygen Service Company 1,186.08 Specialty Gases 58036 OCB Reprographics 3,573.07 Printing Service-MO 1/26/00 58037 Pacific Mechanical Supply 170.68 Plumbing Supplies fin/210nc EXHIBIT A H:\depttin%EXCEL.dta1220WPSHARE\Cla[ms Paid Report\02-0 Claims Paid Report-121503AS Page 3 of 7 1/13/2004 Claims Paid From 12/01/03 to 12/15103 Warrant No. Vendor Amount Description 58038 Parker Supply Company 987.37 Mechanical Seal 58039 PenValve 279.99 Plumbing Parts&Supplies 58040 Pixelpushers, Inc. 6,050.00 Prof.Serv.-Design, Implement,Construct&Install a Corporate Intranet Site 58041 Power Electro Supply Co., Inc. 30.78 Electrical Supplies 58042 Power Measurement USA, Inc. 1.051.64 Computer Hardware/Software 58043 PrinterGuy 583.57 Printer Maintenance 58044 Progressive Business Publications 299.00 Subscription 58045 Project Management Institute 50.90 Publication 58046 Protech Petroleum Services, Inc. 1,840.00 Professional Services-Testing of(2)Tank Systems at Blower Bldg. 58047 Pryco, Inc. 1,737.50 Computer Hardware/Software 58048 PCS Express,Inc. 553.63 Courier Service 58049 PRIMA: Public Risk Management Assoc. 310.00 Membership 58050 PVF Sales, Inc. 476.41 Plumbing Parts&Supplies 58051 R.L.Abbott&Associates 3,000.00 Kern County Biosolids Consulting Services 58052 Rainin Instrument,L.L.C. 190.67 Lab Parts&Supplies 58053 Reliastar Bankers Security Life Ins. 9,925.22 Employee Life Ins. Premium, Short-Term Disability&Cancer Ins. Payroll Deductions 58054 Rossmoor/Los Alamitos Area Sewer Dist. 17,558.33 Cooperative Projects 58055 RJN Group, Inc. 697.50 Tax on CMMS Consulting Services Contract for Period 7/1/03-7/1/04 58056 RPM Electric Motors 1,778.13 Electrical Parts&Supplies 58057 Science Applications Intl.,Corp. 19,244.42 Professional Services Ocean Monitoring,P-179,P-185&Buoy Deployment 58058 Shamrock Supply Co., Inc. 259.69 Tools 58059 Shred-It,Los Angeles 840.00 Records Destruction Services 58060 Shureluck Sales&Engineering 378.70 Mechanical Parts&Supplies 58061 Siemens Building Technologies 1,186.00 Professional Services-Admin. Bldg.Automation System Troubleshooting 58062 Sigma-Aldrich, Inc. 143.72 Lab Supplies 58063 Smith Pipe&Supply 98.76 Mechanical Parts&Supplies 58064 Smith-Emery Company 4,870.00 Soils,Concrete&Other Materials Testing 58065 South Coast Systems, Inc. 260.00 Instrument Supplies 58066 Specialized Environmental, Inc. 7,588.00 Construction-Removal&Disposal of Flooring Materials 58067 Spex Certiprep, Inc. 784.58 Lab Parts&Supplies 58068 Steven Enterprises, Inc. 107.83 Stationery&Office Supplies 58069 Sunset Industrial Parts 38.33 Mechanical Supplies 58070 Super Chem Corporation 487.63 Chemicals 58071 Synegi, Inc. 14,023.19 Software 58072 SARBS-CWEA 45.00 Membership-California Water Environment Assoc. 58073 SETAC 110.00 O&M Training Registration 58074 SPEC Services, Inc. 16,846.20 Engineering Services J-33-1 58075 Tekdraulics, Inc. 1,451.61 Mechanical Supplies 58076 Teledyne Electronic Tech. 175.81 Instrument Parts&Supplies 58077 Terminix International 175.00 Pest Control 58078 The Walking Man,Inc. 350.00 Construction Notice Distribution-Bushard Trunk Sewer Replacement 58079 Thomas Gray&Assoc. 333.91 Biosolids Analysis 58080 Thompson Industrial Supply, Inc. 2,604.02 Mechanical Supplies 58081 ThyssenKrupp Elevator Corporation 4,752.00 Elevator Maintenance 58082 Time Warner Communication 40.47 Cable Services fin/21011c EXHIBIT A H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\02-03\Claims Paid Report-121503.)ds Page 4 of 7 1/1UM& e Claims Paid From 12/01103 to 12115103 Warrant No. Vendor Amount Description 58083 Tony's Lock&Safe Service&Sales 151.53 Locks&Keys 58084 Townsend Public Affairs 5,000.00 Legislative&Executive Advocate for Grant Funding 58085 Southern California Trane Service 18,134.00 Replacement of(2)25-Ton Roof-Packaged A/Cs at Plt. 1 Power Bldg.3-A 58086 Tropical Plaza Nursery, Inc. 9,771.91 Contract Groundskeeping MO 5-11-94 58087 Truck&Auto Supply, Inc. 39.02 Automotive Supplies 58088 TEKsystems 19,934.00 Temporary Employment Services 58089 Ultra Scientific 29.31 Lab Supplies 58090 The Unisource Corporation 168.74 Stationery&Office Supplies 58091 United Parcel Service 1,594.13 Parcel Services 58092 Update International, Inc. 6,966.66 On-Site Training-Machinery Improvement Skills 58093 US Filter Westates Carbon 5,015.05 Carbon Filters 58094 Vapex,Inc. 10,503.38 Instrument Parts&Supplies 58095 Varian, Inc. 3,935.10 Lab Parts&Supplies 58096 Verizon California 315.78 Telephone Services 58097 Vortex Corp. 421.30 Door Repairs at Human Resources Building 58098 VWR Scientific Products 3,500.11 Lab Supplies 58099 The Wackenhut Corporation 12,480.21 Security Guards 58100 The Wall Street Journal 343.72 Subscription 58101 Waste Markets 13,969.19 Maint.Agreement-Grit&Screenings Removal&Digester Bed Matti. Removal 58102 Western City 63.00 Subscription 58103 Wilson Supply, Inc. 1,401.59 Mechanical Parts&Supplies 58104 Xerox Corporation 4,673.91 Fax&Copier Leases 58105 Ricardo A.Gallegos 95.00 Meeting/Training Expense Reimbursement 58106 W.Doug Hauser 190.00 Meeting/Training Expense Reimbursement 58107 Mike J. Herrera 130.75 Meeting/Training Expense Reimbursement 58108 John Mirkovich 46.00 Meeting/Training Expense Reimbursement 58109 Michael D.Moore 109.81 Meeting/Training Expense Reimbursement 58110 Kimberly J.Tolsma 100.00 Meeting/Training Expense Reimbursement 58111 Jane H.Tran 713.66 Meeting/Training Expense Reimbursement 58112 Tadeo G.Vtko 856.00 Meeting/Training Expense Reimbursement 58113 Ater,Marie 650.18 Reconciliation User Fee Refund Program 58114 Cole, Lloyd 256.86 Reconciliation User Fee Refund Program 58115 County of Orange-Auditor Controller 600.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 58116 County of Orange-Auditor Controller 975.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 58117 County of Orange-Auditor Controller 255.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 58118 Deckard,Jill 1,247.76 Reconciliation User Fee Refund Program 58119 Keife, Patrick 256.86 Reconciliation User Fee Refund Program 58120 Kim Royster&Thomas Tucker 88.77 Reconciliation User Fee Refund Program 58121 Law,James 66.09 Reconciliation User Fee Refund Program 58122 McCarthy,Mary 492.61 Reconciliation User Fee Refund Program 58123 Moreno, Roland 1.318.23 Reconciliation User Fee Refund Program 58124 Nobles, Frank 2,220.14 Reconciliation User Fee Refund Program 58125 Orange County Sanitation District 2,192.71 Petty Cash Reimb. 58126 Shigekawa,William 256.86 Reconciliation User Fee Refund Program 58127 Smith, Greg 256.86 Reconciliation User Fee Refund Program fn/210nc EXHIBIT A H:%deptVinlEXCEL.dta12201APSHARE1Claims Paid Report102-031Claims Paid Report-121503.)ds Page 5 of 7 1/1312004 Claims Paid From 12/01/03 to 12/15/03 Warrant No. Vendor Amount Description 58128 Coral Energy Resources, L.P. 259,389.66 Natural Gas 58129 Municipal Water Dist.of Orange County 35,343.00 Water Use Efficiency Program MO 9-22-99 58130 Oracle Corp 34,788.74 Computer Maintenance&Software Updates 58131 Orange County Sanitation District 1,550,136.28 Payroll EFT Reimbursement 58132 Southern California Edison 72,486.42 Power 58133 Ken Thompson, Inc. 25,735.00 Construction 5-56 58134 Airborne Express 94.80 Air Freight 58135 Airgas Safety, Inc. 1,791.58 Safety Supplies&Equipment 58136 American Fildelity Assurance Company 132.00 Employee Cancer Insurance 58137 American Red Cross 1,257.00 CPR Training&Miscellaneous Supplies 58138 American Telephone&Telegraph Corp. 132.62 Telephone Service 58139 Court Order 150.00 Wage Garnishment 58140 Compressor Components Of California 1,248.00 Coil Cleaning&Testing&Compressor Parts 58141 Consolidated Elect. Distributors, Inc. 1,424.05 Electrical Supplies 58142 Consumers Pipe&Supply Co. 1,408.18 Plumbing Supplies 58143 Court Trustee 69.12 Wage Garnishment 58144 CWEA Membership 97.00 Membership-Calif.Water Environment Assoc. 58145 Employee Benefits Specialists, Inc. 7,868.20 Reimbursed Prepaid Employee Medical&Dependent Care 58146 Court Order 445.00 Wage Garnishment 58147 Franchise Tax Board 436.69 Wage Garnishment 58148 Government Finance Officers Association 480.00 CAFR Award Application Fee for Year Ended 6/30/03 58149 Graybar Electric Company 60.83 Electrical Parts&Supplies 58150 Industrial Metal Supply 2,851.06 Metal 58151 Industrial Threaded Products, Inc. 194.62 Mechanical Parts&Supplies 58152 Internal Revenue Service 450.00 Wage Garnishment 58153 Intl. Union of Oper. Eng.AFL-CIO Local 501 3,732.78 Dues Deduction 58154 Jobs Available, Inc. 99.00 Notices&Ads 58155 McMaster-Carr Supply Co. 1,338.29 Mechanical Parts&Supplies 58156 National Bond&Trust 2,072.37 U.S. Savings Bonds Payroll Deductions 58157 NetIQ Corporation 359.82 Software Maintenance 58158 Orange Fluid System Technologies, Inc. 60.85 Lab Parts&Supplies 58159 OCEA 570.86 Dues Deduction 58160 Court Order 40.00 Wage Garnishment 58161 Court Order 296.00 Wage Garnishment 58162 Peace Officers Council of CA 1,602.00 Dues Deduction 58163 PenValve 198.43 Mechanical Parts&Supplies 58164 PinnacleOne Institute 5,672.18 Professional Services J-33-1A 58165 Pyramid Screening Technology 4,499.00 Notices and Ads 58166 Safety Design, Inc. 4,982.50 LOTO Panel Devices-Safety 58167 Shureluck Sales&Engineering 115.07 Mechanical Parts&Supplies 58168 Smith-Emery Company 4,234.00 Soils,Concrete&Other Materials Testing 58169 Court Order 721.50 Wage Garnishment 58170 South Coast Air Quality Management Dist, 1,116.48 Annual Waste Discharge Requirement Fee 58171 State Water Resources Control Board 5,668.00 Annual NPDES Permit Fee 58172 Summit Steel 1,367.60 Metal kn/210Ac EXHIBIT A H:WepiUnIEXCEL.dta12201APSHARE1Claims Paid Report102-031Claims Paid Report-121503.)ds Page 6 of 7 1/13/2004 Claims Paid From 12/01/03 to 12/15/03 Warrant No. Vendor Amount Description 58173 SBC 20.95 Telephone Services 58174 Thompson Industrial Supply, Inc. 1,260.49 Mechanical Supplies 58175 The Unisource Corporation 7,030.26 Stationer&Office Supplies 58176 United Parcel Service 46.53 Parcel Services 58177 United Way 305.00 Employee Contributions 58178 Verizon California 786.52 Telephone Services 58179 3CMA-City-County Communications 105.00 Communications Training Registration 58180 Nicholas J.Arhontes 3,434.00 Meeting/Training Expense Reimbursement 58181 David A. Bihl 130.00 Meeting/Training Expense Reimbursement 58182 Michael J. Boess 170.00 Meeting/Training Expense Reimbursement 58183 Deirdre E. Hunter 196.13 Meeting/Training Expense Reimbursement 58184 Jeffrey T. Reed 1,437.86 Meeting/Training Expense Reimbursement 58185 CMTA 2003 Conference 46.00 Accounting Training Registration 58186 Local Agency Formation Commission 1,150.00 Annexation Fees 58187 Local Agency Formation Commission 1,150.00 Annexation Fees 58188 Oved Dagan Construction Co. 179,714.90 Construction J-90 58189 Nextel Communications 4,053.27 Cellular Phones&Air Time 58190 County of Orange-Auditor Controller 312.00 Underground Storage Tank,Hazardous Material,&State Fees Total Accounts Payable-Warrants $ 5,080,423.53 Payroll Disbursements 31884-32060 Employee Paychecks $ 371,616.04 Annual Payouts&Timesheet Correction 32061 -32157 Employee Paychecks 26,041.74 Adjustment to Annual Payouts&OCERS Reimbursements 32158-32266 Employee Paychecks 162,223.65 Biweekly Payroll 12/10/03 32267-32601 Employee Paychecks 947,948.25 Retroactive Salary Adjustments 32602-32603 Employee Paychecks 1,272.32 Annual Payout Adjustment&Retroactive Salary Adjustment 92538-93055 Direct Deposit Statements 961,897.31 Biweekly Payroll 12/10/03 Total Payroll Disbursements $ 2,470,999.31 Wire Transfer Payments JP Morgan Chase Bank $ 127,220.54 Societe Generale November Swap Payment on 1993 Certificates of Participation JP Morgan Chase Bank 34,150.35 November Interest Payment on 1993 Certificates of Participation Lloyds TSB Bank plc 72,485.42 Letter of Credit Fee for 1992 Refunding COPS(08/01/03-11/01/03) Total Wre Transfer Payments $ 233,856.31 Total Claims Paid 12/01/03-12115/03 $ 7,785,279.15 W210Ac EXHIBIT A H:\dept\fin\EXCEL.dta\220%APSHARE\Claims Paid Report\02-0310aims Paid Report-121503.)ds Page 7 of 7 1/13/2004 Claims Paid From 12/16/03 to 12131103 Warrant No. Vendor Amount Description Accounts Payable-Warrants 58191 Aanderaa Instruments $ 107,492.50 Coastal Physical Oceanographic Mooring 58192 Aquatic Bioassay And Consulting Labs,Inc. 34.470.00 Toxicity Testing 58193 Basic Chemical Solutions, L.L.C. 37.525.27 Sodium Bisulfile 58194 Blue Cross of California 323.860.46 Medical Insurance Premium 58195 Carollo Engineers 793,558.50 Prof.Svrs.P2-66,Coordinated Commercial Enterprise Proj.&Microfiltration Demo. Proj. 58196 Delta Dental 56.122.77 Dental Insurance Plan 58197 E.I.Du Pont De Nemours and Company 104,342.00 Painting Maint.Services MO 4-22-98 58198 Entech Instruments,Inc. 73,370.87 Lab Parts&Supplies 58199 J F Shea Construction,Inc. 374,414.74 Construction P2-85 58200 Jamison Engineering Contractors,Inc. 73.831.20 Spill Clean-Up,SARI Access Road Maint.,Manhole Reh.&Foster Outfall Leak Repair 58201 Kaiser Foundation Health Plan 51.727.96 Medical Insurance Premium 58202 Kemiron Pacific,Inc. 161,973.97 Ferric Chloride MO 9-27-95 58203 Kforce,Inc. 36,995.39 Temporary Employment Services 58204 Lee&Ro,Inc. 87,678.54 Professional Services 5-50,5-51 &5-52 58205 Malcolm Pirnie,Inc. 42,570.41 Professional Services 1-10 58206 Orange County Water District 1,227,649.87 Joint GWRS Project J-36 58207 Pioneer Americas,Inc. 362,774.90 Sodium Hypochlorite 58208 Polydyne,Inc. 97.517.73 Cationic Polymer MO 3-11-92 58209 Science Applications Intl.,Corp. 26,351.57 Ocean Monitoring MO 6-8-94 58210 So.Cal.Gas Company 25,570.99 Natural Gas 58211 State Water Resources Control Board 128,500.00 Annual NPDES Permit Fee 58212 Synagro Technologies,Inc. 377,694.50 Residuals Removal MO 3-29-95 58213 SPEC Services,Inc. 44,975.38 Engineering Services J-33-1 &P1-89 58214 Tranter PHE,Inc. 25,018.66 Repairs&Maintenance Services to Heat Exchanger 58215 U.S.Peroxide,L.L.C. 152,712.10 Hydrogen Peroxide&Ferrous Chloride 58216 Valverde Construction,Inc. 32,005.00 Construction-Street Repairs at Various Locations 58217 Walden&Associates 27,019.37 Professional Services-Big Canyon Trunk Sewer 58218 J F Shea Construction, Inc. 728,738.77 Construction J-71-3,J-87&J-35-2 58219 Margate Construction,Inc. 1,332,699.00 Construction P1-37 58220 Southern Contracting Company 25,999.00 Construction J-33-IA 58221 Steve P Rados,Inc. 763,608.22 Construction 1-2-4 58222 Union Bank of California 85,473.40 Construction 1-2-4,Retention 58223 Orange County Sanitation District 40,999.40 Worker's Comp.Reimb. 58224 Aero Compressor,Inc. 884.33 Air Compressor Filter 58225 Air Duct Cleaning Company 985.00 Air Duct Cleaning Services 58226 Air Liquide America Corp. 419.74 Specialty Gases 58227 Airco Filter Service 730.17 Natural Gas Filters 58228 Airgas-West 6.60 Demurrage 58229 Airgas Safety,Inc. 2,130.99 Safety Supplies 58230 American Chemical Society 261.00 Membership 58231 American Industrial Hygiene Association 180.00 Membership 58232 American Society For Microbiology 258.00 Membership 58233 American Training Resources,Inc. 537.31 Safety Videos 58234 Gerardo Amezcua 190.00 Meeting/Training Expense Reimbursement 58235 Analysts,Inc. 1,961.21 Testing Kits 58236 Appleone Employment Service 4,126.86 Temporary Employment Services 58237 Aquarium Doctor 97.90 Human Resources Aquarium Service H:\deptlrinlEXCEL.dta1220VAPSHAREIClaims Paid Report102-031CIaims Paid Report-123103.)ds EXHIBIT B fin1210Ac Page 1 of 13 1/19/2004 Claims Paid From 12116/03 to 12131103 Warrant No. Vendor Amount Description 58238 Arch Wireless 1.577.73 Airtime,Service&Equipment 58239 Arizona Instrument 641.00 Instrument Repairs&Calibration 58240 Ashbrook Corporation 520.60 Mechanical Parts&Supplies 58241 Association of Energy Engineers 160.00 Membership 58242 AAAS 130.00 Membership-American Assoc.for the Advancement of Science 58243 ACS Hydraulics,Inc. 1,255.60 Mechanical Repair&Maintenance Services 58244 APCO 210.00 FCC License Fee-Operational Radio System 58245 AT&T Universal Biller 15,961.05 Telephone Service 58246 American Telephone&Telegraph Corp. 51.00 Telephone Service 58247 AT&T Wireless-TITAN 775.08 Cell Phones&Accessories 58248 AWSI 1,357.50 Department of Transportation Training Program 58249 Baker Tanks 3,689.70 Tank Rentals 58250 Bar Tech Telecom,Inc. 2,153.13 Telephone Equipment 58251 Barrett Engineered Pumps 437.54 Pump Supplies 58252 Basler Electric Company,Department 590 1.939.44 Electrical Supplies 58253 Beckman Instruments,Inc. 3,219.00 Instrument Repairs&Maintenance Services 58254 BioMerieux Vitek,Inc. 1,088.32 Lab Supplies 58255 Brown&Caldwell 9.171.54 Professional Services-Outfall Flow Meter Accuracy Test&Notices&Ads 58256 Bush&Associates,Inc. 7,588.00 Surveying Services MO 6-25-97 58257 Business Objects Americas 13,535.00 Software Maintenance&Support 58258 BEC-Building Electronic Controls,Inc. 1,890.80 Fire Alarm System Maintenance,Repair&Quarterly Inspection 58259 California Industrial Supplies 401.78 Mechanical Parts&Supplies 58260 Southern California Marine Institute 1,950.00 Ocean Monitoring Vessel Support 58261 Communications Performance Group,Inc. 18,233.02 Professional Services-Develop Hazardous Energy Control Procedures 58262 Computer Protection Technology,Inc. 5,192.21 Computer Software/Hardware 58263 CompuMaster 5,675.00 On-Site Excel Training 58264 Consolidated Electrical Distributor 1,723.15 Electrical Supplies 58265 Consolidated Plastics Company 96.40 Lab Supplies 58266 Consumers Pipe&Supply Co. 1,648.80 Plumbing Supplies 58267 Cooper Cameron Corporation 847.64 Engine Supplies 58268 Cooper Energy Services 4.13 Freight 58269 Corporate Express 7.174.08 Office Supplies 58270 Cortech Engineering 4.232.12 Pump Supplies 58271 Cost Containment Solutions 484.49 Worker's Comp.Services 58272 County of Orange-Auditor Controller 280.00 Encroachment Permit Fees 58273 County of Orange-Auditor Controller 727.00 Inspection Fees-Underground Storage Tank Closures at Pit. 1 and Plt.2 58274 County Wholesale Electric Co. 673.69 Electrical Parts&Supplies 58275 Culligan of Orange County 75.00 Maint.Agreement-Cen Gen Water Softener System 58276 Cummins Allison Corp. 4,332.58 Office Equipment-Facsimile Signature Machine 58277 Cytec Industries 18,155.40 Anionic Polymer Spec.No.9798-18 58278 CEM Corporation 82.61 Lab Parts&Supplies 58279 CWEA Membership 97.00 Membership-Calif.Water Environment Assoc. 58280 David's Tree Service 2,975.00 Tree Maint.Service 58281 Del Mar Analytical 1,629.00 Analysis of Biosolids and Wastewater 58282 Dell Computer 9,103.94 (1)Galaxy Server&Software/Hardware 58283 Diamond H Recognition 151.39 Employee Service Awards 58284 Digiterra,Inc. 8,723.64 Software/Hardware Upgrade-AS-400 Model 820 58285 Dodderer,Thomas 826.19 Employee Computer Loan Program H:ldeptlfinlEXCEL.dta1220WPSHARE1Claims Paid Reportt02-030aims Paid Report-123103.As EXHIBIT) fin/210nc Page 2 of 13 111er2co4 Claims Paid From 12/16/03 to 12/31/03 Warrant No. Vendor Amount Description 58286 Driver Alliant Insurance Service,Inc. 852.00 Excess Workers'Compensation 58287 DME,Inc. 541.85 Mechanical Parts&Supplies 58288 E.Sam Jones Distributors,Inc. 16.16 Electrical Supplies 58289 Easy Frame Sign Company,Inc. 834.52 Printing-District Bumper Stickers&Window Decals 58290 Employee Benefits Specialists,Inc. 648.55 Reimbursed Prepaid Employee Medical&Dependent Care 58291 Employers Group 1,750.00 On-Site Training-Communicating With Tact&Diplomacy 58292 Enchanter,Inc. 2,700.00 Ocean Monitoring&Outfall Inspection&Maintenance 58293 Engineering Central 49.99 Notices&Ads 58294 Equapac 2,043.18 Hydrochloric Acid 58295 ENS Resources, Inc. 15,000.00 Professional Services-Legislative Advocate 58296 Filarsky&Watt,L.L.P. 1,710.00 Prof.Services-SPMT Labor Negotiation Meetings&Special Services 58297 FileNET Corporation 24,961.18 Annual Maintenance-Electronic Document Management System 58298 Fisher Scientific 7,903.02 Lab Parts&Supplies 58299 Foodcraft Coffee&Refreshment Services 334.46 Meeting Supplies 58300 Fortis Benefits Insurance Company 24,174.93 Long-Term&Short-Term Disability Ins.Premium 58301 Fountain Valley Rancho Hand Wash 3,555.48 Gasoline 58302 Franklin Covey 560.24 Office Supplies 58303 G.E. Supply Company 170.48 Electric Parts 58304 Garratt-Callahan Company 853.38 Chemicals 58305 George T.Hall 109.33 Instrument Maintenance&Service 58306 Gierlich-Mitchell,Inc. 18,148.18 Belt Filter Press Supplies 58307 Golden State Controls 379.80 Instrument Parts&Supplies 58308 Great Western Sanitary Supplies 185.16 Janitorial Supplies 58309 Hach c/o Ponton Industries 153.23 Lab Parts&Supplies 58310 Hach Company 1,960.50 Lab Parts&Supplies 58311 Harrington Industrial Plastics,Inc. 1,027.54 Mechanical Parts&Supplies 58312 Hasco Oil Co.,Inc. 193.73 Grease 58313 Hill Brothers 16,315.16 Chemicals-Odor&Corrosion Control-Newport Trunkline 58314 Home Depot 735.76 Misc. Repair&Maintenance Material 58315 Hopkins Technical Products 1,322.86 Instrument Repair Service 58316 Hub Auto Supply 1,103.35 Vehicle Parts&Supplies 58317 Impulse 62.03 Instrument Repair Service 58318 Industrial Distribution Group 2,527.20 Hardware 58319 Industrial Fabrics Corp. 14,800.00 Mechanical Parts&Supplies 58320 Industrial Metal Supply 72.18 Metal 58321 Industrial Threaded Products,Inc. 477.86 Mechanical Parts&Supplies 58322 Information Resources 625.00 Human Resources Service-Background Checks 58323 Inorganic Ventures,Inc. 160.72 Lab Parts&Supplies 58324 Interstate Batteries of Cal Coast 694.49 Batteries for Vehicles&Carts 58325 Intratek Computer,Inc. 2,220.00 Network&Server Maintenance 58326 Iron Mountain 86.06 Bid Document Storage Fees P1-37&J-39 58327 Irvine Technology Corporation 21,472.00 Temporary Employment Services 58328 IDM Controls,Inc. 355.30 Electrical Parts&Supplies 58329 J&B Auto Parts 28.50 Auto Parts&Supplies 58330 J.G.Tucker and Son,Inc. 186.16 Specialty Gases 58331 J.O'Brien Company, Inc. 421.24 Security Badge Supplies 58332 Jay's Catering 2,362.94 Meeting Expenses 58333 Johnstone Supply 635.44 Electrical Supplies H:ldeptUtn\EXCEL.dta1220WPSHARE1Claims Paid Report102-030aims Paid Report-123103.)ds EXHIBIT B en/210no Page 3 of 13 1119/2004 Claims Paid From 12/16/03 to 12131/03 Warrant No. Vendor Amount Description 58334 J2 Printing Services 249.98 Printing-Forms 58335 Lab Safety Supply,Inc. 39.35 Safety Supplies 58336 Lexis-Nexis 27.98 Books&Publications 58337 Liebert Cassidy Whitmore 1,875.00 Human Resources Annual Training-Orange County Employment Relations Consortium 58338 Lifecom-Safety, Inc. 349.41 Instrument Repairs&Maintenance&Calibration Services 58339 Lucci's Gourmet Foods,Inc. 672.49 Meeting Expense 58340 M.J.Schiff&Associates, Inc. 520.00 Professional Services-Corrosion Engineering Survey 58341 Management Technologies 750.00 Professional Services-Project Management Consulting 58342 Mandic Motors 71.00 Towing Services 58343 Marathon Electric Manufacturing Corp. 923.50 Electrical Parts&Supplies 58344 Marden Susco,Inc. 2,138.84 Plumbing Supplies 58345 Matt Chlor,Inc. 3,594.10 Valves 58346 McMahan Business Interiors 5,562.06 Office Furniture-Ergonomic Chairs 58347 McMaster-Carr Supply Co. 1,480.45 Mechanical Parts&Supplies 58348 Mec Analytical System 8,433.00 Toxicity Analysis 58349 Medlin Controls Co. 191.04 Instrument Supplies 58350 Michael K.Strenstrum, PhD,P.E. 8,000.00 Professional Services-Oxygen Transfer Efficiency Test at Pit. 1 Aeration Basins 58351 Midway Mfg.&Machining Co. 18,559.63 Mechanical Parts,Supplies&Repair Services 58352 Mile Square Golf Course 25.00 Rental Equipment-Microphone for Ellis Avenue Community Workshop 58353 Mission Abrasive&Janitorial Supplies 300.62 Janitorial Supplies 58354 Mission Uniform Service 1,941.42 Uniform Rentals 58355 Morgan Company 2,826.28 Crane Truck Repair&Maintenance Services-V397 58356 Myers Power Products, Inc. 1,342.73 Electrical Parts&Supplies 58357 Mine Safety Applicances Company 2,990.89 Instrument Supplies 58358 National Plant Services, Inc. 6,250.00 Vacuum Truck Services 58359 National Technology Transfer,Inc. 4.997.50 On-Site Training-Custom Hands-On Hydraulics 58360 Neal Supply Co. 191.80 Plumbing Supplies 58361 Nickey Petroleum Co.,Inc. 4,811.13 Gear&Hydraulic Oil 58362 Norlab 2,586.00 Chemicals 58363 Nu-Way Laser Engraving 123.20 Steel Tags 58364 Office Depot Business Services Div. 436.62 Office Supplies 58365 OneSource Distributors,Inc. 161.07 Electrical Parts&Supplies 58366 The Orange County Register 1,289.54 Subscription 58367 Orange Courier 133.00 Courier Services 58368 Orange Fluid System Technologies,Inc. 1,157.58 Plumbing Parts&Supplies 58369 Oxygen Service Company 1,518.97 Specialty Gases 58370 OCB Reprographics 1,536.30 Printing Service-MO 1/26100 58371 Pacific Bell/WorldCom 15.93 Telephone Service 58372 Pacific Mechanical Supply 190,01 Plumbing Supplies 58373 Pacific Process Equipment,Inc. 19,395.00 Mechanical Parts&Supplies 58374 Parker Hannifin Corporation 478.95 Mechanical Parts&Supplies 58375 Parker Supply Company 5,669.00 Mechanical Parts&Supplies 58376 Parkhouse Tire,Inc. 181.31 Tires 58377 Partners Consulting Services 18,240.00 Professional Services-FIS On-Site Support-One World XE Migration Project 58378 Patriot Video Productions 418.29 Videos 58379 Power Electro Supply Co.,Inc. 14.48 Electrical Supplies 58380 Power Measurement USA,Inc. 3,600.00 Software 58381 Praxair Distribution,Inc. 160.01 Lab Parts&Supplies H:ldeptlfinlEXCEL.dta1220WPSHARE1Claims Paid Report102-031CIaims Paid Report.123103.As EXHIBIT. ftnr210Ac Page 4 of 13 1/19/2004 Claims Paid From 12116103 to 12/31103 Warrant No. Vendor Amount Description 58382 Pre-Paid Legal Services,Inc. 463.45 Employee Legal Service Insurance Premium 58383 Primary Source Office Furnishings, Inc. 5,703.37 Office Furniture 58384 Putzmeister-America 322.24 Mechanical Parts&Supplies 58385 PAPA 55.00 O&M Training Registration 58386 Quinn Shepherd Machinery 766.21 Oil,Air&Fuel Filters 58387 Rainbow Disposal Co. 2,730.33 Trash Removal 58388 Realtime Systems Corporation 6,810.80 Software Annual Maintenance&Support 58389 Red Wing Shoes 156.88 Reimbursable Safety Shoes 58390 Regents of Univ.of California 982.98 Professional Services J-85 58391 Reliastar 9,594.55 Employee Basic Life Insurance Premium 58392 Retrofit Parts&Components,Inc. 70.11 Air Filters 58393 Ricoh Business System 1,623.90 Color Copier Lease 58394 RPM Electric Motors 3,940.92 Pump Repairs 58395 RS Hughes Co,Inc. 347.22 Paint Supplies 58396 Santa Ana River Flood Protection Agency 1,400.00 Membership 58397 Schwing America,Inc. 1,123.93 Pump Supplies 58398 Scottel Voice&Data, Inc. 2,284.80 Telephone System Maintenance 58399 Sigma-Aldrich,Inc. 82.40 Lab Supplies 58400 Smith-Emery Company 780.00 Soils,Concrete&Other Materials Testing 58401 Southern Counties Oil Co. 9,994.35 Diesel Fuel 58402 Southwest Air Balance Corp. 250.00 Professional Services P1-37 58403 Sparling Instruments, Inc. 350.00 Outfall Flow Meter Calibration&Maintenance Services 58404 Spectrum Video,Inc. 2,921.25 Professional Services-Board Room Audio-Visual Design 58405 Spex Certiprep,Inc. 406.94 Lab Supplies 58406 Stanley Steamer International,Inc. 1,980.55 Carpet Cleaning Services 58407 Sunset Industrial Parts 717.85 Mechanical Supplies 58408 Super PC Memory 13.00 Freight 58409 Sy Nielson Service,Inc. 960.00 Instrument Supplies 58410 Symcas-TSG 1,381.60 SCADA System VAX Service Agreement 58411 Systime Computer Corp. 600.00 Professional Services-J D Edwards One World XE Support 58412 SARBS-CWEA 100.00 O&M Training Registration-California Water Environment Association 58413 SPX Valves&Control 1,151.77 Mechanical Parts&Supplies 58414 Techno Coatings 13,110.00 Painting Services-Admin Bldg.,Source Control Interior Area 58415 Tetra Tech,Inc. 194.00 Professional Services 7-37 58416 Thompson Industrial Supply,Inc. 2,727.36 Mechanical Supplies 58417 Tony's Lock&Safe Service&Sales 12.12 Locks&Keys 58418 Toshiba International Corporation 1,856.83 Electrical Supplies 58419 Truck&Auto Supply,Inc. 165.59 Automotive Supplies 58420 Ultra Scientific 257.00 Lab Supplies 58421 United States Treasury 16,992.75 Professional Services J-85-Naval Post Graduate School 58422 UC Regents 360.00 Mechanical Maintenance Training Registration 58423 US Filter Westates Carbon 3,905.94 Filter Carbon 58424 The Vantage Group,L.L.C. 13,034.00 Temporary Employment Service 58425 Vapex,Inc. 342.65 Instrument Parts&Supplies 58426 Varian,Inc. 1,536.20 Lab Parts&Supplies 58427 Verizon California 526.60 Telephone Services 58428 Veme's Plumbing 225.00 Service Contract-Testing&Cert. Backflow Devices at Pits. 1 &2&Pump Sta. 58429 Vertex,Inc. 8,081.25 Software License-Vertex Payroll Tax Q Series H:ldeptlrinlEXCEL.dta1220MPSHARE%Claims Paid Reportl02-031CIalms Paid Report-123103.xis EXHIBIT B fin121011c Page 5 of 13 1/19/2004 Claims Paid From 12116103 to 12131103 Warrant No. Vendor Amount Description 58430 Village Nurseries 228.69 Landscaping Supplies 58431 Villalobos&Associates 24,805.25 Professional Services-Collection System Siphon&Force Main Assessment 58432 Vision Service Plan-(CA) 9,140.64 Vision Service Premium 58433 Vocam USA,L.L.C. 403.19 Safety Video 58434 VWR Scientific Products 1,489.14 Lab Supplies 58435 The Wackenhut Corporation 11,844.67 Security Guards 58436 Water 3 Engineering,Inc. 12,701.64 Engineering Service J-67 58437 Weber Scientific 281.29 Lab Supplies 58438 West Coast Safety Supply Co. 141.19 Safety Supplies 58439 WEF-Registration Dept. 530.00 Registration-Air Quality Meeting Registration 58440 WEF 544.00 Membership-Water Environment Federation&Compliance Meeting Registration 58441 Xerox Corporation 13,778.28 Fax/Copier Leases and Supplies 58442 York International 5,000.00 Start-Up&Programming York Microgateway at Chiller&Siemens Building 58443 California Bank&Trust 2,889.00 Construction J-33-1A,Retention 58444 Michael A.Berdis 170.00 Meeting/Training Expense Reimbursement 58445 James A.Carter 100.00 Meeting Training Expense Reimbursement 58446 Richard A.Castillon 999.72 Meeting/Training Expense Reimbursement 58447 Frank Chavez 170.00 Meeting/Training Expense Reimbursement 58448 Allan P.Dumlao 95.00 Meeting/Training Expense Reimbursement 58449 Martin G. England 1,329.63 Meeting/Training Expense Reimbursement 58450 Jerry F. Evangelista 698.66 Meeting/Training Expense Reimbursement 58451 Deirdre E.Hunter 393.33 Meeting/Training Expense Reimbursement 58452 Rachel J.Parker 1,010.15 Meeting/Training Expense Reimbursement 58453 Mahin Talebi 698.66 Meeting/Training Expense Reimbursement 58454 Edward M.Torres 121.99 Meeting/Training Expense Reimbursement 58455 Ernest N.Yeboah 239.24 Meeting/Training Expense Reimbursement 58456 Aquarium of the Pacific 123.45 Reimbursable Employee Activity Expense 58457 Cain,Gail 1,855.17 Employee Computer Loan Program 58458 Cortex International 1,113.75 Professional Services P2-60 58459 County of Orange 43.00 Annexation Fee 58460 County of Orange 43.00 Annexation Fee 58461 County of Orange 43.00 Annexation Fee 58462 County of Orange 43.00 Annexation Fee 58463 County of Orange 43.00 Annexation Fee 58464 Kienow Associates,Inc. 15.195.88 Legal Services 1-2-4 58465 Orange County Sanitation District 862.17 Petty Cash Reimb. 58466 State Board of Equalization 350.00 Annexation Fee 58467 Sudds,Charles 1.114.24 Employee Computer Loan Program 58468 Tule Ranch/Magan Farms 192,032.99 Residuals Removal MO 3-29-95 58469 Orange County Sanitation District 659,213.36 Payroll EFT Reimbursement 58470 Court Order 150.00 Wage Garnishment 58471 Court Trustee 69.12 Wage Garnishment 58472 Employee Benefits Specialists,Inc. 7,790.92 Reimbursed Prepaid Employee Medical&Dependent Care 58473 Court Order 445.00 Wage Garnishment 58474 Franchise Tax Board 100.00 Wage Garnishment 58475 Internal Revenue Service 450.00 Wage Garnishment 58476 Intl.Union of Oper.Eng AFL-CIO Local 501 3,568.78 Dues Deduction 58477 National Bond&Trust 1,813.73 U.S.Savings Bonds Payroll Deductions H:ldeptUEn1EXCEL.dta12201APSHARE1Claims Paid Report102-031Claims Paid Report-123103.xls EXHIBIT,3 fin/210Ac Page 6 of 13 1/19/2004 Claims Paid From 12/16/03 to 12131103 , Warrant No. Vendor Amount Description 58478 OCEA 518.53 Dues Deduction 58479 Court Order 40.00 Wage Garnishment 58480 Court Order 296.00 Wage Garnishment 58481 Peace Officers Council of CA 1,062.00 Dues Deduction 58482 Court Order 721.50 Wage Garnishment 58483 United Way 280.00 Employee Contributions 58484 Voided Check - - 58485 American Express 25,858.95 Purchasing Card Program,Misc.Supplies&Services 58486 Atkins Americas,Inc. 34.607.12 Professional Services J-40-6 58487 Painewebber Incorporated 38,126.50 COP Remarketing Agreement 58488 Woodruff,Spradlin&Smart 81,878.09 Legal Services MO 7-26-95 58489 Airgas Safety,Inc. 35.06 Safety Supplies 58490 Allied Packing&Rubber, Inc. 219.74 Mechanical Supplies 58491 American Airlines 3,630.50 Travel Services 58492 American Telephone&Telegraph Corp. 297.50 Telephone Service 58493 Environmental Management Consulting 3,915.00 Prof. Serv.-Data Analysis&Reporting&Ventilation Measurement for Belt Press Bldg. 58494 Environmental Microbiology Consulting 18,549.22 Professional Services J-40-6 58495 Franklin Covey 492.08 Office Supplies 58496 Fry's Electronics 1,568.46 Computer Supplies 58497 Hagemeyer North America 4,030.46 Prescription Safety Glasses 58498 Irvine Ranch Water District 44.83 Water Use 58499 League Of Ca Cities 5.000.00 Administration Meeting Expenses 58500 New Horizons CLC of Santa Ana 15,900.00 Software-Technical Seat 1-Yr.License 58501 Office Depot Business Services Div. 821.56 Office Supplies 58502 Orange Fluid System Technologies,Inc. 1,361.94 Mechanical Parts&Supplies 58503 Terri L.Roberts 21.36 OCERS Withholding Refund on Dec.2000 Leave Payout 58504 Safetycare,Inc. 237.05 Safety Video 58505 Shureluck Sales&Engineering 880.47 Mechanical Parts&Supplies 58506 SBC 969.54 Telephone Services 58507 Rule 222 Filings 184.56 Rule 222 Filings-Permit Fee 58508 Thompson Industrial Supply,Inc. 6,104.59 Mechanical Supplies 58509 United Parcel Service 50.48 Parcel Services 58510 Verizon California 5,711.25 Telephone Services 58511 VI-Systems,Inc. 1,063.75 Professional Services-Microsoft Exchange Consulting for Disaster Recovery 58512 Waxie Sanitary Supply 78.58 Janitorial Supplies 58513 Juan J.Ambriz 148.00 Meeting/Training Expense Reimbursement 58514 Michael N. Morey 175.00 Meeting/Training Expense Reimbursement 58515 Robert J.Taylor 739.24 Meeting/Training Expense Reimbursement 58516 Kimberly J.Tolsma 100.00 Meeting/Training Expense Reimbursement 58517 Albonni,Bashar 903.95 User Fee Refund Regarding Septic Tanks 58518 County of Orange 5,107.20 Annexation Fee-J-77 58519 County of Orange-Auditor Controller 75.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 58520 Deckard,Jill 903.95 User Fee Refund Regarding Septic Tanks 58521 Elliott,Lynn 1,110.75 Employee Computer Loan Program 58522 Gausewitz,Alfred 903.95 User Fee Refund Regarding Septic Tanks 58523 Guerrero,Francisca C. Leon 903.95 User Fee Refund Regarding Septic Tanks 58524 Hove,Bryce 903.95 User Fee Refund Regarding Septic Tanks 58525 Marchegiano,Debbie 2,018.45 Employee Computer Loan Program H:ldept\frnlEXCEL.dta122044PSHARE1Claims Paid Report102-MClaims Paid Report-123103AS EXHIBIT B env21011c Page 7 of 13 1/19/2004 Claims Paid From 12/16103 to 12/31/03 Warrant No. Vendor Amount Description 58526 Ortiz,Ramon 903.95 User Fee Refund Regarding Septic Tanks 58527 Peek,David 903.95 User Fee Refund Regarding Septic Tanks 58528 Pooler,Dorothy 903.95 User Fee Refund Regarding Septic Tanks 58529 Reuss,Robert 903.95 User Fee Refund Regarding Septic Tanks 58530 Schneirson, Ron 1,247.76 User Fee Refund Regarding Septic Tanks 58531 Sexton,Gregory 1,247.76 User Fee Refund Regarding Septic Tanks 58532 T&J Performance,Inc. 2,688.36 Truck Parts&Repairs-Bumper-V389 58533 Wu,Janice 946.08 User Fee Refund Regarding Septic Tanks 58534 Court Order 597.50 Wage Garnishment 58535 Air Products&Chemicals 26,294.06 O&M Agreement Oxy Gen Sys MO 8-8-89 58536 ARK Technologies 60,000.00 County of Orange Tax System Data Processing 58537 Basic Chemical Solutions,L.L.C. 42,813.63 Sodium Bisulfite&Caustic Soda 58538 Black&Veatch Corporation 97,290.43 Engineering Services 131-76,J-71-3,132-85,J-87&Hydrogen Peroxide Project 58539 Boyle Engineering Corporation 47,803.03 Engineering Services 1-2-4 58540 Brown&Caldwell 29,281.98 Professional Services P1-37 58541 California Soil Products 81,765.76 Residuals Removal MO 3-29-95 58542 CASA 48,825.00 Membership&Contribution to Biosolids Program Fund 58543 CH2MH1II 164,506.60 Professional Services J-40-6&J-40-7 58544 Dharma Consulting 114,750.00 Prof.Serv.-EMT Coaching,Strategic Ping. Process Team Trng.&EMT Leadership Survey 58545 Innerline Engineering 67,851.34 CCTV Videoing of Trunkline Sewers 58546 IPMC c/o Parsons 1,107,696.00 Professional Services-Integrated Program Management 58547 Kemiron Pacific,Inc. 172,419.33 Ferric Chloride MO 9-27-95 58548 Mainline Information systems 35,746.06 Software/Hardware-DASD for AS/400 58549 Partners Consulting Services 45,840.00 Temporary Employment Services 58550 Pioneer Americas,Inc. 235,121.72 Sodium Hypochlorite 58551 Polydyne, Inc. 52,336.48 Cationic Polymer MO 3-11-92 58552 Southern California Edison 83,438.65 Power 58553 Systime Computer Corp. 83,085.00 Professional Services-J D Edwards One World XE Implementation 58554 Tule Ranch/Magan Farms 173,208.23 Residuals Removal MO 3-29-95 58555 U.S. Metro Group,Inc. 26,235.00 Janitorial&Floor Maintenance at Plants 1 &2 58556 Waste Markets 59,414.94 Maint.Agreement-Grit&Screenings Removal&Digester Bed Mat'l. Removal 58557 Cora Constructors 124,605.00 Construction 7-7-2 58558 Insituform Technologies,Inc. 153,733.11 Construction 5-29-R1 58559 Aanderaa Instruments 4,206.70 Coastal Physical Oceanographic Mooring 58560 Able Scale Repair 600.00 Loading Scales Quarterly Inspection 58561 Accurate Measurement Systems 512.72 Instrument Supplies 58562 Advance Business Graphics 3,413.42 Stationery&Office Supplies 58563 Air Duct Cleaning Company 3,927.00 Air Duct Cleaning Services 58564 Air Liquide America Corporation 2.561.66 Specialty Gases 58565 Airborne Express 26.06 Air Freight 58566 Airgas Safety,Inc. 3,217.92 Safety Supplies 58567 AliMed,Inc. 135.91 Computer Supplies 58568 Amot Control Corporation 219.95 Mechanical Parts&Supplies 58569 Anixter,Inc. 880.10 Computer Software/Hardware 58570 Aquatic Bioassay And Consulting Labs,Inc. 750.00 Toxicity Testing 58571 Aspen Publishers,Inc. 209.70 Publication 58572 Atlantis Pool Care 250.00 Service Agreement-Admin. Bldg.Atrium 58573 American Telephone&Telegraph Corp. 1,233.52 Telephone Conference Services H:ldeptlfin%EXCEL.dta1220L4PSHARE1Claims Paid ReporA02-031CIalms Paid Report-123103.)ds EXHIBIT, rnr210nc Page 8 of 13 111912004 Claims Paid From 12116103 to 12/31/03 Warrant No. Vendor Amount Description 58574 AT&T Universal Biller 2,976.98 Telephone Service 58575 American Telephone&Telegraph Corp. 71.16 Telephone Service 58576 AVWVA 131.00 Membership-American Water Works Association 58577 Battery Specialties 1,026.91 Batteries 58578 Benz Compressed Air Systems,Inc. 801.32 Compressor Parts 58579 Bureau of Reclamation 22,308.00 Cost-Sharing Project J-36 58580 Caltrol,Inc. 1,492.61 Mechanical Parts&Supplies 58581 Cardlock Fuel Systems,Inc. 624.92 Fueling District Vehicles at Local Gas Stations 58582 Cashco,Inc. 670.54 Mechanical Parts&Supplies 58583 Charles P.Crowley Co. 2,582.57 Mechanical Parts&Supplies 58584 Compressor Components Of California 1,248.00 Coil Cleaning&Testing&Compressor Parts 58585 Consolidated Electrical Distributor 2,230.90 Electrical Supplies 58586 Cooper Cameron Corporation 174.30 Engine Supplies 58587 Corporate Express Imaging 1,256.46 Computer Supplies 58588 Corporate Express 8,909.57 Office Supplies 58589 Cortech Engineering 15.242.18 Pump Supplies 58590 County of Orange-Auditor Controller 35.00 Encroachment Permit Fees 58591 County Wholesale Electric Co. 581.42 Electrical Parts&Supplies 58592 Crane Veyor Corp. 2,771.13 Repair&Maintenance Services 58593 CALPELRA 480.00 Membership-Calif. Public Employers Labor Relations Assoc. 58594 CEM Corporation 752.81 Lab Supplies 58595 CR&R,Inc. 1,575.00 Container Rentals 58596 California Special Districts Association 357.00 Membership 58597 CSMFO 875.00 Accounting Meeting Registration 58598 Daniel Company,L.L.C. 10,499.25 Repairs&Maintenance Services to Primary Scrubber Complex 58599 Dapper Tire Co. 278.33 Truck Tires 58600 David's Tree Service 5,300.00 Tree Maint.Service 58601 Detection Instruments Corporation 8,586.85 Ins.Parts&Supplies 58602 Dickson's,Inc. 872.99 Air Conditioner Unit 58603 Dunkel Bros.Machinery Moving,Inc. 4,000.00 Equipment Moving Services 58604 Dunn-Edwards Corporation 93.14 Paint Supplies 58605 Dwyer Instruments,Inc. 266.17 Instrument Parts&Supplies 58606 DGA Consultants,Inc. 5,148.50 Professional Services-CCTV Data Evaluation 58607 E.Sam Jones Distributors,Inc. 163.73 Electrical Supplies 58608 Ecology Control Industries 15,009.84 Hazardous Waste Disposal 58609 Edinger Medical Group,Inc. 1,350.91 Medical Screening 58610 Enchanter,Inc. 3.600.00 Ocean Monitoring&Outfall Inspection&Maintenance 58611 Environmental Resource Association 1,432.90 Lab Supplies 58612 Ewing Irrigation Industrial 129.28 Plumbing Parts&Supplies 58613 ENS Resources,Inc. 15,000.00 Professional Services-Legislative Advocate 58614 FedEx Corporation 72.92 Air Freight 58615 Fisher Scientific 4,744.39 Lab Supplies 58616 Five Star Metals,Inc. 343.70 Mechanical Parts&Supplies 58617 Fluor Enterprises,Inc. 12,792.56 Engineering Services J-84 58618 Foodcraft Coffee&Refreshment Services 298.20 Meeting Supplies 58619 Fountain Valley Paints,Inc. 251.06 Paint Supplies 58620 Fountain Valley Rancho Hand Wash 2,232.13 Truck Wash Tickets 58621 Franklin Covey 229.73 Office Supplies H:ldeptTttn%EXCEL.dta12201APSHARE%Claims Paid Report102-031Claims Paid Report-123103.)ds EXHIBIT B rnr210nc Page 9 of 13 1119r2004 Claims Paid From 12116/03 to 12131/03 Warrant No. Vendor Amount Description 58622 Fry's Electronics 112.02 Computer Supplies 58623 Garland Manufacturing Co. 825.00 Mechanical Parts&Supplies 58624 Garratt-Callahan Company 2.358.65 Chemicals 58625 Gastech 2,845.28 Instrument Parts&Supplies 58626 George T.Hall 562.99 Electrical Parts&Supplies 58627 George Yardley Co. 789.57 Electrical Parts&Supplies 58628 Grainger,Inc. 3,477.90 Electrical Parts&Supplies 58629 Graybar Electric Company 1,365.00 Software/Hardware 58630 Guarantee Records Management 233.16 Off-Site Records Storage 58631 GS Edwards Systems Technology 592.06 Maintenance&Repair Services-Fire Alarm System 58632 Haaker Equipment Company 402.06 Misc.Vehicle,Parts,Repairs&Service 58633 Hach c/o Ponton Industries 15,541.19 Lab Parts&Supplies 58634 Hagemeyer North America 1,070.54 Prescription Safety Glasses 58635 Harold Primrose Ice 138.75 Ice For Samples 58636 Harrington Industrial Plastics,Inc. 594.56 Instrument Parts&Supplies 58637 Hasco Oil Co.,Inc. 193.73 Grease 58638 The Holman Group 907.20 Employee Assistance Program Premium 58639 Home Depot 193.94 Misc.Repair&Maintenance Material 58640 Horizon Technology 393.93 Lab Supplies 58641 Hydrotex 1,567.09 Lube Oil 58642 I. D.Industries,Inc. 19.42 Mechanical Supplies 58643 IDEXX Laboratories,Inc. 702.53 Lab Supplies 58644 Industrial Distribution Group 2,811.75 Mechanical Parts,Supplies,Paint&Hardware 58645 Industrial Metal Supply 1,264.55 Metal 58646 Inside EPA 635.00 ECM Publication 58647 Ionics Instrument Business Group 124.08 Lab Supplies 58648 Irvine Photo Graphics 249.98 Photographic Services 58649 J&L Industrial Supply 669.20 Tools 58650 Jamison Engineering Contractors, Inc. 4,500.00 Repair&Maintenance Services-Digester#12 58651 Johnstone Supply 676.56 Electrical Supplies 58652 Kforce,Inc. 1,766.16 Temporary Employment Services 58653 Lewis&Lewis Enterprises 261.14 Office Supplies 58654 Long Beach Iron Works 1,885.63 Manhole Frames&Covers 58655 Lucci's Gourmet Foods, Inc. 276.82 Meeting Expense 58656 Lustre-Cal 671.85 Printing-Wastehauler Decals 58657 Maintenance Technology Corp. 1.715.53 Welding Supplies 58658 Mandic Motors 99.00 Towing Services 58659 MarVac Electronics 87.31 Electrical Parts&Supplies 58660 MassMutual Michel Financial Group 1,328.95 Executive Disability Plan Premium 58661 McGarry Central 131.59 Office Equipment Repair&Maintenance Services 58662 McMahan Business Interiors 803.80 Minor Furniture&Fixtures 58663 McMaster-Carr Supply Co. 198.12 Mechanical Parts&Supplies 58664 Mechanical Seal Repair,Inc. 3,043.94 Repair&Maintenance Services 58665 Medlin Controls Co. 190.40 Instrument Supplies 58666 Milltronics,Inc. 957.37 Electrical Supplies 58667 Mission Abrasive&Janitorial Supplies 84.91 Janitorial Supplies 58668 Mission Uniform Service 1,531.33 Uniform Rentals 58669 MAACO Auto Painting&Bodyworks 374.04 Auto Painting Services-Trailer 903 H:IdepI in%EXCEL.d1a12201APSHARE1Clatms Paid ReporA02-031CIaims Paid Report-123103.)ds EXHIBIT) rn1210nc Page 10 of 13 1119i2oo4 s Claims Paid From 12116/03 to 12131103 Warrant No. Vendor Amount Description 58670 MARMAC Field Services,Inc. 6.184.00 Professional Services P1-92 58671 MDS Consulting 18,187.09 Prof.Services-Surveying Various Capital Projects 58672 National Fire Protection Association 135.00 Membership 58673 Neal Supply Co. 1,231.47 Plumbing Supplies 58674 NetVersant of Southern California 2,198.10 Security System Access Control Cards-Blank Stock 58675 City of Newport Beach 72.97 Water Use 58676 Nickey Petroleum Co.,Inc. 1,229.81 Machine Oil 58677 Ninyo&Moore Corporate Accounting 16,886.54 Professional Services-Materials Testing, Inspection&Geotechnical Engrg. 58678 The Norco Companies 170.78 Mail Delivery Service 58679 Norms Refrigeration 118.18 Electrical Parts&Supplies 58680 NASSCOIPACP 2,250.00 O&M Training Registration 58681 O'Connor Sales,Inc. 1,773.32 Mechanical Parts&Supplies 58682 Office Depot Business Services Div. 476.97 Office Supplies 58683 Omega Industrial Supply,Inc. 1,656.60 Janitorial Supplies 58684 OneSource Distributors,Inc. 156.84 Electrical Parts&Supplies 58685 Orange County Hose Company 30.70 Hydraulic Hose Supplies&Parts 58686 Ortiz Fire Protection 2,655.00 Quarterly Inspection,Maint.&Certification of Fire Sprinkler Systems at Plts.1 &2 58687 Oxygen Service Company 2,725.29 Specialty Gases 58688 OCB Reprographics 242.61 Printing Service-MO 1/26/00 58689 P.L. Hawn Company, Inc. 1,027.94 A/C Filters 58690 Pacific Parts&Controls,Inc. 1,142.14 Electrical Supplies 58691 Parkhouse Tire,Inc. 164.03 Tires 58692 PenValve 1,407.50 Mechanical Parts&Supplies 58693 Port Supply 263.33 Safety Supplies 58694 Power Design 2,343.56 Electrical Supplies 58695 Power Electro Supply Co.,Inc. 59.77 Electrical Supplies 58696 PCG Industries 1,150.00 Repair&Maintenance Services 58697 PCS Express,Inc. 200.50 Courier Service 58698 PRSA-Orange County Chapter 155.00 Membership-Public Relations Society of America 58699 PVF Sales,Inc. 314.55 Mechanical Parts&Supplies 58700 R W Beck 3,497.80 Professional Services P1-90 58701 Ramsay Corporation 698.00 Office Supplies 58702 Reliastar Bankers Security Life Ins. 9,929.56 Employee Life Ins. Premium,Short-Term Disability&Cancer Ins. Payroll Deductions 58703 Royale Cleaners 38.00 Uniform Cleaning Services 58704 RPM Electric Motors 279.48 Motor 58705 RS Hughes Co,Inc. 278.30 Paint Supplies 58706 S.P. Kinney Engineers,Inc. 217.19 Mechanical Parts&Supplies 58707 Sancon Engineering, Inc. 3,045.00 Construction-Pump Out(3)Air Jumper Lines 58708 Schwing America,Inc. 153.78 Pump Supplies 58709 Scottel Voice&Data,Inc. 2,284.80 Telephone System Maintenance 58710 Seton Name Plate Corp 332.57 Safety Signs 58711 Shamrock Supply Co.,Inc. 2,269.05 Mechanical Parts&Supplies 58712 Shureluck Sales&Engineering 3,121.94 Name Plates&Holders 58713 Skalar,Inc. 801.98 Lab Parts&Supplies 58714 Smith Pipe&Supply,Inc. 458.48 Plumbing Supplies 58715 Snap-On Tools,Inc. 625.93 Tools 58716 Southern California Edison 1,752.86 Power 58717 Sparkletts 1,493.19 Drinking Water/Cooler Rentals H:IdeptlfnlEXCEL.dta1220%APSHAREIClaims Paid Report102.030aims Paid Report-123103.xls EXHIBIT B fn1210Ac Page 11 of 13 1/19/2004 Claims Paid From 12/16103 to 12131/03 Warrant No. Vendor Amount Description 58718 Steven Enterprises,Inc. 579.36 Printing-Forms 58719 Summit Steel 52.56 Metal 58720 Sunset Industrial Parts 226.71 Mechanical Supplies 58721 Synagro Technologies, Inc. 595.00 Residuals Removal MO 3-29-95 58722 SPEC Services,Inc. 18,847.66 Engineering Services J-33-1 58723 SPX Valves&Controls 1,151.77 Mechanical Parts&Supplies 58724 Terminix International 3,030.00 Pest Control 58725 Thermo Environmental Instruments 365.12 Rechargeable Battery 58726 Thompson Industrial Supply,Inc. 451.66 Mechanical Supplies 58727 Times Community News 143.75 Notices&Ads 58728 Tony's Lock&Safe Service&Sales 127.42 Locks&Keys 58729 Townsend Public Affairs 5,000.00 Legislative&Executive Advocate for Grant Funding 58730 Tropical Plaza Nursery, Inc. 9,771.91 Contract Groundskeeping MO 5-11-94 58731 Truck&Auto Supply,Inc. 102.08 Automotive Supplies 58732 Truesdail Laboratories,Inc. 100.00 Analysis of Biosolids and Wastewater 58733 TCH Associates,Inc. 2,036.77 Lab Supplies 58734 Teksystems 21,862.00 Temporary Employment Services 58735 U.S.Composting Council 250.00 Compliance Meeting Registration 58736 U.S. Peroxide,L.L.C. 20,241.28 Hydrogen Peroxide 58737 Ultra Scientific 944.99 Lab Supplies 58738 United Parcel Service 1,150.12 Parcel Services 58739 UC Regents 360.00 Compliance Training Registration 58740 US Equipment Co.,Inc. 312.65 Filters 58741 The Vantage Group, L.L.C. 9,268.00 Temporary Employment Service 58742 Varian,Inc. 2,500.00 Lab Training Registration 58743 Verizon California 177.29 Telephone Services 58744 Verne's Plumbing 105.00 Service Contract-Testing&Cert. Backflow Devices at Pits. 1 &2&Pump Sta. 58745 Vibratronics,Inc. 7,262.78 Multifunctional Ultrasonic Detector Kit 58746 Village Nurseries 59.25 Landscaping Supplies 58747 VWR Scientific Products 1,856.81 Lab Supplies 58748 The Wackenhut Corporation 12,869.64 Security Guards 58749 West Coast Safety Supply Co. 924.60 Safety Supplies&Tools 58750 Westport Aparatus DBA Breaker Supply 499.28 Electrical Parts&Supplies 58751 WEF-Registration Dept. 475.00 Planning Meeting Registration 58752 WEF 177.00 Membership-Water Environment Federation 58753 WS Atkins Water 5.500.00 Professional Services SP-90 58754 Xerox Corporation 12,137.00 Fax&Copier Leases 58755 Yokogawa Corporation of America 195.54 Instrument Supplies 58756 Jose C.Ambriz 51.00 Meeting/Training Expense Reimbursement 58757 Marc A.Brown 215.00 Meeting/Training Expense Reimbursement 58758 George A.Charette 107.00 Meeting/Training Expense Reimbursement 58759 Chloe D. Dao 150.00 Meeting/Training Expense Reimbursement 58760 Carla D. Dillon 150.00 Meeting/Training Expense Reimbursement 58761 Michele Farmer 435.00 Meeting/Training Expense Reimbursement 58762 Victor R.Hermelin 41.00 Meeting/Training Expense Reimbursement 58763 Thomas A. Hunt 170.00 Meeting/Training Expense Reimbursement 58764 Karen L.Jackson 165.28 Meeting/Training Expense Reimbursement 58765 Antonino Pira 1,806.69 Meeting/Training Expense Reimbursement H:ldeptUnIEXCEL.dta12201APSHARE\Claims Paid Report102-03%Clalms Paid Report-123103.)ds EXHIBIT B frn/21011c Page 12 of 13 1119/2004 Claims Paid From 12/16/03 to 12131/03 Warrant No. Vendor Amount Description 58766 Patrick A.Sullivan 170.00 Meeting/Training Expense Reimbursement 58767 James G.Tintle 51.00 Meeting/Training Expense Reimbursement 58768 County of Orange-Auditor Controller 518.00 Underground Storage Tank,Hazardous Material,&State Fees 58769 Local Agency Formation Commission 1,150.00 Annexation Fee 58770 Local Agency Formation Commission 1,150.00 Annexation Fee 58771 Orange County Sanitation District 938.79 Petty Cash Reimb. Total Accounts Payable-Warrants $ 13,359,483.58 Payroll Disbursements 32604-32698 Employee Paychecks $ 164,735.27 Biweekly Payroll 12/23/03 32699-32702 Employee Paychecks $ 2,900.24 Payroll Correction&Adjustment, Reissue Stale Dated Check,&Termination 93056-93564 Direct Deposit Statements 1,005,346.80 Biweekly Payroll 12/23/03 Total Payroll Disbursements $ 1,172,982.31 Wire Transfer Payments U.S. Bank $ 85,466.02 December Interest Payment on Series 2000 Certificates of Participation Total Wire Transfer Payments $ 85,466.02 Total Claims Paid 12116103-1 2/31103 $ 14,617,931.91 H:ldept%fin\EXCEL.dta1220%PSHARBClaims Paid Report102-031Claims Paid Report-123103.)ds EXHIBIT B fin1210Ac Page 13 of 13 1119/2004 BOARD OF DIRECTORS Meeting Date To Bd.of Dir. 02/25/04 AGENDA REPORT Item Number Item Number 8 Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Lenora Crane, Executive Assistant SUBJECT: PAYMENT OF CLAIMS OF THE ORANGE COUNTY SANITATION DISTRICT GENERAL MANAGER'S RECOMMENDATION Ratify Payment of Claims of the District by Roll Call Vote. CONFLICT OF INTEREST NOTIFICATION Pursuant to Government Code Section 84308, you are required to disclose any campaign contribution greater than $250 received in the past twelve months from any party to a contract involving the Orange County Sanitation District. Further, you may not participate in the decision making process to award a contract to such party. For reference, you are directed to the Register of Warrants as to all current contractors/vendors with the District. In general, you must disclose the basis of the conflict by identifying the name of the firm or individual who was the contributor. For the specifics of Government Code Section 84308, please see your Director's Handbook or call the office of General Counsel. SUMMARY See attached listing. PRIOR COMMITTEE/BOARD ACTIONS N/A ATTACHMENTS 1. Copies of Claims Paid reports from 01/01/04 — 01/15/04 and 01/16/04 —01/31/04 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Repo rts\0204\Item 8.doc Revised: 06/04/03 Claims Paid From 01/01/04 to 01/16/04 Warrant No. Vendor Amount Description Accounts Payable-Warrants 58772 Coral Energy Resources,L.P. $ 122,285.99 Natural Gas 58773 Orange County Sanitation District 658,943.65 Payroll EFT Reimbursement 58774 Southern California Edison 53,659.87 Power 58775 American Airlines 1,157.50 Travel Services 58776 ABB Automation, Inc. 1,139.87 Instrument Calibration&Certification 58777 American Telephone&Telegraph Corp. 73.22 Telephone Service 58778 AT&T Wireless Services-Airtime 3,536.44 Cellular Airtime 58779 Barnes&Thornburg 9,500.00 Membership-Federal Water Quality Coalition 58780 Court Order 150.00 Wage Garnishment 58781 Court Trustee 69.12 Wage Garnishment 58782 Cybertek Training Centers 895.00 Planning Training Registration 58783 Employee Benefits Specialists, Inc. 10,904.63 Reimbursed Prepaid Employee Medical&Dependent Care 58784 Voided Check - - 58785 First Metro Appraisals 4,500.00 Real Estate Appraisal-Proposed Buena Park Chemical Feed Station 58786 Foodcraft Coffee&Refreshment Services 147.44 Meeting Supplies 58787 Franchise Tax Board 100.00 Wage Garnishment 58788 City of Huntington Beach 20,908.95 Water Use 58789 Internal Revenue Service 500.00 Wage Garnishment 58790 Intl.Union of Oper.Eng.AFL-CIO Local 501 3,748.81 Dues Deduction 58791 MBC Applied Environmental Sciences 2,891.75 Consortium Contribution-Central Region Kelp Survey 58792 National Bond&Trust 2,108.91 U.S.Savings Bonds Payroll Deductions 58793 City of Newport Beach 12.51 Water Use 58794 Nextel Communications 3,863.35 Cellular Phones&Air Time 58795 Orange County Sheriff 396.30 Wage Garnishment 58796 OCEA 570.86 Dues Deduction 58797 Court Order 40.00 Wage Garnishment 58798 Court Order 296.00 Wage Garnishment 58799 Peace Officers Council of CA 1,593.00 Dues Deduction 58800 Senate Rules Committee 6.47 Publication 58801 Court Order 721.50 Wage Garnishment 58802 SoftChoice 1,846.05 Software 58803 Southern California Water 96.91 Water Use 58804 SBC 136.92 Telephone Services 58805 The Pittsburgh Conference 760.00 Lab Training Registration 58806 Thompson Industrial Supply, Inc. 2,333.18 Mechanical Supplies 58807 Time Warner Communications 40.47 Cable Services 58808 United Way 305.00 Employee Contributions 58809 Verizon California 861.05 Telephone Services 58810 Weather Services International 339.00 Software Maint.-Weather for Windows 58811 Court Order 597.50 Wage Garnishment 58812 Thomas M. Blanda 274.50 Meeting[Training Expense Reimbursement 58813 County of Orange 43.00 Annexation Fee 58814 CAPPO Conference Registration 300.00 Purchasing Meeting Registration 58815 Dynamic Fabrication, Inc. 36,470.68 Auger Frame&Hopper Assemblies 6nI210nc EXHIBIT A H:\dept\6n\EXCEL.dta\220%PSHARE\Claims Paid Report\03-04\Claims Paid Report-011504.)ds Page 1 of 6 2/1312004 Claims Paid From 01/01/04 to 01/15/04 Warrant No. Vendor Amount Description 58816 AKM Consulting Engineers 68,319.80 Professional Services 7-36,7-39, 7-41 -Trunk Sewer Improvements 58817 Black&Veatch Corporation 95,353.94 Engineering Services J-77,J-87&J-71-3 58818 Blue Cross of California 319,164.37 Medical Insurance Premium 58819 Boyle Engineering Corporation 87,299.16 Engineering Services 1-2-4 58820 Brown&Caldwell 40,164.00 Prof.Serv.-Needs Assessment Study&O&M Standard Oper.Proc.Manual 58821 California Soil Products 119,891.00 Residuals Removal MO 3-29-95 58822 Delta Dental 56,613.06 Dental Insurance Plan 58823 J R Filanc Construction 30,532.53 Construction-Valve Replacement at Yorba Linda,West Side&Rocky Point 58824 Kaiser Foundation Health Plan 51,496.41 Medical Insurance Premium 58825 Kemiron Pacific, Inc. 139,074.45 Ferric Chloride MO 9-27-95 58826 Kforce, Inc. 37,468.44 Temporary Employment Services 58827 Lee&Ro, Inc. 54,481.06 Professional Services 5-43-1,5-51 &5-52 58828 LECO Corporation 176,288.70 Gas Chromatograph with Time-of-Flight Mass Spectrometer 58829 Malcolm Pimie, Inc. 27,653.48 Professional Services J-79 58830 Orange County Water District 1,255,809.49 Joint GWRS Project J-36 58831 Parsons, Inc. 381,977.84 Engineering Services J-35-1 58832 Pioneer Americas, Inc. 197,998.02 Sodium Hypochlorite 58833 So.Cal. Gas Company 25,426.90 Natural Gas 58834 St Croix Sensory, Inc. 34,356.21 Olfactory Measurement Equipment,Software,Training&Supplemental Equipment 58835 Tule Ranch/Magan Farms 131,562.91 Residuals Removal MO 3-29-95 58836 U.S. Peroxide, L.L.C. 204,924.53 Odor&Corrosion Control for Coll.Sys.;Hydrogen Peroxide&Ferrous Chloride 58837 Villalobos&Associates 25,660.50 Prof.Serv.-Corrosion Management &P-2 Digester Gas Line Evaluation 58838 ARB, Inc. 362,732.86 Construction 11-22 58839 Cora Constructors 44,730.00 Construction 7-7-2 58840 J F Shea Construction, Inc. 422,896.65 Construction J-71-3,J-35-2&P2-85 58841 J R Filanc Construction 1,144,312.01 Construction P1-76 58842 Margate Construction, Inc. 1,351,976.00 Construction P1-37 58843 Morrow-Meadows Corp. 26,432.00 Construction P2-47-3 58844 Southern Contracting Company 36,173.00 Construction J-33-1A 58845 Orange County Sanitation District 38,862.99 Worker's Comp. Reimb. 58846 Abatix Environmental Corp. 227.30 Hardware 58847 Agilent Technologies, Inc. 357.41 Lab Parts&Supplies 58848 Air&Waste Management Assoc. 150.00 Membership 58849 Alhambra Foundry Co., Ltd. 4,202.25 Manhole Frames&Covers 58850 American Fildelity Assurance Company 66.00 Voluntary Cancer Insurance 58851 AMEC Earth&Environmental 150.00 Lab Supplies 58852 AMSA 10.50 Source Control Meeting Registration 58853 AT&T Wireless Services 2,869.63 Wireless Phone Services 58854 Baker Tanks 560.00 Tank Rentals 58855 BioMerieux Vitek, Inc. 1,078.86 Lab Supplies 58856 Borthwick,Guy,Bettenhausen 3,455.32 Professional Services P2-84 58857 Bush&Associates, Inc. 7,294.00 Surveying Services,J-77, 11-22&P1-76 58858 BEC-Building Electronic Controls, Inc. 2,400.00 Fire Alarm System Maintenance Program Quarterly Inspection 58859 California Automatic Gate 782.19 Automatic Gate Maintenance-Both Plants 58860 California Relocation Services, Inc. 806.25 File Moving/Relocation Services r;r,r21onc EXHIBIT A, b Page 2 of 6 `H:kleptlfnlEXCEL.dta12201APSHARE1Claims Paid Report103.041CIaims Paid Report-011504.)ds g 2/13I2004 Claims Paid From 01/01104 to 01/15/04 Warrant No. Vendor Amount Description 58861 Carl Warren&Co. 816.48 Insurance Claims Administrator 58862 Carollo Engineers 23,234.37 Professional Services P2-60&Microfiltration Demonstration Project 58863 Cingular Wireless Equipment 2,278.03 Tax on Free Telephone Equipment 58864 Coast Rubber Stamp Mfg. 153.77 Office Supplies 58865 Columbia Analytical Services,Inc. 2,315.00 Analysis of Wastewater,Industrial Wastewater&Biosolids 58866 Computer Sciences Corp. 5,687.89 Consulting&Lab Services-Assay Pilot Project 58867 Consolidated Elect. Distributors 404.28 Electrical Supplies 58868 Consumers Pipe&Supply Co. 583.70 Plumbing Supplies 58869 Cooper Cameron Corporation 196.56 Engine Supplies 58870 Corporate Express 2,202.18 Office Supplies 58871 Corporate Image Maintenance, Inc. 155.00 Custodial Services Spec.No.9899-09 58872 County of Orange 3,875.55 Maint.Agreement-Repair/Installation of Base, Handheld&Vehicle Radios 58873 County Wholesale Electric Co. 101.56 Electrical Parts&Supplies 58874 Culligan of Orange County 453.20 Maint.Agreement-Cen Gen Water Softener System 58875 CASA 375.00 Communications Meeting Expense 58876 CEPA Company 1,210.00 Lab Equipment Maint.Service 58877 CWEA 1,094.00 Source Control Training Registration 58878 David's Tree Service 2,755.00 Tree Maint. Service 58879 Dell Direct Sales, L.P. 10,647.86 (4)Dell Latitude Notebook Computers 58880 Dunn-Edwards Corporation 399.21 Paint Supplies 58881 DGA Consultants, Inc. 8,951.75 Professional Services-CCTV Data Evaluation 58882 E.Sam Jones Distributors, Inc. 803.51 Electrical Supplies 58883 Employee Benefits Specialists, Inc. 250.00 Reimbursed Prepaid Employee Medical&Dependent Care 58884 Employers Group 60.00 Safety&Health Meeting Registration 58885 Enchanter, Inc. 2,700.00 Ocean Monitoring&Ouffall Inspection&Maintenance 58886 Environmental Engineering&Contracting 5.500.00 Professional Services-Fats,Oil&Grease(FOG)Study 58887 Environmental Sampling Supply, Inc. 488,83 Lab Parts&Supplies 58888 FedEx Corporation 473.50 Air Freight 58889 Filarsky&Watt,L.L.P. 142.50 Prof.Services-SPMT Labor Negotiation Meetings&Special Services 58890 First American Real Estate Solutions 647.50 Orange County Property Information 58891 Fisher Scientific Company 4,401.13 Lab Parts&Supplies 58892 Foodcraft Coffee&Refreshment Services 262.05 Meeting Supplies 58893 Franklin Covey 464.59 Office Supplies 58894 Fry's Electronics 325.57 Computer Supplies 58895 Ganahl Lumber Company 2,419.74 Lumber/Hardware 58896 Garratt-Callahan Company 853.38 Chemicals 58897 Grainger, Inc. 6,949.25 Mechanical Parts,Supplies&Tools 58898 Graybar Electric Company 145.75 Electrical Parts&Supplies 58899 Hach c/o Ponton Industries 436.76 Lab Parts&Supplies 58900 Hach Company 442.09 Pump Parts&Supplies 58901 Hill Brothers 22,615.93 Chemicals-Odor&Corrosion Control-Newport Trunkline 58902 Home Depot 275.08 Misc. Repair&Maintenance Material 58903 Hopkins Technical Products 546.83 Mechanical Parts&Supplies 58904 Hub Auto Supply 390.44 Vehicle Parts&Supplies 58905 Industrial Distribution Group 1,451.12 Mechanical Parts&Supplies fin121011c EXHIBIT A H:ldeptlfinlEXCEL.dta1220WPSHARE1Claims Paid Report\03.04XClaims Paid Reporl-011504.)ds Page 3 of 6 2/13/2004 Claims Paid From 01/01104 to 01/16104 Warrant No. Vendor Amount Description 58906 Industrial Fabrics Corp. 7,340.00 Mechanical Parts&Supplies 58907 Innedine Engineering 2,075.22 CCTV Videoing of Trunkline Sewers 58908 Interstate Batteries of Cal Coast 938.66 Batteries for Vehicles&Carts 58909 Intratek Computer, Inc. 3,000.00 Network&Server Maintenance 58910 Ionics Instrument Business Group 105.00 Lab Supplies 58911 Iron Mountain Off-Site Data Protection 310.00 Offsite Back-Up Tape Storage for NT Server 58912 IECOC 50.00 Membership(Industrial Environmental Coalition of Orange County) 58913 J F Shea Construction, Inc. 4,471.00 Construction-Plant 2 Junction Box#4 Repairs 58914 Jamison Engineering Contractors, Inc. 7,751.70 Inspect. &Maint.-District's#5&#6 Gates and Preventative Flap Gate Maint.at Pit. 1 58915 Jay's Catering 1,897.37 Meeting Expenses 58916 Johnstone Supply 48.61 Mechanical Supplies 58917 JC Penny Co., Inc. 5,923.09 Reconciliation User Fee Refund Program 58918 KW Communications 1,460.00 Community Outreach Re Bushard Trunkline Replacement Project 58919 L&N Uniform Supply Co. 28.80 Uniform Rentals 58920 League Of CA Cities 120.00 Publication 58921 Lifecom-Safety,Inc. 295.00 Instrument Calibration 58922 Lucci's Gourmet Foods, Inc. 95.19 Meeting Expense 58923 LINJER 10,010.62 Professional Service-DART MO 9-22-99 58924 Mandic Motors 91.00 Towing Services 58925 McMaster-Carr Supply Co. 53.87 Tools 58926 Mec Analytical System 12,181.00 Toxicity Analysis 58927 Medlin Controls Co. 1,341.65 Instrument Supplies 58928 Mission Abrasive&Janitorial Supplies 41.59 Janitorial Supplies 58929 Mission Uniform Service 157.04 Uniform Rentals 58930 MBC Applied Environmental Sciences 1,420.00 Lab Analyses 58931 National Plant Services, Inc. 6,900.00 Vacuum Truck Services 58932 NetVersant of Southern California 3,217.60 Security System Maintenance 58933 Nu-Way Laser Engraving 76.80 Steel Tags 58934 NASSCO/PACP 1,500.00 Air Quality Training Registration 58935 Office Depot Business Services Div. 1,280.50 Office Supplies 58936 OneSource Distributors, Inc. 5.68 Electrical Parts&Supplies 58937 Orange County Hose Company 127.87 Hydraulic Hose Supplies&Parts 58938 Orange Courier 98.50 Courier Services 58939 Ortiz Fire Protection 360.00 Fire System Maintenance& Repair Services 58940 Oxygen Service Company 1,485.07 Specialty Gases 58941 OCB Reprographics 689.15 Printing Service-MO 1/26/00 58942 P.L. Hawn Company, Inc. 328.94 Electrical Supplies 58943 Pacific Bell Internet Services 328.79 Internet Service 58944 Pacific Investment Management Co. 19,190.00 Investment Management Service Res.95-97 58945 Pacific Parts&Controls 4,496.96 Electrical Parts&Supplies 58946 Parker Hannifin Corporation 178.35 Mechanical Parts&Supplies 58947 Partners Consulting Services 24,840.00 FIS On-Site Support-One World XE Migration Project 58948 Pixelpushers, Inc. 17,000.00 Prof.Serv.-Design, Implement, Construct&Install a Corporate Intranet Site 58949 Ponton Industries, Inc. 3,521.20 Instrument Parts&Supplies 58950 Praxair Distribution, Inc. 14.95 Demurrage finv210nc EXHIBIT A '- H:ldeptlfinT=XCEL.dta12201APSHARE1Claims Paid ReportW-041CIaims Paid Report-011504.)ds Page 4 of 6 211=00'q Claims Paid From 01/01/04 to 01/15/04 Warrant No. Vendor Amount Description 58951 Pre-Paid Legal Services, Inc. 463.45 Employee Legal Service Insurance Premium 58952 PrinterGuy 2,222.57 Printer Maintenance 58953 Protech Petroleum Services, Inc. 9,462.50 Underground Storage Tank Repairs 58954 Putzmeister 753.01 Mechanical Parts&Supplies 58955 PRSA-Orange County Chapter 75.00 Membership(Public Relations Society of America) 58956 PVF Sales,Inc. 31.05 Plumbing Parts&Supplies 58957 R. L.Abbott&Associates 3,000.00 Kem County Biosolids Consulting Services 58958 R.F.MacDonald Co. 545.00 Analysis Report on Source Testing of Boilers at Pit.2 58959 Rainbow Disposal Co. 2,732.56 Trash Removal 58960 Regents of Univ.of California 4,254.75 Professional Services J-85 58961 Reliastar 9,716.00 Employee Basic Life Insurance 58962 Ricoh Business System 1,745.39 Color Copier Lease 58963 RBF Engineers 10,575.87 Engineering Services 2-24-1 58964 RMS Systems, Inc. 824.00 Software Maint. 58965 RPM Electric Motors 179.04 Motor 58966 Sancon Engineering, Inc. 15,200.00 Repairs&Maint.-Sandblast&Coating Basins"G"&"O"Scum Plates 58967 Schwing America,Inc. 2,995.81 Pump Supplies 58968 Schwing America,Inc.-Training 1,950.00 Mechanical Maintenance Training Registration 58969 Science Applications Intl.,Corp. 22,387.40 Professional Services P-179 58970 Sea-Bird Electronics,Inc. 409.00 Instrument Repairs&Maintenance 58971 Self-Insurance Plans 2,639.42 State Workers'Compensation User Funding&Assessment 58972 Shamrock Supply Co.,Inc. 364.20 Work Bench&Tools 58973 Society for HR Management 160.00 Membership 58974 South Coast Air Quality Management Dist. 442.90 Annual Emission,Operation&Misc. Fees 58975 Southern California Edison 5,200.11 Power 58976 Southern California SETAC 20.00 Membership(So.Calif. Society of Environmental Toxicology&Chemistry) 58977 Southwest Air Balance Corp. 1,415.00 Professional Services P1-37 58978 Spectrum Video,Inc. 1,163.75 Professional Services-Board Room Audio-Visual Design 58979 Sunset Ford 20.18 Auto Parts&Service 58980 Symcas-TSG 1,381.60 SCADA System VAX Service Agreement 58981 Systime Computer Corp 20,265.00 Professional Services-J D Edwards One World XE Support 58982 SC Field Technical Services 3,510.75 Flame Arrestor 58983 South Coast Environmental Co. 9.921.43 Cen Gen Emissions Testing Service 58984 SETAC 120.00 Membership(Society of Environmental Toxicology&Chemistry) 58985 SOCALABPA 160.00 Mech.Maint. Meeting Registration(So.Calif.American Backflow Prevention Assoc.) 58986 Teletrac Inc. 245.00 Monthly Air-Time Service Fee&Software/Hardware Maint. For Vehicle Tracking Sys. 58987 Terminix International Co.#2474 785.00 Pest Control 58988 Thompson Industrial Supply, Inc. 8,269.61 Mechanical Parts&Supplies 58989 ThyssenKrupp Elevator Corporation 115.00 Elevator Maintenance 58990 Tierra Tractor 11,525.00 Tree Planting Services 58991 Time Warner Communication 40.47 Cable Services 58992 The Trane Company 66.17 Electrical Parts&Supplies 58993 Trojan Technologies, Inc. 23,800.50 Professional Services J-40-6 58994 Truck&Auto Supply, Inc. 44.35 Automotive Supplies 58995 Truesdell Laboratories, Inc. 600.00 Analysis of Biosolids and Wastewater fln/210Ac EXHIBIT A H:Ideptlfin\EXCEL.dta\2201APSHARE1CIaims Paid Report\03-040aims Paid Report-01150 As Page 5 of 6 2113r2004 Claims Paid From 01101/04 to 01/15/04 Warrant No. Vendor Amount Description 58996 US Filter Corp. 60.00 Service Agreement-Lab Purification System 58997 United Parcel Service 229.25 Parcel Services 58998 The Vantage Group,L.L.C. 12,440.00 Temporary Employment Service 58999 Varian Associates, Inc. 75.20 Lab Parts&Supplies 59000 Verizon California 2,458.92 Telephone Services 59001 Veme's Plumbing 365.00 Service Contract-Testing, Repair&Cert.Backflow Devices 59002 Vision Service Plan-(CA) 9,240.72 Vision Service Premium 59003 V L Systems, Inc. 370.00 Software Maintenance 59004 VWR Scientific Products 1,181.32 Lab Parts&Supplies 59005 The Wackenhut Corporation 14,219,60 Security Guards 59006 The Wall Street Journal 171.32 Subscription 59007 Wastewater Technology Trainers 2,090.00 O&M Training Registration 59008 Water 3 Engineering, Inc. 14,710.19 Engineering Service J-67 59009 WateReuse Association 275.00 Lab Meeting Registration 59010 Wilson Supply, Inc. 616.90 Electrical Parts&Supplies 59011 WEF 1,143.00 Membership-Water Environment Federation 59012 Xerox Corporation 8,973.60 Fax&Copier Leases 59013 Court Order 597.50 Wage Garnishment 59014 Yokogawa Corp.of America 5,224.49 Instrument Supplies 59015 Adams/Mallory Construction Co.,Inc. 19,524.46 Construction P2-79-1 59016 California Bank&Trust 4,019.00 Construction J-33-1A, Retention 59017 Hardat S. Khublall 159.56 Meeting/Training Expense Reimbursement 59018 Charles D. McGee 127.00 Meeting/Training Expense Reimbursement 59019 Patrick A. Sullivan 72.00 Meeting/Training Expense Reimbursement 59020 Jonathan K.Thomsic 154.50 Meeting/Training Expense Reimbursement 59021 Crawford,George 1,362.96 Employee Computer Loan Program 59022 CAPPO Conference Registration 600.00 Purchasing Meeting Registration 59023 DMG-Maximus 10,000.00 Professional Services-Cost Allocation Plan 59024 Court Order 445.00 Wage Garnishment Total Accounts Payable-Warrants $ 8,523,654.48 Payroll Disbursements 32703-32810 Employee Paychecks $ 164,297.07 Biweekly Payroll 01/07/04 32811 -32817 Employee Paychecks 24,551.84 Payroll Adjustments&Retiree Payments 32818-32957 Employee Paychecks 158,458.34 Vacation&Leave Overaccrual Payouts, EMT Payouts&Adjustments 32158-32674 Direct Deposit Statements 967,799.71 Biweekly Payroll 01/07/04 Total Payroll Disbursements $ 1,315,106.96 Wire Transfer Payments JP Morgan Chase Bank $ 124,045.80 Societe Generale November Swap Payment on 1993 Certificates of Participation JP Morgan Chase Bank 37,321.90 December Interest Payment on 1993 Certificates of Participation Total Wire Transfer Payments $ 161,367.70 Total Claims Paid 01/01/04-01/15/04 $10,000,129.14 fin/210Ac EXHIBIT A H:1dep11fin1EXCEL.dta%22044PSHARE1CIaims Paid Reportl03-040aims Paid Report-011504.)ds Page 6 of 6 2/13/2004 � P Claims Paid From 01/16104 to 01131/04 Warrant No. Vendor Amount Description Accounts Payable-Warrants 59025 City of Seal Beach $ 278,218.00 Cooperative Projects-City of Seal Beach 59026 Orange County Sanitation District 791,042.23 Payroll EFT Reimbursement 59027 Airgas Safety,Inc. 7,792.10 Safety Supplies&Equipment 59028 American Express 24,982.61 Purchasing Card Program,Misc.Supplies&Services 59029 American Telephone&Telegraph Corp. 251.78 Telephone Service 59030 Bell Pipe&Supply Co. 72.97 Mechanical Parts&Supplies 59031 Boutwell,Fay&Fabricant,L.L.P. 1,664.50 Legal Services-401a Plan 59032 City of Tustin 1,157.73 Water Use 59033 Voided Check - - 59034 Consolidated Elect.Distributors,Inc. 81.43 Mechanical Parts&Supplies 59035 Consumers Pipe&Supply Co. 268.36 Plumbing Supplies 59036 Court Trustee 69.12 Wage Garnishment 59037 CASA 1,500.00 General Management Meeting Registration 59038 Employee Benefits Specialists,Inc. 9,488.58 Reimbursed Prepaid Employee Medical&Dependent Care 59039 Franchise Tax Board 100.00 Wage Garnishment 59040 The Holman Group 910.44 Employee Assistance Program Premium 59041 City of Huntington Beach 20,169.77 Water Use 59042 Insight Investments 750.00 Software Consulting-NetApp Filer 59043 Internal Revenue Service 500.00 Wage Garnishment 59044 Intl. Union of Oper. Eng.AFL-CIO Local 501 3,763.87 Dues Deduction 59045 Irvine Ranch Water District 3.65 Water Use 59046 James F.McConnell 1,750.00 OCSD Share of 2004 O.C.Congressional Water Res. Lunch-2/25/04 Wash.,D.C. 59047 McMaster-Carr Supply Co. 179.04 Mechanical Parts&Supplies 59048 Midway Mfg&Machining Co. 8,925.00 Mechanical Parts&Supplies 59049 National Bond&Trust 2,108.91 U.S.Savings Bonds Payroll Deductions 59050 Oracle Corporation 2,914.44 Software Support 59051 Orange County Sheriff 385.11 Wage Garnishment 59052 Orange Fluid System Technologies,Inc. 61.02 Plumbing Parts&Supplies 59053 OCEA 589.36 Dues Deduction 59054 Pacific BellMforldCom 15.18 Telephone Service 59055 Court Order 40.00 Wage Garnishment 59056 Court Order 296.00 Wage Garnishment 59057 Peace Officers Council of CA 1,575.00 Dues Deduction 59058 Prudential Insurance Company of America 2,490.55 Employee Long-Term Care Insurance 59059 Court Order 721.50 Wage Garnishment 59060 So.Cal.Gas Company 4,064.48 Natural Gas 59061 Southern California Edison 17,175.16 Power 59062 Southern California Edison 1,781.21 Power 59063 State Board of Equalization 195.32 Underground Petroleum Storage Tank Fee 59064 SBC 33.83 Telephone Services 59065 United Way 305.00 Employee Contributions 59066 Verizon California 3,098.54 Telephone Services 59067 Michael A.Berdis 440.00 Meet!ng/Training Expense Reimbursement 59068 Ronald C.Cortez 440.00 Meeting/Training Expense Reimbursement 59069 Tyler T. Hoang 440.00 Meeting/Training Expense Reimbursement 59070 Vincent S. Lockyer 195.00 Meeting/Training Expense Reimbursement 59071 Denise M.Martinez 215.00 Meeting/Training Expense Reimbursement 59072 Cynthia A.O'Neil 134.71 Meeting/Training Expense Reimbursement H:WeptUnlEXCEL.dta1220%PSHARE1Claims Paid Report103-041Claims Paid Report-013104.)ds EXHIBIT B fin/210RC Page 1 of 8 2/17/2004 Claims Paid From 01116104 to 01/31/04 Warrant No. Vendor Amount Description 59073 Rodney K.Petersen 230.00 Meeting/Training Expense Reimbursement 59074 Ddaze Phuong 170.00 Meeting/Training Expense Reimbursement 59075 Wiliam F.Pierce 152.00 Meeting/Training Expense Reimbursement 59076 Rita Riccardo 130.00 Meeting/Training Expense Reimbursement 59077 Curt V.Shelp 195.00 Meeting/Training Expense Reimbursement 59078 Patrick A.Sullivan 72.00 Meeting/Training Expense Reimbursement 59079 Mercury Insurance As Subrogee 3,928.73 Claim Settlement-Vehicle Accident 59080 Wlcox,Robyn 1,500.00 Employee Computer Loan Program 59081 Court Order 150.00 Wage Garnishment 59082 Court Order 602.50 Wage Garnishment 59083 Court Order 445.00 Wage Garnishment 59084 Air Products&Chemicals,Inc. 26,294.06 O&M Agreement Oxy Gen Sys MO 8-8-89 59085 ADS Environmental Services,Inc. 169,774.53 Professional Services-J-73-2 59086 Black&Veatch Corporation 99.285.95 Eng.Svrs.P1-76,J-71-3,P2-85&Pit.2 Hydrogen Peroxide Facility Modifications 59087 Boyle Engineering Corporation 96,571.47 Engineering Services 1-2-4 59088 Brown&Caldwell 41,171.40 Professional Services P1-37 59089 California Soil Products 27,660.93 Residuals Removal MO 3-29-95 59090 Carollo Engineers 570,441.90 Professional Services P2-66 59091 City of Fountain Valley 29,597.98 Water Use 59092 Coral Energy Resources,L.P. 127,289.29 Natural Gas 59093 CH2MHill 143,800.74 Professional Services J40-7 59094 Environmental Science Associate 32,710.94 Professional Services J-40-5 59095 Insight Investments 28,590.39 Computer Hardware-Network Appliance File Sharing Device 59096 Irvine Technology Corporation 31,419.00 Temporary Employment Services 59097 IPMC c/o Parsons 832,534.00 Professional Services-Integrated Program Management&Temporary Staffing 59098 Jamison Engineering Contractors,Inc. 61,952.46 Install(2)Storage Tanks;Leak Repair;Excavate&Repair Subsidence at Basin 5 59099 Kemiron Pacific,Inc. 137,479.58 Ferric Chloride MO 9-27-95 59100 Lee&Ro,Inc. 52,875.72 Professional Services 5-50,5-54&132-47-3 59101 Malcolm Pirnie,Inc. 58,035.42 Professional Services J-79 59102 Mellon Trust 25,489.38 Investment Custodian Bank 59103 Orange County Water District 134,818.16 GAP Water Use 59104 OCB Reprographics 39,035.62 Printing Service-MO 1126/00 59105 Pioneer Americas,Inc. 151,260.82 Sodium Hypochlorite 59106 Polydyne,Inc. 94,095.92 Cationic Polymer MO 3-11-92 59107 Sancon Engineering,Inc. 34,730.00 Construction-Manhole Rehabilitation Program 59108 Science Applications Intl.,Corp. 62,598.79 Ocean Monitoring MO 6-8-94 59109 SoftChoice 101,664.17 Microsoft Enterprise License Renewal 59110 Southern California Edison 71,119.69 Power 59111 Synagro Technologies,Inc. 559,070.38 Residuals Removal MO 3-29-95 59112 Tetra Tech,Inc. 108,587.10 Professional Services 11-22,7-37&J-90 59113 Trusecure Corporation 33,995.00 Website Security 59114 Tule Ranch/Magan Farms 235,466.33 Residuals Removal MO 3-29-95 59115 Woodruff,Spradlin&Smart 86,717.57 Legal Services MO 7-26-95 59116 ARB,Inc. 235,928.77 Construction 11-22 59117 Steve P Rados,Inc. 238,233.60 Construction 1-2-4 59118 Union Bank of California 26,470.40 Construction 1-2-4,Retention 59119 eSysTek 720.00 Software Program Consulting-SMS Implementation 59120 Aanderaa Instruments 3,811.08 Coastal Monitoring Buoy Data Storage Units 59121 Airborne Express 30.50 Air Freight H:WeptUnIEXCEL.dta1220WPSHARE1Claims Paid Report103-MClaims Paid Report-013104As EXHIBIT B fW21011c Page 2 of 8 2117120D4 Claims Paid From 01/16/04 to 01/31/04 Warrant No. Vendor Amount Description 59122 Airgas-West 6.82 Demurrage 59123 Airgas Safety,Inc. 5,865.89 Safety Supplies&Equipment 59124 American Seal&Packing 71.72 Packing Materials&Supplies 59125 American Seals West 1,634.26 Mechanical Parts&Supplies 59126 Appleone Employment Service 2,254.48 Temporary Employment Services 59127 Applied Ocean Sciences 15,360.00 Professional Services J-85-Naval Post Graduate School 59128 Aquarium Doctor 105.44 Human Resources Aquarium Service 59129 Arch Wireless 1,358.68 Airtime,Service&Equipment 59130 Ashbrook Corporation 601.94 Mechanical Parts&Supplies 59131 AMEC Earth&Environmental 150.00 Toxicity Analyses 59132 ARK Technologies 4,216.00 Data Processing 59133 ASAE 395.00 Compilance Training Registration 59134 American Telephone&Telegraph Corp. 417.19 Telephone Service 59135 Baker Tanks 571.20 Tank Rentals 59136 Bar Tech Telecom,Incorporated 2,155.23 Telephone Equipment 59137 Basic Chemical Solutions,L.L.C. 10,035.06 Sodium Hydroxide&Sodium Bisulfite 59138 Battery Specialties 1,369.68 Batteries 59139 Brenner-Fiedler&Assoc,Inc. 1,078.69 Compressor 59140 Bush&Associates,Inc. 3,212.00 Surveying Services MO 6-25-97 59141 Caltrol,Inc. 400.00 Repairs&Maintenance Service 59142 Cameron Environmental,Inc. 3,250.75 Maintenance Service-Scrubber Activated Carbon Replacement 59143 Cardlock Fuel Systems,Inc. 1,861.85 Fueling District Vehicles at Local Gas Stations 59144 Ce112Cell 16.15 Phones&Accessories 59145 Center for Creative Growth 4,600.00 Professional Services-O&M Management Coaching 59146 Charles P.Crowley Co. 1,917.53 Mechanical Parts&Supplies 59147 Charts,Inc. 200.89 Office Supplies 59148 Coastal Training Technologies 732.44 Videos 59149 Conex International 55.00 Professional Services P2-60 59150 Consolidated Elect.Distributors,Inc. 3,255.02 Electrical Supplies 59151 Consumers Pipe&Supply Co. 1,948.68 Plumbing Supplies 59152 Corporate Express 3,459.49 Office Supplies 59153 Cost Containment Solutions 1,502.90 Worker's Comp.Services 59154 County of Orange 1,702.35 Maint.Agreement-Repair/Installation of Base,Handheld&Vehicle Radios 59155 County of Orange-Auditor Controller 70,00 Encroachment Permit 59156 County of Orange-Auditor Controller 10,433.00 Underground Storage Tank,Hazardous Material,&State Fees 59157 County Wholesale Electric Co. 1,584.24 Electrical Parts&Supplies 59158 Culligan of Orange County 37.50 Maint.Agreement-Cen Gen Water Softener System 59159 CASA 275.00 Compliance Training Registration 59160 CEM Corporation 1,098.64 Lab Parts&Supplies 59161 CISCO Systems 800.00 Software Maint.Agreement 59162 CR&R,Inc. 1,890.00 Container Rentals 59163 County Sanitation District No.70 3,230.00 Olfactometry Lab Expense 59164 CWEA Membership 194.00 Membership-Calif.Water Environment Assoc. 59165 David's Tree Service 3,600.00 Tree Maint.Service 59166 Del Mar Analytical 1,562.00 Analysis of Biosolids and Wastewater 59167 Delta Packaging Products,Inc. 149.64 Lab Supplies 59168 DigiPhoto 6.10 Photographic Services 59169 Duhig&Company,Inc. 991.73 Instrument Supplies 59170 Dunn-Edwards Corporation 84.30 Paint Supplies H:klept%fin\EXCEL.dta12201APSHARE%Claims Paid Report103-041Claims Paid Report-013104.)ds EXHIBIT B W210nc Page 3 of 8 2/17/2004 Claims Paid From 01116104 to 01131/04 Warrant No. Vendor Amount Description 59171 DIRECTV 364.00 Subscription 59172 E.Sam Jones Distributors,Inc. 927.40 Electrical Supplies 59173 Eberhard Equipment 582.71 Mechanical Parts&Supplies 59174 Electra-Bond,Inc. 1,212.19 Fusion Bond&Epoxy Coating Services 59175 Elsevier Science 1,149.00 Subscription 59176 Emilio Ariston&Law Offices of 12,500.00 Claim Settlement-District Personnel 59177 Enchanter,Inc. 7,200.00 Ocean Monitoring&Outfall Inspection&Maintenance 59178 Enecon Corporation 7,500.00 Repair&Maintenance Service-(3)Hole/Leaks at Gas Compressor Bldg. 59179 Entech Instruments,Inc. 2.980.10 Lab Parts&Supplies 59180 Environmental Microbiology Consulting 6,630.00 Professional Services J-40-6 59181 Environmental Resource Association 1,432.90 Lab Supplies 59182 Environmental Sampling Supply,Inc. 487.63 Lab Supplies 59183 Eurotherm Group Companies 1,607.25 Inst. Parts&Supplies 59184 Ewing Irrigation Industrial 829.96 Plumbing Parts&Supplies 59185 F H Pumps, Inc. 1,297.57 Pump Supplies 59186 FedEx Corporation 91,70 Air Freight 59187 First American Real Estate Solutions 647.50 Orange County Property Information 59188 Fisher Scientific Company, L.L.C. 5,139.67 Lab Supplies 59189 Fluor Enterprises,Inc. 11,273.62 Professional Services-Electrical Equipment Refurbishment 59190 Foodcraft Coffee&Refreshment Services 493.43 Meeting Supplies 59191 Fortis Benefits Insurance Company 4,579.90 Long-Term&Short-Term Disability Ins.Premium 59192 Fountain Valley Paints,Inc. 463.65 Paint Supplies 59193 Fountain Valley Rancho Hand Wash 1,269.43 Truck Wash Tickets&Unleaded Gasoline 59194 Franklin Covey 192.83 Office Supplies 59195 Fry's Electronics 694.92 Computer Supplies 59196 Full Spectrum Analytics 1,664.00 Maintenance&Repairs-Vacuum Pumps 59197 Ganahl Lumber Company 443.39 Lumber/Hardware 59198 Garland Manufacturing Co. 1,536.00 Mechanical Parts&Supplies 59199 Garratt-Callahan Company 105.00 Chemicals 59200 George T.Hall 538.75 Electrical Supplies 59201 George Yardley Co. 334.03 Mechanical Parts&Supplies 59202 Gerhardt's, Inc. 7,840.75 Engine Supplies 59203 Getinge Castle 1,009.10 Lab Supplies 59204 Gierlich-Mitchell, Inc. 20,392.81 Mechanical Parts&Supplies 59205 Golden State Controls 379.80 Instrument Parts&Supplies 59206 Grainger,Inc. 6,300.17 Instrument Parts&Supplies 59207 Graybar Electric Company 281.91 Electrical Parts&Supplies 59208 Great Western Sanitary Supplies 1,106.89 Janitorial Supplies 59209 Guarantee Records Management 173.17 Off-Site Records Storage 59210 Hach c/o Ponton Industries 4,801.80 Lab Parts&Supplies 59211 Harold Primrose Ice 129.50 Ice For Samples 59212 Harrington Industrial Plastics,Inc. 589.08 Plumbing Supplies 59213 Herb's Blackforest Bakery&Deli 54.20 Meeting Expenses 59214 Hill Brothers 17,877.31 Chemicals-Odor&Corrosion Control-Newport Trunkline 59215 Home Depot 569.94 Misc.Repair&Maintenance Material 59216 Horizon Technology 1.436.46 Lab Supplies 59217 HydraBaths 4,388.06 Reconciliation User Fee Refund Program 59218 Hydrotex 1,002.41 Gasoline&Lubricants 59219 Idexx 2,672.20 Lab Supplies H:ldeptlfinlEXCEL.dta12201APSHARE1Claims Paid Report103-041Claims Paid Report-013104.)ds EXHIBIT rnr210no Page 4 of 8 2117v2004 Claims Paid From 01116104 to 01131104 Warrant No. Vendor Amount Description 59220 Industrial Distribution Group 3,310.64 Mechanical Parts&Supplies 59221 Information Resources 905.00 Human Resources Service-Background Checks 59222 Inorganic Ventures,Inc. 725.04 Lab Parts&Supplies 59223 Invensys Systems,Inc. 3,018.64 Instrument Supplies 59224 Iron Mountain 86.06 Bid Document Storage Fees P1-37&J-39 59225 Iron Mountain Off-Site Data Protection 272.50 Offsite Back-Up Tape Storage for NT Server 59226 Irvine Pipe&Supply 1,212.04 Mechanical Parts&Supplies 59227 Irvine Ranch Water District 43.13 Water Use 59228 ICBO-International Council of Building 540.00 Publication 59229 J&B Auto Parts 216.10 Auto Parts&Supplies 59230 J.G.Tucker and Son,Inc. 283.60 Tool Chests 59231 Jay's Catering 399.37 Meeting Expenses 59232 Joe Rhodes Maintenance Services,Inc. 122.50 Maint.Agreement-OCSD Fuel Management System 59233 Johnstone Supply 725.09 Electrical Supplies 59234 K.P.Lindstrom,Inc. 3,720.00 Environmental Consulting Services MO 12-9-90 59235 Kforce Professional Staffing 1,069.20 Temporary Employment Services 59236 Kienow Associates,Inc. 8,760.67 Legal Services 1-2-4 59237 KNF Neuberger,Inc. 2,083.52 Lab Parts&Supplies 59238 Lab Support 18,944.79 Temporary Employment Services 59239 Labware,Inc. 1,600.00 Lab Meeting Registration 59240 Law Journal Press 281.05 Publication 59241 Lexis-Nexis 85.99 Books&Publications 59242 Lifecom-Safety,Inc. 80.00 Instrument Calibration Services 59243 Lucci's Gourmet Foods,Inc. 175.50 Meeting Expense 59244 David A. Ludwin 200.00 Engineering Meeting Registration 59245 LINJER 9,870.03 Professional Service-DART MO 9-22-99 59246 Julie A.Matsumoto 371.63 Meeting[Training Expense Reimbursement 59247 McGarry Central 144.52 Office Equipment Maintenance Agreement 59248 McMaster-Carr Supply Co. 2,068.15 Mechanical Parts&Supplies 59249 Measurement Control Systems,Inc. 1,975.45 Repair&Calibration Services 59250 Mechanical Seal Repair,Inc. 37.71 Mechanical Seal 59251 Mini Mailers,Inc. 3,844.21 Mailing Services 59252 Mission Abrasive&Janitorial Supplies 41.59 Janitorial Supplies 59253 Mission Uniform Service 4,194.68 Uniform Rentals 59254 Morton Salt 598.73 Salt 59255 MotorTech USA,Inc. 2,160.29 Mechanical Parts&Supplies 59256 MCR Technologies,Inc. 1,760.87 Instrument Parts&Supplies 59257 National Plant Services,Inc. 440.00 Vacuum Truck Services 59258 Neal Supply Co. 753.97 Plumbing Supplies 59259 New Horizons CLC of Santa Ana 480.00 Information Technology&Lab Training Registration 59260 The Norco Companies 178.78 Mail Delivery Service 59261 Nu-Way Laser Engraving 396.35 Steel Tags 59262 NACE International 560.00 Air Quality Meeting Registration 59263 O.C.Windustrial Co. 78.23 Mechanical Parts&Supplies 59264 Office Depot Business Services Div. 809.25 Office Supplies 59265 OneSource Distributors,Inc. 606.79 Electrical Parts&Supplies 59266 Optio Software,Inc. 4,945.73 Software Maintenance Agreement 59267 Orange County Hose Company 42.02 Hydraulic Hose Supplies&Parts 59268 Orange County Vector Control District 28.66 Pest Control H:\depflrin\EXCEL.dta\220WPSHARE\Claims Paid Report103-041Claims Paid Report-013104.)ds EXHIBIT B fin/210Ac Page 5 of 8 2/17n004 Claims Paid From 01/16/04 to 01/31/04 Warrant No. Vendor Amount Description 59269 Oxygen Service Company 2,986.53 Courier Service to Contract Labs&Specialty Gases 59270 OCDM Marketing 403.05 Processing Fees-Public Notice Mailing&Postage 59271 P.L. Hawn Company,Inc. 385.90 Electrical Supplies 59272 Pacific Bell Internet Services 324.00 Internet Service 59273 Pacific Coast Tools 183.99 Tools 59274 Pacific Institute 50.00 Membership 59275 Pacific Mechanical Supply 1,091.36 Plumbing Supplies 59276 Parker Hannifin Corporation 762.15 Mechanical Parts&Supplies 59277 Parker Supply Company 2,630.16 Mechanical Parts&Supplies 59278 Parts Unlimited 95.81 Truck Supplies 59279 Paul Cockrell Photography 499.88 Photographic Services-Construction Projects 59280 PenValve 443.27 Mechanical Parts&Supplies 59281 Petroleum Engineering,Inc. 1,610.00 Repair&Maintenance Services-Spill Bucket 59282 Plumbers Depot,Inc. 614.95 Plumbing Supplies 59283 Port Supply 95.51 Pump 59284 Power Design 861.07 Electrical Supplies 59285 Praxair,Inc. 160.01 Lab Parts&Supplies 59286 Primary Source Office Furnishings,Inc. 1,084.88 Office Furniture 59287 Process Equipment Company 24,550.84 Goulds Pump 59288 Project Management Institute 295.00 Publication on CD 59289 Public Resources Advisory Group 7,500.00 Financial Advisory Services 59290 Pumping Solutions,Inc. 1,611.33 Pump&Pump Supplies 59291 PARMA 475.00 Accounting Meeting Registration 59292 PCS Express,Inc. 298.02 Courier Service 59293 PVF Sales, Inc. 1,772.40 Plumbing Parts&Supplies 59294 Rainbow Disposal Co. 361.28 Trash Removal 59295 Reliastar Bankers Security Life Ins. 9.892.46 Employee Life Ins.Premium,Short-Term Disability&Cancer Ins.Payroll Deductions 59296 RemedyTemp,Inc. 561.13 Temporary Employment Services 59297 Robicon Corporation 1,257.35 Repair&Maintenance Services for Robicon Drives 59298 Rosemount Analytical,Inc. 10,645.23 Instrument-Oxygen Analyzer 59299 Ryan Herco Products Corp. 32.28 Pump Supplies 59300 RCL&Associates, Inc. 8,937.86 Instrument-Nox Analyzer 59301 RPM Electric Motors 636.10 Motor 59302 S. P. Kinney Engineers,Inc. 217.19 Mechanical Parts&Supplies 59303 Sanmina Corporation 597.87 Reconciliation User Fee Refund Program 59304 Scott Specialty Gases,Inc. 111.18 Carrying Cases for Calibration Gas Bottles 59305 Scoltel Voice&Data,Inc. 2,284.80 Telephone System Maintenance 59306 City of Seal Beach Finance Dept. 190.16 Water Use 59307 Seton Name Plate Corp 740.72 Traffic Safety Signs 59308 Sewer Equipment Company of America 293.41 Mechanical Parts&Supplies 59309 Shamrock Supply Co.,Inc. 668.59 Tool Box 59310 Shureluck Sales&Engineering 1,045.96 Mechanical Parts&Supplies 59311 Sigma-Aldrich,Inc. 1,296.72 Lab Parts&Supplies 59312 Smith-Emery Company 2,191.00 Soils,Concrete&Other Materials Testing 59313 Southern California Edison 25.86 Power 59314 Southern California Material Handling 16,928.24 Caterpillar Forklift Truck&Accessories 59315 Southern Counties Lubricants 1,588.97 Industrial Oil 59316 Sparkletts 1,635.80 Drinking Water/Cooler Rentals 59317 Stanley Steamer International,Inc. 388.65 Carpet Cleaning Services H:ldepMn\EXCEL.dta52201APSHARE1Claims Paid Report103.0410aims Paid Report-013104.)ds EXHIBIT e\ enrzlonc Page 6 of 8 2n712004 Claims Paid From 01/16104 to 01/31/04 Warrant No. Vendor Amount Description 59318 State Water Resources Control Board 593.00 Annual NPDES Permit Fee-7-36 59319 Summit Steel 735.22 Metal 59320 Sunset Industrial Parts 961.49 Mechanical Supplies 59321 Systime Computer Corp 16.800.00 Professional Services-J D Edwards One World XE Support 59322 SBC 968.00 Telephone Services 59323 South Coast Environmental Co. 19,264.14 Cen Gen Emissions Testing Service 59324 SKC-West,Inc. 280.15 Lab Parts&Supplies 59325 SPEC Services, Inc. 12.637.88 Engineering Services J-33-1 59326 SPX Valves&Control 7.152.75 Mechanical Parts&Supplies 59327 Taylor-Dunn 156.10 Electric Cart Parts 59328 Team Scopellite Co. 12,592.80 Professional Services-Relocation of Liquid Gas In Lab 59329 Telelrac Inc. 245.00 Monthly Air-Time Service Fee&Software/Hardware Maint.For Vehicle Tracking Sys. 59330 Terminix International 305.00 Pest Control 59331 The Walking Man,Inc. 750.00 Construction Notice Distribution-Bushard Trunk Sewer Replacement 59332 Thompson Industrial Supply,Inc. 4,820.11 Mechanical Parts&Supplies 59333 Times Community News 100.00 Notices&Ads 59334 Todd Painting,Inc. 3.720.00 Painting Services-Building A Doors 59335 Townsend Public Affairs 5,000.00 Legislative&Executive Advocate for Grant Funding 59336 Tropical Plaza Nursery,Inc. 11,861.91 Contract Groundskeeping MO 5-11-94 59337 Troy Systems,Inc. 865.68 Office Supplies 59338 Truck&Auto Supply,Inc. 95.13 Automotive Supplies 59339 Truesdail Laboratories,Inc. 1,920.00 Analysis of Biosolids and Wastewater 59340 Teksystems 16.910.00 Temporary Employment Services 59341 US Filter Corporation 280.00 Service Agreement-Lab Purification System 59342 U S Bank 4,494.05 Annual Administration Fee-1992 Refunding Certificates of Participation 59343 U.S Postal Service(AMS-TMS) 5.000.00 Postage 59344 U.S.Peroxide,L.L.C. 20,187.18 Hydrogen Peroxide 59345 Ultra Scientific 591.83 Lab Parts&Supplies 59346 Union Bank of California 1,330.05 Banking Services 59347 United Parcel Service 819.92 Parcel Services 59348 United States Treasury 18,602.65 Professional Services J-85-Naval Post Graduate School 59349 Universal Specialties,Inc. 4,690.41 Plumbing Parts&Supplies 59350 The Vantage Group, L.L.C. 8,708.00 Temporary Employment Service 59351 Verizon California 3,417.90 Telephone Services 59352 Verne's Plumbing 375.00 Service Contract-Testing&Cert. Backflow Devices at Plts. 1 &2&Pump Sta. 59353 Vossler&Company 1.585.10 Mechanical Supplies 59354 VWR Scientific Products 4,931.71 Lab Parts&Supplies 59355 The Wackenhut Corporation 2,115.92 Security Guards 59356 Wastewater Technology Trainers 495.00 O&M Training Registration 59357 West Coast Safety Supply Co. 2,073.44 Mechanical Parts,Supplies&Tools 59358 WEF 354.00 Membership-Water Environment Federation 59359 WQI 450.00 O&M Training Registration-Water Quality,Inc. 59360 Xerox Corporation 7,877.32 Copier&Fax Leases&Supplies 59361 XESystems,Inc. 825.00 Maintenance Agreement-Xerox Synegix 59362 Chandra R.Johannesson 112.66 Meeting/Training Expense Reimbursement 59363 Rachel J.Parker 160.00 MeetinglTraining Expense Reimbursement 59364 Ddaze Phuong 115.00 Meeting/Training Expense Reimbursement 59365 Juanita M.Skillman 395.00 Meeting/Training Expense Reimbursement 59366 Matthew P.Smith 128.46 Meeting/Training Expense Reimbursement H:ldeptlrin\EXCEL.dta\2201APSHARE\Claims Paid Report\03-0410aims Paid Report-013104AS EXHIBIT B tin1210Ac Page 7 of 8 2/1712004 Claims Paid From 01116/04 to 01/31104 Warrant No. Vendor Amount Description 59367 Walter W.Williams 164.00 Meeting/Training Expense Reimbursement 59368 County of Orange-Auditor Controller 975.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 59369 County of Orange-Auditor Controller 1,140.00 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations 59370 Hughes Associates,Inc. 7,649.72 Professional Services J-33-1A 59371 Orange County Sanitation District 2,568.66 Petty Cash Reimb. Total Accounts Payable-Warrants $ 6,681,112.67 Payroll Disbursements 32958-33053 Employee Paychecks $ 155,535.99 Biweekly Payroll 01/21/04 33054-33056 Employee Paychecks 2.990.94 Payroll Adjustments 93565-94073 Direct Deposit Statements 983,069.94 Biweekly Payroll 01/21/04 Total Payroll Disbursements $ 1,141,596.87 Wire Transfer Payments Union Bank of California $ 6,079,551.09 January Interest Payment on Series 2003AA Certificates of Participation U.S.Bank 2,560,958.66 January P&I Payment on 1990-92 Advance Refund Certificates of Participation U.S.Bank $ 176.567.62 January Interest Payment on 2000 Series A&B Certificates of Participation Total Wire Transfer Payments $ 8,817,077.37 Total Claims Paid 01116/04-01/31104 $ 16,639,786.91 H:ldeptlfin%EXCEL.dta1220%PSHARE1Claims Paid Reportk03-04\Claims Paid Report-013104.)ds EXHIBIT,� 6n/210Ac Page 8 of 8 2/17/2004 BOARD OF DIRECTORS Meeting Date To Bd.of Dir. 2/25/04 AGENDA REPORT Item Number Item Number 9a Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Bob Chenowith, Senior Engineering Associate SUBJECT: PROPOSED ANNEXATION NO. OCSD-39 — ARONSON ANNEXATION GENERAL MANAGER'S RECOMMENDATION (1) Receive and file petition requesting annexation of 1.24 acres to Orange County Sanitation District (OCSD) in the vicinity of Meads Avenue and Orange Park Boulevard in an unincorporated area of Orange County; and (2) Adopt Resolution No. OCSD 04-03, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-39 — Aronson Annexation). SUMMARY • OCSD received a request from Robert Aronson to annex 1 .24 acres to OCSD. This parcel will be connected to an existing City of Orange sewer on Meads Avenue. • This parcel will be annexed to the City of Orange. The property owner will build a five bedroom house. • The City of Orange will collect the sewer inspection and sewer capacity fees for this property. This property is in Revenue Area No. 7. PROJECT/CONTRACT COST SUMMARY This annexation is in accordance with the terms of the negotiated agreement with the County of Orange regarding A.B.8 Tax Exchange for annexing properties. The Board of Directors approved this action and it became effective March 14, 1989. Under this Tax Exchange, OCSD does not receive a percentage of the basic levy, and instead, collects a higher annexation fee. The fee of $6,896 includes the following: LAFCO Processing Fee $ 1 ,150 OCSD Processing Fee 500 State Board of Equalization Processing Fee 350 CA Environmental Quality Act Filing Fee 43 OCSD Annexation Acreage Fee 4 853 TOTAL ANNEXATION FEE $ 6,896 PRIOR COMMITTEE/BOARD ACTIONS N/A BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) ADDITIONAL INFORMATION N/A ALTERNATIVES N/A CEQA FINDINGS Notice of Exemption will be filed. ATTACHMENTS 1 . Exhibit A Legal Description 2. Exhibit B Map RLC:sa lAchenowilh2\Annex.info\AronsonAnnexafion.doc Revised: 820/01 Page 2 EXHIBIT "A" 1 OCSD-39 Aronson Annexation No. DA 03-27 2 to the Orange County Sanitation District 3 4 That portion of land situated in the Unincorporated Territory of the County of Orange,State of 5 California,being a portion of Parcel 1 and a portion of Meads Avenue,50.00 feet wide,as shown on a Lo 6 Line Adjustment No.LL 79-20,recorded August 6, 1979 in Book 13258, Page 788 of Official Records 7 in the Office of the County Recorder of said Orange County, more particularly described as follows: 8 Commencing at the Orange County Horizontal Control Station GPS No. 3224R1,having a 9 coordinate value(U.S. Survey foot)of North 2238822.284 and East 6096139.547 based upon the 10 California Coordinate System(CCS 83),Zone VI, 1983 NAD (1991.35 epoch OCS GPS Adjustment)as 11 said GPS No. 32244R1 is shown on the Monument Record for GPS No.32244R1 on file in the Office of 12 the Orange County Surveyor; 13 Thence, South 00°16'24"West,690.00 feet to an angle point in the existing boundary of the Orange 14 County Sanitation District(OCSD)as created by"Annexation No.66(Tract No. 9687)"to the County 15 Sanitation District No.7,said angle point being the southwest comer of said annexation and the southerly 16 terminus of that certain course described as"S 0°00'40"E 528.83"'in said annexation;said point also 17 being a point on the centerline of Orange Park Boulevard, 80.00 feet wide,as shown on said annexation; 18 Thence,leaving said existing district boundary(OCSD)and continuing along the centerline of 19 Orange Park Boulevard,South 00°16'24"West, 172.25 feet to the intersection with the centerline of 20 Meads Avenue; 21 Thence,leaving the centerline of Orange Park Boulevard,continuing along the centerline of Meads 22 Avenue the following courses:North 49°52'56"West,454.59 feet to the beginning of a tangent curve 23 concave southwesterly and having a radius of 800.00 feet; 24 Thence,northwesterly 130.20 feet along said curve through a central angle of 9°19'30'; 25 Thence, tangent from said curve North 59°12'26"West,97.04 feet to the beginning of a tangent 26 curve concave southwesterly and having a radius of 800.00 feet; 1 of 3 EXHIBIT "A" 1 OCSD-39 Aronson Annexation No. DA 03-27 2 to the Orange County Sanitation District 3 4 Thence along said curve northwesterly 134.49 feet through a central angle of 9°37'57"to the 5 intersection with the southerly prolongation of the easterly boundary line of Parcel 1,a radial line of said 6 curve from said point bears North 21'09'18"East, said point also being the True Point of Beginning; 7 Thence,leaving said centerline of Meads Avenue and continuing northerly along said southerly 8 prolongation and along the easterly,northerly and westerly lines of Parcel 3 the following courses; 9 North 00°16'25"West, 309.22 feet; 10 Thence,North 89°43'41"West 192.38 feet; 11 Thence,South 00°1644"West 234.72 feet to the southwest corner of Parcel 1,said point also being 12 on the northerly right-of-way of said Meads Avenue,as shown on said Lot Line Adjustment No.LL 79- 13 20; 14 Thence,leaving the boundary of said Parcel 1 and continuing along the southerly prolongation of its 15 westerly line,South 000 16'44"West 25.43 feet to the intersection with the centerline of said Meads 16 Avenue,distant North 79008108"West 55.23 feet from the easterly terminus of that certain course shown 17 as"N79°25'26"W 184.45"'on said Lot Line Adjustment No.LL 79-20; 18 Thence,continuing along said centerline of Meads Avenue, South 79°08'08"West,55.23 feet to the 19 beginning of a tangent curve concave southwesterly and having a radius of 800.00 feet;thence, 20 southeasterly 143.69 feet along said curve through a central angle of 10017'27"to the True Point of 21 Beginning; 22 23 The above-described parcel of land contains 1.24 acres,more or less. 24 25 All as shown on Exhibit"B"attached hereto and by this reference,made a part thereof. 26 2of3 EXHIBIT "A" 1 OCSD-39 Aronson Annexation No. DA 03-27 2 to the Orange County Sanitation District 3 4 Unless otherwise noted, all distances are ground and are based upon the California Coordinate System 5 (CCS 83),Zone VI, 1983 NAD(1991.35 EPOCH OCS GPS Adjustment).To obtain grid distances, 6 multiply the ground distances by 0.99996999. 8 9 This document was prepared by me or O�,t1D 10 under my direction and supervision. ¢O 11 Dated thisM day of 0040gr30104 12 No.6a03 Q� 13 Robert Jelinek L.S. 6803 OF GPv�O 14 My license expires 9-30-04 15 16 This document does meet the approval of 17 the Orange County Surveyor's Office 18 John Canas,County Surveyor �rtD sOR� 19 Dated this day of ,2004 ��P�J� Pj-- 0 21 0913pj0a Per: Robert J ek,Deputy County Surveyor 22 L.S. 6803,My license expires 9-30-04 ♦c 41 5803 OF GA�-�� 23 3of3 SHEET 1 OF 1 TRACT No. 918 EXHIBIT "B" i PARCEL 2 OCSD-39 ARONSON ANNEXATION No. DA 03-27 P.4J?CffG -� ; TO THE ORANGE COUNTY SANITATION DISTRICT P. 1----------------J I l I I I I N89'43'41'W !I ; UNINCORPORATED 592.38 N'LY LINE PCL• 1 - POC SURVEYOR'S STATEMENT PER LL 79-20. GPS N0. 3224R1 JN N 2238822.284 THIS PROPOSAL WAS PREPARED BY ME OR N 'P AJ10 01 I l a a, E 6096139.547 UNO D I R T N. � w� 57 O M VN LL 79-20 U1 N JJ 54 i N AMAPOLA AVENUE ROBERT LINEK. L•S. 6003 N# a� m g }� 100' 0' 50' 100' µY LICENSE EXPIRES 9/30/2004 v G Jrr a N ------------- GRAPHIC SCALE Yw PARCEL 1 J N E/TI-I Qa op 1' a J y o •o-`" 1'•100' o O 3 ^ o EXP.09130/04 PCL. 3 O- 25.43' z z 56 N �"O' No.6803 55.23' M.M 28/41-43 oP�2 OF CA !lNT9• ` io =�4 5)9•08.08 E� 26.70' TPOB mN may d w 1p�ti LLJ HS9. L�7� s� Ae 4 2 �`" 9'09 a E "� �ez a 09.s �`°11 o COUNTY SURVEYOR'S STATEMENT p-9,19 30, �I (n ='Vc° THIS PROPOSAL DOES MEET THE APROVAL OF THE ry% / e�0 ORANGE COUNTYy,,S�URVEYORS OFF R= 800.00, DATED THIS't� DAY OF 2004. CURVE DATA \,\may O L= 130.20' I SV CDR. V- N0. p R L \\ `�\ \ AN x. N0. 66 CDJOHN CANAS. COUNTY SURVE R 1 19.55'24" 800.00' 278.18' 41 2 09.3T'S7" 800.00' 134.49' �Fq \ I n BY' ROBE JELINEK. DEPUTY COUNTY SURVEYOR 40' L.S. 6803. MY LICENSE EXPIRES 9/30/2004 3 10.17'27" 800,00' 143.69' ,9 S2; 40 D �ti2o TERRITORY ., \ ss� LEGEN� �OQ0 9 \ o \ 0 2 EXP.09/3D/04 ( 1 RECORD PER ADJOINING ANNEXATION N py�O >- * ; No.68M aP r ANNEXATION BOUNDARY OFCAUf \\ \ \ \ \ EXISTING ORANGE COUNTY SANITATION NOTES' , DISTRICT IO.C.S.D.) BOUNDARY, a',', UNLESS OT14ERVISE NOTED. ALL DISTANCES ON THIS HAP ARE A.P.N. 093-441-33 �u}�eJ`� GROUND AND ARE BASED UPON THE CALIFORNIA COORDINATE - THIS PARCEL OF LAND CONTAINS e-e'�° SYSTEM ICCS83). ZONE V1. 1983 NAD (1991.35 EPOCH OCS INDICATES OCS HORIZONTAL CONTROL STATION AS FILED O CPS ADJUSTMENT). IN THE OFFICE OF THE ORANGE COUNTY SURVEYOR, 1.24 ACRES. MORE OR LESS. TO OBTAIN GRID DISTANCE. MULTIPLY GROUND DISTANCE BY 0.99996999 BOARD OF DIRECTORS Meeting Date To Bd. of Dir. 2/25/04 AGENDA REPORT Item Number Item Number 9b Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Bob Chenowith, Senior Engineering Associate SUBJECT: PROPOSED ANNEXATION NO. OCSD-40 — HOLLE ANNEXATION GENERAL MANAGER'S RECOMMENDATION (1 ) Receive and file petition requesting annexation of 1 .17 acres to Orange County Sanitation District (OCSD) in the vicinity of Clark Street and Orange Park Boulevard in an unincorporated area of Orange County; and (2) Adopt Resolution No. OCSD 04-04, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-40 — Holle Annexation). SUMMARY • OCSD received a request from Gene Holle to annex 1 .17 acres to OCSD. This parcel will be connected to an existing City of Orange sewer on Clark Street. • This parcel will be annexed to the City of Orange. The property owner will build a single family home. • The City of Orange will collect the sewer inspection and sewer capacity fees for this property. This property is in Revenue Area No. 7. PROJECT/CONTRACT COST SUMMARY This annexation is in accordance with the terms of the negotiated agreement with the County of Orange regarding A.B.8 Tax Exchange for annexing properties. The Board of Directors approved this action and it became effective March 14, 1989. Under this Tax Exchange, OCSD does not receive a percentage of the basic levy, and instead, collects a higher annexation fee. The fee of $6,586 includes the following: LAFCO Processing Fee $ 1 ,150 OCSD Processing Fee 500 State Board of Equalization Processing Fee 350 CA Environmental Quality Act Filing Fee 43 OCSD Annexation Acreage Fee $44 .543 TOTAL ANNEXATION FEE $ 6,586 PRIOR COMMITTEE/BOARD ACTIONS N/A BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. 0 Not applicable (information item) ADDITIONAL INFORMATION N/A ALTERNATIVES N/A CEQA FINDINGS Notice of Exemption will be filed. ATTACHMENTS 1 . Exhibit A Legal Description 2. Exhibit B Map RLC:sa I:\chenowith2\Annex.info\HolleAnnexation.doc Revised: 8120101 Page 2 ;a ' EXHIBIT"A" OCSD-40 Holle Annexation No. DA-04-03 to the Orange County Sanitation District 1 Those portions of land situated in the Unincorporated Territory of the County of Orange,State of 2 California,being all of lots 106 and 108,and a portion of Lot G(Clark Street) of Tract No. 752, as shown 3 on a map thereof filed in Book 25,Pages 12 through 14,inclusive, and that certain parcel of land 4 described in a deed recorded October 18,2001 as Instrument No. 20010737385 of Official Records of 5 said County together with a portion of lot A(Orange Park Boulevard)of Tract No. 918,as shown on a 6 map thereof filed in Book 28,pages 41 through 43,inclusive,of Miscellaneous Maps, in the Office of the 7 County Recorder of said County,more particularly described as follows: 8 Beginning at an angle point in the existing boundary of the Orange County Sanitation District 9 (OCSD), as established by"Annexation No. 88"to the County Sanitation District No. 7 said angle point 10 being the southeast corner of said annexation and the southerly terminus of that certain course shown as 11 "N17017'40"W 304.05"', said angle point being also a point on the centerline of Orange Park Boulevard, 12 70.00 feet wide; 13 Thence,leaving said district boundary(OCSD)and continuing along the centerline of Orange Park 14 Boulevard South 17*01'l9"East,239.19 feet to the intersection with westerly prolongation of the 15 northerly boundary line of said parcel of land described in Instrument No. 20010737385,said point being 16 South 81°31'41"West,40.45 feet from the northwest corner of Instrument No.20010737385,from which 17 a tie to said point bears South 17*0I'19"East 930.35 feet from Orange County Horizontal Control Station 18 GPS No. 3192,having a coordinate value(U.S. Survey foot)of North 2243089.237 and East 19 6095869.521,based upon the California Coordinate System(CCS 83),Zone VI, 1983 NAD( 1991.35 20 epoch OCS GPS Adjustment)as said GPS No.3192 is shown on Tract 13833 filed in Book 690, pages 21 21 through 24,inclusive,of Miscellaneous Maps of Records of said County, said point being the True Point 22 of Beginning. 23 Thence,leaving the centerline of Orange Park Boulevard,continuing along said westerly 24 prolongation and the northerly boundary line of said land of the Instrument No. 20010737385 North 25 81031141"East, 105.01 feet to the southwest corner of Lot 106,Tract No. 752; 26 27 Page 1 of 3 EXHIBIT "A" OCSD-40 Holle Annexation No. DA-04-03 to the Orange County Sanitation District 1 Thence, leaving the northerly line of said land of Instrument No. 20010737385 and continuing along 2 the West line of said Lot 106 and its northerly prolongation North 08'28'19" West, 180.00 feet to the 3 intersection with the centerline of Clark Street, 60.00 feet wide, as shown on said Tract No. 752; 4 Thence,along the centerline of Clark Street North 81131'41"East, 100.00 feet to the intersection 5 with the northerly prolongation of the East line of Lot 107 of said Tract 752, 6 Thence, leaving the centerline of Clark Street,continuing along said northerly prolongation and the 7 East line of Lot 107 South 08°28'19"East, 180.00 feet to the Southeast corner of Lot 107,said point 8 being on said northerly boundary line of the land described in Instrument No. 20010737385,being distant 9 South 81°31'41" West,200.00 feet from the northeast corner of said Instrument No. 20010737385; 10 Thence, leaving the East line of Lot 107,continuing along the northerly,easterly and southerly 11 boundary lines of Instrument No. 20010737385 the following courses:North 81°31'41"East,200.00 feet; 12 Thence, South 08*28'19"East, 82.45' feet; 13 Thence, South 81031'41"West,352.29 feet to the southwest corner of Instrument No.20010737385, 14 said intersection point being on the easterly right-of-way of said Orange Park Boulevard,80.00 feet wide, 15 as shown on said Tract No. 918; 16 Thence, leaving the boundary of said land of Instrument No.20010737385 and said easterly right-of- 17 way South 73°33'02" West 40.00 feet to the intersection with the centerline of Orange Park Boulevard, 18 said intersection point being on a curve concave westerly and having a radius of 2500.00 feet,a radial line 19 of said curve from said point bears South 73033102"West; 20 Thence, northerly along said curve and the centerline of Orange Park Boulevard through a central 21 angle of 00034'21"a distance of 24.98 feet; 22 Thence,tangent from said curve and continuing along the centerline of Orange Park Boulevard 23 North l 7001'19"West, 64.00 feet to the True Point of Beginning. 24 25 26 27 Page 2 of 3 EXHIBIT "A" OCSD-40 Holle Annexation No. DA-04-03 to the Orange County Sanitation District I Unless otherwise noted, all distances are ground and are based upon the California Coordinate System 2 (CCS 83), Zone VI, 1983 NAD(1991.35 EPOCH OCS GPS Adjustment).To obtain grid distances, 3 multiply the ground distances by 0.99997284. 4 5 The above-described parcel of land contains 1.17 acres, more or less. 6 7 All as shown on Exhibit`B"attached hereto and by this reference,made a part thereof. 8 9 to This document was prepared by me or 11 under my direction and supervision. 12 13 Dated this day of ,2004 14 15 Wanda Fae Bale L.S. 7695 16 My license expires 12-31-04 17 18 19 This document does meet the approval of 20 the Orange County Surveyor's Office 21 John Canas,County Surveyor 22 Dated this,day of 72004 23 24 Per: Michael K. Sullivan,Deputy County Surveyor L.S. 6254,My license expires 6-30-06 25 26 27 Page 3 of 3 z q DRAFT MINUTES OF STEERING COMMITTEE MEETING Wednesday, December 17, 2003 A meeting of the Steering Committee of the Orange County Sanitation District was held on Wednesday, December 17, 2003 at 5 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: STEERING COMMITTEE MEMBERS: OTHERS PRESENT: Directors Present: Thomas L. Woodruff, General Counsel Steve Anderson, Chair pro tem, Vice Chair Mike Moore Jim Ferryman, Chairman, OMTS Committee Chris Townsend Brian Brady, Chairman, FAHR Committee Norm Eckenrode, Past Board Chair STAFF PRESENT: Blake Anderson, General Manager Directors Absent: Bob Ghirelli, Director of Technical Services Shirley McCracken, Chair Carol Beekman, Communications Services Brian Donahue, Chairman, PDC Committee Manager Jim Silva, County Supervisor Jim Colston, Legislative and Regulatory Affairs Liaison Jean Tappan, Committee Secretary (2) APPOINTMENT OF CHAIR PRO TEM Vice Chair Steve Anderson was appointed Chair pro tem. (3) PUBLIC COMMENTS There were no comments by any member of the public. (4) RECEIVE, FILE AND APPROVE MINUTES OF PREVIOUS MEETING The minutes of the November 19, 2003 Steering Committee meeting were approved as drafted. (5) REPORT OF THE COMMITTEE CHAIR Committee Chair announced that registrations for CASA and the Orange County Leadership Symposium are due to Jean Tappan this week. Director Brian Brady asked for staff assistance in reviewing the task force's draft and recommending options for changes to the Approval and Compensation for Directors' Meeting Attendance policy. e Minutes of the Steering Committee Page 2 December 17, 2003 (6) REPORT OF THE GENERAL MANAGER A. Legislative Update General Manager Blake Anderson asked Chris Townsend to update the directors on the California Senate Committee on Local Government hearing he attended in November that concerned special districts. He stated that the Sanitation District is a good agency but he wanted to provide information on the goings-on in Sacramento. Among things that were discussed were 1) what is a meeting? 2) putting caps on the number of meetings and 3) limits on stipend amounts. Mr. Townsend stated that he will continue to monitor this issue and will keep the agency informed. He suggested that the District continue to use CASA as an avenue and provide proactive participation through them. A discussion followed on backfilling the monies lost as a result of the reduction in vehicle license fees. Mr. Anderson reported that$1 million has been earmarked in the House VA-HUD- Independent Agencies budget for our secondary treatment expansion. He thanked Congressman Cox and Directors Ridgeway and Silva for their efforts on our behalf. Last week, Mr. Anderson met with Senator Diane Feinstein to go over several issues and discussed the ear marked funds. He told her that we would be requesting $50 million over the next decade representing less than a 20%federal share. Senator Feinstein said that she would provide support in the future. Carol Beekman and Mr. Anderson attended the a CASA legislative committee meeting in Sacramento December 5 and they submitted three separate white papers on state-wide standards for water reclamation, state-wide biosolids and urban runoff funding. Meetings will be scheduled with the Jarvis group on including urban runoff in the Proposition 218 exemptions. B. Orange County Leadership Symposium, January 9-11, Lake Arrowhead Mr. Anderson urged the directors to attend this event, which is intended to provide the electeds tools to improve dialogue on city and county issues. C. Draft NWRI Report regarding Asset Management Mr. Anderson stated that the NWRI-sponsored asset management review panel has submitted its findings. Staff is suggesting that two members of the panel present the findings to the Board in February. A summary report will be presented to the Steering Committee in January. Staff also suggests that the report be presented to all of the working committees because of the wide financial, planning, engineering and operational implications that asset management implies. Mr. Anderson suggested that the OMTS Committee be designated as the committee of jurisdiction. He then summarized the findings for the directors. D. Universal Power Industries Corporation Proposal Mr. Anderson and General Counsel Woodruff discussed an unsolicited proposal on an energy alternative. While many of the terms sound very attractive, there are still questions that need to be answered before making any commitment. It was generally agreed that the legal, financial and technical issues were too difficult to overcome and that the proposal should not i Minutes of the Steering Committee ` Page 3 December 17, 2003 be explored further. (7) REPORT OF GENERAL COUNSEL General Counsel Thomas Woodruff announced that the Court of Appeals has affirmed the trial court's decision regarding Crow Winthrop. The Appellate Court issued a ruling that the District's Capital Facilities Capacity Charge Ordinance is not subject to Proposition 218 and therefore the fees imposed on Crow Winthrop were not invalidly charged. Appellate costs are to be paid by Crow Winthrop. Mr. Woodruff announced that there was a need to add an additional closed session item to the agenda which surfaced subsequent to the posting of the agenda pursuant to Government Code Section 54954.2. MOVED, SECONDED AND DULY CARRIED to add an item of existing litigation to the closed session agenda. (8) DISCUSSION ITEMS (Items A-B) A. Update on the Renewal of the NPDES Ocean Discharge Permit Jim Colston updated the committee on where we are with the permit renewal. The operational plan update has been presented to the Regional Board, as well as a description of the disinfection facilities and how that system will continue to operate. Meetings continue on other aspects of the permit. Mr. Colston then outlined the scheduled. It is expected that a draft permit will be received in January or early February. There will then be 45 days for public comments. A workshop is anticipated in April or May and it will be held locally. Adoption should take place in July and after the permit is adopted discussions on the consent decree process begins. No significant changes are anticipated in the ocean monitoring program. The Communications Services Division is assisting with the public education process. A discussion followed on the definition of 'blending processes' and 30/30 secondary treatment standards. B. The agenda items scheduled to be presented to the Board at tonight's meeting were reviewed. There were no questions or clarifications required. (9) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY There was no other business discussed. (10) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. t 1t Minutes of the Steering Committee Page 4 � December 17, 2003 (11) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND/OR STAFF REPORT There were none. (12) CONSIDERATION OF UPCOMING MEETINGS The next Steering Committee meeting is scheduled for Wednesday, January 28, 2004 at 5 p.m. The next Board Meeting is scheduled for Wednesday, January 28, 2004 at 7 p.m. (13) CLOSED SESSION The Committee convened at 6:16 p.m. in Closed Session, pursuant to Sections 54956.9(a) and(b), to discuss two items. Item 12 A.2. was deleted from the agenda. Item 13.A.3. was added per the motion adopted under Item 7 above. The matter is existing litigation, WOODSIDE V. ORANGE COUNTY SANITATION DISTRICT, et al. There were no reportable actions taken by the Committee. Minutes of the Closed Session are on file with the Board Secretary. Confidential Minutes of the Closed Session held by the Steering Committee have been prepared in accordance with Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. A report of the recommended actions will be publicly reported at the time the approved actions become final. At 6:57 p.m., the Committee reconvened in regular session. (14) ADJOURNMENT The Chair declared the meeting adjourned at 6:57 p.m. Submitted by: U. Tappan t ering Committee Secretary H.1appslagendalSteenng Commilfoo1031DEC1121703 SC Minules.doc MINUTES OF THE OPERATIONS, MAINTENANCE AND TECHNICAL SERVICES COMMITTEE Orange County Sanitation District Wednesday, February 4, 2004 — 5:00 P.M. A meeting of the Operations, Maintenance and Technical Services Committee of the Orange County Sanitation District was held on February 4, 2004, in the District's Administrative Office. (1) ROLL CALL The roll was called and a quorum declared present, as follows: OMTS Directors Present: Staff Present: Anna Piercy, Vice Chair Blake Anderson, General Manager Don Bankhead Bob Ooten, Director of Operations & Maintenance Carolyn Cavecche Patrick Miles, Director of Information Technology Cathy Green Penny Kyle, Committee Secretary Tony Kawashima Ed Torres, Air Quality and Special Projects Manager Tod Ridgeway Mark Esquer Paul Walker Pinky Lopez Rose Marsella OMTS Directors Absent: James M. Ferryman, Chair Others: Shirley McCracken, Board Chair Peter Green Steve Anderson, Board Vice Chair (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were none. (4) REPORT OF THE COMMITTEE CHAIR The Committee Vice Chair had no report. (5) REPORT OF THE GENERAL MANAGER The General Manager had no report. (6) CONSENT CALENDAR ITEMS a. The minutes of the December 3, 2003 Operations, Maintenance and Technical Services Committee meeting were approved as drafted and ordered filed. Minutes of the Operations, Maintenance and Technical Services Committee Page 2 February 4, 2004 b. OMTSO4-01 Receive and file Technical Services Monthly Report, which focuses on regulatory, biosolids and performance, measures for the Technical Services Department. C. OMTSO4-02 Receive and file Operations & Maintenance Monthly Report, which focuses on compliance, financial data and performance measures for the Operations and Maintenance Department. d. OMTSO4-03 Receive and file Information Technology Quarterly Report, which focuses on current performance trends and key technology business applications. e. OMTSO4-04 Recommend to the Board of Directors to ratify Change Order No. 1 to Treatment Plant No. 2 North and South Scrubber Complex Caustic Tank Replacement, Specification No. S-2003-131, with Jamison Engineering, authorizing an additional amount of$22,800 increasing the total amount not to exceed $112,489. Motion: Moved, seconded and duly carried to approve the recommended actions for items specified as 6(a) through (d) under Consent Calendar. Director Cathy Green abstained on Item No. 6(a). (7) ACTION ITEMS a. OMTSO4-05 Recommend to the Board of Directors to authorize the General Manager to award a sole source purchase order to Schwing America, Inc., for overhauling three Schwing sludge pumps for an amount not to exceed $129,460, for labor and materials. Bob Ooten responded to Directors' questions regarding the current condition of the three Schwing sludge pumps and briefly described the work required to maintain the sludge pumps. Motion: Moved, seconded and duly carried to recommend approval to the Board of Directors. b. OMTSO4-06 Recommend to the Board of Directors to (1)Approve a budget amendment of$150,000 for Phase III Biotrickling Filter Demonstration Project, SP-90-7, for a total budget of$925,000, as an alternative treatment to control odors; and, (2) Approve Amendment No. 7 to the Study Agreement with the University of California, Riverside to provide continued support for testing biotrickling filters as an air emissions control technology for an additional amount of$150,000 for a total amount not to exceed $355,000. Ed Torres gave a presentation on the alternative methods of treatment to control odors showing ways to reduce energy costs and minimize health risks. University of California, Riverside is currently conducting studies to Minutes of the Operations, Maintenance and Technical Services Committee Page 3 February 4, 2004 optimize the system and perform research on new technologies designed to reduce odors at treatment plans. Motion: Moved, seconded and duly carried to recommend approval to the Board of Directors. (8) INFORMATIONAL ITEMS a. OMTSO4-07 Update on Major Air Quality Issues Impacting the District Blake Anderson gave a brief overview of the regulations the District currently adheres to that deals with air quality criteria issues. Ed Torres presented the impacts of major air quality regulations that need to be administered and adopted by the District. Directors expressed concerns on dealing and coping with the potential health risks to the community and staff as well. Major adjustments and programs were suggested to alleviate exposure to hazardous air pollutants over time. (9) REPORT OF DIRECTOR OF INFORMATION TECHNOLOGY The Director of Information Technology had no report. (10) REPORT OF DIRECTOR OF OPERATIONS AND MAINTENANCE The Director of Operations and Maintenance had no report. (11) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY There was none. (12) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. (13) FUTURE MEETING DATES The next Operations, Maintenance and Technical Services Committee meeting is scheduled for March 3, 2004 at 5 p.m. Minutes of the Operations, Maintenance and Technical Services Committee Page 4 February 4, 2004 (14) CLOSED SESSION There was no closed session. (15) ADJOURNMENT The Chair declared the meeting adjourned at 6:37 p.m. Submitted by: CS7-�" Pinky E. Lopez Operations, Maintenance and Technical Services Acting Committee Secretary H:ldeptlagendal0MTS12004102041020404 OMTS Minutes.doc OMTS COMMITTEE Meeting Date To 2/ of Dir. 00 2/04/04 02/25/ 4 AGENDA REPORT Item Number Item Number OMTSO4-04 I 12(b Orange County Sanitation District FROM: Robert J. Ooten, Director of Operations and Maintenance Originator: Michelle Hetherington, Associate Engineer SUBJECT: TREATMENT PLANT NO. 2 NORTH AND SOUTH SCRUBBER COMPLEX CAUSTIC TANK REPLACEMENT(S) GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No. 1 to Treatment Plant No. 2 North and South Scrubber Complex Caustic Tank Replacement, Specification No. S-2003-131, with Jamison Engineering, authorizing an additional amount of $22,800 increasing the total amount not to exceed $112,489. SUMMARY • In March 2003, the Board of Directors established a project budget and ratified approval of contracts to complete the emergency work to replace two existing chemical storage tanks. The March 2003 Board authorization established a budget of $230,00 for the work including $90,000 for tank installation, $67,000 for the two tanks, $33,000 for District staff and a $40,000 contingency. The District selected Jamison Engineering through a competitive bid process to replace two leaking chemical storage tanks. • Three items of additional work were required to complete the installation of the new tanks. These items consisted of modifying the tank foundation, cleaning and disposal of the chemical deposit from the old tanks and minor electrical and piping work to accommodate the tank foundation work. • A detailed inspection of the existing tank foundation, after the tank was removed, revealed that additional structural support was required to meet the current building codes for earthquake safety. Staff directed the contractor to make the required modifications along with some minor electrical and piping work required to accommodate the additional foundation work. • During the existing tank removal it was discovered that the chemical deposit that had built up on the interior of the old tanks would be required to be disposed of. The contractor used a hazardous waste disposal company to remove the chemical waste. Staff also directed the contactor to complete the cleaning and disposal work. • The ratification of staff action is required because staff is asking the Board to approve this action. Change Order No. 1 Content Item Description Amount No. 1 Structural modifications to Chemical Tank S15,900 Concrete Pad to meet seismic codes 2 Cleaning of damaged chemical tank before $3,500 disposal 3 Conduit Routing for level sensor S1 ,500 4 Installation of piping and support 51 ,900 Total — Change Order No. 1 $22,800 Job Completion • The job is essentially complete. PRIOR COMMITTEE/BOARD ACTIONS March 2003 Board: (1) Establish a budget of $230,000; and (2) Ratify emergency purchase of chemical tanks; and (3) Ratify emergency purchasing authority for Jamison Engineering for an amount of $89,689, the lowest bid of three companies that submitted bids. PROJECT/CONTRACT COST SUMMARY Original Contract Price $ 89,689 Previously Authorized Changes $ 0 This Change $ 22,800 Final Contract Price $112,489 The cost of this emergency project was approved and budgeted. The project budget included a $40,000 contingency that will be used to pay for the additional work. BUDGETIMPACT ® This item has been budgeted. ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted ❑ Not applicable (information item) H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204`,Item 12(b).Jamison Engineedng.doc Page 2 ADDITIONAL INFORMATION None ALTERNATIVES N/A CEQA FINDINGS This project is exempt from CEQA per Section 15301 (b). ATTACHMENTS None MAE/MRH:ct H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 12(b).Jamison Engineering.doc Page 3 OMTS COMMITTEE Meeting Date To Bd.of Dir. 2/4/04 2/25/04 AGENDA REPORT Item Number item Number OMTSO4-05 12(c Orange County Sanitation District FROM: Robert J. Ooten, Director of Operations and Maintenance Originator: Vicki Henn, Process Engineering SUBJECT: OVERHAUL OF THE BIOSOLIDS TRANSFER PUMPS IN THE PLANT NO. 1 TRUCK LOADING FACILITY. GENERAL MANAGER'S RECOMMENDATION Authorize the General Manager to award a sole source purchase order to Schwing America. Inc., for overhauling three Schwing sludge pumps for an amount not to exceed S129,460, for labor and materials. SUMMARY • Staff is recommending using the original equipment manufacturer and repairing this equipment. The staff analysis demonstrates a savings in repair cost and time using this vendor. • The sludge pumping equipment at the truck loading facility at Plant No. 1 was installed in 1990. Many parts are reaching the end of their useful life, requiring overhaul and replacement. District staff have worked on repairing one of the four pumps. • The existing Schwing pumps are a specialty biosolids cake handling pump. Having Schwing technicians rebuild the existing pumps, with original equipment parts, should provide the longest life possible from the rebuild. • By using Schwing sole source, staff estimates a savings on the overall project of approximately S69,000 including materials and labor, compared to District staff historical costs. • Based on the negotiated repair time awarding the contract to Schwing will reduce the down time of the units, compared to District staff performing the work. allowing for continued reliable service for biosolids cake pumping. H:Wept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\I1em 12(c).Schwing America.doc Revised: 0&04/03 Page 1 • Using Schwing technician will also allow District staff to receive training during the rebuild process for future maintenance and repair of the units. PRIOR COMMITTEE/BOARD ACTIONS None. PROJECT/CONTRACT COST SUMMARY Overhauling of the existing Schwing pumps has been budgeted by the Mechanical Maintenance/Power Production Division. BUDGET IMPACT ® This item has been budgeted. (Line item: 850.54010) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION One of the four units has recently been repaired by District staff. Although the repair did not consist of the full rebuild as proposed by Schwing, the cost of the repairs was approximately S36,000. Projecting this cost to a total rebuild by District staff would increase the manhours from approximately 600 to 1000 per unit. plus additional parts of approximately S12,000 per unit. This would bring the total rebuild cost to S66,000 per unit, compared to Schwing's proposed estimate of approximately S43.300 per unit. ALTERNATIVES • The work could be advertised and bid. This would not ensure a lower cost, but would increase the time to get the work done. and may allow technicians not specifically trained with this particular equipment., as well as use of non original equipment manufactured parts. The additional time for the bidding, and possible time extensions for parts lead time, unfamiliarity with equipment, unfamiliarity with District policies and procedures, could lead to delays and the failure of existing worn equipment. • This work could be done with District staff at a potential higher cost (5010), and over a longer schedule (12 weeks per unit instead of Schwing's proposed 6 weeks per unit). This would also take maintenance staff away from other high priority repairs throughout the plant. The pumps are in need of urgent repair, and this is not recommended. HP,dept\agenda\Board Agenda Reportsi2004 Board Agenda Reports=04\Item 12(c).Schwing America.doc Revised: 06/04/03 Page 2 CEQA FINDINGS This project is exempt from CEQA requirements. ATTACHMENTS None H:ldept\agenda\Board Agenda Reports\2004 Board Agenda Reporls10204Utem 12(c).Schwing America.doc Revised: 06/04/03 Page 3 Meeting Date To Bd.of Dir. OMTS COMMITTEE 02/04/04 02/25/04 AGENDA REPORT Item Number Item Number OMTSO4-06 12(d) Orange County Sanitation District FROM: Bob Ooten, Director of Operations and Maintenance Originator: Ed Torres, Air Quality & Special Projects SUBJECT: PHASE III BIOTRICKLING FILTER DEMONSTRATION PROJECT GENERAL MANAGER'S RECOMMENDATION 1 . Approve a budget amendment of S150,000 for Phase III Biotrickling Filter Demonstration Project, SP-90-7, for a total budget of $925,000, as an alternative treatment to control odors: and, 2. Approve amendment No. 7 to the Study Agreement with the University of California, Riverside to provide continued support for testing biotrickling filters as an air emissions control technology for an additional amount of S150,000 for a total amount not to exceed S355.000. SUMMARY • In June 2001 and October 2002, the Board authorized a sole source agreement with UC Riverside to perform research on a new technology designed to reduce odors at the treatment plants. • The research has been conducted to develop technology that reduces chemical operating costs, scrubbers system maintenance costs and expands the removal of odorous compounds. • The research to date has included retrofitting five existing District chemical scrubbers to biotrickling filters, monitoring and analyzing their performance in removing hydrogen sulfide and other chemicals at various operating conditions, developing capital and operating cost estimates for future retrofits, providing technical expertise and guidance, and developing appropriate reports. • Our research has shown that compounds other than hydrogen sulfide, although present in very low concentrations, are the major causes of odors in some foul air streams. Further research is needed to determine the operating conditions and treatment retention times needed to remove these other odorous compounds. • Our research also has shown that the random foam packing material has higher- than-expected pressure drop through the packing, which increases the energy costs. The packing manufacturer also makes a rigid structured packing that may have less pressure drop. The District intends to test this structured packing to H:\dept\agenda\Board Agenda Reports`2004 Board Agenda Reports\0204\Item 12(d).UC Riverside.docRevised: 0&04;03 Page 1 determine the pressure drop and evaluate the packing's performance for removing hydrogen sulfide and odors. 1 . Evaluate the performance and costs (capital and operating) of using a structured foam packing rather than the flexible random foam packing that has been tested; develop recommendations for applications in future capital projects. 2. Expand olfactometry analyses to characterize odors and identify effective control practices. 3. Develop a method to assess the health of the microorganisms in a biotrickling filter to increase the long-term reliability of biological odor treatment. 4. Expand the current testing program and focus on improving the biotrickling filters' effectiveness in removing compounds other than hydrogen sulfide that are contributing to offsite odor impacts. 5. Conduct testing of 2-stage odor control technologies, using pilot-scale facilities to develop design criteria for odor control of the solids dewatering process. • The following Phase III research is recommended by staff to increase the range of successful biotrickling filter applications and to take advantage of the knowledge that already has been gained in this project: • A final project report on the work completed through December 2003 by the U.C. Riverside staff is due in the spring of 2004. Due to transition of U.C. Riverside graduate staff the report completion has been delayed. The results and recommendations from the report are included in this Agenda Report. Staff will bring the final report to the Board to receive and file when it is available. • Staff recommends continuing the collaboration with the University of California, Riverside to provide technical assistance and consulting expertise in evaluating biotrickling filter applications. University of California, Riverside personnel have acknowledged expertise in the field of biological filtration and have provided very valuable assistance in the current project. PRIOR COMMITTEE/BOARD ACTIONS OMTS 6/6/01/Board approved 6/27/01 Biotrickling Filter Testing for Odor Control in the amount of $145,000 OMTS 10/2/02/Board approved 10/23/02 Phase II Biotrickling Filter Demonstration Project in the amount of $285,000 OMTS 3/5/03/ Board 3/26/03 Receive and file report. Phase 11 Biotrickling Filter for Odor Control Demonstration Project, prepared by University of California, Riverside dated February 2003. PROJECT/CONTRACT COST SUMMARY The estimated cost for the proposed Phase III Biotrickling Filter Demonstration project work is 3150,000 for continuing technical assistance from the University of California. Riverside. H;\dept\agenda\Board Agenda Reports`2004 Board Agenda Reports`A204\Item 12(d).UC Riverside.docRevised: 06/04/03 Page 2 1 There are savings in chemicals and maintenance costs with biotrickling filters compared with chemical scrubbers. In addition there are other benefits of biotrickling filters over chemical scrubbers, including a less hazardous work environment for staff and the ability to treat additional odorous and hazardous air pollutants. Chemical savings to date associated with the conversion of 3 chemical scrubbers to biotrickling filters (2 of the 5 chemical scrubbers were on stand-by and thus there were no chemical savings) is approximately $580,000 for 2 years of operation. For perspective, a summary of the total costs incurred to date including the proposed cost for Phase III is provided below: Original feasibility study and laboratory work by University of California, Riverside $ 25,000 Biotrickling Filter Demonstration Project Phase I contract with University of California, Riverside $ 145,000 District internal costs including laboratory work for Phase 1 $ 80,000 Conversion costs for 5 chemical scrubbers in Phase 1 $ 200,000 Total Phase I Cost $ 450,000 Biotrickling Filter Demonstration Project Phase II contract with University of California, Riverside $ 60,000 Other external costs (technical services, equipment, supplies) $ 117,000 District internal costs for Phase II $ 108,000 Conversion costs for 3 additional scrubbers (This project is being funded under a separate facilities small project budget) $ 145,000 Total Phase II Cost (demonstration project only) $ 285,000 Biotrickling Filter Demonstration Project Phase III contract with University of California, Riverside $ 150,000 Estimated District internal costs including laboratory for Phase III $ 40,000 Total Phase III Cost $ 190,000 Total Estimated Demonstration Project Cost $ 925,000 BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 12(d).UC Rlverside.docReAsed: 06/04/03 Page 3 ® This item has been budgeted, but there are insufficient funds. (Line item: FY 2003-04 Budget, Special Projects SP-90-7, Section 8, Page 10) , ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION Project Background • The potential advantages of biological technologies over traditional chemical treatment approaches are reduced Operations and Maintenance costs, the ability to treat a wider range of air odor pollutants [odors, volatile organic compounds, and air toxics], and improved safety by eliminating the use of dangerous chemicals. • Biological treatment capability is becoming more important as the South Coast Air Quality Management District focuses their attention on ever-expanding numbers of compounds. Biological filters are able to remove volatile organic compounds and toxic compounds that chemical scrubbers do not remove. • The safety of plant staff is improved when hazardous chemicals used in conventional scrubbers are no longer used. Previous Work • An initial District-funded study at the University of California, Riverside evaluated the feasibility of converting scrubbers to biofilters using special foam packing from Germany. The results were very encouraging and suggested that a number of the District's scrubbers were conversion candidates, with potential cost savings resulting in payback periods of less than one year in some cases. • One existing scrubber initially was converted in Phase I and evaluated. Based on its success, four additional scrubbers were converted. • The work to-date has demonstrated that effective odor control involves more than just hydrogen sulfide removal. Other compounds of sulfur or nitrogen, while present in very small amounts, can be very odorous. Different biotrickling operating conditions (pH and treatment time) may favor the removal of different chemicals. • The innovative nature of our work done under Phases I & II has been acknowledged in technical publications, including the prestigious Proceedings of the National Academy of Sciences, and newspaper articles around the world. ALTERNATIVES No action; do not continue testing biological alternatives to conventional wet chemical scrubbers. This is not recommended due to the potential cost savings and safety improvements that would not be realized in both current operations and future odor control facilities. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Htem 12(d).UC Riversido.docRevised: 06/04103 Page 4 CEQA FINDINGS This research effort is categorically exempt from CEQA (Section 15306). ATTACHMENTS None. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204%em 12(d).UC Riverside.docRevised: 06/04/03 Page 5 i DRAFT MINUTES OF PLANNING, DESIGN, AND CONSTRUCTION COMMITTEE MEETING Orange County Sanitation District Thursday, February 5, 2004, at 5 p.m. A meeting of the Planning, Design, and Construction Committee of the Orange County Sanitation District was held on Thursday, February 5, 2004, at 5 p.m., in the District's Administrative Office. (1) ROLL CALL The roll was called and a quorum declared present, as follows: PDC COMMITTEE MEMBERS: STAFF PRESENT: Directors Present: David Ludwin, Director of Engineering Brian Donahue, Chair John Linder, Construction Manager Alice Jempsa, Vice Chair Chris Cervellone, Construction Supervisor Patty Campbell Jim Herberg, Engineering Manager John Collins Matt Smith, Engineering Manager Alberta Christy Jean Tappan, Committee Secretary Norm Eckenrode Patsy Marshall OTHERS PRESENT: Steve Anderson, Board Vice Chair Jason Retterer, Counsel's Office Umesh Murthy Directors Absent: Dave May Beth Krom Kathy Millea Shirley McCracken, Board Chair Dave MacDonald (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR Committee Chair Brian Donahue asked for input on whether to change the time of the PDC Committee meetings. After discussion it was decided to leave it at the 5 p.m. start time. PDC Committee Minutes ' Page 2 February 5, 2004 (5) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson was not present. (6) REPORT OF THE DIRECTOR OF ENGINEERING Director of Engineering David Ludwin reported that the April meeting would be held on the second Thursday, April 8. He also reported that at the next JCC meeting, a name change for that committee would be considered, i.e. GWRS Steering Committee. This will be presented to the joint boards at their respective February meetings. On February 18, there is a New Directors Workshop and on February 19 there is a groundbreaking ceremony for GWRS in the north parking lot at Edison Field. Lunch will be served. (7) REPORT OF GENERAL COUNSEL Counselor Jason Retterer did not make a report. (8) CONSENT CALENDAR (Items a-I) Consideration of motion to approve all agenda items appearing on the Consent Calendar not specifically removed from same, as follows: All matters placed on the Consent Calendar are considered as not requiring discussion or further explanation, and unless any particular item is requested to be removed from the Consent Calendar by a Director or Staff member, there will be no separate discussion of these items. All items on the Consent Calendar will be enacted by one action approving all motions, and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the Consent Calendar shall be considered in the regular order of business. Director Collins asked that Item g. be pulled from the Consent Calendar for separate consideration. Director Steve Anderson asked that Item I. be pulled from the Consent Calendar for separate consideration. a. RECEIVE FILE, AND APPROVE MINUTES OF PREVIOUS MEETING Receive, file, and approve draft minutes of the December 4, 2003 Planning, Design, and Construction Committee meeting. b. CHANGE ORDER REPORTS Attached are the Monthly and Quarterly Change Order Reports and the Report of Construction Contracts with Potential Change Orders over Five Percent (5%). This is an information only item. Action on change orders that require PDC Committee or Board approval will be taken separately. There are four change orders this month for PDC Committee approval. ' PDC Committee Minutes Page 3 February 5, 2004 C. PSA AND ADDENDA REPORT Attached is the PSA and Addenda Report. This is an information only item. Action on PSAs and Addenda that require PDC Committee or Board approval will be taken separately. There were no PSAs and one Addendum approved by the General Manager from November 21, 2003 through January 22, 2004. d. FACILITIES ENGINEERING CONSULTANT ACTIVITY REPORT Attached is the Facilities Engineering Consultant Activity Report. This is an information only item. e. SANTA ANA RIVER INTERCEPTOR RELOCATION AND PROTECTION STATUS REPORT Attached is the Santa Ana River Interceptor (SARI) Relocation and Protection Status Report. This is an information only item. f. QUARTERLY GROUNDWATER REPLENISHMENT SYSTEM (GWRS) STATUS REPORT Attached is the Quarterly Groundwater Replenishment System Status Report. This is an information only item. h. PDC04-02 Recommend to the Board of Directors to ratify Change Order No. 12 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing an addition of $22,390, increasing the total contract amount to $71,241,204. i. PDC04-03 Recommend to the Board of Directors to approve Amendment No. 3 to the Professional Services Agreement with Ninyo & Moore, to provide for Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2001-33BD, for FY2003/04 for an additional amount not to exceed $75,000. j. PDC04-04 Recommend to the Board of Directors to approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2002-3313D, for FY2003/04 for an additional amount not to exceed $75,000. k. PDC04-05 Recommend to the Board of Directors to approve Amendment No. 3 to the Professional Services Agreements with MDS Consulting and Bush & Associates, to provide for additional Surveying Services, Specification No. PSA-2001-3413D, for FY2003/04 for an additional amount not to exceed $75,000 for each agreement ($150,000 total). PDC Committee Minutes Page 4 February 5, 2004 Motion: MOVED, SECONDED AND DULY CARRIED to approve the recommended actions for items specified as 10(a) through (f) and (h) through (k) under Consent Calendar. g. PDC04-01 Recommend to the Board of Directors to ratify Change Order No. 5 for Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2, with J.F. Shea Construction, Inc., authorizing an addition of $214,954, increasing the total contract amount to $14,946,310. After clarification, the number of items identified in the agenda report should be 5 rather than 6. Motion: MOVED, SECONDED AND DULY CARRIED to approve the recommended action. I. PDC04-06 Recommend to the Board of Directors to ratify Change Order No. 4 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing an addition of $380,251, increasing the total contract amount to $30,685,478. John Linder explained the sequence of events and the reason the District paid for relocating the city sewer line. Director Steve Anderson commented on the number of items that the city of Huntington Beach has required during construction. Motion: MOVED, SECONDED AND DULY CARRIED to approve the recommended action. (9) ACTION ITEMS (Items a-e) a. PDC04-07 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 1 to Effluent Pump Station Annex, Job No. J-77, with J. F. Shea Construction, Inc., authorizing a deduction of$1,967,158, decreasing the total contract amount to $42,768,360. Chris Cervellone reported that this change order was a result of the PDC Committee's direction last September to negotiate with the contractor because of an incorrect interpretation of the pipe size by the manufacturer. b. PDC04-08 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to approve a reimbursement agreement with the City of Tustin to reimburse the Orange County Sanitation District for the construction cost of two City water line projects located in Prospect Avenue and Cameron Lane for an amount of $665,211 plus administrative fees in a form acceptable to General Counsel. PDC Committee Minutes Page 5 February 5, 2004 Matt Smith reported that the wording on the agenda should be revised to remove the words 'not to exceed' from the recommendation. C. PDC04-09 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve Professional Services Agreement with MWH Americas, Inc. for engineering services for Rehabilitation of Activated Sludge Plant at Plant No. 2, Job No. P2-74, for an amount not to exceed $2,139,998; and (2) Authorize the General Manager to issue Task Authorizations not to exceed $100,000. Matt Smith provided an overview of the project and stated that the contract does not include construction services. Staff will return to the committee for an amendment for those services once the project is under construction and the need can be more accurately defined. Staff will also report to the PDC Committee when task authorizations are awarded. Director Steve Anderson abstained from voting on this item. Director Alberta Christy arrived at 6.07 p.m. d. PDC04-10 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve Professional Services Agreement with Black & Veatch Corporation to provide engineering services for Secondary Activated Sludge Facility 2 at Plant No. 1, Job No. P1-102, for an amount not to exceed $18,396,463; and (2) Authorize the General Manager to issue Task Authorizations not to exceed $200,000. (3) Authorize the General Manager to issue Task Authorizations between $200,000 and $500,000 providing there is a time sensitive need AND a PDC meeting cannot be called within 72 hours. Matt Smith reported that this project is on the critical path for meeting secondary treatment standards and must be complete by December 2012. He reported on the negotiations with the consultant. The General Manager was authorized to tentatively approve task authorizations between $200,000 and $500,000 with the provision that a special PDC Committee meeting would be called within 72 hours to approve the actions. Director Norman Eckenrode opposed. e. PDC04-11 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to authorize the circulation of the revised Notice of Preparation for the Rehabilitation of Ellis Avenue Pump Station, Job No. 1-10, for public review. Jim Herberg presented the additional alternative sites for the Ellis Avenue Pump Station that were identified by the consultant. Mr. Herberg provided background information on the project and the need to divert water to PDC Committee Minutes Page 6 February 5, 2004 Plant 1 in order to equalize flows between plants. CEQA requires that reasonable alternatives be discussed in detail in the EIR. At this time, staff and the consultant recommend Alternatives A, B, G, H and J. After discussion it was decided to add detailed discussion of Items I and F. (10) CLOSED SESSION There was no closed session. (11) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY There were none. (12) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. (13) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. (14) FUTURE MEETINGS DATES The next Planning, Design, and Construction Committee Meeting is scheduled for Thursday, March 4, 2004 at 5 p.m. (15) ADJOURNMENT The Chair declared the meeting adjourned at 6:30 p.m. Submitted by: 1 Je PDO" rappan Committee Secretary G:\wp.dialagenda\PDC\2001 Wlinules\PDC Minutes Form.doc l PDC COMMITTEE Meeting Date To Bd.of Dir. 2/5/2004 2/25/2004 AGENDA REPORT Item Number Item Number PDC04-01 13(b Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Julian Sabri, Project Manager SUBJECT: AREA CLASSIFICATION STUDY IMPLEMENTATION PLAN PLANT NOS. 1 and 2, JOB NO. J-35-2 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No. 5 for Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2, with J.F. Shea Construction, Inc., authorizing an addition of $214,954, increasing the total contract amount to $14,946,310. SUMMARY Background • This project implements a study of Plant Nos. 1 and 2 to comply with the National Electrical Code (NEC) by utilizing NFPA 820 Standard. The work includes modification of ventilation systems to meet the code requirements, replacement or modification of electrical systems, installation of a fire alarm system in the tunnels, and replacement/relocation of digester and natural gas piping. • The plans and specifications were prepared by Parsons/Lee & Ro, and the contract was awarded to J.F. Shea Construction, Inc., on June 26, 2002. • Change Order No. 5 includes five items of added work. There are no errors and five omissions associated with this change order. Liquidated damages on this contract are $3,000 per day and there are no bonus provisions. Contract Schedule Contract Start Date September 16, 2002 Original Contract Completion Date June 17, 2005 Total Number of Change Orders to Date 5 Current Contract Completion Date June 17, 2005 Actual Completion Date N/A Days Subject to Liquidated Damages N/A Page 1 Change Order No. 5 Content Item Description Amount Days Type No. 1 Electrical Modifications at Plant No. 1 34,661 0 Omission 2 Electrical Modifications at Plant No. 2 15,464 0 Omission 3 Mechanical Modifications at Plant No. 1 65,251 0 Omission 4 Mechanical Modifications at Plant No. 2 49,013 0 Omission 5 Structural Modifications at Plant Nos. 1 50,565 0 Omission and 2 Total — Change Order No. 5 S214,954 0 Job Completion This project is 68% complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on June 26, 2002. Please refer to the attached Change Order Status Report for information on all previous change orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price $ 14,066,442 Previously Authorized Changes $ 664,914 This Change $ 214,954 Change Orders to Date $ 879,868 Percentage Increase to Date 6.260% Final Contract Price $ 14,946,310 BUDGETIMPACT ® This item has been budgeted. ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION None ALTERNATIVES None Page 2 CEQA FINDINGS This project is categorically exempt from CEQA requirements. ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order 4. Location and Photo Description of Change Order JBF:dm:gc H:\ntglobaKAgenda Draft Reports\PDC\J-35-2 AR CO#5 022504.doc Page 3 BUDGET INFORMATION TABLE AREA CLASSIFICATION STUDY IMPLEMENTATION PLAN PLANT NOS. 1 & 2 JOB NO. J-35-2 a f , �;✓ A, a +l I .�. r•,ti. O)tIi31NAL CU" r a;siOF).Q. a i,'_P s+ JT�D STIIYIATEb PRO.JECT/PHASE AU P 'A"b x PR + .> +' /UTFtp "T1 }* �'� 0 AL I' I REAl HUIiQET `' ' BU F1#C~ r 4 L,�.N .:�,� F �+' �;,,z ,., ,� ."rn"•x�. ,. '� : �;x��']Cr�$T,�*AUT�iORIZAT•!f!N �``,TObATE ,>bA7E(�/e)' s� k^.��GC�IA��''f;,;x Phase 1 -Project Development $ 106,000 $ - $ 106,000 $ 106,000 $ 106,000 100% Phase 2-Preliminary Design $ 682.009 $ - $ 682,000 $ $ 682,000 $ 682,000 100% Phase 3-Design $ 3,745,000 $ 2,305.000 $ $ 2,305,000 $ 2,305,000 $ 2,305,000 $ 2,286,508 99% Phase 4-Construction $ 21,307,170 $ 17.846.950 $ 214,954 . $ 18.061,904 $ 17,846,950 $ 214,954 $ 18,061,904 $ 8,826,714 49% Phase 5-Commissioning $ 281,328 $ 281,000 $ - $ 281,000 $ - $ Phase 6-Close-Out $ 70,332 $ 70,000 $ - $ 70 000 ', $ - $ Phase 7-Contingency $ 3,153,170 $ 780,050 $ 214,954 $ 565,096 ', $ - $ PROJECT TOTAL $ 29,345,000 $ 21,283,000 $ - $ 21,283,000 '�. $ 20,939.950 $ 214,954 $ 21,154,904 $ 11,901,222 56% Reimbursable Costs PROJECT NET $ 29.345.000 $ 21,283,000 $ - $ 21,283,000 ,`: $ 20,939,950 $ 214,954 $ 21,154,904 $ 11,901,222 56% PSA1Contract Desi n PSA $ 3,411,411 $ 3,951,021 $ 3,951,021 $ 3,951.021 $ - $ 3,951,021 $ 3,019,281 76% Construction Contract $ 14,066,442 $ 14.731,356 $ 214,954 $ 14,946,310 $ 14,731,356 $ 214,954 $ 14,946,310 $ 7,818,499 52% EDMS 003761534 ' CHANGE ORDER STATUS REPORT Area Classification Study Implementation Plan, Plants 1 and 2 Job No. J-35-2 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED AUTHORIZED TIME ITEM DATE COST TO DATE INCREASE TIME TO DATE (CUMULATIVE) (DAYS) (DAYS) CONTRACT 9/16/2002 $ 14,066,442.00 $ 14,066,442.00 0.00% 1006 1006 CO NO. 1* 5/1/2003 $ 115,280.00 $ 14,181,722.00 0.82% 0 1006 CO NO. 2* 9/4/2003 $ 83,195,00 $ 14,264,917.00 1.41% 0 1006 CO NO. 3 10/22/2003 $ 269,345.00 $ 14,534,262.00 3.33% 0 1006 CO NO. 4 11/19/2003 $ 197,094.00 $ 14,731,356.00 4.73% 0 1006 CO NO. 5 Pending $ 214,954.00 $ 14,946,310.00 6.26% 0 1006 *Approval by PDC Committee per Delegated Authority By Board Resolution 99-23 EDMS 003761535 Page 1 of 7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2 Consultant: Parsons/Lee & Ro Amount of this Change Order(Add)(Peduet) $214,954.00 In accordance with contract provisions, the following changes in the contract and/or contract work are hereby authorized and as compensation therefor, the following additions to or deductions from the contract price are hereby approved. ITEM 1 — ELECTRICAL MODIFICATIONS AT PLANT NO. 1 The Contractor was directed to furnish labor, materials and install electrical modifications that meet classified area requirements and were not shown on the contract documents. A summary of the items and associated costs are as follows: Item Quanti Cost Reference a) Add Class I Division 1 light fixtures, conduit and wire in the basement of the gas compressor building. 2 $ 12,961 FCO No. 14 b) Relocate instrument air dryer, including electrical and, piping in the basement of the gas compressor building. 1 7,855 FCO No. 34 c) Relocate Class I Division 1 light fixtures, conduit and wire in the basement of the gas compressor building. 3 12,912 FCO No. 39 d) Add explosion proof conduit and fittings at digesters 5 and 6. 10 LF 933 FCO No. 147 This additional work was negotiated with the Contractor pursuant to Section 43 (B) 1) of the General Requirements, Division 01. ADDED COST THIS CHANGE ORDER ITEM: $34,661.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days Page 2 of 7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 2— ELECTRICAL MODIFICATIONS AT PLANT NO. 2 The Contractor was directed to furnish labor, materials and install electrical modifications that meet classified area requirements and were not shown on the contract documents. A summary of the items and associated costs are as follows: Item Quanti Cost Reference a) Add explosion proof conduit and fittings at digesters F and G lower valves. 20 LF $2,936 FCO No. 5 b) Add W seal-off fittings, conduit and wire at digesters N and O. 60 LF 7,985 FCO No. 79 c) Relocate level indicators and transmitters at digesters P and Q to make room for new door. 2 $3,786 FCO No. 129 d) Relocate warning beacon on roof of the gas compressor building that conflicts with the installation of new gas piping. 1 757 FCO No. 173 This additional work was negotiated with the Contractor pursuant to Section 43 (B) 1) of the General Requirements, Division 01. ADDED COST THIS CHANGE ORDER ITEM: $15,464.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days Page 3 of 7 ORANGE COUNTY SANITATION DISTRICT 108" ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 3—MECHANICAL MODIFICATIONS AT PLANT NO. 1 The Contractor was directed to furnish labor, materials and install mechanical modifications that meet classified area requirements and were not shown on the contract documents. A summary of the items and associated costs are as follows: Item Quanti Cost Reference a) Relocate 1" condensate drain line and 8" drain fittings at digesters 12 and 13. varied items $ 3,590 FCO No. 11 b) Furnish and install 10" stainless steel pipe fittings to connect flame arrestor on digester 16. varied items 4,770 FCO No. 103 c) Furnish and install 10" stainless steel pipe fittings to connect flame arrestor on digester 12. varied items 4,688 FCO No. 124 d) Furnish and install 12" plug valve and tee to facilitate digester gas tie-in to the interplant gas line. 1 each 13,984 FCO No. 126 e) Replace 12" epoxy coated steel gas pipe with 12" polyethylene pipe. Remove conflicting concrete encased electrical duct bank. Concrete encase portions of the gas pipeline due to inadequate ground cover. 475 LF 11,595 FCO No. 142 f) Relocate existing 1 %"water line that conflicts with the installation of a covered entry at digesters 7 and 8 pump room. 6 LF 1,106 FCO No. 183 g) Add 2-20" butterfly valves and modify stainless steel gas piping in the basement of the gas compressor building. Deduct one gas compressor shutdown and purging of low pressure gas piping system. 2 each 4,336 FCO No. 215 h) Furnish labor and material to install added FRP fittings as required to complete the ventilation system at Plant 1. 21 each 21,182 FCO No. 243 This additional work was negotiated with the Contractor pursuant to Section 43 (B) 1) of the General Requirements, Division 01. ADDED COST THIS CHANGE ORDER ITEM: $65,251.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days Page 4 of 7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY,CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 4— MECHANICAL MODIFICATIONS AT PLANT NO. 2 The Contractor was directed to furnish labor, materials and install mechanical modifications that meet classified area requirements and were not shown on the contract documents. A summary of the items and associated costs are as follows: Item Quantity Cost Reference a) Modify 20" stainless steel piping in the gas storage tank and gas compressor basement to eliminate welding in the basement and delete one shutdown of the gas compressor to tie in the new piping. varied items $ 8,900 FCO No. 214 b) Modify 20" stainless steel piping to avoid conflict with existing piping and add 4" x 10" drain reservoir in Scott Tunnel. varied items 18,062 FCO No. 218 c) Furnish labor and material to install added FRP fittings as required to complete the ventilation system at Plant No. 2. 26 each 22,051 FCO No. 243 This additional work was negotiated with the Contractor pursuant to Section 43 (B) 1) of the General Requirements, Division 01. ADDED COST THIS CHANGE ORDER ITEM: $49,013.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days 3 Page 5 of 7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 5—STRUCTURAL MODIFICATIONS AT PLANT NOS. 1 AND 2 The Contractor was directed to furnish labor, materials and install mechanical and structural modifications that meet classified area requirements and were not shown on the contract documents. A summary of the items and associated costs are as follows: Item Quantity Cost Reference a) Repair gas leak under bridge in the existing concrete on digester 9 at Plant No. 1, using epoxy injection. 1 each $ 3,664 FCO No. 125 b) Furnish labor and materials to construct a new concrete valve vault on the Interplant digester gas line at Plant No. 1. The vault was constructed to enclose the new 20" valve and tee installed under FCO#126. 1 each 21,412 FCO No. 146 c) Furnish and install anodized aluminum handrails on the existing bridge between digesters P and Q at Plant No 2. 32 LF 8,996 FCO No. 155 d) Remove and replace lightweight concrete roof decking to support new digester gas pipe supports on the gas compressor building roofs at Plant Nos. 1 and 2. The existing decking was in a deteriorated condition and was replaced with epoxy grout. 16 locations 11,884 FCO No. 181 e) Modify steel supports for stainless steel cover plate at entry to pump room at digesters I and J at Plant No. 2. varied items 1,472 FCO No. 221 f) Furnish and install anodized aluminum handrail on the existing pump room roof between digesters A and B at Plant No. 2. The existing handrail was in a deteriorated condition and a safety hazard. 12 LF 1,800 FCO No. 222 g) Add safety side rails to the new ladder being constructed to access the roof of the gas compressor building at Plant No. 2. The side rails were added for protection of OCSD maintenance personnel. 1 each 1,337 FCO No. 229 D Page 6 of 7 ORANGE COUNTY SANITATION DISTRICT 108" ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2 Consultant: Parsons/Lee & Ro This additional work was negotiated with the Contractor pursuant to Section 43 (B) 1) of the General Requirements, Division 01. ADDED COST THIS CHANGE ORDER ITEM: $50,565.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days TOTAL COSTS THIS CHANGE ORDER: $214,954.00 TOTAL TIME EXTENSION THIS CHANGE ORDER: 0 Calendar Days The additional work contained within this Change Order can be performed incidental to the prime work and within the time allotted for the original Contract and any extensions to the Contract time made by this and all previously issued Change Orders. It is therefore mutually agreed that no extension of time to perform the work is required for this Change Order, and that no direct or indirect, incidental or consequential costs, expenses, losses or damages have been or will be incurred by Contractor, except as expressly granted and approved by this Change Order. SUMMARY OF CONTRACT TIME Original Contract Date: September 16, 2002 Original Contract Time: 1,006 Calendar Days Original Completion Date: June 17, 2005 Time Extension this C.O.: 0 Calendar Days Total Contract Time Extension: 0 Calendar Days Revised Contract Time: 0 Calendar Days Revised Completion Date: Not Applicable Time Subject to Liquidated Damages: Not Applicable Actual Final Completion Date: Not Applicable Original Contract Price $ 14,066,442.00 Prev. Authorized Changes $ 664,914.00 This Change (Add) (Dedwt) $ 214,954.00 Amended Contract Price $ 14,946,310.00 e ' Page 7 of 7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: Five 5 Date: February 25, 2004 Job: Area Classification Study Implementation Plan, Plant Nos. 1 and 2, Job No. J-35-2 Consultant: Parsons/Lee & Ro Board of Directors Authorization Date: February 25, 2004 ORANGE COUNTY SANITATION DISTRICT Submitted by: John D. Linder, P.E. Date Construction Manager Approved by: David A. Ludwin, P.E. Date Director of Engineering Accepted by: J.F. SHEA CONSTRUCTION, INC. Contractor Date EDMS 003761533 Lf76 pt 4 .ncJursJ�,� k mil�1r'•`. :F v;f� ♦'/�••-- 'I l `'� � :�� •��� •�., Syr .6id m7.4-0 1, 0 71LO , . . . . • .I mIS�mO ,I '1 ��_.�.1�11� �,`I,i_ a i'. _.�' `�S!� •+ ;, , ' ♦ � •it;lil 2 j _- I, '� vv-e��n��n 1 n'; � �■ CD uj Z .i� . -Vj 1. ]aM � `' •/ �''�`_ .._ I 1 •��(S »►�. j y 1, ' r PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-02 13 c Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Dean Fisher, Senior Engineer SUBJECT: PRIMARY CLARIFIERS 16-31 AND RELATED FACILITIES. JOB NO. P1-37 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No.12 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing an addition of S22.390, increasing the total contract amount to $71 ,241 ,204. SUMMARY Background • Job No. P1-37, Primary Clarifiers 16-31 and Related Facilities, includes the construction of 16 new primary clarifiers with all support equipment, improvements to existing Primary Clarifiers 6-15, and improvements to Primary Clarifiers 1-5. • Brown and Caldwell prepared the plans and specifications and the contract was awarded to Margate Construction on October 24, 2001 . • This change order includes six items of additional work, and two items of deleted work. There are no errors and two omissions associated with this change order. There is no time extension associated with this change order. Liquidated damages on this project are S3,000 per day and there are no bonus provisions. Contract Schedule Contract Start Date January 7, 2002 Original Contract Completion Date November 7, 2005 Total Number of Change Orders to Date 12 Current Contract Completion Date April 8, 2006 Actual Completion Date N/A Days Subject to Liquidated Damages 0 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\I1em 13(c).Margate.doc Revised: 6/04/03 Page 1 w e Change Order Content Item No. Description Amount Days Type 1 Temporary Power for Exhaust Fans 2,928 0 Design Change 2 Flashing Modification 958 0 Design Change 3 PLC Panel Modifications (-3,106) 0 Design Change 4 Generator Inputs Additions 13,919 0 Design Change 5 Add Circuits For Blower Motor Heaters 2,552 0 Omission 6 Upgrade Electrical Cable 3,061 0 Omission 7 Delete Motor Heater Conductors (-1,000) 0 Design Change 8 Switchgear PLC Relocation 3,078 0 Design Change Total Change Order $22,390 0 Job Completion The project is 68% complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on October 24, 2001 . Please refer to the attached Change Order Status Report for more information on previous change orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price $ 70,366,000 Previously Authorized Changes $ 852,814 This Change $ 22,390 Change Orders to Date $ 875,204 Percentage Increase to Date 1 .240% Amended Contract Price $ 71,241 ,204 BUDGET IMPACT ® This item has been budgeted. (Line item: Section 8, CIP, P1-37) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) H:\dept\agenda\Board Agenda Repons\2004 Board Agenda Reports\0204\Item 13(c).Margate.doc Revised: 6/04/03 Page 2 0 ADDITIONAL INFORMATION None. ALTERNATIVES No alternatives are proposed. CEQA FINDINGS This project was included in the Strategic Plan EIR that was certified on October 27, 1999. A Notice of Determination was filed on October 29, 1999. ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order 4. Location and Photo Description of Change Order GC:ms HAntgloba!\Agenda Draft Reports\PDC\P1-37 AR C0#12 020504.doe H:\depMgenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 13(c).Margate.doc Revised: 6/04/03 Page 3 4 BUDGET INFORMATION TABLE Primary Clarifiers No.16-31 and Related Facilities Job No.P7-37 ORTWrIAL CURRENT PROPOSED PROPOSED FUNDS Tt9S PROPOSED ESTIMATED ESTIMATED PROJI:C:T:PHASE aUTHORQED PROJECT BUDGET REVISED AUTHORIZED AUTHORIZATION TOTAL EXPENDITURE TO EXPENDED BUDGET BUDGET INCREASE BUDGET TO DATE REQUEST AUTHORIZATION DATE TO DATE(%) Phan 1-Prolotl Development S 77.000 77.000 S 77.000 S 77.000 S 76.g74 100°. Phase 2-Prelininary Desl n S 315.0DO 315.000 S 315.000 $ 315,000 S 31S.552 100'. Phase 3-Design S 4.542.000 4.542.000 S 4.542.000 $ 4.542,000 S 4.546.501 100°. Phase 4-Construction S 77.S64.656 S 22.3W S 775874046 S 77,S4064.656 S 22.390 S 77.587.046 S 50.90C400 W. Phases-Commosionina S 281,880 $ 281.880 $ Phase6-CWoout S 50.000 S 50.000 1 E Phase 7,Coirt,ngricy S 5.730,464 22:390 S 5,708074 S PROJECT TOTAL I $ 88.561000 $ - S 88.561.000 S SSA,13,427 68'. Remtwrsade Goas PROJECT NET S 88,561,OO11 i S 88.561.000 S 82498.656 S M.3gd S .2521.048 S 55.843,427 88°. PSA/Contrect LD,,j,PSA f 5.205.SX14 S 5205.904 E 5.205.904 f 5.205.904S 4.801.300'in Nan Contract S 71.211341111 22.390 S 71241.204 S 71,218,814 $ 22,300 S 71.241.204 1 S 48.118.000 68°. Note:Authorized Furls and Expenditures to Date in Phase 4 include Construction Administration and Inspection costs from previous phasing prior to 7/1/03. a CHANGE ORDER STATUS REPORT PRIMARY CLARIFIERS 16-31 AND RELATED FACILITIES JOB NO.P1-37 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED AUTHORIZED TIME ITEM TIME TO DATE DATE COST TO DATE INCREASE (DAYS) (DAYS) CONTRACT 6/23/1999 $ 70,366,000.00 $ 70,366,000.00 0.00 1400 1400 CO NO.1 12/19/2001 $ - $ 70,366,000.00 0.00 0 1400 CO NO.2 8/1/2002 $ 75,214.00 $ 70,441,214.00 0.11 49 1449 "CO NO.3 10/21/2002 $ 48,736.00 $ 70,489,950.00 0.18 0 1449 CO NO.4 12/18/2002 $ 356,059.00 $ 70,846,009.00 0.68 82 1531 CO NO.5 2/26/2003 $ 33,527.00 $ 70,879,536.00 0.73 0 1531 CO NO.6 4/23/2003 $ 54,992.00 $ 70,934,528.00 0.81 21 1552 CO NO.7 6/25/2003 $ 14,750.00 $ 70,949,278.00 0.83 0 1552 CO NO.8 8/27/2003 $ 5,363.00 $ 70,954,641.00 0.84 0 1552 CO NO.9 10/22/2003 $ 187,452.00 $ 71,142,093.00 1.10 0 1552 CO NO.10 11/19/2003 $ 56,041.00 $ 71,198,134.00 1.18 0 1552 CO NO.11 Pending $ 20,680.00 $ 71,218,814.001 1.21 0 1552 CO NO.12 P@ndl $ 22,390 d0. -$ 71,241,204,00 1.24 01 . ' 1b52 Approved by PDC Committee per delegated authority by Board Resolution 99-23 Approved by General Manager per delagated authority by Board Resolution 99-23 A Page 1 of 5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction, Inc. C.O. No.: Twelve (12) Date: February 25, 2004 Job: Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37 Consultant: Brown and Caldwell Amount of this Change Order (Add)(t st) $22,390.00 In accordance with contract provisions,the following changes in the contract and/or contract work are hereby authorized and as compensation,the following additions to or deductions from the contract price are hereby approved. ITEM 1 —TEMPORARY POWER FOR EXHAUST FANS This item provides an interim power connection for two exhaust fans located on top of the existing P1- 33 scum gallery. The existing fans (11 CFAN239 and 11 CFAN240) are specified to be relocated during the construction of the proposed PC 6-31 Control Buildings. The plans provided for interim removal of the fans, but did not provide for an interim power connection. At the Design Phase it was planned that these fans would not operate during the relocation period. During construction, it was determined that the fans need to remain in service in order to comply with the District's policy of meeting the safety requirements of NPFA 820. An interim power connection is needed because the permanent power connection can not be constructed prior to construction of the Control Buildings. The work was accomplished on contractor's force account pursuant to Section 48 (B) 2 of the General Requirements (Reference FCO-P137-007). ADDED COST THIS CHANGE ORDER ITEM: $2,928.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 2—FLASHING MODIFICATION This item modifies the specified roof flashing in four locations where a ladder connects to the roof of power building 7. This flashing is necessary in order to seal the roof from the weather and rain. Staff recommends this modification as an improvement for this difficult area, due to the nature of the building and the ladder design. This improvement is anticipated to more effectively mitigate differential movement between the ladder and the roofing system. The work was accomplished on contractor's force account pursuant to Section 48 (B) 2 of the General Requirements (Reference FCO-P137-142). ADDED COST THIS CHANGE ORDER ITEM: $958.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days A Page 2of5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction, Inc. C.O. No.: Twelve 02) Date: February 25, 2004 Job: Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37 Consultant: Brown and Caldwell ITEM 3— PLC PANEL MODIFICATIONS This item provides two NEMA 12 PLC enclosures in lieu of the specified NEMA 4x enclosures. The modified panels are 11 HPNL001 (Polymer Facility) and 11 IPNL001 (Scrubber Complex). This change provides a lower cost PLC panel which is more appropriate for the application. The specified NEMA 4x is a heavy-duty stainless steel panel typically used in outdoor applications. These panels will be located indoors and do not require weather proofing. Existing panels in these and other similar locations in the Plant are NEMA 12 type panels. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-146). CREDIT THIS CHANGE ORDER ITEM: $(3,106.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 4—GENERATOR INPUT ADDITIONS This item provides additional digital input signals related to the emergency generator to indicate the generator battery status, fuel tank level, ready to trip status, and UPS status. The inputs were requested by staff in order to provide additional monitoring to improve operation and reliability of the emergency generator. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-147). ADDED COST THIS CHANGE ORDER ITEM: $13,919.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 5—ADD CIRCUITS FOR BLOWER MOTOR HEATERS This item adds electrical circuits for three blower motors located in the Primary Clarifier 6-31 Gallery. Motor heaters prevent potential corrosion associated with condensation. This occurs in moist environments when motors sit idle. The agitation air blower motors were equipped with motor heaters, but the 120V circuit for energizing the heater was not included in the design. The change adds approximately 40 feet of 3/a" PVC-coated galvanized conduit, and 140 feet of electric cable.The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-148). ADDED COST THIS CHANGE ORDER ITEM: $2,552.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days 4 Page 3 of 5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction, Inc. C.O. No.: Twelve (12) Date: February 25, 2004 Job: Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37 Consultant: Brown and Caldwell ITEM 6— UPGRADE ELECTRICAL CABLE This item provides multiple conductor, tray-rated cable in lieu of the specified single conductor cable. The specified cable is not in compliance with the National Electric Code (NEC) requirements for cable- tray installation. The change replaces approximately 18,000 feet of single conductor cable with 6,000 feet of multiple (3) conductor cable. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-149). ADDED COST THIS CHANGE ORDER ITEM: $3,061.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 7— DELETE MOTOR HEATER CONDUCTORS This item provides a credit to delete specified motor heater conductors . Conductors were provided on the plans for motor heaters. The size of motors involved with this change are not commonly manufactured with motor heaters, and are not required by District standards. Therefore the conductors are of no benefit and will be deleted, reducing costs to the project. This change affects (26) sludge collectors, (16) thick sludge pumps, (12) scum pumps, and (6) polymer feed pumps. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-151). CREDIT THIS CHANGE ORDER ITEM: $(1,000.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 8 — SWITCHGEAR PLC RELOCATION This item changes the location of the Switchgear PLC in Power Building 7 from Switchgear 18KSWGRO07 to Control Panel 18KPNL002. This change will allow District personnel to maintain the PLC without entering an switchgear enclosure, enhancing safety, and rendering the installation similar to other District PLC panels. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (B) 1 of the General Requirements (Reference FCO-P137-152). ADDED COST THIS CHANGE ORDER ITEM: $3,078.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days TOTAL ADDED COST THIS CHANGE ORDER: $22,390.00 TOTAL TIME EXTENSION THIS CHANGE ORDER: 0 Calendar Days 4 Page 4 of 5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction, Inc. C.O. No.: Twelve (12) Date: February 25, 2004 Job: Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37 Consultant: Brown and Caldwell The additional work contained in this Change Order can be performed incidental to the prime work and within the time allotted for the original Contract and any extensions to the Contract time made by this and all previously issued Change Orders. It is therefore mutually agreed that no extension of time to perform the work is required for this Change Order. District and Contractor agree that the added cost described above constitutes full and equitable consideration for all the impacts incurred by the Contractor, and no other direct or indirect, incidental or consequential costs, expenses, losses or damages have been or will be incurred by Contractor, except as expressly granted and approved by this Change Order. SUMMARY OF CONTRACT TIME Original Contract Date: January 7, 2002 Original Contract Time: 1,400 Days Original Completion Date: November 7, 2005 Time Extension this C.O.: 0 Days Total Contract Time Extension: 152 Days Revised Contract Time: 1,552 Days Revised Final Completion Due Date: April 8, 2006 Time Subject to Liquidated Damages: N/A Actual Final Completion Date: N/A Original Contract Price $ 70,366,000.00 Prev. Authorized Changes $ 852,814.00 This Change (Add) (DedUet) $ 22,390.00 Amended Contract Price $ 71,241,204.00 y Page 5of5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction, Inc. C.O. No.: Twelve (12) Date: February 25, 2004 Job: Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37 Consultant: Brown and Caldwell Board Authorization Date: February 25, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Date Construction Manager Approved by: David A. Ludwin, P.E. Date Director of Engineering Accepted by: MARGATE CONSTRUCTION Contractor Date EDMS/003761026 PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-03 13(d) Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Tod Haynes, Engineering Supervisor SUBJECT: PROFESSIONAL SERVICES AGREEMENT FOR MATERIALS TESTING AND GEOTECHNICAL ENGINEERING SERVICES, SPECIFICATION NO. PSA-2001-33BD GENERAL MANAGER'S RECOMMENDATION Approve Amendment No. 3 to the Professional Services Agreement with Ninyo & Moore, to provide for Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2001-33BD, for FY2003/04 for an additional amount not to exceed $75,000. SUMMARY • In May 2001 , the Board of Directors approved a Professional Services Agreement (PSA) with Ninyo & Moore for FY2001/02, with the option to renew for two additional one-year periods in FY 2002/03 and FY2003/04. • The agreement was renewed for FY2003/04 on July 1, 2003. Staff has determined that additional materials testing, inspection, and geotechnical engineering services are required on capital projects for FY2003/04, and that the existing contract limits are not sufficient. • The PSA amount for this consultant will be used on an as-needed basis. Testing services are budgeted on each capital project as required. All services will be charged to the project budgets. PRIOR COMMITTEE/BOARD ACTIONS Please see the attached Professional Services Agreement (PSA) Status Report. PROJECT/CONTRACT COST SUMMARY The renewal of the agreement for FY2003/04 was Board approved last year. The amount for the renewal was derived by Staff in 2001 using anticipated capital projects for FY2003/04 and considered average survey hours of past years. K\deptlagenda\Board Agenda Reports\2004 Board Agenda Reports\0204\I1em 13(d).Ninyo Moore.doc Revised: 8120,'98 Page 1 L 1 BUDGETIMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) This item does not impact the overall budget because it is not paid separately as a lump sum item. Materials testing and geotechnical services funds have been included in the individual project budgets that require these services. They are expensed as the services are used on the projects. ADDITIONAL INFORMATION In May 2001 , the Board of Directors approved agreements with three materials testing firms to provide professional services for FY2001/02, FY2002/03, and FY2003/04. The agreements were with Ninyo & Moore, Converse Consultants, and Law Crandall Associates. During FY2001/02, Law Crandall Associates closed the Orange County office and Converse Consultants went out of business. Staff projected at that time that only one of the consultants needed to be replaced. In June 2002, the Board of Directors approved a PSA with Smith Emery Geoservices to provide services for FY2002/03 and FY2003/04. This year, FY2003/04, construction volume is greater than anticipated and additional testing services are required. Staff recornmends amending the existing contracts in lieu of seeking a third contract. This year is the last year for the existing agreements. Staff is currently requesting proposals from qualified testing companies for FY2004/05, FY2005/06, and FY2006/07. ALTERNATIVES N/A ATTACHMENTS 1 . Scope of Work 2. Fee Schedule with Escalation Rates 2003/2004 3. PSA Status Report TH:lc:ba HAdept\agenda\Board Agenda Reports12004 Board Agenda Reports\0204Utem 13(d).Ninyo Moore.doc Revised: 8/20/98 Page 2 ATTACHMENT A SCOPE OF WORK For MATERIALS TESTING, INSPECTION, AND OTHER GEOTECHNICAL SERVICES FOR COLLECTION SYSTEM AND TREATMENT PLANT PROJECTS SPECIFICATION NO. PSA-2001-33BD TYPICAL TASKS SOILS: Provide lab testing for maximum density, sieve analysis and soil identification. Field-test compacted soil using sandcone and nuclear density meter methods. Inspect compaction efforts by contractors to achieve specification-required densities. On a less frequent basis, be prepared to conduct soil sampling to depths as required by the District. CONCRETE/MASONRY: Provide concrete, mortar and grout cylinder compressive testing, masonry prism test, and shear test on brick cores. Pick up test specimen from construction sites. ASPHALT: Provide density field testing and core sample collection and lab testing. Inspect compaction efforts by contractors to achieve specification-required densities. METALS: Provide tensile strength lab testing. Provide field testing for welds and inspect welding operations. REQUIREMENTS 1. Field technician shall be available upon 24-hour notice. 2. Invoices shall be coded with District assigned project title and job or contract number along with an adequate work description of the services provided. 3. All test results shall be clearly summarized in a standard report format and submitted to the District. 1 4. Field technicians shall provide a detailed daily report for each day of field testing and observation. 5. Field technicians shall be available for occasional night work upon 24-hour advance notice. 6. Equipment that requires calibration shall be calibrated prior to the work. Calibration costs shall be included in the total hourly rate for field service fees. G:\wp.dta\eng\JOBS&CONTRACTS\Soils,Survey,E-Testing Contracts FY 01-04\Soils\Soils SOW 2001 to 2004.doc ATTACHMENT B SOILS, MATERIALS TESTING: SMITH-EMERY FEE SCHEDULE A. Lab Testing Fees All-Inclusive Unit Prices Pick-Up, each 7/1/02-6/30/03 7/1/03-6/30104 A.I Soils A.1.1 Maximum Density: N/C $100.00 $100.00 A.1.2 Sieve Analysis: N/C $50.00 $50.00 A.1.3 Soil Identification: N/C $100.00 $100.00 A.2 Masonry and Concrete A.2.1 Concrete Compressive Strength: $10.00 $14.00 $14.00 A2.2 Shear Test on Brick Cores: $9.00 $50.00 $50.00 A2.3 Mortar/Grout Compression Test: $10.00 $19.00/$25.00 $19.00/$25.00 A.2.4 Masonry Prism Test: $39.00 $144.00 $144.00 A.3 Asphalt A.3.1 Core Sample Testing: $40.00 $35.00 $35.00 A.4 Metals A.4.1 Tensile Strength: $19.00 $28.00 $28.00 (Escalation rate for Lab Testing Fees=0%) B. Field Service Fees All-Inclusive Hourly Rates 7/1/02-6130/03 7/1/03-6/30/04 B.I Soils B.1.1 Compaction Testing/inspection: Esc. Rate: 2% $55.50 $56.61 B.2 Masonry and Concrete B.2.1 Test Specimen Pick-U Unit Rate : see above see above B.3 Asphalt B.3.1 Compaction Inspection/Density Test: Esc.Rate: 2% $55.50 $56.61 B.4 Metals B.4.1 Welding Inspection: Esc. Rate: 3% $65.00 $66.95 B.4.2 Dye Penetrant Testing: Esc. Rate: 3%, $69.00 $71.07 8.4.3 Ultrasonic Testing: Esc.Rate: 3% $69.00 $71.07 C. Other Fees 7/1/02-6/30/03 7/1/03-6/30/04 CA Travel Time/Mileage Charge for Field included in fees included in fees Work and Test Specimen Pick-Up: above above C.2 Minimum Daily Call-Out Charge: 2 hrs 2 hrs C.3 Soils Sampling with Truck- Esc.Rate: 0% $14.00/foot+ $14.00/foot+ Mounted Auger: $70.00/hour $70.001hour CA Licensed Senior Geotechnical Engr. Esc.Rate: 2% $80.00/hour $81.60 Professional Services Agreement Status Report Materials Testing and Geological Engineering Services PSA-2001-33BD Total Project Budget: $80,000 FY 01/02, $130,000 FY-02/03, $100,000 FY-03/04, $75,000 FY-03/04 Consultant: Ninyo & Moore Start Date of Project: July 1, 2001 Date Addendum Description Cost Accumulated Costs 07/01/01 Original Materials testing, inspection and geotechnical PSA engineering for capital projects FY 01/02 $80,000 N/A 07/01/02 1 Materials testing, inspection and geotechnical en ineering for capital projects FY 02/03 $130,000 N/A 07/01/03 2 Materials testing, inspection and geotechnical en in ering for capital projects FY 03/04 $100,000 N/A Pending 3 Materials testing, inspection and geotechnical en ineering for capital projects FY 03/04 $75,000 N/A G:\wp.dta\eng\CM Misc\So[Is&SurveyContracts\PSA Status Report-Ninyo Moore-PSA2001-33BD.doc 01/12/04 -r - PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-04 13(e) Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Tod Haynes, Engineering Supervisor SUBJECT: PROFESSIONAL SERVICES AGREEMENT FOR MATERIALS TESTING AND GEOTECHNICAL ENGINEERING SERVICES, SPECIFICATION NO. PSA-2002-33BD GENERAL MANAGER'S RECOMMENDATION Approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2002-33BD, for FY2003/04 for an additional amount not to exceed $75,000. SUMMARY • In June 2002, the Board of Directors approved a Professional Services Agreement (PSA) with Smith Emery GeoServices for FY2002/03, with the option to renew for one additional one-year period for FY2003/04, and that the existing contract limits are not sufficient. • The agreement was renewed for FY2003/04 in June 2003. Staff has determined that additional materials testing, inspection, and geotechnical engineering services are required on capital projects for FY2003/04. • The PSA amount for this consultant will be used on an as-needed basis. Testing services are budgeted on each capital project as required. All services will be charged to the project budgets. PRIOR COMMITTEE/BOARD ACTIONS Please see the attached PSA Status Report. PROJECT/CONTRACT COST SUMMARY The renewal of the agreement for FY2003/04 was Board approved last year. The amount for the renewal was derived by Staff in 2001 using anticipated capital projects for FY2003/04 and considered average survey hours of past years. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Repor1s10204\Item 13(e).Smith Emery Geo Services.doc Revised: 8/20/98 Page 1 4. Field technicians shall provide a detailed daily report for each day of field testing and observation. 5. Field technicians shall be available for occasional night work upon 24-hour advance notice. 6. Equipment that requires calibration shall be calibrated prior to the work. Calibration costs shall be included in the total hourly rate for field service fees. G:1wp.dta\eng\JOBS&CONTRACTS\Soils,Survey,E-Testing Contracts FY 01-04\Soils\Soils SOW 2001 to 2004.doc 7 PDC COMMITTEE Meeting Date To Bd. of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-04 13(e) Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Tod Haynes, Engineering Supervisor SUBJECT: PROFESSIONAL SERVICES AGREEMENT FOR MATERIALS TESTING AND GEOTECHNICAL ENGINEERING SERVICES, SPECIFICATION NO. PSA-2002-33BD GENERAL MANAGER'S RECOMMENDATION Approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Specification No. PSA-2002-3313D, for FY2003/04 for an additional amount not to exceed S75,000. SUMMARY • In June 2002, the Board of Directors approved a Professional Services Agreement (PSA) with Smith Emery GeoServices for FY2002/03, with the option to renew for one additional one-year period for FY2003/04, and that the existing contract limits are not sufficient. • The agreement was renewed for FY2003/04 in June 2003. Staff has determined that additional materials testing, inspection, and geotechnical engineering services are required on capital projects for FY2003/04. • The PSA amount for this consultant will be used on an as-needed basis. Testing services are budgeted on each capital project as required. All services will be charged to the project budgets. PRIOR COMMITTEE/BOARD ACTIONS Please see the attached PSA Status Report. PROJECT/CONTRACT COST SUMMARY The renewal of the agreement for FY2003/04 was Board approved last year. The amount for the renewal was derived by Staff in 2001 using anticipated capital projects for FY2003/04 and considered average survey hours of past years. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 13IeI.Smith Emery Geo Services.doc Revised: 8/20/98 Page 1 BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) This item does not impact the overall budget because it is not paid separately as a lump sum item. Materials testing and geotechnical services funds have been included in the individual project budgets that require these services. They are expensed as the services are used on the projects. ADDITIONAL INFORMATION In May 2001, the Board of Directors approved agreements with three materials testing firms to provide professional services for FY2001/02, FY2002/03, and FY2003/04. The agreements were with Ninyo & Moore, Converse Consultants, and Law Crandall Associates. During FY2001/02, Law Crandall Associates closed the Orange County office and Converse Consultants went out of business. Staff projected at that time that only one of the consultants needed to be replaced. In June 2002, the Board of Directors approved a PSA with Smith Emery Geoservices to provide services for FY2002/03 and FY2003/04. This year, FY2003/04, construction volume is greater than anticipated and additional testing services are required. Staff recommends amending the existing contracts in lieu of seeking a third contract. This year is the last year for the existing agreements. Staff is currently requesting proposals from qualified testing companies for FY2004/05, FY2005/06, and FY2006/07. ALTERNATIVES N/A ATTACHMENTS 1 . Scope of Work 2. Fee Schedule with Escalation Rates 2003/04 3. PSA Status Report TH:lc:ba:lc H:\depl\agenda\Board Agenda Reports\2004 Board Agenda Reports\0_104\11em 13(e).Smi1h Emery Geo Services.doc Page 2 Revised: 8/20,198 ATTACHMENT A SCOPE OF WORK For MATERIALS TESTING, INSPECTION, AND OTHER GEOTECHNICAL SERVICES FOR COLLECTION SYSTEM AND TREATMENT PLANT PROJECTS SPECIFICATION NO. PSA-2001-33BD TYPICAL TASKS SOILS: Provide lab testing for maximum density, sieve analysis and soil identification. Field-test compacted soil using sandcone and nuclear density meter methods. Inspect compaction efforts by contractors to achieve specification-required densities. On a less frequent basis, be prepared to conduct soil sampling to depths as required by the District. CONCRETE/MASONRY: Provide concrete, mortar and grout cylinder compressive testing, masonry prism test, and shear test on brick cores. Pick up test specimen from construction sites. ASPHALT: Provide density field testing and core sample collection and lab testing. Inspect compaction efforts by contractors to achieve specification-required densities. METALS: Provide tensile strength lab testing. Provide field testing for welds and inspect welding operations. REQUIREMENTS 1. Field technician shall be available upon 24-hour notice. 2. Invoices shall be coded with District assigned project title and job or contract number along with an adequate work description of the services provided. 3. All test results shall be clearly summarized in a standard report format and submitted to the District. 1 4. Field technicians shall provide a detailed daily report for each day of field testing and observation. 5. Field technicians shall be available for occasional night work upon 24-hour advance notice. 6. Equipment that requires calibration shall be calibrated prior to the work. Calibration costs shall be included in the total hourly rate for field service fees. G:\wp.dta\eng\JOBS&CONTRACTS\Soils,Survey,E-Testing Contracts FY 01-04\Soils\Soils SOW 2001 to 2004.doc 7 ATTACHMENT B SOII:& MATERIALS TESTING: SMITH-EMERY FEE SCHEDULE A. Lab Testing Fees All-Inclusive Unit Prices Pick-Up, each 7/1/02-6/30/03 7/1/03-6/30/04 A.1 Soils A.1.1 Maximum Density: N/C $100.00 $100.00 A.1.2 Sieve Analysis: N/C $50.00 $50.00 A.1.3 Soil Identification: N/C $100.00 $100.00 A.2 MasonjX and Concrete A.2.1 Concrete Compressive Strength: $10.00 $14.00 $14.00 A.2.2 Shear Test on Brick Cores: $9.00 $50.00 $50.00 A.2.3 Mortar/Grout Compression Test: $10.00 $19.00/$25.00 $19.00/$25.00 i A.2.4 Masonry Prism Test: $39.00 $144.00 $144.00 A.3 Asphalt A.3.1 Core Sample Testing: $40.00 $35.00 $35.00 A 4 Metals A.4.1 Tensile Stren h: $19.00 $28.00 $28.00 (Escalation rate for Lab Testing Fees=09A) B. Field Service Fees All-Inclusive Hourly Rates 7/1/02-6130/03 7/1103-6/30/04 B.1 Soils B.1.1 Compaction Testing/Inspection: Esc.Rate: 2% $55.50 $56.61 B.2 Masonry and Concrete B.2.1 Test Specimen Pick-Up Unit Rate): see above see above B.3 Asphalt B.3.1 Compaction Inspection/Density Test: Esc.Rate: 2% $55.60 $56.61 B.4 Metals B.4.1 Welding Inspection: Esc.Rate: 3% $65.00 $66.96 B.42 Dye Penetrant Testing: Esc.Rate: 3% $69.00 $71.07 B.4.3 Ultrasonic Testing: Esc.Rate: 3% $69.00 $71.07 C. Other Fees 7/1/02-6130103 711/03-6130/04 CA Travel Time/Mileage Charge for Field included in fees included in fees Work and Test Specimen Pick-Up: above above C.2 Minimum Daily Call-Out Charge: 2 hrs 2 hrs C.3 Soils Sampling with Truck- Esc.Rate: 0% $14.00/foot+ $14.00/foot+ Mounted Auger: $70.001hour $70.00/hour CA Licensed Senior Geotechnical En r. Esc. Rate: 2% 1 $80.001hour $81.60 Professional Services Agreement Status Report Materials Testing and Geological Engineering Services PSA-2002-33BD Total Project Budget: $130,000 FY-02/03, $100,000 FY-03/04, $75,000 FY-03/04 Consultant: Smith-Emery GeoServices Start Date of Project: July 1, 2002 Date Addendum Description Cost Accumulated Costs 07/01/02 Original Materials testing, inspection and geotechnical PSA engineering for capital projects FY 02/03 $130,000 N/A 07/01/03 1 Materials testing, inspection and geotechnical engineering for capital projects FY 03/04 $100,000 N/A Pending 2 Materials testing, inspection and geotechnical engine rin for capital projects FY 03/04 $75,000 1 N/A G:1wp.dtaleng\CM Misc\Soils&SurveyContracts\PSA Status ReportSMith Emery-PSA2002-33BD.doc 01/12/04 f PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC 04-05 13( Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Tod Haynes, Engineering Supervisor SUBJECT: PROFESSIONAL SERVICES AGREEMENTS FOR SURVEYING SERVICES, SPECIFICATION NO. PSA-2001-34BD GENERAL MANAGER'S RECOMMENDATION Approve Amendment No. 3 to the Professional Services Agreements with MDS Consulting and Bush & Associates, to provide for additional Surveying Services, Specification No. PSA-2001-34BD, for FY2003/04 for an additional amount not to exceed $75,000 for each agreement ($150,000 total). SUMMARY • In May 2001 , the Board of Directors approved Professional Services Agreements (PSA) with Bell Land Surveying, MDS Consulting, and Bush & Associates for FY2001/02, with the option to renew for two additional one- year periods for FY2002/03 and FY2003/04. • Staff has determined that additional surveying services are required on capital projects during FY2003/04 and that the existing contract limits are not sufficient. • The Bushard Trunk Sewer Project, Contract No. 1-2-4, has required more surveying services than normally anticipated to document alignment and settlement of the 108" reinforced concrete pipe. Additionally, the third consultant, Bell Land Surveying, is unable to provide resources for the project. • Unanticipated Surveying Services were required for the Trunk Sewer and Mapping Project this fiscal year. • The PSA amounts for each consultant will be used on an as-needed basis. Surveying services are budgeted on each capital project as required. All services will be charged to the project budgets. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports102041dtem 13i0.MDS Consulting.doc Revised: 8/20/98 Page 1 i r PRIOR COMMITTEE/BOARD ACTIONS Please see the attached Professional Services Agreement (PSA) Status Report. PROJECT/CONTRACT COST SUMMARY The renewal of the agreement for FY2003/04 was Board approved last year. The amount for the renewal was derived by Staff in 2001 using anticipated capital projects for FY2003/04 and considered average survey hours of past years. BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) This item does not impact the overall budget because it is not paid separately as a lump sum item. Surveying funds have been included in the individual project budgets that require these services. They are expensed as the services are used on the projects. ADDITIONAL INFORMATION N/A ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1 . Scope of Work 2. Fee Schedule for 2003/04 with Escalation Rates 3. PSA Status Report — MDS 4. PSA Status Report — Bush & Assoc. TH:Ic:ba:lc H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 13(f).MDS Consulting.doc Revised: 8120,98 Page 2 d ATTACHMENT A SCOPE OF WORK SURVEYING SERVICES FOR COLLECTIONS SYSTEM AND TREATMENT PLANT PROJECTS TYPICAL TASKS PRELIMINARY ALIGNMENT: Provide preliminary stationing at intervals as required by District Engineer. CONSTRUCTION ALIGNMENT: Provide horizontal and vertical controls. Paint centerline of sewer for collections projects when requested by District Engineer. CONTRACTOR'S STAKING: Provide one set of offset line-and-grade stakes for pipeline, manholes, structures, etc. at 25 to 50-foot intervals, or as required by District Engineer along with cut sheets for contractor's use. PIPE CASINGS/TUNNELS: Provide one set of offset stakes for each pit location and one set for horizontal and vertical control in pits, with cut sheets. Provide line-and-grade checks inside casings. PIPELINE HEADING CHECK: Provide line-and-grade checks daily or as required by the District Engineer. STREET CENTERLINE TIES: Prior to construction, tie-out street centerline monumentation, and after construction, replace disturbed or destroyed street centerline ties. PAVEMENT REPLACEMENT: At the locations requested by the District, street cross sections will be surveyed prior to construction. For pavement replacement after construction, one set of paving and curb stakes will be provided at locations designated by the District. 1 i 1 MISCELLANEOUS SURVEY: As requested by the District, provide boundary and topographic surveys, monument replacement, aerial control, settlement monitoring, and other miscellaneous items. Prepare base maps and exhibits using AutoCAD, latest version. REQUIREMENTS 1. Survey crew should be available within a 24 hour notice. 2. Survey crew should be experienced with tunnel and casing surveys. 3. Three copies of all survey notes shall be furnished to the District within 24 hours of survey or stakeout. 4. Surveyor's field personnel should be able to recognize survey errors or omissions on the contract drawings, survey or stakeout. 5. Survey party should consist of two or three persons per crew with a certified party chief. 6. Party chief or company representative should be available for the pre-construction meeting and other key meetings as the project progresses. 7. All supplies, such as, but not limited to, stakes, flagging, nails, spikes, ties, paint, etc. shall be included in the hourly rate for the survey party. 8. All surveyors must be adequately insured for liability and property damage, and a copy of the policy must be forwarded to OCSD. 9. Survey crew shall be able to provide proper traffic control in accordance with the W.A.T.C.H. Manual or as required by the governing agency when carrying out their functions and duties. 10.At least one member of the party should have a cell phone/pager or other form of communication so as to be in contact with the home office in the event the District requires immediate communication with the party during normal working hours. 11.Survey crew should be available for occasional night work (4:30 p.m. to 7:00 a.m.) upon 24-hour advance notice. 12.Survey work shall be documented in English Standard Units and/or Metric Units, as required by the District. 2 a ti. 13.Invoice shall be coded with District assigned project name and number for each work item. G:\wp.dta\engWOBS&CONTRACTS\Soils,Survey,E-Testing Contracts FY 01-04\Survey\SU RVEY SOW 2001 to 2004.doc 3 ° ATTACHMENT B SURVEY SERVICES: BUSH&ASSOCIATES FEES 7/1101 -6/30/02 7/1/02-6/30/03 7/1/03-6/30/04 Lic. Surveyor $74.00 $75.11 $76.24 2-Party Crew $136.00 $138.04 $140.11 3-Party Crew $176.00 $178.64 $181.32 Office Calcs $58.00 $58.87 $59.75 CAD Draftsperson $52.00 $52.78 $53.57 0.5 0.6 0.5 Min. hrs per Callout Travel Charge $0.00 $0.00 $0.00 1.5% Max.Esc. Rate 02t03 Max.Esc. Rate 03/04 Other Other Other None:Escalation rates of 1.5%were used to calculate rates for FY 02103,03104,as specified by Bush Professional Services Agreement Status Report Surveying Services PSA-2001-34BD Total Project Budget: $120,000 FY 01/02, $170,000 FY-02/03, $95,000 FY-03/04 $75,000 Consultant: MDS Consulting Start Date of Project: July 1, 2001 Date Addendum Description Cost Accumulated Costs 07/01/01 Original Surveying Services for capital projects (FY 01/02) PSA $120,000 N/A 07/01/02 1 Surveying Services for capital projects FY 02/03 $170,000 N/A 07/01/03 2 Surveying Services for capital projects FY 03/04 $95,000 N/A Pending 3 Surveying Services for capital projects FY 03/04 $75,000 N/A H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 13(f).2.doc 02/19/04 Revised 05/14/98 Professional Services Agreement Status Report Surveying Services PSA-2001-34BD Total Project Budget: $120,000 FY 01/02, $170,000 FY-02/03, $95,000 FY-03/04 Consultant: Bush & Associates Start Date of Project: July 1, 2001 Date Addendum Description Cost Accumulated Costs 07/01/01 Original Surveying Services for capital projects (FY 01/02) $120,000 N/A 07/01/02 1 Surveying Services for capital projects FY 02/03 $170,000 N/A 07/01/03 2 Surveying Services for capital projects FY 03/04 $95,000 N/A Pending 3 Surveying Services for capital projects FY 03/04 $75,000 N/A H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 13(f).3.doc 02/19/04 PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-06 13 Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Larry Rein, Project Manager SUBJECT: BUSHARD TRUNK SEWER REHABILITATION, JOB NO. 1-2-4 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No. 4 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing an addition of S380,251 , increasing the total contract amount to S30,685,478. SUMMARY Background • Job No. 1-2-4, Bushard Trunk Sewer Rehabilitation, includes the installation of 21,600 linear feet (just over four miles) of 108-inch reinforced concrete pipe, manholes, junction structures and miscellaneous utility relocations. • Boyle Engineering Corporation prepared the plans and specifications, and the contract was awarded to Steve P. Rados, Inc., on June 26, 2002. • Change Order No. 4 includes seven items of additional work to Job 1-2-4. There are no errors and one omission associated with this change order. There is no time extension associated with this change order. Liquidated damages on this contract are $2.000 per calendar day and the bonus provisions are S750 per calendar day. Contract Schedule Contract Start Date September 16, 2002 Original Contract Completion Date March 18, 2004 Total Number of Change Orders to Date 4 Current Contract Completion Date March 21 , 2004 Actual Completion Date N/A Days Subject to Liquidated Damages N/A Page 1 r. Change Order No. 1 Content Item No. Description Amount Days Type 1 15" City Sewer Siphon S 30,000 0 Changed Condition 2 Additional Traffic Signal Poles $ 16,353 0 Design Change 3 Damaged 18" VCP $ 7,596 0 Changed Condition 4 Plant 2 Main Entrance Sliding $ 107,307 0 Design Change Gate 5 Miscellaneous Traffic Devices $ 66,491 0 Design Change 6 Concrete Encasement City $ 18,179 0 Omission Sewers 7 Temporary Fire Station $ 134,325 0 Design Change Total — Change Order No. 4 $ 380,251 0 Items 1, 2, 3, and 5 involve potential time extensions to the contract. The impact to the project could not be determined at this time. If necessary, justified contract time extensions for these items will be included in a future change order. Items 2 and 5 are traffic control improvements required by the City of Huntington Beach. Item 7 is for improved emergency vehicle access required by the City of Huntington Beach. Item 4 is to add the installation of the Plant No. 2 main entrance gate equipment and coordination of utilities for the equipment provided. The final details for the gate equipment were not determined until after the contract was bid. Job Completion The contract is now 30% complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on June 26, 2002. Please refer to the attached Change Order Status Report for information on all previous change orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price $ 30,003,210 Previously Authorized Changes $ 302,017 This Change Order (CO No. 4. Add) $ 380,251 Change Orders to Date $ 682,268 Percent Increase to Date 2.27% Amended Contract Price $ 30.685,478 Page 2 BUDGET IMPACT ® This item has been budgeted. (Line item: FY 03/04, Section 8, Page 43, Capital Improvement Program, Collections Facilities, Bushard Trunk Sewer Rehabilitation, Job 1-2-4) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION None ALTERNATIVES None CEQA FINDINGS This project was included in the 1999 Strategic Plan Program EIR certified on October 27, 1999. A Notice of Determination was filed on October 29, 1999. Additional CEQA documentation for the project was included in Addendum No. 3 to the EIR approved on December 19, 2001. This Addendum will not change CEQA findings. ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order 4. Location and Photo Description of Change Order MB:dm HAntglobaKAgenda Draft ReportsTMI-2-4 AR CO#4 020504.doc Page 3 BUDGET INFORMATION TABLE BUSHARD TRUNK SEWER REHABILITATION JOB NO.1-2-4,CO r4 ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED PRO.IECTrPMASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION TOTAL EXPENDITURE BUDGET BUDGET INCREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE /DECREASE Phu.1-Pro en Development S 7.800 S 74,000 $ 74.000 S 74 000 S 74,000 $ 73.669 Ph-o2-Proiimi- Desi n S 15002 $ 9.200 $ 9200 S 9.200 S $ 9,200 S 9.147 Plisse 3-Des D*sqn S 1.051 724 $ 2.690.400 $ 2690.400 S 2 690 400 $ 2.690.400 S 2496.653 Phase 4-ComtnxAmn $ 24.100 051 S 33 841.417 $ 380.251 S 340221.668 S 33 841 417 S 380,251 S 34.221.668 $ 10284.632 Phls.5-Commtsslom S 50.000 $ 50.000 S - $ Phase 6•Close-out S 30.000 S 30.000 $ S Phase 7-Conbngency $ 7348 924 S 2 697.983 S IM02511 S 2.317.732 S PROJECT TOTAL S 32.803.501 $ 39.393,00D $ - $ 39393.000 IS 36.615.017 $ 390.2Si $ 36.995.268 S 1286Q 101 Reimbursablo C.SL'. PROJECT NET I$ 32.803.507 1$ 39393.000 1$ - S "393000 S 36.615,017 S 390.251 1 S 36.995.288 1$ 12.864.101 PSA/Conlracl Deg n PSA $ 269.900 1$ 2.019.411 S $ 2019411 11 S 2.019,411 S - S 2.019 411 1 S 1.319.756 Construnan Corllract S 21.011.000 1 S 30.305.227 S 390.251 1$ 30.685 478 S 30.305227 1 S 380.251 1 S 30.685 478 1 S 8.917.740 L CHANGE ORDER STATUS REPORT BUSHARD TRUNK SEWER REHABILITATION JOB NO.1-2-4-CO#4 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED AUTHORIZED TIME ITEM TIME TO DATE DATE COST TO DATE INCREASE (DAYS) (DAYS) CONTRACT Sept.16.02 $30,003,210 $30,003,210 550 550 CO NO.1' April 23,03 $150,000 $30,153,210 0.50% 0 550 CO NO.2 June 25.03 $107.724 $30,260,934 0.86% 2 552 CO NO.3 October 22,03 $44,293 $30,305,227 1.01% 1 553 `'CO Nt).'�1- ;F 25-2004 "'$380 { .$30 G85 478 2 27°G 0 >553> 'Approved by PDC Committee per delegated authority by Board Resolution 99-23 1 Page 1 of 6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: February 25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation Amount of this Change Order(Add)(ist) $380,251.00 In accordance with contract provisions,the following changes in the contract and/or contract work are hereby authorized and as compensation,the following additions to or deductions from the contract price are hereby approved. ITEM 1 — 15" CITY SEWER SIPHON This item is for additional labor, material and equipment required to install a revised 15-inch City sewer siphon at the Adams/Bushard intersection at Sewer Station 147+40.The proposed siphon interfered with a proposed 60-inch storm drain. The Contractor was directed to route the 15-inch sewer under the storm drain. This re-routing increased the length and depth of the sewer. The extra work consisted of additional asphalt removal and replacement, additional dewatering, trench excavation with shoring and backfill, removal and replacement of an existing City manhole, and installation of additional 21 feet of 15-inch clay pipe with concrete encasement at the crossing point with the proposed 60-inch storm drain. The Contractor has reserved its right to submit a time impact analysis for this item at a later time to extend the completion date of the contract. Staff and Contractor mutually agreed to analyze all time impacts sequentially after the project's re-sequencing time impact analysis has been approved. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-1) ADDED COST THIS CHANGE ORDER ITEM: $ 30,000.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 2—ADDITIONAL TRAFFIC SIGNAL POLES This item is for labor, material, and equipment required to provide two temporary traffic signal poles with signal and pedestrian heads at the Atlanta/Bushard intersection between sewer stations 93+50 and 95+20. The City of Huntington Beach required the installation of these signal poles to enhance traffic safety in the intersection. The temporary poles are not required in the contract. The work consisted of furnishing and placement of the signal poles, overhead mounting of wiring and signal programming. The Contractor has reserved its right to submit a time impact analysis for this item at a later time to extend the completion date of the contract. Staff and Contractor mutually agreed to analyze all time impacts sequentially after the project's re-sequencing time impact analysis has been approved. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-19) ADDED COST THIS CHANGE ORDER ITEM: $ 16,353.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days i i Page 2 of 6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: February 25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 3— DAMAGED 18" VCP This item is for labor, material, and equipment required to replace an existing 18" sewer at approximate sewer station 81+13. When the Contractor exposed this sewer to make a contract required tie-in, the sewer pipe was found cracked. The Contractor had to replace a section of this pipe to properly connect the new sewer. The extra work consisted of excavating, shoring, dewatering, sewer removal and replacement, backfill, and paving. The Contractor has reserved its right to submit a time impact analysis for this item at a later time to extend the completion date of the contract. Staff and Contractor mutually agreed to analyze all time impacts sequentially after the project's re- sequencing time impact analysis has been approved.This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-21) ADDED COST THIS CHANGE ORDER ITEM: $ 7,596.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 4— PLANT 2 MAIN ENTRANCE SLIDING GATE This item is for labor, material, and equipment required for the procurement and installation of new sliding gates at the Plant 2 Main Entrance, and to perform all preparatory site work associated with the gate installation The contract does not contain a requirement for gate installation because the work was to be done under a separate contract because of coordination issues, which include the work and is now being included in this contract. The final gate design for this work was completed after construction bid and contained additional walls and equipment support foundations which were not part of the contract. The work consisted of existing wall and concrete removal, excavation, soil work, wall and foundation construction, and gate equipment installation. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-22) ADDED COST THIS CHANGE ORDER ITEM: $ 107,307.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days a Page 3 of 6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: February 25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 5— MISCELLANEOUS TRAFFIC DEVICES This item is for labor, material, and equipment required for revisions to the contract traffic control plans between May 21, 03 and August 3, 2003 as required by the City of Huntington Beach. The contract documents contain designed traffic control drawings for all phases of main line sewer installation along the four-mile sewer alignment. When the traffic control was first implemented the City of Huntington Beach found that modifications were necessary to direct traffic around the construction sites. The contract-included traffic control drawings had been reviewed by the City of Huntington Beach prior to construction, but were revised by the City when the contractor started to set up the traffic control. The modifications range from additional traffic signs and crash cushions to the installation of temporary traffic lights with associated electrical conduits and wiring. The traffic control modifications will continue throughout the construction phase. This item pays for the extra cost incurred by the Contractor. The Contractor has reserved its right to submit a time impact analysis for this item at a later time to extend the completion date of the contract. Staff and Contractor mutually agreed to analyze all time impacts sequentially after the project's re-sequencing time impact analysis has been approved.This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-24) ADDED COST THIS CHANGE ORDER ITEM: $66,491.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 6—CONCRETE ENCASEMENT CITY SEWERS This item is for labor, material, and equipment required to provide reinforced concrete sanitary sewer encasements with modified lengths,where not specified on the contract drawings. On the contract drawings numerous sewer siphons did not show requirements for steel reinforcement in the concrete encasements. Reinforcement was determined to be necessary and added to all encasements. In addition, some encasement lengths had to be increased to properly protect the sewers. The work consisted of additional excavation and reinforcement installation. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-28) ADDED COST THIS CHANGE ORDER ITEM: $ 18,179.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days e Page 4of6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: FebruarL25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 7—TEMPORARY FIRE STATION This item is for labor, material, and equipment required for the installation of a temporary fire station on Yorktown Avenue within the Huntington Beach Union High School District property. The City of Huntington Beach Fire Department requires the use of a temporary fire station during the construction of the project whenever the construction area is on Bushard, at or between the Adams and Yorktown intersections. When the work is in these locations, the Fire Department does not expect to be able to maneuver through the contract-provided emergency lanes within the construction zones and traffic detours fast enough to provide adequate emergency service from the existing fire station. The work included furnishing and installation of a 840 sq. ft. trailer, fire engine canopy, perimeter fence, utility hook-up, and site access work. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-35) ADDED COST THIS CHANGE ORDER ITEM: $ 134,325.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Day TOTAL ADDED COSTS THIS CHANGE ORDER: $ 380,251.00 TOTAL TIME EXTENSION THIS CHANGE ORDER: 0 Calendar Day a Page 5 of 6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: February 25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation The additional work contained within this Change Order can be performed incidental to the prime work and within the time allotted for the original Contract and any extensions to the Contract time made by this and all previously issued Change Orders. It is therefore mutually agreed that no time extension is required for this Change Order, and no direct or indirect, incidental or consequential costs, expenses, losses or damages have been or will be incurred by Contractor, except as expressly granted and approved by this Change Order. SUMMARY OF CONTRACT TIME Original Contract Date: September 16, 2002 Original Contract Time: 550 Calendar Days Original Completion Date: March 18, 2004 Time Extension this C.O.: 0 Calendar Day Total Contract Time Extension: 3 Calendar Days Revised Contract Time: 553 Calendar Days Revised Final Completion Due Date: March 21, 2004 Time Subject to Liquidated Damages: N/A Actual Final Completion Date: N/A Original Contract Price $ 30,003,210.00 Prev. Authorized Changes $ 302,017.00 This Change (Add) (Deduct) $ 380,251.00 Amended Contract Price $ 30,685,478.00 0 Page 6 of 6 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Steve P. Rados, Inc. C.O. No.: Four 4 Date: February 25, 2004 Job: Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4 Consultant: Boyle Engineering Corporation Board Authorization Date: February 25,2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. 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' 3' n 11•�1 � ,L 1 r. � � ,e� / /�' ii�I �y � {pp� • j 'a / �y/� ! � t:�e• w;t �-�••� I /rt-�f- �=-y. -f`r...:s` rA�a y" ji' , .a1,' �. .. f! r � ( •�.t �7D4' _ rlyt 1' lV � ��'" r•� �I t ��^�1- �./r � i' tr�'•C—{�'.. ,R -`a' �' _ � � 1 , "��•,r� t7 � I1 1 _ �) � '•YM,,�,lit i (Jf. � � r� �.r , N4 1. 1+ .. 1 �� t l 11•"�I t lY{�..'��.�. • �'• _Y/ )_ '. .ice. 1 i I '11 7+J++'^ ! l.V>1!'• . , •Lr 7.,;r.11'�7,� •�t't.l i! 2, �'iri L' -� Job No. 1-2-4 CHANGE ORDER NO. 4 February, 2004 F t+ " Concrete Encasement w. Concrete Encasement .J: "f" -•f\�.G,{a:rl� 7isf�3-n.R4�v�` - t,J^!• �L-�fy Item 6 — Concrete Encasement City Sewer E _ 1_ r �•' ' .t". �\K, `ri Y`LL. ALI Al.- t51 `.... �t Temp. Fire Station Temp. Fire Station Item 7 — Temporary Fire Station EDMS 003760427 � PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-C 13 h Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Umesh Murthy, Engineer SUBJECT: EFFLUENT PUMP STATION ANNEX JOB NO. J-77 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No. 1 to Effluent Pump Station Annex. Job No. J-77, with J.F. Shea Construction, Inc., authorizing a deduction of $1 ,967,158, decreasing the total contract amount to $42,768,360. SUMMARY Background The Effluent Pump Station Annex (EPSA), Job No. J-77, will replace the existing Foster Booster Pump Station with a new pumping facility that is capable of providing adequate backup capacity to the existing Ocean Outfall Booster Station (OOBS) during excess flow events and routine maintenance. The EPSA will also accommodate the pumping of secondary treated water exclusively through the 78-inch outfall during excess flow events. ESPA will house three 120 million gallons per day (mgd) pumps. Two of these pumps will provide backup capacity of 240 mgd, which is one-half of the nominal capacity of the existing OOBS facility. The third 120 mgd pump will serve as a standby for these two units. Black & Veatch prepared the plans and specifications and the contract was awarded to J.F. Shea Construction, Inc., on September 24, 2003. Change Order No. 1 includes three items of revised work for credits to Job No. J-77. There are no omissions and no errors associated with this Change Order. Liquidated damages on this contract are S2.500 per day and there are no bonus provisions. Revised: WNW Page 1 Contract Schedule Contract Start Date November 24, 2003 Original Contract Completion Date June 30, 2007 Total Number of Change Orders to Date 1 Current Completion Date June 30, 2007 Actual Completion Date N/A Days subject to Liquidated Damages 0 Change Order No. 1 Content Item Description Days Type No. Amount 1 Design Revisions to ($1,496,400) 0 Design Change Reinforced Concrete Pressure Pipe (RCPP), Reinforced Concrete Cylinder Pipe RCCP and Steel Pipe 2 Design Revisions to Vertical ($177,000) 0 Design Change Shaft Centrifugal Pumps 3 Diesel Engine Generators $293,758 0 _ Design Change Total — Change Order No. 1 $1,967,158) Job Completion • The project is now 2 % complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded to J.F. Shea Construction, Inc., by the Board of Directors on September 24, 2003. PROJECT/CONTRACT COST SUMMARY Original Contract Price $ 44,735,518.00 Previously Authorized Changes $ 0.00 This Change (Deduct) $ (1,967,158.00) Change Orders to Date 0.00 Percentage Increase to Date (4.40%) Amended Contract Price $ 42,768,360.00 Revised: 06/04/03 Page 2 v BUDGETIMPACT ® This item has been budgeted. (Line item: section 8, Page 73) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION The construction contract for an amount not to exceed $44,735,518 was awarded to J.F. Shea Construction, Inc., by the Board of Directors on September 24, 2003. The low bidder, J.F. Shea Construction, Inc., was approximately 20% higher than the engineer's estimate. At the September 4, 2003, PDC meeting, District staff explained that the main difference between the engineer's estimate and the bid was a result in an incorrect interpretation of the pipe size by the manufacturer. Staff stated that they would negotiate a change order to address the reduced size. Item No. 1 of this change order includes credits to the above mentioned concrete pipes and fittings of varying sizes (60 inches to 120 inches diameter) for changes in design criteria. Design criteria that were evaluated include the pipe thickness, pipe testing requirements and joint modifications. The design changes resulted in substantial savings without compromising on the quality of the pipe and pipe fittings. Item 2 of this change order was negotiated with the Contractor by making minor revisions to the pumps' lubrication system design and factory testing procedures. These revisions will not compromise the quality and performance of the pump and its accessories. Item 3 of this change order was negotiated with the Contractor without any changes to the performance specifications. During the course of these negotiations with the contractor, District staff worked with the Design Consultant, Black and Veatch Corporation, who concur with all of the above mentioned credits. ALTERNATIVES None CEQA FINDINGS The rehabilitation of Foster Pump Station (FPS) was included in the 1999 Strategic Plan Environmental Impact Report (EIR). The EIR was certified on October 27, 1999, and a Notice of Determination was filed on October 29, 1999. A Supplemental EIR (SEIR) Revised: 06/04/03 Page 3 0 D was completed for update of the Program EIR to reflect replacement of FPS rather than the rehabilitation indicated in the Strategic Plan. The SEIR was approved by the Board in December of 2002. ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order TB:dm HAntglobaKAgenda Draft Reports\PDCW-77 AR C01 022504.doc Revised: 06/04/03 Page 4 1, BUDGET INFORMATION TABLE Effluent Pump Station Annex JOB NO.J-77 ORIG114AL CURRE14T PROPOSED PROPOSED FUNDS THIS ESTIMATED PROJEC7lPHASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION A710N EXPENDITURE BUDGET INCREASE BUDGET DATE REOUEST AUTHORIZATION TO 70 DATE /DECREASE Phase 1-Project Development 21.000 21.000 S 21,000 S 2.100 S 2.100 S 2.100 Phase 2-Preliminary Desi n S 1.258.000 60,045 S 60,045 $ 60.045 $ - S 60.045 $ 60.045 Phase 3-Design 3.501.000 S 4.38i 823 S 4.387.823 S 4,387,823 $ 4.387 823 S 4.387.823 Phase 4-Construction 43,745,000 51,791,650 1 967 158 S 49.824 492 S 49.916.066 1 967 158 S 47.948 908 $ 110.984 Phase 5-Commissioning 376.000 376,000 S 376,000 S 376.000 $ 376.000 S Phase 6-Close-Out 94,000 94,000 94 000 $ 94,000 S 94.000 S Phase 7-Contin encv S 1 q762hOOO 1.762 000 1,967.158 3 729.158 S - $ PROJECT TOTAL $ 50.757,000 $ 58.492.518 S - S 58.492.518 $ 54.836.034 1$ (1.967,158) S 52.868.876 1 S 4,560.952 Reimbursable Costs CHANGE ORDER STATUS REPORT EFFLUENT PUMP STATION ANNEX JOB NO.J-77 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED AUTHORIZED TIME ITEM DATE COST TO DATE INCREASE/DECREASE TIME TO DATE (DAYS) (DAYS) CONTRACT 11/2412003 $44.735,518 $44.735,518 0.00 1315 1315 CQ NO t i:, Pensifng. (51987,i58j 442,76%360 (4AO),. A :4 15� � Page 1 of 4 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: One 1 Date: February 25, 2004 Job: Effluent Pump Station Annex Job J-77 Consultant: Black &Veatch Amount of this Change Order(Add# (Deduct) ($1,967,158.00) In accordance with contract provisions,the following changes in the contract and/or contract work are hereby authorized and as compensation,the following additions to or deductions from the contract price are hereby approved. ITEM 1 — DESIGN REVISIONS TO RCPP, RCCP AND STEEL PIPE This item is for savings in labor, materials and equipment for revisions made in the design criteria for large diameter Reinforced Concrete Pressure Pipe (RCPP), Reinforced Concrete Cylinder Pipe (RCCP) and Steel Pipe at the new Effluent Pump Station Annex located at Plant No. 2. The major revisions included reduction of pipe wall thickness for the RCPP and RCCP, elimination of the factory hydrostatic testing and allowing spiral welding of the Steel Pipe.The largest part of the cost savings in this item was associated with the reduction of the specified RCPP and RCCP pipe wall thicknesses. These revisions were requested by staff to provide the best value in these pipes with the least impact on the over-all performance and delivery times for the products or on the project schedule. District staff and the design consultant determined that these changes in certain design criteria would result in substantial savings with no impact on the quality of the products.This item was negotiated with the Contractor in accordance with Division 01, section 43.13.1 of the General Requirements. Reference District's Field Change Order No. 1 and J.F. Shea's letter dated December 18, 2003. ITEM DESCRIPTION OF REVISION COST SAVINGS RCPP Revise D-Loads (Indirect Design Method) ($498,000) RCPP Delete Hydrostatic Test inplant) $83,000 RCCP Revise Specials Min. Wall Thickness $6,400 RCPP Revise Pipe Fittings Test Requirements $43,000 RCPP Revise D-Loads Indirect Design Method $711,000 RCCP Revise Specials Min. Wall Thickness $23,000 RCCP I Revise Fittings Testing $77,000 Steel Pie Allow Spiral-Seam Welded Pie $55,000 Total $1,496,400 CREDIT THIS CHANGE ORDER ITEM: ($1,496,400.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days Page 2 of 4 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: One 1 Date: February 25, 2004 Job: Effluent Pump Station Annex Job J-77 Consultant: Black & Veatch ITEM 2 - DESIGN REVISIONS TO VERTICAL SHAFT CENTRIFUGAL PUMPS This item is for savings in labor, materials and equipment for revisions made to the Vertical Shaft Centrifugal Effluent Pumps and motors and factory witness test criteria for these pumps and motors to be installed in the new Effluent Pump Station Annex. District staff and the design consultant determined that by making minor revisions in the type of oil lubrication systems utilized on the pumps and by shipping only one motor and variable frequency drive assembly to the pump manufacturer's factory in Japan for factory tests, substantial savings to the District could be realized. Project specifications required all three motors to be shipped to the pump manufacturer's location for tests. These changes would provide the same type oil bath lubrication system currently used in the existing similar pumps and motors currently in use at Plants 1 and 2, and would not compromise the quality of the systems. This item was negotiated with the Contractor in accordance with Division 01, section 43.13.1 of the General Requirements. Reference District's Field Change Order No. 2, and J.F. Shea's letter dated December 18, 2003. CREDIT THIS CHANGE ORDER ITEM: ($177,000.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 3— DIESEL ENGINE GENERATORS This item is for labor, material and equipment cost savings associated with the Diesel Engine Generators to be furnished for the new Effluent Pump Station Annex project located at Plant 2. Discussions with the contractor, after award of the contract for this project, revealed the possibility of potential cost savings without any changes to the over-all performance specifications. Several negotiation meetings with the contractor resulted in substantial cost savings on the generators. This item was negotiated with the Contractor in accordance with Division 01, section 43.6.1 of the General Requirements. Reference District's Field Change Order No. 3, and J.F. Shea letter dated December 18, 2003. CREDIT THIS CHANGE ORDER ITEM: ($293,758.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days TOTAL CREDIT THIS CHANGE ORDER: ($1,967,158.00) TOTAL TIME EXTENSION THIS CHANGE ORDER: 0 Calendar Days Page 3of4 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: One 1 Date: February 25, 2004 Job: Effluent Pump Station Annex Job J-77 Consultant: Black &Veatch The additional work contained within this Change Order can be performed incidental to the prime work and within the time allotted for the original Contract and any extensions to the Contract time made by Change Order. It is therefore mutually agreed that no extension of time to perform the work is required for this Change Order, and no direct or indirect, incidental or consequential costs, expenses, losses or damages have been or will be incurred by Contractor, except as expressly granted and approved by this Change Order. SUMMARY OF CONTRACT TIME Original Contract Date: November 24, 2003 Original Contract Time: 1315 Calendar Days Original Completion Date: June 30, 2007 Time Extension this C.O.: 0 Calendar Days Total Contract Time Extension: 0 Calendar Days Revised Contract Time: 1315 Calendar Days Revised Final Completion Due Date: June 30, 2007 Time Subject to Liquidated Damages: N/A Actual Final Completion Date: N/A Original Contract Price $ 44,735,518.00 Prev. Authorized Changes $ 0.00 This Change (Add) (Deduct) $ (1,967,158.00) Amended Contract Price $ 42,768,360.00 I� f` Page 4 of 4 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction, Inc. C.O. No.: One 1 Date: February 25, 2004 Job: Effluent Pump Station Annex Job J-77 Consultant: Black & Veatch Board Authorization Date: February 25, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Date Construction Manager Approved by: David A. Ludwin P.E. Date Director of Engineering Accepted by: J.F. Shea Construction, Inc. Contractor Date EDMS 003761411 PDC COMMITTEE Meeting Date To Bd.of Dir. 2/5/04 2/25/04 AGENDA REPORT Item Number Item Number PDC04-08 13 i Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Hardat Khublall, Engineer SUBJECT: GISLER-REDHILL TRUNK IMPROVEMENTS, REACH "A", CONTRACT NO.7-36; ORANGE TRUNK IMPROVEMENTS, CONTRACT NO.7-39; G ISLE R-REDHILL/NORTH TRUNK IMPROVEMENTS, CONTRACT NO.7-41 AND CITY OF TUSTIN PROJECT NUMBERS 6106 AND 6151 GENERAL MANAGER'S RECOMMENDATION Approve a reimbursement agreement with the City of Tustin to reimburse the Orange County Sanitation District for the construction cost of two City water line projects located in Prospect Avenue and Cameron Lane in connection with Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; Gisler-Redhill/North Trunk Improvements, Contract No. 7-41 , and City of Tustin Project Numbers 6106 and 6151 , for an amount of $665,211 , plus administrative fees, in a form acceptable to General Counsel. SUMMARY • The Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36; Orange Trunk Improvements, Contract No. 7-39; and Gisler-Redhill/North Trunk Improvements, Contract No. 7-41 , are located within the Cities of Tustin and Orange and unincorporated areas of the County of Orange. These separate sewer improvement projects, managed as one construction contract for improved efficiency and coordination consist of approximately seven miles of sewer pipelines. • The District's construction contract, which included the three District's sewer line contracts and the two city water line projects, was awarded to ARB, Inc., the low bidder, for an amount not to exceed $18,375,999 at the District's January 28, 2004 Board of Directors Meeting. The anticipated start date for this construction contract work is early March 2004. • At the request of the City, the Orange County Sanitation District (District) has agreed to bid, administer, and manage two City water line projects located in the same area as the District's Gisler-Redhill/North Trunk Improvements. The total competitively bid amount for the two city water line projects is $665,211 . • This Reimbursement Agreement provides for the City to pay for the entire construction cost for the City water line projects proposed to be installed by the District's contractor. In addition, this agreement includes a reimbursable amount to the District of S2,000 for modifying the District's plans and an overall estimated 5% for administration and management costs. Page 1 Revised: 06/04/03 • The City agrees to deposit the total bid amount of $665,211 with the District through this agreement within forty-five days from the effective start date of the District's construction contract. A final payment will be made at the end of the contract once the District's accounting is complete. • The City Council has previously approved this agreement. PRIOR COMMITTEE/BOARD ACTIONS The Board of Directors at its January 28, 2004 meeting, awarded a construction contract to ARB. Inc. for an amount not to exceed $18,375,999 for Gisler-Redhill Trunk Improvements, Reach "A", Contract No. 7-36: Orange Trunk Improvements, Contract No. 7-39; Gisler-Redhill/North Trunk Improvements, Contract No. 7-41 and City of Tustin Water Line Project Nos. 6106 and 6151 . PROJECT/CONTRACT COST SUMMARY The City's portion of the construction contract is $665,211 . Funds will be deposited with the District per this agreement to pay these costs. BUDGET IMPACT ❑ This item has been budgeted. (Line item:) ❑ This item has been budgeted, but there are insufficient funds. ® This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION The District frequently cooperates with municipalities and has entered into similar agreements in the past successfully. ALTERNATIVES None Suggested. CEQA FINDINGS This District's sewer line contracts were included in the District's Strategic Plan Environmental Impact Report that was certified on October 27, 1999. A notice of Determination was filed on October 29, 1999. ATTACHMENTS Budget Information Table HK:jo:lc H:,,ntglobaKAgenda Draft Reports\PDC\7-36 7-39 7-41 Agenda Report 010604.doc Page 2 Revised: 06/04/03 BUDGET INFORMATION TABLE GISLER-REDHILL TRUNK IMPROVEMENTS.REACH"A" CONTRACT NO.7-36, ORIGINAL CURRENT PROPOSED PROPOSED FUNDS TTAS PROPOSED ESTIMATED PROJECT:PHASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION TOTAL EXPENDITURE BUDGET BUDGET INCREASE rT)ECREASE BUDGET DATE REOVEST AUTHORIZATION TO DATE Phase 1-PrcjQ0 Devel s 30.000 S 3c G>3 S 30 0rx S 29 810 Phase 2-Prell-na D—nr $ 67.000 S 67.000 S 67.000 S 67.000 $ 6,767 Phase 3-Devi n E 369+000 S 417.000 S 417 000 $ 417.000 $ 417.000 $ 370.062 Phase 4-Construction S 6.386.000 S 5 6609298 S SOW298 $ 4,925.874 $ 4,925.874 Phase 5-Commissioning $ 90 437 s 90.437 90.437 $ 90.437 Phase 6•Cbsa0ul S 22.608 22.608 S 2.2.608 S 22.608 Phase 7-Conlin encv S 1 0324000 $ 7790356 £ 779.355 PROJECT TOTAL S 7 832000 S 7066698 S 7.066.6" 5,552 919 S 5.552.919 S 406.659 Reimbursable Costs PROJECT NET S 7 s 7 066.698 S 7 066 633 5.352919 1 S 5 z2 t406.659 PSA/Conlracl Deli n PSA S 223.176 S 255461 cwslnrctro Callrxt is 6.386.000 S 73442s 1 s I I 246 443 1 1 S 4_46 443 $ ��Ao BUDGET INFORMATION TABLE ORANGE TRUNK IMPROVEMENTS CONTRACT NO.7-39 ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED PROJECT,'PHASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZEDTO AUTHORIZATION TOTAL EXPENDITURE BUDGET BUDGET INCREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE /DECREASE Prase 1-Pro e:;Development S 37.000 $ 32.0D0 $ 32.0DO 32.000 S 32.000 $ 31.777 Phase 2-Preliminary Desl n is 70,000 $ 70.000 S 70.000 $ 70,000 S 3.441 phase 3-Devi n $ 326.000 S 320 999 S 320.936 320.999 $ 320,999 S 300.112 Phase 4-Construction S 4,718.000 $ 4,251.415 $ 4,251415 4.251.415 $ 4,251,415 Phase 5-Commimoning $ 61.735 S 61,735 61.736 S 61,736 Phase 6-Close-Out S 15-434 Is 15434 $ 15.434 S 15,434 Phase 7-Contingency $ 759,000 $ 546.346 $ 546.346 PROJECT TOTAL $ 5.840,000 S 5297.929 S - $ 5.97.92E 4.751,583 S - S 4,7514583 S 335.326 Reimbursable Costs PROJECT NET S 5.B40,000 929 1$ S 5.297 9Ct• S 4 751.583 S $ 4.751.583 1 S 335.326 PSA/Contract Des-n PSA $ 236,641 $ 236,641 11 Corlstructron Contract S 4,718,000 1$ 4113.733 s 4.113.733 11$ 4,113,733 1$ 4.113733 $ 0 PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-09 13 Orange County Sanitation District FROM: David Ludwin. Director of Engineering Originator: Kathy Millea, Engineer SUBJECT: REHABILITATION OF THE ACTIVATED SLUDGE PLANT AT PLANT NO. 2, JOB NO. P2-74 GENERAL MANAGER'S RECOMMENDATION (1) Approve Professional Services Agreement with MW H Americas, Inc. for engineering services for Rehabilitation of the Activated Sludge Plant at Plant No. 2, Job No. P2-74, for an amount not to exceed S2,139,998: and (2) Authorize General Manager to issue Task Authorizations not to exceed $100,000. SUMMARY • The purpose of this project is to ensure that the Activated Sludge Plant at Plant No. 2 can operate at its designed capacity with a high degree of reliability. The original aeration basins and secondary clarifiers are over 20 years old and in need of equipment replacement. • Job No. P2-74 is one of six projects designated by the Capital Improvement Program (CIP) as required in order to meet the District's goal of full secondary treatment by 2012. • The Professional Services Agreement (PSA) includes the following: 1 . Condition assessment and replacement of the major secondary treatment piping systems and mechanical equipment that have begun to fail or are at the end of their useful life. Preparation of a Technical Memorandum evaluating the process of the high-purity oxygen (HPO) activated sludge system to determine the most cost-effective method to improve sludge settling characteristics in order to achieve better and more consistent effluent quality. 2. Automation of the secondary treatment systems to the level of unattended operation during normal operating conditions. 3. Detailed constructability and construction sequencing analysis. 4. Air Quality Management District (AQMD) permit support services. 5. Preparation of bidding and construction documents. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 13(j).MWH Americas.doc Revised: 06/04/03 Page 1 • Once the construction contract cost is known, staff plans to request additional funding for Construction Management support. • Proposals were sent to seven engineering firms. Five proposals were received and evaluated in accordance with District procedures. Staff recommends the approval of the PSA to MWH Americas. Inc. for an amount not to exceed $2,139,998. • Once approved by the Board, the PSA includes a provision for the General Manager to approve task orders totaling $100,000 in order to expedite the continuation of the work during the design phase. This is approximately 5 of the design PSA amount and it allows the General Manager to expeditiously continue with the design process when small changes arise. Each task order will have to be approved by the General Manager and will include a Scope of Work and schedule. PRIOR COMMITTEE/BOARD ACTIONS None PROJECT/CONTRACT COST SUMMARY The proposed PSA is a new contract. The PSA amount and budget necessary for the project are presented in the attached Budget Information Table. Authorization of $2,139,998 for Consultant design services is being requested, as well as the budget reallocation of $626,458 from Contingency to Phase 3 Design. Also requested is the reallocation of $180,000 from Phase 2 Preliminary Design to Phase 1 Project Development. A thorough and detailed Project Development was performed which substantially reduced scope of the Preliminary Design. BUDGET IMPACT ® This item has been budgeted. (Line item: 2003-04 CIP Budget, Section 8, Page 58) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION Background The secondary plant was constructed in 1982 and much of the mechanical equipment has exceeded its useful life. The required modifications will increase reliability, improve performance, lower operations and maintenance costs, and improve health and safety issues. This project is in keeping with industry practices as required for reliable and dependable plant operations. The required modifications are consistent with the District's System Replacement Plan/ Replacement Planning Model. Wdephagenda\Board Agenda Repons12004 Board Agenda Repor1s10204U1em 13(j).MW H Americas.doc Revised: 06/04/03 Page 2 Consultant Evaluation and Selection Procedures A Request for Proposals was issued on November 24, 2003 to seven engineering design firms. Five firms submitted proposals on December 22, 2003: Black & Veatch, Brown and Caldwell, CGvL Engineers (teaming with Metcalf & Eddy), Lee and Ro, Inc., and MWH Americas, Inc. Carollo Engineers and PBS&J declined to submit proposals. Submitted proposals were transmitted to the Staff Evaluation Team and evaluated in accordance with defined procedures. Based on the Staff Evaluation Team ranking, MWH Americas, Inc. had the highest ranking technical proposal, as well as the best overall proposal as indicated in the attached Proposal Evaluation Report. Proiect Schedule and Consultant PSA The timeline of this project is critical in order to comply with the District's full secondary commitments. The scope of work has been carefully defined, but due to the nature of rehabilitation projects, some yet unidentified scope items may be needed to make the project complete. Additional scope may also be necessary if any of the studies determine a cost-effective modification to the existing system. In order to plan for such scope additions and expedite the design to reduce schedule delays, the Consultant's scope of work has been written to include a provision for the General Manager to authorize proceeding with task orders totaling $100,000. This will allow the Consultant to continue work on the design without delay to the schedule due to administrative procedures. All such task orders will include a defined scope of work and schedule. The PSA amount is higher than the budgeted amount for the design of this work, but this amount is consistent with the other proposals. The PSA amount does not include costs for construction or commissioning services; these amounts will be determined once the design is complete and the scope of services is better defined. While the PSA amount is higher than the budget for the Consultant design services, it does not exceed the total budget for Consultant Services. Therefore, no budget increase is requested at this time. ALTERNATIVES Operate and continue to repair and rehabilitate the existing facilities. Staff does not recommend this option because it will not meet the District goals of reducing Operations and Maintenance requirements, as well as not providing a reliable process to treat wastewater at full secondary capacity. CEGA FINDINGS This project is included in the Full Secondary Subsequent EIR being prepared under Job No. J-40-10. The Subsequent EIR is scheduled to be certified in March 2005. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3. Summary of Staff Evaluation of Proposals and Staff Recommendation KM:jo H:\deptlagenda\Board Agenda Reports\2004 Board Agenda Reports\0204U1em 130).MWH Americas.doc Revised: 06/04/03 Page 3 REHABILITATION OF THE ACTIVATED SLUDGE PLANT AT PLANT NO.2 JOB NO.P2-74 ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED BUDGET PROJECT/PHASE AUTHORIZED PROJECT INCREASE REVISED AUTHORIZED ION AUTHORIZAT TOTAL EXPENDITURE BUDGET BUDGET /DECREASE BUDGET DATE REOUEST AUTHORIZATION TO DATE �haw 1-Pr'ecl Developmom S 100,000 S 100,000 $ 180.000 $ 280.000 S 100.000 $ 180.000 $ 280.000 S lea—C Phase 2-Preliminary Desi n S 383.218 $ 383218 $ 190.000 S 203,218 S 383.218 S 180.0001 S 203.218 S 1cC Cal Phase 3-Des n $ 2229311 $ 2.299.311 S 626.458 S 2.225,769 S 785.771 S 2.139.998 S 2,925.769 S P mass 4-Constnjchon S 14.817.780 S 14AI7.780 S S 14.817.780 S - S - S - $ Phase 5.Commis onthg S 25SA78 $ 255.478 $ S 255.478 S - $ $ $ Phase 6-Close•Ou/ $ 63,870 $ 63.870 S - S 63.870 S $ - $ - $ Phase 7-Conk e S 2.554.790 S 2.554.790 S 1626.458 E 1.928,332 S - $ - S S PROJECT TOTAL $ 20474447 $ 20474.447 S S 20 a7a.4ai 1.268.989 f 2.139.998 $ 3.408.987 S 380.000 R—bv,saDla Costs PROJECT NET I S 20.1744-7 S 2C 47444'1 S S 20374.447 S 1,268.989 S 2.139.998 1 S 3408.987 S 390 C•__ PSA/Contract L0"—'2n P. S 2196.626 S 2.196.626 S S 2,196.626 S - S 2,139.998 S 2 139998 S mtrudion Contract S 12.909.671 S 12.909.671 1 S -IS 12.909.671 S S - $ .11 EDW 00376200, Professional Services Agreement Status Report REHABILITATION OF THE ACTIVATED SLUDGE PLANT AT PLANT NO. 2 JOB NO. 132-74 Total Project Budget: $20,474,447 Consultant: MWH Americas, Inc. Start Date of Project: April 12, 2004 Date Amendment Description Cost Accumulated Costs 2/25/04 Original PSA Original Design Services 2,139,998 2,139,998 EDMS: 003762565 Rehabilitation of the Activated Sludge Plant at Plant No. 2 Job No. P2-74 Proposal Evaluation Report Request for Proposals (RFPs) were sent on November 24, 2003 to the following seven engineering consulting firms: • Black & Veatch • Brown and Caldwell • Carollo Engineers • CGvL Engineers (teaming with Metcalf & Eddy) • Lee and Ro • MWH Americas, Inc. • PBS&J Carollo Engineers and PBS&J declined to submit proposals. As a result, there were five responsive proposals received on December 22, 2003. Proposals were transmitted to an evaluation team comprised of six District staff members. The team met on January 6, 2004 to evaluate the proposals. Each proposal was scored from 1 to 10 (10 being best) in six categories described below: 1. Project Approach (Evaluation Criteria Weighting Factor = 5) Rates the Consultant's understanding of the technical aspects of the Scope of Work included in the RFP and their approach to the work, methodology, and task breakdown. 2. Plan for Managing and Performing the Work, and Quality Control (Evaluation Criteria Weighting Factor= 4) Rates the Consultant's project management methods and procedures for performing the tasks and interacting with District staff, as well as their Communication Plan, Document Control Plan, and Quality Control Plan. 3. Proposed Schedule (Evaluation Criteria Weighting Factor= 3) Rates the Consultant's proposed schedule, level of effort in scheduling project details, and scheduling tools and techniques. 4. Staff Qualifications (Evaluation Criteria Weighting Factor = 3) Rates the Consultant's proposed team members in terms of educational background, professional qualifications, experience, and current work location. 5. Related Company Experience (Evaluation Criteria Weighted Factor = 3) Rates the Consultant's recent experience on projects similar to the Scope of Work as related directly to the design and construction support for this project. 6. Team Organization (Evaluation Criteria Weighted Factor = 1) Rates the Consultant's proposed project organizational chart and the appropriateness of staff assignments. 003762573 r After reviewing and evaluating the proposals, the Evaluation Team ranked the five proposals according to the score achieved. The attached Table No. 1 presents the results of the team evaluation and the proposals received. The two top ranked firms were ranked as follows: 1. MWH Americas, Inc. 972 Points 2. Black & Veatch 855 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: MWH Americas, Inc. The MWH Americas, Inc. proposal was collectively ranked as the best overall proposal received. This proposal was ranked first by five of the six reviewers. Overall this proposal was viewed as having been very detailed and responsive with a clear understanding of the project. The staff proposed for the project was viewed as excellent, and all the major team members are located in the same, local office. There was some concern about their lack of recent experience at the District, especially in terms of meeting our sophisticated Instrumentation and Control standards. MWH Americas, Inc., however, acknowledged this fact in their proposal. To demonstrate their proactive willingness to comply with the District's standards, they purchased the Intergraph PDS software and hired Intergraph to train their instrumentation design engineers on both the software and the District standards. MWH Americas, Inc. also included in their proposal a sample design configured to the District's standards of an activated sludge aeration control system they recently developed for the City of Simi Valley. The following attributes formed the basis for MWH Americas, Inc.'s high ranking: 1. Technically competent and very communicative Project Manager and Project Engineer. 2. Solid understanding of the scope of work and needs of the District. 3. Thorough Quality Control plan. 4. Excellent team members 5. Major team members located in the same, local office. 6. Proactive demonstration to show willingness and ability to comply with the District standards. Fee Proposals After the final ranking of the technical proposals, the sealed fee proposals submitted by all the firms were opened. The total fee received from the consultants arranged in the order of the final technical ranking was: MWH Americas, Inc. $2,358,559 Black & Veatch $2,945,024 CGvL Engineers $1,707,146 Brown and Caldwell $1,802,000 Lee & Ro, Inc. $1,993,754 003762573 T The MWH Americas, Inc. proposal was the second highest proposal at $2,358,559. This proposal seems to be comparatively in line with the other candidates, and the differences did not warrant a change in the panel's choice. The review panel recommended award of the PSA to MWH Americas, Inc. pending a meeting to verify the entire package with the consultant. Following the selection process, OCSD staff and MWH Americas, Inc. met to review and verify the scope of work. The complete project scope and fees were discussed. Without cutting the scope of work, the total labor hours were reduced by streamlining tasks and combining meetings. The revised proposal was amended to $2,039,998. Staff is recommending the authorization of an additional $100,000 to be added for miscellaneous task orders as approved by the General Manager. This contingency will expedite the continuation of work during the design phase in order to meet the tight schedule mandated by the Full Secondary program. Based on the data provided above plus the highest technical ranking, Staff recommends that MWH Americas, Ins. be awarded the Professional Services Agreement (PSA) for Rehabilitation of the Activated Sludge Plant at Plant No. 2, Job No. P2-74 for a total design fee not to exceed $2,139,998. KTM: EDMS:003762573 003762573 TABLE 1 Rehabilitation of the Activated Sludge Plant at Plant No. 2 Job No. P2-74 Veatch Caldwell Reviewer A 132 131 138 118 155 Reviewer B 143 143 120 108 151 Reviewer C 150 129 186 132 175 Reviewer D 128 119 124 109 141 Reviewer E 157 157 115 125 185 Reviewer F 133 118 139 104 159 TOTAL 855 814 837 719 972 SCORE AVERAGE 78 74 76 65 88 SCORE TECHNICAL 2 4 3 5 1 RANKING TABLE 2 Rehabilitation of the Activated Sludge Plant at Plant No. 2 Job No. P2-74 Black & •wn Veatch Caldwell Hours 21,321 12,462 15,143 16,552 15,533' (Phase 3, Design) Costs, $ $2,945,024 $1,802,000 1,707,146 1,993,754 2,358,559" (Phase 3. Design) Cost per hr, $138/hr $145/hr $113/hr $120/hr $152/hr`x $/hr (Phase 3, Design) Note: Proposal changed to S2,039,998 (14,333 hours) and also includes a S100.000 task order authorization for a total of S2,139,998. *' The negotiated average hourly rate is $142/hour EDMS: 003762573 003762573 PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT item Number Item Number PDC04-11 13 k Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Jim Herberg, Engineering Manager SUBJECT: REHABILITATION OF ELLIS AVENUE PUMP STATION, JOB NO 1-10 GENERAL MANAGER'S RECOMMENDATION Authorize the circulation of the revised Notice of Preparation for the Rehabilitation of Ellis Avenue Pump Station, Job No. 1-10, for public review. SUMMARY • Replacement of the Ellis Avenue Pump Station is needed to balance flows between Reclamation Plant No. 1 and Treatment Plant No. 2 in accordance with the 2002 Interim Strategic Plan Update. The Ellis Avenue Pump Station diverts some of the flows destined for Treatment Plant No. 2 to Reclamation Plant No.1 to match the treatment capacity at each plant. Secondly, the Station is needed to maintain a minimum flow to Reclamation Plant No. 1 to maximize flows available for reclamation by the Orange County Water District. • The full replacement of the Ellis Avenue Pump Station was not included in the 1999 Strategic Plan Program Environmental Impact Report, therefore, the District must prepare and circulate a Subsequent Environmental Impact Report (EIR). A Notice of Preparation (NOP) of an EIR was released to the public in August 8, 2003. The NOP discussed two potential pump station sites. • An NOP Scoping Meeting was held on August 25. 2003, and public comments and suggestions have been used to develop more potential pump station sites for consideration. There was significant public input against the two sites presented at the meeting. After the meeting, additional alternative pump station sites were identified and screened for feasibility. A total of eleven sites have been identified and have been given an initial engineering screening. • Staff held another public workshop meeting on December 2, 2003 to get public input. The public was asked for input on the need for the project, important criteria to consider when evaluating alternatives, and which of the eleven alternatives they liked best and least, and why. • Based on the engineering and technical evaluation, the public input from the two public meetings, legally mandated CEQA requirements to consider a reasonable range of alternatives, and a life cycle cost evaluation, Staff proposes five sites of the eleven be included in the Revised NOP. Revised: 06/04/03 Page 1 PRIOR COMMITTEE/BOARD ACTIONS On September 25, 2002, the Professional Services Agreement (PSA) was approved by the Board of Directors, and on November 19, 2003, Amendment No. 1 to the PSA was Board approved with Malcolm Pirnie, Inc., for Ellis Avenue Pump Station Rehabilitation, Job No. 1-10, for a total current contract amount not to exceed $3,586.082. PROJECT/CONTRACT COST SUMMARY The total budget estimate for Ellis Avenue Pump Station Rehabilitation, Job No. 1-10 is $33,837,000. This request will not increase or decrease the approved budget estimate. BUDGETIMPACT ® This item has been budgeted. (Line item: FY 2003-04 Budget, Page 8-46) ❑ This itern has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION The attached map shows the eleven potential pump station locations. A summary of the two public meetings on the project is presented below. NOP Scoping Meeting, August 25, 2003 This meeting was held as part of the District's normal procedure during CEQA. A presentation was made describing the CEQA process and the two recommended alternatives for further CEQA detailed study. An open forum of questions and answers were made throughout the duration of the meeting. No formal agenda was followed. Approximately 205 people attended the meeting. The outcome of the meeting was clear public opposition to the two alternatives presented. The District committed to going back to see if some of the new sites suggested at the meeting would meet project objectives. In addition, the District committed to investigating other potential sites not suggested. Public Workshop, December 2, 2003 A public workshop was held at the Mile Square Golf Course Clubhouse on December 2, 2003. The workshop was held to inform the public and to receive input from the surrounding residents about the considerations they felt were most important in evaluating the alternatives, and the alternatives that appeared to be most promising and should be retained for further consideration at the upcoming EIR Scoping Meeting. Sixty-six members of the public attended the workshop. Essential background information on the pump station project were presented to the attendees, namely: (1) the wastewater flow management problem facing the District and the community: (2) the alternative locations now being considered for siting a new Fc,,�ed CC,04(,; Page 2 A pump station to solve this problem; and (3) the steps in the environmental study and project selection process. Following a question and answer period, the rationale for the small group discussion was presented. The results of the small group discussion sessions would be thoroughly considered by the District and, where appropriate, be used to narrow the current pump station candidate alternatives to a shortlist of alternatives for consideration at the NOP Scoping Meeting in early 2004. The attendees were formed into six discussion groups of eight to twelve people. Each participant had already received a prepared Discussion Guide, Problem Statement, and Fact Sheet. The handouts contained enough information and data about the proposed Ellis Ave Pump Station. (Each of these support materials is found in the Appendix to this report). Each group was charged with arriving, if possible, at a consensus about the topics and issues it discussed and with selecting a spokesperson to deliver a verbal summary of its findings to all participants. The findings and conclusions of the six discussion groups have been aggregated into four distinct categories, each reflecting a different level of agreement among the groups about a given topic or issue. These categories are: Consensus, Near Agreement, Majority, and Small Minority. Consensus: There was unqualified or unanimous agreement among the workshop discussion groups about the following: • The wastewater flow management problem facing the District's service area is serious and important and needs to be addressed now. • The potential impacts and consequences to homes in the study area related to site acquisition, pump station construction and operation are the most important considerations in evaluating the candidate alternatives. • Alternative "A" (siting the pump station at Reclamation Plant No. 1's north corner, near Administration Building) is the most favorable and promising option for solving the service area's wastewater flow management problem. • Alternatives "E" (Callens Ranch) and "I" (Ellis and Bushard corner) are the pump station alternatives least worthy of further consideration. Near Agreement: The widespread support among Workshop participants with respect to the following findings was tempered by the fact that it represented a level of agreement that was just below consensus: • Alternative "C" (siting the pump station at Reclamation Plant No.1's south comer) is one of the most favorable and promising pump station alternatives under consideration. • Alternative "F" (Fountain Valley High School north or south site) is one of the least promising and acceptable pump station alternatives under consideration. • Cost is the least important consideration in determining the relative merits of the pump station alternatives. Majority: The following finding was reported by half or just more than half of the discussion groups: Revised: 06/04/03 Page 3 e • Alternative "B" (a commercial site located directly north and across the street from Reclamation Plant No.1) is a promising option that should be retained for further study. • Alternatives "H" (Methodist Church) and Alternative K (Garfield and Bushard) should be dropped from further consideration. Small Minority: The following were the suggestions of one or two participants who represented a small percentage of the output of their respective discussion group: • Retain Alternative "D" (Moila School) for further study • Retain Alternative "G" (Talbert and Bushard) for further study • Retain Alternative "J" (Underground at Ellis and Bushard intersection) for further study Upcoming EIR Process Schedule considerations for this project are critical to meeting our operational goals, including bypassing flows for construction of the Replacement of the Treatment Plant No. 2 Headworks in 2008, and providing flows to the Orange County Water District for Reclamation. The present EIR schedule is essential in order to have the pump station constructed in time for these needs: • Revised NOP — Late February/ Early March, 2004 • Scoping Meeting— March, 2004 • Draft EIR —June /July, 2004 • Draft EIR Comments Received — August, 2004 • Public Hearing —August, 2004 • Certification of Final EIR by the District's Board of Directors — September, 2004 ALTERNATIVES Not circulating the NOP at this time would result in delays to the project and our ability to divert flows for reclamation and replacement of the Treatment Plant No. 2 Headworks. CEGA FINDINGS This project was not included in the 1999 Strategic Plan Program Environmental Impact Report. A Subsequent EIR is being prepared. ATTACHMENTS 1. Location Map for alternative Pump Station Locations 2. Fact Sheets from Public Workshop JDH:sa HAntgloballAgenda Draft ReportsTDCU-10 AR—NOP Release_020504 PDC.doc Revised: 06/04/03 Page 4 tit + �#.K�•'� f":�, � ' *��� � i �' s to ifltl Zltr'�itg+�,i" ( y �F�1 •�� �Mr..l+�IW��.�r. l r' i�� �' �l ���.• � y� . �: ` { ' �"»i'.� 'S; Z �. i� .°.»✓A# i {gyp `+���� f41"7�' W t • H L � i +; �� 4. i �""s i�i?i' ,fin �� n jib J;` �� �•. ,�} •� ... foul I •; � ' f �f i � � � K :; (Fi •� ��,��'�,�e,1.���+`!y!',�'��' 8J� � .. art �,; t tllY''•' _ r �. � ] 9''�t.f !�' i� +wtii3t.� �� .t, j '^j �['.1tJ � 4:• } ' ',Fyj P��'►`f`N�•'� � � �j rT'�''• !`� r'i771 t ��' •• � a.. �`,L; �•, ,� � J..L -�I R4� �lK ..i�7i:.. •� 'C"�l K6 S y�,� �I:� 1.. ry� Ili M Awl '` . wl i }� },r i ; ,..t~YI. j�� a ai nil ( '' trx . �t,3 - '.{ ♦- `j t f ATTACHMENT 2 p FACT SHEET Replacement of Ellis Avenue Pump Station Project December 2, 2003 1. WHAT HAS BEEN DONE TO DATE? • Public comments and suggestions from the August 25, 2003 Notice of Preparation (NOP) Scoping Meeting have been used to expand the study area and to develop more potential pump station sites for consideration. • We have developed clear minimum requirements that any suggested site must meet in order to be given further consideration as an alternative. • We are revising the NOP and will issue a Revised NOP based on previous public comments and your input from tonight's meeting. 2. LIST OF POTENTIAL SITES ALTERNATIVE A: OCSD Reclamation Plant No. 1 (north corner) ALTERNATIVE B: Ellis & Pacific ALTERNATIVE C: OCSD Reclamation Plant No. 1 (south comer) ALTERNATIVE D: Moiola School ALTERNATIVE E: Callens Ranch ALTERNATIVE F: Fountain Valley High School (north or south site) ALTERNATIVE G: Talbert & Bushard ALTERNATIVE H: Methodist Church ALTERNATIVE 1: Ellis and Bushard ALTERNATIVE J: Ellis Avenue (underground) ALTERNATIVE K: Garfield and Bushard J Alternative B — Ellis and Pacific Z. •-1 _ l 405 Fwy The above photo depicts an aerial view of the proposed Ellis Avenue, North of Plant No. 1 site. North is to the top of the photo. Ellis Avenue is shown running east and west at the top third of the photo and Pacific is shown running north and south at the top center of the photo. The existing Plant No. 1 Administration Building is shown at the lower left center of the photo. The proposed site consists of one of the existing commercial buildings located north of Ellis Avenue. This site would be surrounded by existing commercial properties. FACTS', • Site construction in property currently zoned commercial. • Residences within 1000 feet of construction. • Traffic impacts: c On Ellis Avenue - Bushard to the 405 Fwy c On Pacific Street— Up to 700 feet • Size of Site = 25,000 — 35,000 square feet, with width greater than 80 feet. • Major construction tie in on Pacific Street and on Ellis Avenue in and out of OCSD Reclamation Plant No. 1 • Cost Estimate: HIGH ($44,000,000) 5 Alternative D — Moiola School OL ... � r_ •.'Q+� � � � �._J..'-�. _� -ter• �- -.. / -+...a t This photo illustrates the access to the school site. Access is limited to Finch Avenue and Redwood Street, which connect to Bushard Street via four different avenues. The photo is looking south with Ellis Avenue shown at the bottom of the picture. Please note the Callens Comer Shopping Center to the left has a delivery alleyway that extends off Ellis Avenue all the way back to Finch Avenue. Swimming pools can be seen on the residential property that backs up on the alley. FACTS: • Site construction on school property. Behind commercial shopping center. • Residences within 200 feet of construction. • Traffic impacts: o On Finch - Moiola School to Redwood Street o On Callens Circle - Finch to Ellis o On Ellis— Callens Circle to 405 Fwy • Size of Site = 23,000 square feet, with width greater than 80 feet. • Major construction on Ellis. • Cost Estimate: LOW ($32,884,000) 7 Alternative F — Fountain Valley High School (north or south site) mum Arnow I 2 _ •y• r 1 f - The above aerial photo illustrates the Fountain Valley High School, which is north of Talbert Avenue and east of Bushard Street. Bushard Street is visible in the photo to the left of the campus. There are two alternate sites proposed at this location, as marked by black boxes.The closest residential properties are 150 to 200 feet away. Across Bushard, to the west, is a new retirement community that is currently under construction FACTS: • Site construction on property currently zoned public. • Residences within 200 feet of construction. • Traffic impacts: c On Bushard- FVHS to Ellis. On Ellis—Bushard to 405 Fwy • Size of Site = 23,000 square feet,with width greater than 80 feet. • Major construction ties on Ellis and Bushard • Cost Estimate: MEDIUM ($40.690,000) 9 Alternative H — Methodist Church V +: This photo illustrates the United Methodist Church property. Bushard Street is shown to the right and Fallen Leaf Circle is to the south. FACTS: • Site construction on property currently zoned commercial • Residences within 100 feet of construction. • Traffic impacts: o On Bushard - Pump Station Site to Ellis. c On Fallen Leaf Circle —Adjacent to Church to Bushard c On Ellis — Bushard to 405 Fwy • Size of Site = 23,000 square feet, with width greater than 80 feet. • Major construction ties on Ellis and Bushard • Cost Estimate: MEDIUM ($34,219,000) ' 11 Alternative J — Ellis Avenue (underground) ..SI :7 0xv, a `r r. O - The above photo depicts an aerial view of the proposed Ellis Avenue / Bushard Street site. North is to the top of the photo. The existing Ellis Avenue Pump Station and Diversion Structure 95 are located below the street at the intersection. The proposed pump station would be located west of Bushard Street and below the pavement in Ellis Avenue, similar to the existing pump station. The facility would have to encroach on the cul-de-sac north of Ellis Avenue, as depicted by the dashed black rectangle. FACTS: • Site construction on street right-of-way. • Residences within 100 feet of construction. • Traffic impacts: o On Bushard - At Ellis intersection o On Ellis — 300 feet west of Bushard to 405 Fwy • Size of Site = about 20,000 square feet, with width greater than 80 feet. • Major construction ties on Ellis and Bushard • Cost Estimate: LOW ($33,190,000) 3. WHAT ARE THE NEXT STEPS? 1. OCSD will prepare and deliver a FEEDBACK REPORT from this meeting — Jan, 2004 2. ENVIRONMENTAL REVIEW (CEQA) • The Revised Notice of Preparation (NOP) will be prepared incorporating the information gained from tonight's meeting and will be mailed to you — late Dec, 2003 • A formal Public Scoping Meeting will be held —Jan, 2004 • A Draft Environmental Impact Report (EIR) will be prepared and released for a 45-day public review period — April — May, 2004 • A Public Hearing on the Draft EIR will be held —June 2004 • A Final EIR will be prepared —July — Aug, 2004 e OCSD Board will certify the Final EIR — Aug, 2004 3. DESIGN of the project facilities is scheduled to take place — May, 2004 — July, 2005 4. CONSTRUCTION of facilities — November, 2005 — April, 2007 -- t1.-i,Iv. - I- t-V V1uI.. 1-1llJIIll..l.iIII11J OUI VIl1GJ IVI O1JLJ IVV. 1 I IUL VVQIG GVQIUCALl-, .l I[[ accordance with District procedures and the Black & Veatch/CDM team received the highest ranking. Additional information on the evaluation ranking is contained in the attachment. The history of project cost estimates is presented in Table No.1 . The approved FY2003/04 CIP Budget included S22,084,000 for Phases 2 and 3 consultant engineering services. In November 2003, Staff prepared an estimate of the Phases 2 and 3 consultant services, based on changes in the scope of the project and the final engineering Scope of Work presented in the Request for Proposals. At that time, Staff estimated the consultant engineering fees of Phases 2 and 3 to be $18.928,000. The proposed fees, submitted in the proposals, were $16,122,899 from Carollo Engineers and $20,930,111 from Black & Veatch Corporation. Several meetings were held with Black & Veatch to discuss the basis of their fee estimate and to clarify the District's Scope of Work. Based on these meetings, Black & Veatch Corporation's negotiated fee fnr Phocn ') onrl Phoco '2 nnriinnnrinn cnntiroc is (Z1 7 RQF AQ'� Thic nrnnncArl fAA is PDC COMMITTEE Meeting Date To Bd.of Dir. 02/05/04 02/25/04 AGENDA REPORT Item Number Item Number PDC04-10 13(I) Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: David MacDonald, Project Manager SUBJECT: Secondary Activated Sludge Facility 2 at Plant No.1 , Job No. P1-102 GENERAL MANAGER'S RECOMMENDATION: (1) Approve the Professional Services Agreement with Black & Veatch Corporation to provide engineering services for the Secondary Activated Sludge Facility 2 at Plant No.1 , Job No. P1-102, for an amount not to exceed $17,896,463; (2) Authorize the General Manager to issue Task Authorizations not to exceed S200,000; and (3) Authorize the General Manager to issue Task Authorizations between $200,000 and $500,000 providing there is a time sensitive need AND a PDC meeting cannot be called within 72 hours. SUMMARY: • The purpose of this project is to prepare a preliminary design report (Phase 1) and construction plans and specifications (Phase 2) for a new activated sludge facility at Plant No.1 . • Job No. P1-102 is one of six projects designated by the Capital Improvement Program (CIP) as required to meet the District's goal of full secondary treatment by the year 2012. The project will also be a future source of secondary effluent for the Ground Water Replenishment System (GWRS). • The Professional Services Agreement (PSA) includes the following: 1 . Preparation of a Preliminary Design Report to evaluate the proposed facilities and confirming the process criteria. 2. The final design of the aeration basins, clarifiers, return sludge system, waste Sludge system, sludge thickening facility and anaerobic digesters. 3. The preparation of a Value Engineering Study, Constructability Review and a Construction Sequencing Plan. 4. Support services for the District's Supplemental EIR and the Air Quality Management District (AQMD) permit. 5. Preparation of bidding and construction documents. • Requests for proposals were sent to seven engineering firms. Four engineering firms teamed to provide two proposals to the District. The proposals were evaluated in accordance with defined District procedures and Staff recommends the approval of the PSA to Black & Veatch Corporation, teamed with Camp, Dresser & McKee Inc., for an amount not to exceed $17,896,463. Staff believes the R.-s,� oa o3 Page 1 In July 2002, the District elected to upgrade its treatment capabilities to full secondary treatment. To achieve this goal, a project was developed for Plant No.1, which consisted of new activated sludge facility and two new anaerobic digesters. The cost of this project was included in the FY2003/04 CIP. In October 2003, the project was amended to include a sludge thickening facility. The major elements of this project include the following: 1. Aeration basins 2. Clarifiers 3. Operations building with a power room, blower room, and control room 4. Waste sludge thickening facility 5. Anaerobic digesters 6. Improvements to Power Buildings No.1, 2, and 5. Revised: 06/04/03 Page 2 J The proposals to provide engineering services for Job No. P1-102 were evaluated in accordance with District procedures and the Black & Veatch/CDM team received the highest ranking. Additional information on the evaluation ranking is contained in the attachment. The history of project cost estimates is presented in Table No.1. The approved FY2003/04 CIP Budget included $22,084,000 for Phases 2 and 3 consultant engineering services. In November 2003, Staff prepared an estimate of the Phases 2 and 3 consultant services, based on changes in the scope of the project and the final engineering Scope of Work presented in the Request for Proposals. At that time, Staff estimated the consultant engineering fees of Phases 2 and 3 to be $18,928,000. The proposed fees, submitted in the proposals, were $16,122,899 from Carollo Engineers and $20,930,111 from Black & Veatch Corporation. Several meetings were held with Black & Veatch to discuss the basis of their fee estimate and to clarify the District's Scope of Work. Based on these meetings, Black & Veatch Corporation's negotiated fee for Phase 2 and Phase 3 engineering services is $17,896,493. This proposed fee is lower than the FY2003/04 CIP Budget and the Staff's updated estimate of November 2003. ALTERNATIVES The District prepared an Interim Strategic Plan in September 2002. The purpose of the Interim Strategic Plan Update (ISPU) was to evaluate and compare several wastewater treatment alternatives to meet potential future regulations. The ISPU developed an Alternative C, which contemplated the ability to provide full secondary treatment. In July 2002, the District elected to proceed with full secondary treatment, based upon information in the ISPU. This project is necessary for the District to achieve its goal of full secondary treatment CEQA FINDINGS Construction of Job No. P1-102, a new activated sludge facility at Plant No.1, was not included in the 1999 Strategic Plan Program EIR. A Supplemental Program EIR is being prepared and will be completed before the project is advertised for bids. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3. Summary of Staff Evaluation of Proposals and Staff Recommendation 4. Table No.1 History of Project Costs DM:eh:ba Revised: OW04/03 Page 3 BUDGET INFORMATION TABLE New Secondary Activated Sludge Facility at Plant No.1 Job No.P1-102 ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED PROJECT,'PHASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZEDTO AUTHORIZATION TOTAL EXPENDITURE BUDGET BUDGET INCREASE!DECREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE Phase 1-Prcect D—I meat $ 1010.000 $ 100,000 $ 100.0D0 10D.D00 S 100000 S Io r Phase 2-Preliminary Desi n $ 2.547.000 $ 25.470,000 $ 3.574,734 S 6,121.734 S 849,000 $ 5.272.734 $ 6.121,734 Phase 3-Design S 23,7840000 $ 230784,000 S 3.574,7341 $ 20.209.266 S 3.398.000 $ 12.623.729 S 16.021.729 Phase 4•Gonstruclion S 188,570.000 $ 188.570,000 S 188.570.000 $ Phase 5.Commissionma S 1,699.000 S I b699,000 S 1.699.000 $ Phase 6.Close-Out 424.000 $ 424,000 $ 4240000 $ Phase 7-Conlin encv S 33,976.000 $ 33,976.000 $ 33.976,000 PROJECT TOTAL S 251.100.000 $ 251,100.D00 $ 251,100.000 4.347.000 S 17.896.463 S 22243.463 100.000 Pwmbursable Costs 0 $ 665.211 PROJECT NET I S 251100.000 1 S 251,100.0D0 $ 251,100000 347.000 1 S IT231.252 1 5 222434631 S 100,000 PSA/Contract Desl nPSA S 22.084.000 $ 22.080000 $ 22.080.000 - Constnxhon Contract $ - Professional Services Agreement Status Report Secondary Activated Sludge Facility 2 at Plant No. 1 Job No. P7-102 Total Project Budget: $251,100,000 Consultant: Black & Veatch Start Date of Project: April 2004 Date Addendum Description Cost Accumulated Costs Pending Original Design/Consulting Services for Phase 2 & 3 PSA $17,896,463 None 02/19/04 Revised 05/14/98 New Activated Sludge Facility at Plant No. 1 P1-102 Staff Evaluation of Proposals to Provide Engineering Services The following interested consulting firms received Requests for Proposals: • Carollo Engineers • Camp Dresser& McKee, (CDM) • Black & Veatch • Earth Tech • Brown and Caldwell • Montgomery Watson Harza • Malcolm Pernie Brown and Caldwell, Montgomery Watson Harza and Malcolm Pernie declined to submit a proposal. Black & Veatch partnered with CDM for this project. Also, Carollo Engineers partnered with Brown and Caldwell. As a result, there were two (2) responsive proposals received on December 4, 2003. Proposals were reviewed in- house by a review panel from December 5th to December 16th, 2003. Formal interviews with both responsive teams and an OCSD review panel were conducted on December 17, 2003. The review panel consisted of five voting members. Each proposal was graded from 1 to 10 (10 being best) in six categories described below: 1. Understanding of the Project: The proposal should contain a description of the project goals and objectives. The Consultant should be familiar with the District's commitment to achieve full secondary treatment by December 2012. The proposal should discuss how each of the major project elements contributes to achieving the goals and objectives. To demonstrate an understanding of the scope of work, the Consultant should have developed an outline of the project deliverables; for example a list of project drawings, outline of the project specification, and an outline of the geotechnical report. The consultant should have also demonstrated its knowledge of the related projects such as P 1-82, P1- 76, P1-97and J-36 and how the P1-102 project will interface with other District projects. The proposal should provide insights into achieving the District's goal and objectives. 2. Project Schedule: The proposal should contain an outline of major project tasks required to complete the work of Phase 2, Preliminary Design and Phase 3, Design. The schedule should have been conformed to the District's Work Breakdown Structure (WBS). The proposal should integrate the project tasks with the District's WBS, estimate time lines for all tasks and identify task constraints. A list of major project milestones should have been included. The proposal should include a resource loaded schedule. 1` Y 3. Project Approach: The proposal should outline the Consultant's approach to the technical and management issues for the project. The proposal should discuss the approach to developing the design details based on the projects concept report. It should explain how the Consultant, working with in the framework of the Scope of Work, will use technical memos, workshops and focused meetings to achieve consensus in design details while incorporating the Districts Design Guidelines into the project. It should also describe how the Consultant Team, in particular the Instrumentation and Controls group, will interface with the District's Process Control Integration Division and the O&M Division. A Project Management Plan should have been included. The Plan should identify the key management personnel and their roles and responsibilities. It is the intention of the District to establish an integrated Project Team consisting of District staff, Consultant and sub consultants. The plan should discuss how the project will be organized to achieve a close working relationship among the team members and explain how the work will be managed between engineering disciplines and between different work centers. An outline of a Communication Plan, Document Control Plan and a Quality Control Plan should have been included in this proposal. 4. Team Organization: The proposal should have a consultant project organizational chart. It should describe the roles and responsibilities of the key team members. The organizational chart shall include all team members including designers and CAD operators. The proposal should have discussed the work to be performed by each Team Member and the location where the work will be performed. The relationship with sub consultants and any special teaming arrangements should have been included. The proposal should describe how the staff will meet the requirements of the resource loaded schedule. 5. Staff Qualifications: The proposal should describe the education, experience and technical certifications of the proposed project staff. The staff member's technical discipline and location where work will be performed should have been included. Emphasis should have been placed on the qualifications and locations of the Project Manger and the I&C Design Manger. 6. Related Company Experience: The proposal should describe the firm's recent experience on projects which are similar to the New Activated Sludge Facility (P1-102) for individuals proposed on the project. Two proposals were received from four of the firms who teamed up for the project. Proposals were received from Black & Veatch teamed with CDM and Carollo Engineers teamed with Brown and Caldwell. The two proposals were evaluated and all teams were interviewed on December 17, 2003. After reviewing and grading the proposals and conducting the interviews, the two teams were ranked according to the score achieved. The following summarizes the attached ranking results: 1. Black & Veatch Corporation 1347 Points 2. Carollo Engineers 1001 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: Black & Veatch Corp. The Selection Committee gave the Black & Veatch proposal the highest ranking for several reasons. Black & Veatch, with CDM, has the stronger management team with local experience in large and similar projects and past project experience with the District. The Black & Veatch approach to the project includes a dedicated staff for project controls and scheduling, which is compatible with the District's PMO structure. The Black & Veatch approach also included a separate team to provide Quality Control Reviews of all submittals and the final product (plans and specifications). The Black & Veatch proposal also provided an in depth evaluation of technical options which could reduce the project's capital and O&M costs, such as the number, size and configuration of the secondary clarifiers. Table A presents the scores from each reviewer and proposed costs. The following attributes formed the basis for the Black & Veatch high ranking: 1. Excellent management team 2. Strong knowledge of project needs and reuse requirements 3. A separate and highly qualified Quality Control Team 4. A technical approach to reduce capital and operating costs. Fee Proposals After the final ranking of the technical proposals , the sealed fee proposals, submitted by the firms , were opened. The total fees received from the consultants were: 1. Black& Veatch $20,930,111 2. Carollo $16,122,899 Several meetings were held with Black & Veatch to discuss the basis of their estimate and to clarify the District's scope of work. Based on these meetings, the Black & Veatch negotiated total fee for the Phase 2 and Phase 3 engineering services is $17,896,463. This proposed fee is lower than the 03/04 CIP budget of $22,084,000. Summary The evaluation committee gave Black and Veatch the highest score. On average, the scored is 35% higher. Black and Veatch's proposal has more hours resulting in a higher estimated fee but the average hourly rate is lower, as shown in Table B. The evaluation team was unanimous in their decision. Staff believes the negotiated fee and man hour estimate reached with Black & Veatch is reasonable, giving the District the best value while maintaining the scope of work. TABLE A New Activated Sludge Facility at Plant No. 1 Job No. P1-102 Black& Veatch Caro . and CDM Reviewer A 281 195 Reviewer B 199 152 Reviewer C 280 256 Reviewer D 287 206 Reviewer E 300 192 TOTAL 1 ,347 1 ,001 SCORE AVERAGE 269 200 SCORE TECHNICAL 1 2 RANKING TABLE B New Activated Sludge Facility at Plant No. 1 Job No. P1-102 Black & Veatch Caro . and CDM Phase 2 + 3 129,284 113,885 Hours Phase 2 + 3 $17,896,463 ' $16,122,899 Costs. S Cost per hr, S138.43 $141.57 for Ph2 + 3, S/hr Overhead 10900 970c Rate. °o Negotiated Fee TABLE No. 1 P1-102 Secondary Activated Sludge Facility 2 at Plant No.1 History of Project Cost Proposals Cllo Black & Veatch Staff Phase 03�04 aro ea Estimate Nov 03 Submitted Submitted Negotiated 1. Development $100,000 NA NA NA NA 2. Preliminary Design • Consultant $1,698,000 $6,230,340 $5,716,530 $5,272,734 $4,983,000 • Staff $849,000 3. Final Design • Consultant $20,386,000 $9,892,559 $15,213,581 $12,623,729 $13,945,000 • Staff $3,398,000 4. Construction $188,570,000 NA NA NA NA 5. Commission $1,699,000 NA NA NA NA 6. Close Out $424,000 NA NA NA NA 7. Contingency $33,976,000 NA NA NA NA Grand Totals $251,100,000 NA NA NA NA Consultant Totals $22,084,000 $16,122,899 $20,930,111 $17,896,463 $18,928,000 Phases 2&3 only) EDMS:003763056 f MINUTES OF FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, February 11, 2004, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on February 11, 2004, at 5:00 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: FAHR COMMITTEE MEMBERS: STAFF PRESENT: Directors Present: Gary Streed, Director of Finance/Treasurer Roy Moore, Vice Chair Robert Ghirelli, Director of Technical Services Patrica Bortle Mike White, Controller Bill Dalton Carol Beekman, Communications Services Mike Duvall Manager Joy Neugebauer Lisa Tomko, Director of Human Resources James W. Silva Dionne Kardos, Public Information Specialist Steve Anderson, Vice Board Chair Sonja Wassgren, Senior Principal Communications Specialist Directors Absent: Ingrid Hellebrand, Senior Public Information Specialist Brian Brady, Chair Ana Burkhart, Principal Communications Specialist Shirley McCracken, Board Chair Jennifer Cabral, Public Information Specialist Jean Tappan, Acting Committee Secretary OTHERS PRESENT: Toby Weissert Don Hughes Robert Moss Craig Hartzheim (2) APPOINTMENT OF CHAIR PRO TEM Vice Chair Roy Moore chaired the meeting in Chair Brady's absence. (10) CONSENT CALENDAR ITEMS MOVED, SECONDED AND DULY CARRIED to approve all agenda items appearing on the Consent Calendar not specifically removed from same, as follows: a. Approve minutes of the December 10, 2003 Finance, Administration and Human Resources Committee meeting. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 2 I February 11, 2004 } b. FAHR04-01 Recommend to the Board of Directors to receive and file Treasurer's Report for the month of January 2004. C. FAHR04-02 Receive and file Certificate of Participation (COP) Monthly Report. d. FAHR04-03 Receive and file Employment Status Report as of January 28, 2004. e. FAHR04-04 Receive and file OSHA Incidence Rates and Workers' Compensation Claims and Costs Report. f. FAHR04-05 Recommend to the Board of Directors to receive and file the Mid-Year Financial Report for the period ending December 31, 2003 g. FAHR04-06 Recommend to the Board of Directors to receive and file Quarterly Investment Management Program Report for the period October 1, 2003 through December 31, 2003. h. FAHR04-07 Recommend to the Board of Directors to receive and file the SWAP Report for the quarter ended December 31, 2003. i. FAHR04-08 Recommend to the Board of Directors to adopt Resolution No. OCSD 04-_, Amending Resolution No. OCSD 98-33, Amending Human Resources Policies and Procedures Manual. j. FAHR04-09 Recommend to the Board of Directors to approve SAFETY-POL-115, Backflow Prevention Program, as provided for in Resolution No. OCSD 02-5, regarding the District's Injury and Illness Prevention Program Policy. END OF CONSENT CALENDAR Consideration of items deleted from Consent Calendar, if any. (13) CLOSED SESSION The Committee convened in Closed Session at 5:08 p.m. pursuant to Government Code Section 54957.6 to confer with Lisa Tomko, Human Resources Director, re Unrepresented Groups Compensation and Benefits, Agenda Item No. 13(a) (1). Confidential Minutes of the Closed Session held by the Finance, Administration and Human Resources Committee have been prepared in accordance with California Government Code Section 54957.2, and are maintained by the Board Secretary in the Official Book of Confidential Minutes of Board and Committee Closed Meetings. RECONVENE IN REGULAR SESSION: At 5:23 p.m., the Committee reconvened in regular session. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 3 ' February 11, 2004 (12) INFORMATION PRESENTATIONS a. FAHR04-12 Communications Services Strategic Plan FY 2003-04 Update The Communications Services staff presented an update on the eleven Communications Services Strategic Plan elements. Ana Burkhart described biosolids outreach activities, Fats, Oils and Grease (FOG) Community Education Program and provided an update on GWR System communications activities; Ingrid Hellebrand reported on community education and outreach programs and planned activities for OCSD's 501h Anniversary; Jennifer Cabral described the results in the construction/capital improvement program outreach element and internal communications activities, specifically OCSD's newsletter, The Pipeline; Dionne Kardos reported on corporate identity program activities; and Sonja Wassgren reported on external communications activities, intranet development and communications support of the legislative advocacy effort. Ms. Wassgren announced that the District has received a $1 million allocation for federal funding our move to secondary treatment and will continue to work with the legislative lobbyists to increase the funding to $10 million for FY 2005-06. Director Tod Ridgeway and Ms. Wassgren will be attending the annual Orange County delegation luncheon on February 25. Carol Beekman, Communications Services Manager, stated that the focus of the division is providing clear communications throughout the agency. The next quarterly update will be at the April FAHR Committee meeting. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR Chair Pro Tern Moore did not have a report. (5) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson was not in attendance. (6) REPORT OF DIRECTOR OF FINANCE/TREASURER Finance Director Gary Streed introduced Robert Moss and Craig Hartzheim, of Moss, Levy& Hartzheim, contract internal auditors. Mr. Streed also reported that the revised purchasing resolution is ready for consideration and it will be presented to the Steering Committee at its February 28 meeting and to FAHR at its March 10 meeting. After discussion, staff was directed to present the draft resolution to the OMTS and PDC Committees at their March meetings and staff would then present comments at the next FAHR Committee. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 4 ` February 11, 2004 Mr. Streed described the information included in the draft request for proposals for review of un- assessed and under-assessed non-residential parcels. The Committee members asked that the item be placed on the March FAHR agenda for additional discussion, prior to distribution of an RFP. (7) REPORT OF DIRECTOR OF HUMAN RESOURCES Director of Human Resources Lisa Tomko did not make a report. (8) REPORT OF COMMUNICATIONS SERVICES MANAGER Communications Services Manager Carol Beekman did not make a report. (9) REPORT OF GENERAL COUNSEL Counsel was not present. (11) ACTION ITEMS a. FAHR04-10 MOVED, SECONDED AND DULY APPROVED TO: Approve the 2004/05 Budget Assumptions, Fiscal Policy Statements, and Budget Calendar. Mike White reviewed the FY 2004-05 Preliminary Budget Assumptions for economic assumptions, revenue assumptions, operating assumptions, reserve assumptions, capital improvement program assumptions and debt financing. He also outlined the important dates leading to adoption of the FY 2004-05 budget at the June 23, 2004 Board meeting. Director Joy Neugebauer opposed the motion. b. FAHR04-11 MOVED, SECONDED AND DULY APPROVED TO: (1) Appoint Moss, Levy& Hartzheim as the District's contract internal auditor for fiscal year 2003/04, at a maximum fee of$19,780, with an option of providing contract internal auditing services for fiscal years 2004/05 and 2005/06 upon recommendation from staff and approval by the FAHR Committee; and, (2) Direct Moss, Levy& Hartzheim to perform specific internal auditing assignments as the FAHR Committee deems necessary. Mike White explained that the internal auditing firm has been hired at the request of the FAHR Committee to perform an internal audit of various issues for fiscal year 2003-04. They will be meeting with staff to begin a preliminary analysis but they will be reporting directly to the FAHR Committee, not staff. Minutes of the Finance, Administration and Human Resources Committee Meeting Page 5 �1 February 11, 2004 A `Report of the Contract Internal Auditing Team' will be added to the FAHR agenda as a monthly report. (12) INFORMATIONAL PRESENTATIONS b. FAHR04-13 Preliminary 2004-05 Sewer Service User Fee Estimates Gary Streed reported that staff believes that the 15 percent increase in user fees for the next year is necessary. He described the consolidated cash flow projections. Additional presentations will be made later in the budget process. (14) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY Director Steve Anderson announced that there will be a GWRS groundbreaking ceremony at the Anaheim Pond on Thursday, February 19, between 12 and 1:30 p.m. Director Joy Neugebauer asked that the February 18 New Directors Workshop be taped for those who cannot attend. (15) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. (16) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for March 10, 2004 at 5 p.m. (17) ADJOURNMENT The Chair declared the meeting adjourned at 6:57 p.m. Submitted by: JKaJ Tappan AQOg FAHR Committee Secretary H:\dept\agenda\FAHR\FAHR2004\0204\021104 FAHR Minutes.doc FAH R COMMITTEE Meeting Date To Bd.of Dir. 02/11/04 02/25/04 AGENDA REPORT Item Number Item Number FAHR 04-01 14(b) Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Michael White, Controller SUBJECT: TREASURER'S REPORT FOR THE MONTH OF JANUARY 2004 GENERAL MANAGER'S RECOMMENDATION Receive and file Treasurer's Report for the month of January 2004. SUMMARY Pacific Investment Management Co. (PIMCO), serves as the District's professional external money manager, and Mellon Trust serves as the District's third-party custodian bank for the investment program. Some funds are also deposited in the State of California Local Agency Investment Fund for liquidity. The District's Investment Policy, adopted by the Board, includes reporting requirements as listed down the left most column of the attached PIMCO Monthly Report for the "Liquid Operating Monies" and for the "Long-Term Operating Monies" portfolios. The District's external money manager is operating in compliance with the requirements of the Investment Policy. The portfolio contains no reverse repurchase agreements. As shown on page 2 of the attached PIMCO's Performance Monitoring and Reporting Report for the Long-Term Operating Monies, there is a investment policy compliance exception pertaining to the holding of two securities within PIMCO's Long-Term Operating Monies Portfolio that had an acceptable rating at the time of purchase but has since fallen below the minimum rating allowed by the investment policy. The District's investment policy requires a minimum rating of A3 by Moody's or A- by S&P, with at least a BBB rating in the event of a split rating, at the time of purchase. The first of these rating exceptions pertains to the holding of a United Airlines (UAL) Asset Backed Security with a par value of $1.6 million, representing 0.41 percent of the portfolio holdings, whose rating from Moody's has fallen several times, from A3 to BA1, then to BA3, B3, B, and finally to CA. Likewise, the rating from Standard & Poor's has also fallen several times, first from A- to BBB, then to BB, then to B+, B-, and finally to CCC+. Although these ratings are less than what is required at the time of purchase, PIMCO believes, based on the financial strength of UAL and the underlying collateral of the security, that the District would suffer an unwarranted loss if the security was sold at this time. The second ratings exception pertains to the holding of a $1 million par of the Philip Morris-Altria corporate bond with an April 2004 maturity, representing 0.26 percent of the portfolio holdings, whose rating with Moody's has fallen from A2 to Baal and then to H:Wept\fin\220\white\FAHR\Monthly Treasurer Report\2003-04\TREASRPT021104.doc Page 1 Baa2, and with S&P from A- to BBB. During the month of November, PIMCO sold $4 million par of this original $5 million holding at a price of $101 .9 for a realized loss of " $134,400. PIMCO believes based on the underlying assets of the parent company, that ' the District would suffer a severe unwarranted loss if the remaining $1 million holdings were sold at this time. The District's investment policy does not require any action because of "credit watch" notices or the decline in credit standing. However, PIMCO will continue to monitor the credit for these two securities very closely. Historical cost and current market values are shown as estimated by both PIMCO and Mellon Trust. The District's portfolios are priced to market ("mark-to-market") as of the last day of each reporting period. The slight differences in value are related to minor variations in pricing assumptions by the valuation sources at the estimate date. BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) Not applicable (information item) ADDITIONAL INFORMATION Schedules are attached summarizing the detail for both the short-term and long-term investment portfolios for the reporting period. In addition, a consolidated report of posted investment portfolio transactions for the month is attached. The attached yield analysis report is presented as a monitoring and reporting enhancement. In this report, yield calculations based on book values and market values are shown for individual holdings, as well as for each portfolio. Mellon Trust, the District's custodian bank, is the source for these reports. Transactions that were pending settlement at month end may not be reflected. Also provided is a summary of monthly investment balances and transactions within the State of California Local Agency Investment Fund (LAIF). The remaining $88.5 million proceeds from the 2003 COP debt issuance available for future capital improvements is being managed and invested by PIMCO with Union Bank of California serving as the Trustee. When combined with the reserves of the existing outstanding debt issues, total debt service reserves with trustees totals $150,702,000. These reports accurately reflect all District investments and are in compliance with California Government Code Section 53646 and the District's Investment Policy. Sufficient liquidity and anticipated revenues are available to meet budgeted expenditures for the next six months. The table on the following page details the book balances of the District's investment accounts at month-end. A graphical representation of month-end balances is shown on the attached bar chart. H:ldept\finQ201whitekFAHRtMonthiy Treasurer Repori\2003-04\TREASRPT021104.doc Page 2 tl y` Book Balances Estimated Investment Accounts January 31,2004 Yield(%) State of Calif. LAIF $ 21,228,614 1.53 Union Bank Checking Account 4,961,734 0.93 (1) PIMCO—Short-term Portfolio 91,135,220 1.35 PIMCO-Long-term Portfolio 384,554,187 2.51 Petty Cash 5.000 N/A TOTAL $501,884,755 2.24 Debt Service Reserves w/Trustees $150.7 ,342 2.08 (1) This is the annualized yield for the month of December. The January annualized rate was not available as of the date of this report. ATTACHMENTS 1. Graph of Monthly Investment Balances by Type — Last Six Months 2. Investment Transactions and Balances in the State Local Agency Investment Fund 3. PIMCO Monthly Investment Recap & Yield Analysis Report 4. PIMCO Performance Monitoring Report— Liquid Operating Monies 5. PIMCO Performance Monitoring Report— Long-Term Operating Monies 6. Mellon Trust Asset Summary by Asset Type with Sectors — Liquid Operating Monies 7. Mellon Trust Asset Summary by Asset Type with Sectors — L-T Operating Monies 8. Mellon Trust Yield Analysis Report 9. Mellon Trust Asset Detail — Consolidated 10.Mellon Trust Transaction Detail - Consolidated MW:IC H:1dep11fin12201white\FAHRIMonthly Treasurer Reportl2003-045TREASRPT021104.doc Page 3 Prepared by Finance, 2/10/2004, 3:30 PM Monthly Investment Balances by Type- Last Six Months $700,000,000 -.................................................................................................... $600,000,000 — - — $500,000,000 -- $400,000,000 - $300,000,000 $200,000,000 $100,000,000 $0 _ ....... August September October November December January 2003 2003 2003 2003 2003 2004 ®PIMCO- Long-term ®PIMCO-Short-term M COP Debt Reserves ®LAIF ❑Bank Accts 0 Petty Cash H:\dept\fin\EXCEL.dta\220\white\Treasury Management\Monthly Investment Balances Graph.xls a Orange County Sanitation District Investment Transactions and Balances in the State of California Local Agency Investment Fund January 31, 2004 Par Value Book Value Market Value Rate Yield Balance January 1,2004 $34,100,246 $34,100,246 $34,100,246 1.528 1.528 Deposits: 1/21/2004 2,500,000 2,500,000 2,500,000 1.528 1.528 1/22/2004 9,800,000 9,800,000 9,800,000 1.528 1.528 Total Deposits 12,300,000 12,300,000 12,300,000 1.528 1.528 Quarterly Interest Distribution 128,368 128,368 128,368 1.528 1.528 Withdrawals: 1/2/2004 (3,600,000) (3,600,000) (3,600,000) 1.528 1.528 1/8/2004 (1,800,000) (1,800,000) (1,800,000) 1.528 1.528 1/15/2004 (5,400,000) (5,400,000) (5,400,000) 1.528 1.528 1/16/2004 (1,600,000) (1,600,000) (1,600,000) 1.528 1.528 1/30/2004 (12,900,000) (12,900,000) (12,900,000) 1.528 1.528 Total Withdrawls (25,300,000) (25,300,000) (25,300,000) 1.528 1.528 Balance January 31,2004 $21,228,614 $21,228,614 $21,228,614 1.528 1.528 Y P I M C O February 9,2004 Mr.Mike White,CPA Controller Orange County Sanitation District 10844 Ellis Avenue Fountain Valley,CA 92708-7018 Dear Mike: The following is a description of events in the bond markets during the month of January in addition to an analysis of the strategies undertaken in the Orange County Sanitation District's Long-Term, Liquid, and COP Proceeds portfolios over the period. Also included is a section on our outlook and preferred strategies to be pursued in your portfolios during the coming months. Bond Market Recap: Core bond sectors posted positive returns in January as data reassured investors that modest gross domestic product growth continued without inflationary pressures. U.S. Treasuries returned 0.85% for the month, but these gains would have been greater had it not been for a late month sell-off following the FOMC meeting. Yields on the benchmark 10-year Treasury opened the month at 4.25%, rallied to a low of 3.92% on January 23rd then retreated, finishing the month at 4.14%. Treasury Inflation Protected Securities, or TIPS, outperformed nominal Treasuries; the Lehman Brothers U.S. TIPS index returned 1.15% in January. Mortgage-backed securities returned 0.63%, outpacing Treasuries by 17 basis points after adjusting for duration. The credit sector also performed well as the Lehman Credit Index returned 1.01%, for a duration-adjusted excess return of 15 basis points. Within the sector, lower quality investment grade corporates outperformed, with Baa-rated bonds beating like-duration Treasuries by 18 basis points, whereas Aaa excess returns were 8 basis points. Although economic data continued to reveal tepid inflation and employment growth, a slight change in wording by the Fed erased much of the gains in Treasuries during January. On January 28th, the Federal Open Market Committee surprised investors by altering its "considerable period" phrase, electing instead to say that the Fed "can be patient in removing its policy accommodation." This change in language initiated a Treasury sell-off that appeared more reactionary than based on fundamentals, as economic releases during the month continued to reveal low price growth and slack in labor markets. The Consumer Price Index rose only 0.2%in December, in line with benign expectations. Core inflation, which excludes volatile food and energy prices, rose 0.1% and remained at 1.1% annualized. This is the lowest rate of core a Mr. Mike White, CPA February 9, 2004 Orange County Sanitation District Page 2 inflation in 38 years. The Bureau of Labor Statistics' monthly Employment Situation Report indicated that net payroll jobs increased by a paltry 1,000, well below consensus expectations of 127,000. Although the unemployment rate fell 0.2% to 5.7% — a seemingly positive sign — this decline was driven by frustrated job seekers who stopped looking for work. Nevertheless, economic expansion continued at a respectable rate. GDP growth for the fourth quarter of 2003 came in at 4.0%, according to the Bureau of Economic Analysis. However, this too was below consensus estimates of 4.4%. Treasury yield changes during the month of January are summarized as follows: ■ 3-month bills: -1 basis point to 0.91% ■ 6-month bills: -2 basis points to 0.99% ■ 2-year notes: unchanged at 1.82% ■ 5-year notes: -10 basis points to 3.14% ■ 10-year notes: -11 basis points to 4.13% ■ 30-year notes: -11 basis points to 4.96% Performance Attribution: Long-Term Portfolio The Long-Term portfolio that PIMCO manages on behalf of Orange County Sanitation District generated a total return of 0.42 percent for the month of January, outperforming the Merrill Lynch 1-5 year Government Corporate Index by 5 basis points. The following points summarize returns for the period ended January 31: • The Long-Term portfolio outperformed the benchmark by 5 basis points for the month. • For the twelve-month period,the Long-Term portfolio returned 3.57%, underperforming the benchmark by 7 basis points. • Portfolio duration,below the index, was negative for monthly performance as rates fell across maturities. • Broader-than-index yield curve positioning was largely neutral for performance as rates on intermediate maturities fell in conjunction with longer maturities. • An underweight exposure to Treasuries was positive, as the sector lagged higher yielding sectors during the month. Substituting TIPS for nominal Treasuries was positive for performance, as TIPs outperformed nominals. • Exposure to mortgage-backed securities was positive for relative performance as the sector outperformed Treasuries on a duration-adjusted basis. • Corporate issues were positive for performance as the sector continued to perform strongly relative to other bond market sectors;however, an underweight exposure relative to the benchmark was negative. V Mr. Mike White, CPA February 9, 2004 Orange County Sanitation District Page 3 Liquid Portfolio The Liquid portfolio that PIMCO manages on behalf of Orange County Sanitation District generated a total return of 0.09 percent during the month of January, performing in line with the 3-month Treasury Bill Index for the month. The following points summarize returns for the period ending January 31: • The Liquid portfolio performed in line with the benchmark for the month. • For the twelve-month period,the Liquid portfolio returned 1.20%, outperforming the benchmark by 16 basis points. • Use of higher yielding securities such as commercial paper and short-term notes contributed to performance. "2003 COP Proceeds—Future Construction"Portfolio The COP Proceeds portfolio that PIMCO manages on behalf of Orange County Sanitation District generated a total return of 0.09 percent during the month of January, performing in line with the 3-month Treasury Bill Index. The following points summarize returns for the period ending January 31: • The Liquid portfolio performed in line with the benchmark for the month. • Use of higher yielding securities such as commercial paper and short-term notes contributed to performance. Outlook and Strategy: The recovery in the global economy will be sustained in 2004, with China joining the U.S. as an engine of growth. Further into the year, U.S. interest rates could rise up to 100 basis points for short maturities but less for longer maturities as markets anticipate tightening by the Federal Reserve. The timing of the Fed move, late in 2004 or early 2005, will depend on how quickly the economy narrows its output gap, measured by the slack in labor markets. This unused capacity, combined with enhanced labor productivity, will keep inflation tame. Key elements of PIMCO's forecast are: ■ In the U.S.economy,positive forces will outweigh negatives. The hoped for rebound in business investment is now a reality. Massive fiscal stimulus will also provide support,as will spending to rebuild lean inventories. ■ On the negative side, effects of large tax cuts will peak in 2004 and become a fiscal drag by 2005, while benefits of the boom in mortgage refinancing have already begun to dissipate. Employment growth will be muted because of productivity gains and outsourcing to low cost labor markets such as India and China. ■ China's contribution to growth is tied to its currency peg with the U.S.dollar. The peg forces China to follow the Fed's reflationary monetary policy, fueling a boom in investment for domestic infrastructure. This investment will promote growth in Asia and elsewhere as China imports commodities and components to build its infrastructure. While China will eventually succumb to pressure and revalue its currency, its currency peg will be sustained for the next year because the peg serves Chinese and U.S. interests. China will retain Mr. Mike White, CPA February 9, 2004 Orange County Sanitation District Page 4 competitive pricing in dollar terms for its exports. It will use the dollars it earns to help finance the U.S.trade deficit,thereby stemming a freefall in the dollar and mitigating the rise in U.S.interest rates. ■ Japan is recovering without fiscal stimulus for the first time in a decade as healthier Japanese companies integrate with China. Japan's fiscal policy is now focused on reform of the banking sector. Euroland will be the laggard in 2004,but the recent collapse of the Growth and Stability Pact opens the door for needed fiscal stimulus that will offset a stronger euro. The bond market in 2004 will be challenging,with upward pressure on rates and full valuations in Treasuries, most corporates and mortgages. Active managers with the resources and skill to exploit a broad spectrum of strategies can add value,however, especially with a defensive posture focused on safe yield. We will continue to hold mortgages to benefit from their long-term structural advantages and will manage coupon selection to add value. We will limit exposure to corporate bonds given their rich valuations and will focus on more attractively priced issues. We plan to target duration near-to-below index to protect against the risk of upward pressure on rates. A broader-than-index yield curve maturity mix will be retained to enhance yield. The Fed will anchor the short end of the yield curve for most of 2004, keeping the curve steep and allowing investors focused on intermediate maturities to reap gains by"rolling down"the curve. We look forward to discussing these and other topics with you in the near future. Best regards,Christine Telish, CFA John M. Miller, CFA Vice President Senior Vice President v Orange County Sanitation District for the month ending January 31,2004 Total Return Account-203 With Accrued Interest Without Accrued Interest Market Value 388,447.622 384,758,725 Book Value 382,757,718 379.068.821 Yield to Maturity 2.51 2.53 Short Term Account-603 With Accrued Interest Without Accrued Interest Market Value 91,465,143 91,175,780 Book Value 91.745,277 91,455,914 Yield to Maturity 1.35 1.36 2003 COP Proceeds-Future Construction-2203 With Accrued Interest Without Accrued Interest Market Value 88,718,610 88,456,900 Book Value 88,850,299 88,588,589 Yield to Maturity 1.34 1.34 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 31 January 2004) Page I of 1 Liquid Operating Monies(603) 15.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIMCO $91,465,143 • Mellon $91,446,306 Historical Cost: • PIMCO $91,745,277 • Mellon $91,768,000 15.1.2 MODIFIED DURATION Of Portfolio: 0.10 Of Index: 0.20 15.1.3 1%INTEREST RATE CHANGE Dollar Impact(gain/loss)of 1%Change: $91 465 15.1.4 REVERSE REPOS %of Portfolio in Reverse Repos: see attached schedule 0% 15.1.5 PORTFOLIO MATURITY %of Portfolio Maturing within 90 days: 86% 15.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality: "AAA" 15.1.7 SECURITIES BELOW "A" RATING %of Portfolio Below"A": 0% 15.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance" Yes 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%)by Portfolio Index Period: 1 Month: 0.09 0.08 3 Months: 0.27 0.24 12 Months: 1.20 1.04 Fiscal Year-to-Date: 0.63 0.56 Commentary • The Liquid portfolio outperformed the benchmark by 1 basis point for the mooch,and by 7 basis points fiscal year-to-date. • PIMCO's emphasis on higher yielding securities such as commercial paper and short-term notes contributed to performance. J1Adep1\nnUZ01wh1te\Treasary MgmtMQ0800-04-01APT.doe a ^ MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 31 January 2004) Page 1 of 3 Lang-Term Operating Monies(203) 15.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIMCO $388,447,622 • Mellon $388,318,082 Historical Cost: • PIMCO $382,757,718 • Mellon $383,601,828 15.1.2 MODIFIED DURATION Of Portfolio: 2.11 Of Index: 2.43 15.1.3 1% INTEREST RATE CHANGE Dollar Impact(gain/loss)of 1%Change: $8,196,245 15.1.4 REVERSE REPOS %of Portfolio in Reverse Repos: see attached schedule 0% 15.1.5 PORTFOLIO MATURITY %of Portfolio Maturing within 90 days: 24% 15.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality: AAA 15.1.7 SECURITIES BELOW "A" RATING %of Portfolio Below"A": 0% 15.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance" No* 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%)by Portfolio Index Period: 1 Month: 0.42 0.37 3 Months: 1.14 1.13 12 Months: 3.57 3.64 Fiscal Year-to-Date: 0.99 0.86 • The Long-Term portfolio outperformed the benchmark by 5 basis points for the month,and by 13 basis points fiscal year-to-date. • Portfolio duration,below the index,was negative for monthly performance as rates fell across maturities. • Broader-than-index yield curve positioning was largely neutral for performance as rates on intermediate maturities fell in conjunction with longer maturities. • An underweight exposure to Treasuries was positive,as the sector lagged higher yielding sectors during the month. Substituting TIPS for nominal Treasuries was positive for performance,as TIPS outperformed nominals. • Exposure to mortgage-backed securities was positive for relative performance as the sector outperformed Treasuries on a duration-adjusted basis. • Corporate issues were positive for performance as the sector continued to pert brm strongly relative to other bond market sectors;however,an underweight exposure relative to the benchmark was negative. MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 31 January 2004) Page 2 of 3 *Compliance Issues: $1,600,000 par of United Airlines(UAL)Pass-Through 2001-1-C(Enhanced Equipment Trust Certificate(EETC)-909317BC2),6.831%coupon,9/l/2008 maturity,representing 0.41%of the portfolio holdings on a par basis was purchased on 8/10/2001;and subsequently downgraded by Moody's from A3 to BA 1 (on 9/18/2001)and S&P from A-to BBB (on 9/20/2001). The security was further downgraded by Moody's from BA to BA3 (on 12/21/2001)and by S&P from BBB to BB (on 6/28/02). Following news of the possible bankruptcy filing,the:security was further downgraded in August(133 Moody's,B+by S&P). On November 29,2002,S&P further downgraded this issue to B,and shortly thereafter on December 9,2002,downgraded the issue one notch further to B-. On August 7,2003, S&P downgraded the issue to CCC+,while Moody's followed suit on August 28,2003 with a downgrade to CA. The District's investment policy requires a minimum rating of A3 by Moody's or A-by S&P,with at least a BBB rating in the event of a split. During the fourth quarter of 2003,UAL posted a$251 million loss which was about 11 percent lower than consensus. UAL did not provide specific guidance for the first quarter, but the company stated that its forward bookings are up year-over-year,primarily in international areas where the Iraqi war depressed volumes last year. The company also indicated that it remains on track to achieve another$1.4 billion of cost savings in 2004 on top of the$1.2 billion achieved during 2003. Moreover UAL's new discount airline, Ted,begins flying on February 12'h. UAL does appear to be making progress with its cost structure,although it remains in the middle of the pack on key cost and yield measures compared to its mainline peers. The company also announced that JP Morgan and Citibank have each committed equally to a$400 million exit financing(not guaranteed by the US government),which requires an$800 million loan approved by the Air Transportation Stabilization Board(ATSB). The latter would have a guaranteed from the US government. The successful approval of an ATSB loan would be an important step in UAL's attempt to exit from bankruptcy this year. PIMCO continues to negotiate with UAL on the District's holdings and currently lead an ad hoc committee. This has been an extremely complicated effort due to the complex nature of UAL's bankruptcy. These negotiations have required PIMCO's analysts access to non-public information and they are now at a point in these workout negotiations where restructuring options are being discussed. Details on the options are non-public information and therefore sharing them results in parties becoming restricted. In light of this extremely complicated bankruptcy, PIMCO continues to strive to act in the most prudent manner to obtain maximum recovery. $1,000,000 par of Philip Morris-Altria NT(cusip 718154CH8), 4/l/2004 maturity,representing 0.26%of the portfolio holdings on a par basis was purchased on 8/6/2001 at a price of 105.26. This security was subsequently downgraded by Moody's from A2 to Baal on 4/01/2003,and then from Baal to Baal on 4/23/03. The security was downgraded by S&P from A-to BBB on 4/10/2003. The District's investment policy requires a minimum rating of A3 by Moody's or A-by S&P,with at least a BBB rating in the event of a split. In November,PIMCO sold$4,000,000 par(of the$5,000,00-0 original holding)at a price of 101.9 for a realized loss of$134,400. The Philip Morris USA downgrade activity was a result of a negative court judgment and its associated bonding requirement. In the Miles case,named after the initial plaintiff in the class-action lawsuit,an Illinois court fined Philip Morris$10.3 billion for allegedly deceiving smokers into thinking that"light"cigarettes were safer than regular cigarettes. The company,now a subsidiary of Altria,has said that the lawsuit was flawed and that it planned to appeal the ruling and the class certification order that preceded it. Prior to the judgment,PIMCO's analysis of Altria(the holding company and issuer of the debt)shows investment grade credit metrics even excluding in its entirety Philip Morris USA(the domestic tobacco subsidiary and the entity subject to all of the legal suits). The analysis was based on the assumption that the horizon of any final verdict would be years in the future,while the company would generated significant cash flow in the interim. Altria announced that fourth-quarter profits jumped 18 percent as results improved at its domestic tobacco unit and international sales were buoyed by the weaker dollar. The U.S. cigarette industry has been hit by higher state excise taxes,competition from cheaper brands and counterfeit products. Altria has responded to this situation by increasing spending on promotions and introducing new products to maintain consumer interest in its brands. Philip Morris USA's fourth-quarter shipment volume rose 6.2 percent to 46.3 billion cigarettes,due mainly to the timing of promotional shipments,Altria said. Q ' MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 31 January 2004) Page 3 of 3 PIMCO believes Altria is unlikely to sacrifice good subsidiaries to fund the bad one,which would create a bad precedent for future court cases. PIMCO continues to hold their positions at the holding company(Altria)level,but have suspended any additional purchases until greater clarity emerges on the likelihood of various outcomes. Split Rated Securities Still In Compliance: The District's investment policy requires a minimum rating of A3 by Moody's or A-by S&P,with at least a BBB in the event of a split rating. •$3,500,000 par of Ford Motor Credit securities($2.5 million represented by cusip 345397SJ3 maturing 7/16/04 and$1 million represented by cusip 345397GV9 maturing 5/15/05),representing 0.90%of the portfolio holdings on a par basis. The securities were downgraded on 10/16/2001 by S&P from A to BBB+,then to BBB on 10/25/02,and then to BBB-on 11/13/03. Moody's downgraded the securities on 1/16/02 from A2 to A3. •$3,000,000 par of General Motors Acceptance Corp securities(cusip 370425SD3)maturing on August 28,2007,representing 0.77%of the portfolio holdings on a par basis. The securities were downgraded on 10/16/2001 by S&P from A to BBS+,and a further downgrade to BBB occurring on 10/16/2002. The securities now carry a Moody's rating of A3 after a further downgrade from A2 on 6/14/03. •$1,750,000 par of Virginia Electric Power NT securities(cusip 927804EN0),maturing in 2006,represents 0.45%of the portfolio holdings on a par basis. The security was downgraded on 10/21/2002 by S&P from A-to BBB+,but continues to carry a Moody's rating of A3. H.ideprifW 2101whitel Treasury MgmAL-T0800-04-01.RPT.doc Asset Summary Report ID: GL8251 Base Currency: USD / Mellon by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LIQUID OPER-PINCO-OCSF07511102 1 31 2004 Status: FINAL Net Unrealiked Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base CASH&CASH EQUIVALENTS U.S. DOLLAR INTEREST 311,086.46 311,086.46 0.34% 0.00 BSDT RESERVE DEPOSIT ACCOUNTS 1,000.000 1,000.00 1,000.00 0.00% 0.00 COMMERCIAL PAPER- DISCOUNT 7,000,000.000 6,991,545.14 6,991,545.14 7.65% 0.00 FED HM LOAN BNK-LESS THAN IYR 16,200,000.000 16,154,527.66 16,154,527.66 17.67% 0.00 FEDERAL HOME LOAN MORTGAGE-LESS THAN I YR 9,800,000.000 9,763,665.83 9,763,665.83 10.68% 0.00 FNMA ISSUES-LESS THAN 1 YR 13,200,000.000 13,168,747.50 13,168,747.50 14.40% 0.00 MUTUAL FUNDS 189,640.400 189,640.40 189,640.40 0.21% 0.00 REPURCHASE AGREEMENTS 9,500,000.000 9,500,000.00 9,500,000.00 10.39% 0.00 TREASURY BILLS-LESS THAN IYR 23,100,000.000 23,026,338.99 23,026,338.99 25.18% 0.00 U.S. DOLLAR 78,990,640.400 79,106,551.98 79,106,551.98 86.51% 0.00 CASH&CASH EQUIVALENTS 78,990,640.400 79,106,551.98 79,106,551.98 86.51% 0.00 FIXED INCOME SECURITIES U.S. DOLLAR BANKING&FINANCE 6,302,000.000 6,508,328.58 6,377,908.77 6.97% -130,419.81 U.S.AGENCIES 5,300,000.000 5,476,073.00 5,311,845.38 5.81% -164,227.62 UTILITY-TELEPHONE 650,000.000 677,046.50 650,000.00 0.71% -27,046.50 U.S. DOLLAR 12,252,000.000 12,661,448.08 12,339,754.15 13.49% -321,693.93 FIXED INCOME SECURITIES 12,252,000.000 12,661,448.08 12,339,754.15 13.49% -321,693.93 TOTAL ASSETS-BASE: 91,242,640.400 91,768,000.06 91,446,306.13 100.00% -321,693.93 21612004 11:48:37AM PST 1 Workbench a Report M: GL82S1 Asset Summary Base Currency: USD ,� Mellon by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LONG TERM OPER-PIMCO-OCSY07522202 1 31 2004 Status: FINAL Net Unrealized Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base CASH 85 CASH EQUIVALENTS U.S. DOLLAR PENDING TRADES -3,069,106.70 -3,069,106.70 -0.79% 0.00 INTEREST 3,763,894.99 3,763,894.99 0.97% 0.00 COMMERCIAL PAPER- DISCOUNT 2,700,000.000 2,690,984.00 2,690,984.00 0.69% 0.00 FED HM LOAN BNK-LESS THAN IYR 12,700,000.000 12,668,336.26 12,668,336.26 3.26% 0.00 FEDERAL HOME LOAN MORTGAGE-LESS THAN 1 YR 22,200,000.000 22,136,333.84 22,136,333.84 5.70% 0.00 FNMA ISSUES- LESS THAN IYR 17,500,000.000 17,447,688.03 17,447,688.03 4.49% 0.00 MUTUAL FUNDS 132,553.120 132,553.12 132,553.12 0.03% 0.00 TREASURY BILLS- LESS THAN IYR 37,900,000.000 37,706,336.65 37,706,336.65 9.71% 0.00 U.S. DOLLAR 93,132,553.120 93,477,020.19 93,477,020.19 24.07% 0.00 CASH &CASH EQUIVALENTS 93,132,S53.120 93,477,020.19 93,477,020.19 24.07% 0.00 FIXED INCOME SECURITIES U.S. DOLLAR ABS-AIRPLANE RECEIVABLES 1,600,000.000 1,600,000.00 289,680.00 0.07% -1,310,320.00 ABS-HOME EQUITY 984,505.700 984,505.70 983,275.07 0.25% -1,230.63 BANKING&FINANCE 29,335,000.000 30,475,793.00 31,160,142.05 8.02% 684,349.05 COLLATERALIZED MORTGAGE OBLIGATION COMM/1 2,425,788.580 2,425,788.58 2,596,078.94 0.67% 170,290.36 FHLMC MULTICLASS 1,061,097.190 1,062,227.65 1,094,129.15 0.28% 31,901.50 FHLMC POOLS 157,768.840 157,840.92 161,769.69 0.04% 3,928.77 FNMA POOLS 44,116,762.340 45,182,906.10 45,486,254.40 11.71% 303,348.30 GNMA MULTI FAMILY POOLS 3,210,992.030 3,195,079.20 3,260,248.80 0,84% 65,169.60 GNMA SINGLE FAMILY POOLS 8,671,218.870 8,798,615.28 9,141,278.37 2.35% 342,663.09 INDUSTRIAL 8,000,000.000 8,248,380.00 8,307,150.00 2.14% 58,770.00 INFLATION INDEXED SECURITIES 34,357,230.000 34,374,177.40 38,219,758.12 9.84% 3,845,580.72 INSURANCE 1,600,000.000 1,594,032.00 1,719,248.00 0.44% 125,216.00 PVT PLACEMENTS- MORE THN 1YR 752,000.000 826,199.84 826,199.84 0.21% 0.00 U.S. AGENCIES 41,126,983.110 42,203,755.32 43,746,753.68 11.27% 1,542,998.36 U.S. GOVERNMENTS 92,597,276.280 100,770,646.50 99,360,295.72 25.59% -1,410,350.78 UTILITY-ELECTRIC 4,750,000.000 4,694,370.00 4,991,460.00 1.29% 297,090.00 UTILITY-TELEPHONE 3,000,000.000 3,530,490.00 3,497,340.00 0.90% -33,150.00 U.S.DOLLAR 277,746,622.940 290,124,807.49 294,841,061.83 75.93% 4,716,254.34 21612004 11:51:32AM PST 1 Workbench Report ID: GL8251 Asset Summary Base Currency: USD Mellon by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LONG TERM OPER-PIMCO-OCSF07522202 1 31 2004 Status: FINAL Net Unrealized Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base. FIXED INCOME SECURITIES 277,746,622.940 290,124,807.49 294,841,061.83 75.93% 4,716,254.34 TOTAL ASSETS -BASE: 370,879,176.060 383,601,827.68 388,318,082.02 100.00% 4,716,254.34 21612004 11:51:32AM PST 2 Workbench a YLDANAL YIELD ANALYSIS PAGE 1 OCSF07511102 2004/01/31 RUN DATE 02/06/04 DISTRICTt LIQUID OPERATING RUN TIME 10.22.29 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ^------ ------- ------- -------- ------------ ---------- CASH 6 CASH EQUIVALENTS 4,500,000.00 DU PONT DE NEMOUR DISC .000 .000 P-1 99.867 4,494,000.00 5.70 26354AC85 03/08/2004 4,494,000.00 4.93 5,200,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.86E 5,193,143.22 6.59 313384SR1 MAT 02/04/2004 A-1+ 5,193,143.22 5.70 1,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.688 996,879.16 1.26 313384SS9 A-1+ 996,879.16 1.09 600,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.614 597,681.67 .75 313384SWO MAT 02/09/2004 A-1+ 597,681.67 .66 2,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.732 1,994,641.11 2.53 313384TN9 MAT 02/25/2004 A-1+ 1,994,641.11 2.19 4,500,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.742 4,488,395.00 5.69 313384UE7 MAT 03/12/2004 A-1+ 4,489,395.00 4.92 900,000.00 FEDERAL HOME LN BKS CINS DISC .000 .000 P-1 99.462 895,162.50 1.13 313384UK3 MAT 03/17/2004 A-1+ 895,162.50 .98 2,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.431 1,988,625.00 2.52 313384XA2 MAT 05/19/2004 A-1+ 1,988,625.00 2.18 6,000,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.760 5,985,610.83 7.59 313396TPO MAT 02/26/2004 A-1+ 5,985,610.83 6.57 3,800,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.422 3,778,055.00 4.79 313396U24 HAT 03/31/2004 A-1+ 3,770,055.00 4.15 5,200,000.00 FEDERAL NATL MTG ASSN DISC NT .000 .000 P-1 99.871 5,193,305.00 6.59 313598SPI MAT 02/02/2004 A-1+ 5,193,305.00 5.70 6,000,000.00 FEDERAL NATL MTG ASSN DISC NT .000 .000 P-1 99.782 5,986,918.61 7.59 313588TF2 A-1+ 5,986,918.61 6.57 2,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.426 1,988,523.89 2.52 31358BXAB HAT 05/19/2004 A-1+ 1,988,523.89 2.18 2,500,000.00 GENERAL ELEC CAP DISC .000 .000 P-1 99.902 2,497,545.14 3.16 36959HBQ9 02/24/2004 2,497,545.14 2.74 YLDANAL YIELD ANALYSIS PAGE s 2 OCSF07511102 2004/01/31 RUN DATE s 02/06/04 DISTRICT: LIQUID OPERATING RUN TIME 10.22.29 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 9 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 1,200,000.00 U S TREASURY BILL .000 .000 P-1 99.516 1,194,191.67 1.51 912795PK1 DUE 02/12/2004 DD 08/14/2003 A-1+ 1,194,191.67 1.31 9,200,000.00 U S TREASURY BILL .000 .000 P-1 99.757 9,177,690.00 11.64 912795PPO 0.000% 03/11/2004 DD 09/11/03 A-1+ 9,177,690.00 10.07 6,500,000.00 U S TREASURY BILL .000 .000 P-1 99.785 6,486,041.25 8.23 912795PQB 0.000% 03/18/2004 DD 09/18/03 A-1+ 6,486,041.25 7.12 6,200,000.00 U S TREASURY BILL .000 .000 P-1 99.491 6,168,416.07 7.82 912795QA2 0.000% 05/27/2004 DD 11/28/03 A-1+ 6,168,416.07 6.77 9,500,000.00 FIRST BOSTON CORP REPO .000 .970 100.000 9,500,000.00 12.05 99415T115 00.970% 02/02/2004 DD 01/30/04 9,500,000.00 10.42 189,640.40 DREYFUS TREASURY CASH MGMT .000 .804 AAA 100.000 189,640.40 .24 996085247 AAA 189,640.40 .21 1,000.00 BSDT-LATE MONEY DEPOSIT ACCT .000 .100 100.000 1,000.00 .00 996087094 1,000.00 .00 -------- ------- ----------------- --------- TOTAL CASH 6 CASH EQUIVALENTS ODO .035 78,795,465.52 100.00 78,795,465.52 86.46 FIXED INCOME SECURITIES 100,000.00 ASSOCIATES CORP NA MTN SR00043 .000 7.694 AA1 102.937 104,199.00 .83 045906BU7 7.920% 07/13/2004 DD 07/13/94 AA- 102,937.00 .11 1,000,000.00 ASSOCIATES CORP NORTH AMER .000 5.743 AA1 100.984 1,041,290.00 8.18 046003KA6 5.800% 04/20/2004 DD 04/20/99 AA- 1,009,840.00 1.11 500,000.00 BANK OF AMERICA CORP SR GBL NT ODO 6.496 AA2 101.984 518,385.00 4.13 066050CW3 6.625% 06/15/2004 DD 06/15/99 A+ 509,920.00 .56 650,000.00 BELL ATLANTIC-NEW JERSEY INC .000 5.875 AA3 100.000 677,046.50 5.26 077858AA6 5.875% 02/01/2004 DD 02/01/94 A+ 650,000.00 .71 1,100,000.00 FEDERAL HOME LN MTG CORP DEB .000 3.730 AAA 100.541 1,125,905.00 8.96 3134A4PH1 3.750% 04/15/2004 DD 04/15/02 AAA 1,105,953.20 1.21 r b• YLDANAL YIELD ANALYSIS PAGE s 3 OCSF07511102 2004/01/31 RUN DATE s 02/06/04 DISTRICT: LIQUID OPERATING RUN TIME s 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 4,200,000.00 FEDERAL NATL MTG ASSN DEBS .000 5.118 AAA 100.140 4,350,168.00 34.08 31359MEM1 5.125% 02/13/2004 DD 02/08/99 AAA 4,205,892.18 4.62 180,000.00 GENERAL ELEC CAP MTN #TR 00448 .000 7.143 AAA 101.500 183,801.60 1.48 36962GUR3 7.250% 05/03/2004 DD 05/01/00 AAA 182,700.00 .20 1,000,000.00 GENERAL ELEC CAP MTN 8TR 00545 .000 1.219 AAA 100.062 1,001,089.00 8.10 36962GYS7 VAR RT 05/20/2004 DD 05/20/02 AAA 1,000,620.00 1.10 1,000,000.00 LEHMAN BROS HLDGS INC .000 6.568 Al 100.875 1,045,590.00 8.17 524908BZ2 6.625% 04/01/2004 DD 03/26/99 A 1,008,750.00 1.11 250,000.00 NCNB TEX NATL BK DALLAS TEX NT .000 9.258 AA2 102.609 260,870.00 2.07 628857DJ0 9.500% 06/01/2004 DD 06/01/89 A+ 256,522.50 .28 627,000.00 NATIONSBANK CORP SR NTS .000 5.996 AA2 102.156 646,650.18 5.19 638585BJ7 6.125% 07/15/2004 DD 07/23/98 A+ 640,518.12 .70 520,000.00 NORWEST FINL INC NTS .000 7.133 AA1 100.937 531,538.80 4.25 669383DG3 7.200% 04/01/2004 DD 04/07/97 AA- 524,872.40 .58 1,000,000.00 US BANCORP MTN 1TR 00119 .000 5.921 AA3 101.328 1,046,310.00 0.21 91159HEY2 6.000% 05/15/2004 DD 05/10/99 A+ 1,013,280.00 1.11 125,000.00 WELLS FARGO 6 CO NEW NT .000 6.472 AA1 102.359 128,605.00 1.03 949746AA9 6.625% 07/15/2004 DD 07/28/99 AA- 127,948.75 .14 -------- ------- ----------------- --------- TOTAL FIXED INCOME SECURITIES .000 5.193 12,661,448.08 100.00 12,339,754.15 13.54 -�------ ------- ----------------- --------- TOTAL .000 .601 91,456,913.60 100.00 91,135,219.67 100.00 ----------------- --------- YLDANAL YIELD ANALYSIS PAGE 4 PCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 10.22.29 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- CASH & CASH EQUIVALENTS 900,000.00 EUROPEAN INVEST DISC .000 .000 99.732 897,588.50 .96 29878RCF3 03/15/2004 897,588.50 .23 11,800,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.751 11,770,622.63 12.68 313384VPI MAT 04/14/2004 A-1+ 11,770,622.63 3.04 900,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.746 897,713.63 .96 313384WD7 MAT 04/28/2004 A-1+ 897,713.63 .23 4,700,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.661 4,684,085.28 5.04 313396SP9 MAT 02/02/2004 A-1+ 4,684,085.28 1.21 2,500,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.724 2,493,100.00 2.68 313396527 MAT 02/12/2004 A-1+ 2,493,100.00 .64 2,100,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.581 2,091,194.00 2.25 313396UQ4 MAT 03/22/2004 A-1+ 2,091,194.00 .54 10,000,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.753 9,975,277.78 10.75 313396VNO MAT 04/13/2004 A-1+ 9,975,277.78 2.57 1,700,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.747 1,695,702.78 1.82 313396VV2 MAT 04/20/2004 A-1+ 1,695,702.78 .44 1,200,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.748 1,196,974.00 1.29 313396WC3 MAT 04/27/2004 A-1+ 1,196,974.00 .31 400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.900 399,600.00 .43 313588SR7 MAT 02/04/2004 A-1+ 399,600.00 .10 2,400,000.00 FEDERAI, NATL MTG ASSN DISC NT .000 .000 P-1 99.715 2,393,155.61 2.57 313588TF2 A-1+ 2,393,155.61 .62 3,800,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.553 3,783,014.00 4.07 31358OTGO MAT 02/19/2004 A-1+ 3,783,014.00 .98 8,400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.745 8,378,580.00 9.03 313588TN5 MAT 02/25/2004 A-1+ 8,378,580.00 2.16 400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.727 398,908.00 .42 313588TV7 MAT 03/03/2004 A-1+ 398,908.00 .10 i a YLDANAL YIELD ANALYSIS PAGE 5 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 1,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT 000 .000 P-1 99.735 997,350.00 1.07 313588UC7 MAT 03/10/2004 A-1+ 997,350.00 .26 1,100,000.00 FEDERAL NATL MTG ASSN DISC .000 .000 P-1 99.735 1,097,080.42 1.18 313588UK9 A-1+ 1,097,080.42 .28 1,800,000.00 GENERAL ELEC CAP DISC oDo .000 P-1 99.633 1,793,395.50 1.93 36959HD79 04/07/2004 1,793,395.50 .46 4,500,000.00 U S TREASURY BILL .000 .000 P-1 99.516 4,478,218.75 4.82 912795PK1 DUE 02/12/2004 DD 08/14/2003 A-1+ 4,478,218.75 1.16 17,000,000.00 UNITED STATES TREASURY BILL .000 .000 P-1 99.487 16,912,790.02 18.22 912795PV7 DUE 04/22/2004 DD 10/23/03 A-1+ 16,912,790.02 4.36 12,000,000.00 U S TREASURY BILL .000 .000 P-1 99.484 11,938,120.00 12.86 912795PWS 0.000% 04/29/2004 DD 10/30/03 A-1+ 11,938,120.00 3.08 4,400,OOO.00 U S TREASURY BILL .000 .000 P-1 99.482 4,377,207.88 4.71 912795PX3 0.000% 05/06/2004 DD 11/06/03 A-1+ 4,377,207.88 1.13 132,553.12 DREYFUS TREASURY CASH MGMT .000 .804 AAA 100.000 132,553.12 .14 996085247 AAA 132,553.12 .03 -------- ------- ----------------- --------- TOTAL CASH 6 CASH EQUIVALENTS .000 .000 92,782,231.90 100.00 92,782,231.90 23.93 FIXED INCOME SECURITIES 752,000.00 AIG SUNAMERICA GLOBAL REG S .000 5.325 109.867 826,199.84 .28 U00907AA0 5.850% 08/01/2008 DD O8/08101 826,199.84 .21 3,000,000.00 COMMIT TO PUR FNMA SF MTG .000 5.780 AAA 103.805 3,097,695.31 1.05 OIF060626 6.000% 02/01/2034 DD 02/01/04 AAA 3,114,140.70 .80 1,500,000.00 CIT GROUP INC NEW SR NT .000 5.121 A2 107.406 1,527,135.00 .54 125581AD0 5.500% 11/30/2007 DD 12/02/02 A 1,611,090.00 .42 5,000,000.00 CITIGROUP INC GLOBAL SUB NT .000 5.272 AA2 106.687 5,333,600.00 1.80 172967BP5 5.625% 08/27/2012 DD 08/26/02 A+ 5,334,350.00 1.38 YLDANAL YIELD ANALYSIS PAGE 6 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------ ------- ------- -------- ------------ ---------- 78,846.78 FHLMC GROUP #G4-0353 .000 7.374 AAA 101.705 80,842.60 .02 3128DBMA2 7.500% 10/01/2004 DD 03/01/99 AAA 80,190.80 .02 7,500,000.00 FEDERAL HOME LN BR CONS BDS ODO 6.733 AAA 105.823 7,997,625.00 2.69 3133MAUN7 7.125% 02/15/2005 DD 02/08/00 AAA 7,936,746.75 2.05 78,922.06 FHLMC GROUP #78-6064 .000 3.277 AAA 103.366 76,998.32 .02 31348SWZ3 6.384% 01/01/2028 DD 12/01/97 AAA 81,578.89 .02 11,350,000.00 FEDERAL NATL MTG ASSN DEBS .000 4.911 AAA 106.897 11,521,271.50 4.11 31359MJX2 5.250% 06/15/2006 DD 06/22/01 AAA 12,132,758.43 3.13 832,616.95 FNMA POOL #0254510 .000 4.986 AAA 102.332 857,595.46 .28 31371KVB4 5.000% 11/01/2017 DD 10/01/02 AAA 852,033.83 .22 176,487.83 FNMA POOL #0254631 .000 4.880 AAA 102.457 181,782.47 .06 31371KY47 5.000% 02/01/2018 DD 01/01/03 AAA 180,824.19 .05 159,405.25 FNMA POOL #0254760 .000 4.879 AAA 102.488 164,187.40 .05 31371K5V9 5.000% 06/01/2018 DD 05/01/03 AAA 163,371.70 .04 69,607.32 FNMA POOL 10254866 .000 4.879 AAA 102.488 71,695.55 .02 31371LCB3 5.000% 09/01/2018 DD 08/01/03 AAA 71,339.35 .02 369,272.41 FNMA POOL #0254953 .000 4.879 AAA 102.488 374,003.72 .12 31371LE21 5.000% 11/01/2018 DD 10/01/03 AAA 378,460.94 .10 989,316.58 FNMA POOL #0254987 .000 4.986 AAA 102.336 1,001,992.19 .34 3137ILF46 5.000% 12/01/2018 DD 11/01/03 AAA 1,012,428.36 .26 204,495.94 FNMA POOL #0323980 .000 5.686 AAA 105.531 213,506.54 .07 31374T2MO 6.000% 04/01/2014 DD 09/01/99 AAA 215,807.12 .06 31,747.72 FNMA POOL #0357328 .000 4.985 AAA 102.358 32,700.15 .01 31376J4M8 5.000% 01/01/2018 DD 01/01/03 AAA 32,496.33 .01 1,596,486.62 FNMA POOL #0357430 .000 4.886 AAA • 102.332 1,604,334.60 .55 31376KA71 5.000% 09/01/2018 DD 09/01/03 AAA 1,623,483.96 .42 61,362.45 FNMA POOL #0456482 .000 5.686 AAA 105.531 64,066.23 .02 31381CCT2 6.000% 02/01/2014 DD 02/01/99 AAA 64,756.56 .02 175,430.91 FNMA POOL #0509649 .000 5.686 AAA 105.531 183,160.84 .06 313830EWO 6.000% 09/01/2014 DO 09/01/99 AAA 185,134.43 .05 : YLDANAL YIELD ANALYSIS PAGE 7 OCSF07522202 2004/01/31 RUN DATE s 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ B TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 161,716.77 FNMA POOL #0535451 .000 5.692 AAA 105.406 168,842.42 .05 31384VZO8 6.000% 06/01/2015 DD 07/01/00 AAA 170,459.58 .04 3,498,227.4E FNMA POOL #0535672 .000 5.686 AAA 105.531 3,652,368.14 1.25 31384WCH1 6.000% 01/01/2016 DD 12/01/00 AAA 3,691,723.19 .95 1,148,263.09 FNMA POOL #0545296 .000 5.696 AAA 105.344 1,198,858.43 .41 31385HXZO 6.000% 11/01/2016 DD 10/01/01 AAA 1,209,623.40 .31 96,898.25 FNMA POOL 00545580 .000 5.696 AAA 105.344 101,167.82 .03 31385JCR7 6.000% 03/01/2017 DD 03/01/02 AAA 102,076.25 .03 172,129.85 FNMA POOL #0555101 .000 5.689 AAA 105.469 179,714.30 .06 31385WU23 6.000% 10/01/2017 DD 11/01/02 AAA 181,543.20 .05 776,267.57 FNMA POOL #0555285 .000 5.772 AAA 103.941 807,318.29 .27 31385W2S7 6.000% 03/01/2033 DD 02/01/03 AAA 806,863.46 .21 390,738.81 FNMA POOL 00555363 .000 4.886 AAA 102.332 392,160.97 .13 31385W5Y1 5.000% 04/01/2018 DD 03/01/03 AAA 389,617.75 .10 38,998.31 FNMA POOL #0555453 .000 4.890 AAA 102.457 39,497.98 .01 31385XBW6 5.000% 05/01/201B DD 04/01/03 AAA 39,956.51 .01 317,525.09 FNMA POOL #0555545 .000 4.886 AAA 102.332 327,050.85 .11 31385XES2 5.000% 06/01/2018 DD 05/O1/03 AAA 324,929.87 .08 1,102,850.90 FNMA POOL #0555621 .000 4.886 AAA 102.336 1,115,257.97 .38 31395XG60 5.000% 07/01/2019 DD 06/01/03 AAA 1,128,615.00 .29 64,663.42 FNMA POOL #0576386 .000 5.707 AAA 105.137 67,512.65 .02 31386XJ72 6.000% 05/01/2016 DD 05/01/01 AAA 67,985.19 .02 173,931.37 FNMA POOL #0576739 .000 5.696 AAA 105.344 181,595.22 .06 31386XV86 6.000% 04/01/2016 DD 04/01/01 AAA 103,225.83 .05 230,571.90 FNMA POOL #0590888 .000 5.682 AAA 105.594 240,731.47 .08 31387DJ91 6.000% 05/01/2016 DD 05/01/01 AAA 243,469.52 .06 184,126.55 FNMA POOL #0594002 .000 5.696 AAA 105.344 192,239.62 .06 31387T3K8 6.000% 07/01/2016 DD 07/01/01 AAA 193,965.81 .05 234,957.84 FNMA POOL #0597376 .000 5.696 AAA 105.344 245,310.67 .08 31387XT96 6.000% 09/01/2016 DD 08/01/01 AAA 247,513.40 .06 YLDANAL YIELD ANALYSIS PAGE 8 OCSF07522202 2004/01/31 RUN DATE : 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE B TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 157,839.89 FNMA POOL #0605259 .000 5.696 AAA 105.344 164,794.71 .05 31388HMG1 6.000% 09/01/2016 DO 09/01/01 AAA 166,274.46 .04 102,674.04 FNMA POOL #0608366 .000 5.696 AAA 105.344 107,198.12 .03 31388LZ78 6.000% 10/01/2016 DD 09/01/01 AAA 108,160.68 .03 169,865.39 FNMA POOL #0616734 .000 5.679 AAA 105.656 177,350.08 .06 31388WEF9 6.000% 12/01/2016 DD 12/01/01 AAA 179,473.40 .05 188,081.65 FNMA POOL #0630812 .000 5.706 AAA 105.159 196,369.00 .06 31389NYH2 6.000% 02/01/2017 DD 02/01/02 AAA 197,784.14 .05 826,323.45 FNMA POOL #0632376 .000 5.689 AAA 105.469 862,733.34 .29 31389QQ50 6.000% 07/01/2017 DD 07/01/02 AAA 871,513.01 .22 472,082.11 FNMA POOL #0653116 .000 5.689 AAA 105.469 492,883.23 .16 31390QSDB 6.000% 07/01/2017 DO 07/01/02 AAA 497,899.10 .13 188,315.61 FNMA POOL #0673200 .000 5.689 AAA 105.469 196,613.27 .06 31391P6R2 6.000% 08/01/2017 DD 11/01/02 AAA 198,614.12 .05 570,407.77 FNMA POOL #0681309 .000 4.886 AAA 102.332 587,520.00 .19 31391Y3S4 5.000% 02/01/2018 DD 02/01/03 AAA 583,709.85 .15 71,351.97 FNMA POOL #0681334 .000 4.886 AAA 102.332 73,492.52 .02 31391Y4T1 5.000% 02/01/2018 DD 01/01/03 AAA 73,015.92 .02 352,619.46 FNMA POOL #0684908 .000 4.880 AAA 102.457 357,137.40 .12 31400D3R1 5.000% 06/01/2018 DO 05/01/03 AAA 361,283.43 .09 204,992.46 FNMA POOL #0685200 .000 4.886 AAA 102.332 207,618.93 .07 31400EGH7 5.000% 03/01/2018 DD 03/01/03 AAA 209,772.95 .05 36,400.74 FNMA POOL #0695665 .000 4.886 AAA 102.332 37,492.77 .01 31400EW22 5.000% 02/01/2018 DD 02/01/03 AAA 37,249.62 .01 313,562.63 FNMA POOL #0686318 .000 4.886 AAA 102.332 322,969.51 .10 31400FPB7 5.000% 03/01/2019 DD 03/01/03 AAA 320,875.00 .08 123,443.25 FNMA POOL #0688739 .000 4.086 AAA 102.332 127,146.55 .04 31400JEL9 5.000% 06/01/2018 DD 06/01/03 AAA 126,321.98 .03 126,863.83 FNMA POOL #0689859 .000 4.879 AAA 102.488 128,499.27 .04 3140OKMGB 5.000% 05/01/2018 DD 05/01/03 AAA 130,020.56 .03 i YLDANAL YIELD ANALYSIS PAGE 9 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------ ----------------------------- ------- ------- ------- -------- ------------ ---------- 738,363.94 FNMA POOL 10693834 .000 4.886 AAA 102.332 760,514.86 .25 3140OPY74 5.000% 03/01/2018 DD 03/01/03 AAA 755,582.81 .19 269,944.76 FNMA POOL #0695852 .000 4.806 AAA 102.332 278,043.10 .09 31400SBVO 5.000% 05/01/2018 DD 05/01/03 AAA 276,239.95 .07 835,544.30 FNMA POOL 00695889 .000 4.886 AAA 102.332 860,610.62 .28 31400SC23 5.000% 05/01/2018 DD 05/01/03 AAA 855,029.44 .22 26,423.10 FNMA POOL 00697026 .000 4.886 AAA 102.332 27,215.81 .00 31400TLF2 5.000% 05/01/2018 DD 04/01/03 AAA 27,039.29 .01 91,476.22 FNMA POOL #0698939 .000 5.682 AAA 105.594 95,506.89 .03 31400VPY2 6.000% 09/01/2017 DD 03/01/03 AAA 96,593.17 .02 276,563.58 FNMA POOL #0702210 .000 4.886 AAA 102.336 284,860.49 .09 31401ADP9 5.000% 05/01/2018 DD 05/01/03 AAA 283,024.48 .07 148,219.75 FNMA POOL #0702328 .000 4.886 AAA 102.332 150,118.82 .05 31401AHD2 5.000% 05/01/2018 DD 04/01/03 AAA 151,676.28 .04 78,952.24 FNMA POOL 00703195 .000 5.679 AAA 105.656 82,431.08 .02 31401BGC3 6.000% 01/01/2017 DD 04/01/03 AAA 83,417.98 .02 299,062.58 FNMA POOL #0709148 .000 4.886 AAA 102.332 308,034.46 .10 31401HZM7 5.000% 06/01/2018 DD 06/01/03 AAA 306,036.81 .08 696,034.89 FNMA POOL #0709360 .000 4.879 AAA 102.488 704,952.84 .24 31401JB56 5.000% 07/01/2018 DD 06/01/03 AAA 713,354.19 .18 142,521.39 FNMA POOL #0709826 .000 4.886 AAA 102.332 144,347.44 .04 31401JSP4 5.000% 06/01/2018 DD 06/01/03 AAA 145,B45.03 .04 263,009.67 FNMA POOL #0709917 .000 4.886 AAA 102.332 266,379.48 .09 31401JVJ4 5.000% 06/01/2018 DD 06/01/03 AAA 269,143.13 .07 26,627.70 FNMA POOL #0709963 .000 4.886 AAA 102.336 26,968.87 .00 31401JWYO 5.000% 06/01/2018 DD 06/01/03 AAA 27,249.76 .01 796,757.69 FNMA POOL #0710235 .000 4.886 AAA 102.332 820,660.43 .27 31401KBC8 5.000% 06/01/2018 DD 06/01/03 AAA 815,338.32 .21 25,686.21 FNMA POOL #0713344 .000 4.806 AAA 102.332 26,456.79 .00 31401NP52 5.000% 06/01/2018 DD 06/01/03 AAA 26,285.22 .01 t YLDANAL YIELD ANALYSIS PAGE 10 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 335,257.93 FNMA POOL #0713365 .000 4.886 AAA 102.332 339,553.42 .11 31401NQSI 5.000% 07/01/2018 DD 07/01/03 AAA 343,076.25 .09 973,922.84 FNMA POOL #0720319 .000 4.886 AAA 102.332 986,401.22 .33 31401WG45 5.000% 07/01/2018 DD 07/01/03 AAA 996,635.01 .26 2,428,707.38 FNMA POOL #0720369 .000 4.886 AAA 102.336 2,501,568.60 .84 31401WJN0 5.000% 06/01/2018 DD 06/01/03 AAA 2,485,445.29 .64 312,634.84 FNMA POOL #0721629 .000 4.879 AAA 102.488 322,013.89 .10 31401XVW4 5.000% 07/01/2018 DD 06/01/03 AAA 320,414.07 .08 252,251.28 FNMA POOL #0723487 .000 4.886 AAA 102.332 255,089.11 .08 31402AXQ4 5.000% 06/01/2018 DD 06/01/03 AAA 258,133.86 .07 426,364.82 FNMA POOL #0729601 .000 4.879 AAA 102.488 431,827.62 .14 31402HRW3 5.000% 07/01/2018 DD 07/01/03 AAA 436,973.97 .11 36,444.57 FNMA POOL #0732873 .000 4.873 AAA 102.613 36,911.51 .01 31402MFNS 5.000% 11/01/2018 DD 10/01/03 AAA 37,396.97 .01 747,867.91 FNMA POOL #0737130 .000 4.879 AAA 102.488 757,449.96 .25 31402S4P9 5.000$ 10/01/2018 DD 10/01/03 AAA 766,476.96 .20 590,349.37 FNMA POOL #0738211 .000 4.886 AAA 102.336 597,913.23 .20 31402UDQ2 5.000% 10/01/2018 DD 10/01/03 AAA 604,140.73 .16 224,140.14 FNMA POOL #0738487 .000 4.886 AAA 102.332 227,011.93 .07 31402UNC2 5.000% 10/01/2018 DD 10/01/03 AAA 229,367.16 .06 697,632.82 FNMA POOL 10740471 .000 4.886 AAA 102.336 706,571.23 .24 31402WT40 5.000% 10/01/2018 DD 10/01/03 AAA 713,930.47 .18 827,537.73 FNMA POOL #0740748 .000 4.886 AAA 102.332 838,140.55 .28 31402W5H7 5.000% 10/01/2018 DD 11/01/03 AAA 846,836.16 .22 44,604.14 FNMA POOL #0743868 .000 4.886 AAA 102.336 45,175.63 .01 31403BMRI 5.000% 11/01/2018 DD 10/01/03 AAA 45,646.15 .01 1,148,016.50 FNMA POOL #0744008 .000 4.886 AAA 102.332 1,162,725.46 .39 31403BR54 5.000% 07/01/2018 DD 09/01/03 AAA 1,174,788.59 .30 172,719.45 FNMA POOL 10744316 .000 4.886 AAA 102.336 174,932.42 .0S 31403B324 5.000% 09/01/2018 DD 09/01/03 AAA 176,754.41 .05 YLDANAL YIELD ANALYSIS PAGE 11 0CSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 361,547.49 FNMA POOL #0747914 .000 4.886 AAA 102.332 366,179.82 .12 31403F3X0 5.000% 11/01/2018 DD 11/01/03 AAA 369,978.89 .10 243,351.27 FNMA POOL #0748400 .000 4.086 AAA 102.336 246,469.22 .08 31403GNR9 5.000% 08/01/2018 DD 09/01/03 AAA 249,036.29 .06 1,034,427.41 FNMA POOL #0748899 .000 4.883 AAA 102.393 1,047,691.01 .35 31403G7L0 5.000% 12/01/2018 DD 11/01/03 AAA 1,059,185.42 .27 2,539,874.78 FNMA POOL #0750377 .000 4.983 AAA 102.393 2,572,416.92 .88 31403JUA2 5.000% 11/01/2018 DD 11/01/03 AAA 2,600,664.19 .67 2,129,602.89 FNMA POOL #0750380 .000 4.883 AAA 102.393 2,156,888.44 .73 31403JUD6 5.000% 11/O1/2010 DD 11/01/03 AAA 2,180,572.85 .56 193,323.00 FNMA POOL #0750445 .000 4.883 AAA 102.393 195,799.95 .06 31403JWE2 5.000% 11/01/2018 DD 11/01/03 AAA 197,950.00 .05 907,869.35 FNMA POOL #0751960 .000 4.886 AAA 102.336 919,501.43 .31 31403LMH1 5.000% 12/01/2018 DD 11/01/03 AAA 929,078.41 .24 991,394.12 FNMA POOL #0753425 .000 4.886 AAA 102.332 1,002,957.11 .34 31403NA23 5.000% 11/01/2018 DD 11/01/03 AAA 1,014,513.73 .26 647,108.54 FNMA POOL #0755165 .000 4.879 AAA 102.488 655,399.61 .22 31403Q6A3 5.000% 12/01/2018 DD 11/01/03 AAA 663,210.41 .17 991,702.32 FNMA POOL #0756372 .000 4.879 AAA 102.488 1,003,168.87 .34 31403SJRB 5.000% 11/01/2018 DD 11/01/03 AAA 1,016,378.65 .26 298,575.30 GNMA POOL #0596612 .000 6.145 AAA 105.785 313,364.10 .10 36200BYH4 6.500% 09/15/2032 DD 09/01/02 AAA 315,848.36 .08 1,169,942.54 GNMA POOL #0569358 .000 6.163 AAA 105.465 1,197,363.07 .41 36200QQK3 6.500% 04/15/2032 DD 04/01/02 AAA 1,233,882.53 .32 49,792.15 GNMA POOL #0569685 .000 6.143 AAA 105.816 52,258.41 .01 36200Q2S2 6.500% 02/15/2032 DD 02/01/02 AAA 52,688.27 .01 86,245.92 GNMA POOL #0570019 .000 6.143 AAA 105.816 90,517.79 .03 36200RG48 6.500% 07/15/2032 DD 07/01/02 AAA 91,262.34 .02 494,313.09 GNMA POOL #0574323 .000 6.143 AAA 105.816 510,797.04 .17 36200WAY7 6.500% 12/15/2031 DD 12/01/01 AAA 523,064.37 .13 YLDANAL YIELD ANALYSIS PAGE 12 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 52,644.83 GNMA POOL #0575364 .000 6.143 AAA 105.816 55,252.39 .01 3620OXFD6 6.500% 11/15/2031 DD 11/01/01 AAA 55,706.87 .01 20,877.54 GNMA POOL #0587117 .000 6.143 AAA 105.816 21,911.63 .00 36201MG22 6.500% 06/15/2032 DD 06/01/02 AAA 22,091.86 .01 59,744.81 GNMA POOL #0587439 .000 6.145 AAA 105.785 62,704.04 .02 36201MS45 6.500% 11/15/2032 DD 12/01/02 AAA 63,201.14 .02 14,543.72 GNMA POOL #0421389 .000 6.123 AAA 106.160 15,264.10 .00 36206UC23 6.500% 04/15/2026 DD 04/01/96 AAA 15,439.64 .00 22,897.80 GNMA POOL #0449851 .000 6.157 AAA 105.571 24,031.96 .00 36208FWLO 6.500% 01/15/2028 DD 01/01/98 AAA 24,173.44 .01 67,274.69 GNMA POOL #0466845 .000 6.130 AAA 106.035 70,606.89 .02 36209BTA6 6.500% 06/15/2028 DD 06/01/98 AAA 71,334.83 .02 113,362.74 GNMA POOL #0468052 .000 6.130 AAA 106.035 118,977.74 .04 36209C5M4 6.500% 07/15/2020 DD 07/01/98 AAA 120,204.36 .03 185,221.57 GNMA POOL #0476041 .000 6.130 AAA 106.035 194,106.42 .06 36209MZE7 6.500% 06/15/2028 DD 06/01/98 AAA 196,399.99 .05 164,068.79 GNMA POOL #0478626 .000 6.135 AAA 105.941 171,938.97 .05 36209QVT9 6.500% 01/15/2029 DD 01/01/99 AAA 173,816.79 .04 122,999.51 GNMA POOL #0480598 .000 6.130 AAA 106.035 128,899.65 .04 36209S3F6 6.500% 10/15/2028 DD 10/01/98 AAA 130,422.73 .03 435,166.85 GNMA POOL #0485527 .000 6.143 AAA 105.816 456,721.21 .15 36209YLG1 6.500% 06/15/2031 DD 06/01/01 AAA 460,477.94 .12 490,736.10 GNMA POOL #0485610 .000 6.143 AAA 105.816 515,042.87 .17 36209YN38 6.500% 07/15/2031 DD 07/01/01 AAA 519,279.32 .13 97,203.30 GNMA POOL #0485682 .000 6.143 AAA 105.816 102,017.90 .03 36209YRB6 6.500% 08/15/2031 DD 08/01/01 AAA 102,857.04 .03 88,984.95 GNMA POOL #0485703 .000 6.143 AAA 105.816 93,392.49 .03 36209YRY6 6.500% 08/15/2031 DD 08/01/01 AAA 94,160.68 .02 10,919.14 GNMA POOL #0512235 .000 6.135 AAA 105.941 11,459.97 .00 36211GBC6 6.500% 11/15/2029 DD 11/01/99 AAA 11,567.89 .00 YLDANAL YIELD ANALYSIS PAGE 13 OCSF07522202 2004/01/31 RUN DATE : 02/06/04 DISTRICTS LONG-TERM OPERATING RUN TIME : 10.22.29 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 149,132.18 GNMA POOL 00514326 .000 6.135 AAA 105.941 156,285.86 .05 36211JLF2 6.500% 07/15/2029 DD 07/01/99 AAA 157,992.73 .04 48,117.93 GNMA POOL #0530053 .000 6.164 AAA 105.449 50,501.28 .01 36212CZS3 6.500% 04/15/2031 DD 04/01/01 AAA 50,739.95 .01 104,930.70 GNMA POOL #0537885 .000 6.143 AAA 105.816 110,128.04 .03 3621214REI 6.500% 02/15/2031 DD 02/01/01 AAA 111,033.90 .03 12,796.49 GNMA POOL #0547512 .000 6.143 AAA 105.816 13,430.31 .00 36212YGV9 6.500% 04/15/2031 DD 04/01/01 AAA 13,540.78 .00 129,171.50 GNMA POOL #0547715 .000 6.143 AAA 105.816 134,319.73 .04 36212YN82 6.500% 02/15/2031 DD 02/01/01 AAA 135,626.48 .03 73,114.91 GNMA POOL #0552322 .000 6.143 AAA 105.816 76,736.30 .02 36213ESK3 6.500% 01/15/2032 DD 01/01/02 AAA 77,367.57 .02 539,265.43 GNMA POOL #0552466 .000 6.163 AAA 105.465 565,975.93 .19 36213EW36 6.500% 03/15/2032 DD 03/01/02 AAA 568,737.50 .15 437,113.67 GNMA POOL #0552659 .000 6.143 AAA 105.816 458,764.44 .15 36213E5U6 6.500% 07/15/2032 DD 07/01/02 AAA 462,537.99 .12 437,479.71 GNMA POOL #0561017 .000 6.143 AAA 105.816 459,148.62 .15 36213QG29 6.500% 07/15/2031 DD 07/01/01 AAA 462,925.32 .12 268,285.73 GNMA II POOL #0080395 .000 3.450 AAA 101.449 265,854.39 .09 36225CNM4 VAR RT 04/20/2030 DD 04/01/00 AAA 272,174.13 .07 2,393,819.27 GNMA II POOL #080408X .000 3.450 AAA 101.450 2,369,507.04 .82 36225CN28 6.500% 05/20/2030 DD 05/01/00 AAA 2,428,530.85 .63 5,000,000.00 GENERAL ELEC CAP MTN #TR 00575 .000 5.183 AAA 105.156 5,203,500.00 1.78 36962GZY3 5.450% 01/15/2013 DD 12/06/02 AAA 5,257,800.00 1.36 3,000,000.00 GENERAL MTRS ACCEP CORP SR NT .000 5.747 A3 • 106.578 3,064,350.00 1.08 370425SD3 6.125% 08/28/2007 DD 08/29/02 BBB 3,197,340.00 .82 3,000,000.00 GOLDMAN SACHS GROUP INC SR NT .000 4.011 AA3 102.843 3,030,030.00 1.04 38141GCSI 4.125% 01/15/2008 DD 01/13/03 A+ 3,085,290.00 .80 1,635,000.00 HOUSEHOLD FIN CORP NT .000 5.726 Al 111.343 1,772,820.00 .61 441812JW5 6.375% 10/15/2011 DD 10/23/01 A 1,820,458.05 .47 t YLDANAL YIELD ANALYSIS PAGE 14 PCSF07522202 2004/01/31 RUN DATE : 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 3,000,000.00 JP MORGAN CHASE & CO SUB NT .000 5.368 A2 107.109 3,127,260.00 1.08 46625HAT7 5.750% 01/02/2013 DD 11/25/02 A 3,213,270.00 .83 3,200,000.00 MORGAN STANLEY NT .000 3.605 AA3 100.562 3,195,648.00 1.09 617446HW2 3.625% 04/01/2008 DD 03/06/03 A+ 3,217,984.00 .03 3,000,000.00 NATIONAL RURAL UTILS COOP FIN 000 6.167 A2 117.562 3,465,480.00 1.19 637432CU7 7.250% 03/01/2012 DD 03/07/02 A 3,526,860.00 .91 1,000,000.00 PHILIP MORRIS COS INC NTS .000 7.419 BAA2 101.093 1,052,600.00 .34 718154CHO 7.500% 04/01/2004 DD 04/01/97 BBB 1,010,930.00 .26 984,505.70 RESIDENTIAL ASSET 03-RSI1 AIIB .000 1.432 AAA 99.675 984,505.70 .33 760985KB3 VAR RT 12/25/2033 DD 12/30/03 AAA 983,275.07 .25 3,497,276.28 SBA GTD DEV PARTN 2001-20C 1 .000 5.845 AAA 108.465 3,497,276.28 1.28 83162CLJO 6.340% 03/01/2021 AAA 3,793,320.72 .98 2,425,788.58 SBA GTD PARTN CTFS SBIC-PS 01 .000 6.204 AAA 107.020 2,425,708.58 .88 831641DD4 6.640% 02/10/2011 DD 02/21/01 NR 2,596,078.94 .67 1,600,000.00 UNITED AIRLS PASSTHRU 01-1 C .000 37.730 CA 18.105 1,600,000.00 .09 909317BC2 6.831% 03/01/2010 DD 08/22/01 A- 289,600.00 .07 20,000,000.00 U S TREASURY NOTES .000 5.612 AAA 111.375 22,620,312.50 7.55 9128272JO 06.250% 02/15/2007 DD 02/15/97 AAA 22,275,000.00 5.75 3,426,390.00 US TREASURY INFLATION INDEX NT .000 3.259 AAA 111.281 3,736,244.03 1.29 9128273T7 3.625% 01/15/2008 DD 01/15/98 AAA 3,812,938.19 .98 14,626,300.00 US TREASURY INFLATION INDEX NT .000 3.402 AAA 113.906 16,253,511.35 5.65 9128274Y5 3.875% 01/15/2009 DD 01/15/99 AAA 16,660,306.41 4.30 57,100,000.00 U S TREASURY NOTES .000 5.368 AAA 107.125 62,782,901.47 20.74 9128276N7 05.750% 11/15/2005 DD 11/15/00 AAA 61,168,375.00 15.78 12,000,000.00 U S TREASURY NT .000 3.217 AAA . 101.030 11,870,156.25 4.11 912828BG4 3.250% 08/15/2008 DD 08/15/03 AAA 12,123,600.00 3.13 3,000,000.00 VERIZON GLOBAL FDG CORP GLOBAL .000 6.326 A2 116.578 3,530,490.00 1.18 92344GAT3 7.375% 09/01/2012 DD 08/26/02 A+ 3,497,340.00 .90 1,750,000.00 VIRGINIA ELEC & PWR 01 SER A .000 5.375 A3 106.960 1,743,840.00 .63 927804ENO 5.750% 03/31/2006 DD 03/27/01 BBB+ 1,871,940.00 .48 : YLDANAL YIELD ANALYSIS PAGE 15 OCSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 16,304,540.00 US TREASURY INFLATION INDEX NT 3.817 3.101 AAA 108.844 14,384,422.02 6.01 9128272M3 3.375% 01/15/2007 DD 01/15/97 AAA 17,746,513.52 4.58 15,500,000.00 FEDERAL NATL MTG ASSN DEBS 5.967 6.735 AAA 105.794 16,154,410.00 5.56 31359MFH1 7.125% 02/15/2005 DD 02/14/00 AAA 16,398,088.60 4.23 1,061,097.19 FHLMC MULTICLASS MTG SER E3 A 6.316 3.696 AAA 103.113 1,062,227.65 .37 3133TCE95 VAR RT 08/15/2032 DD 12/01/97 AAA 1,094,129.15 .28 699,738.88 GNMA GTD REMIC TR 2000-9 FH 6.320 1.590 AAA 100.604 699,738.08 .23 3837H4NX9 VAR RT 02/16/2030 AAA 703,965.30 .18 7,316.30 GNMA POOL #0500917 6.389 5.729 AAA 104.723 6,944.76 .00 36210SPAO 6.000% 04/15/2029 DD 04/01/99 AAA 7,661.82 .00 35,337.84 GNMA POOL #0506636 6.399 5.729 AAA 104.723 33,543.33 .01 36210YY90 6.000% 04/15/2029 DD 04/01/99 AAA 37,006.73 .01 311,751.24 GNMA POOL #0503380 6.399 5.729 AAA 104.723 295,920.12 .11 36210VF55 6.000% 03/15/2029 DD 03/01/99 AAA 326,474.19 .00 12,651.90 GNMA POOL #0499153 6.389 5.729 AAA 104.723 12,009.42 .00 36210QQE5 6.000% 02/15/2029 DD 02/01/99 AAA 13,249.41 .00 410,770.39 GNHA POOL #0496461 6.390 5.729 AAA 104.723 389,910.95 .14 36210MQN4 6.000% 01/15/2029 DD 01/01/99 AAA 430,169.68 .11 105,963.24 GNMA POOL #0491103 6.390 5.729 AAA 104.723 100,582.31 .03 36210FRY4 6.000% 01/15/2029 DD 01/01/99 AAA 110,967.52 .03 12,077.30 GNMA POOL #0486720 6.390 5.729 AAA 104.723 11,464.01 .00 36210AVM6 6.000% 12/15/2028 DD 12/01/98 AAA 12,647.67 .00 22,500.34 GNMA POOL #0497343 6.390 5.729 AAA 104.723 21,357.75 .00 3621ONP45 6.000% 12/15/2028 DD 12/01/98 AAA 23,562.95 .01 15,442.66 GNMA POOL #0469688 6.391 5.729 AAA 104.723 14,658.45 .00 36209EXRB 6.000% 11/15/2028 DD 11/01/98 AAA 16,171.96 .00 20,617.14 GNMA POOL #0467279 6.391 5.729 AAA 104.723 19,570.18 .00 36209CCQ7 6.000% 10/15/2028 DD 10/01/98 AAA 21,590.82 .01 36,944.46 GNMA POOL #0457814 6.391 5.729 AAA 104.723 35,068.36 .01 36208QSB3 6.000% 10/15/2028 DD 10/01/98 AAA 38,689.22 .01 r YLDANAL YIELD ANALYSIS PAGE s 16 0CSF07522202 2004/01/31 RUN DATE 02/06/04 DISTRICTS LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOR YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 397,524.45 GNMA POOL #0467286 6.391 5.729 AAA 104.723 377,337.66 .14 36209CCX2 6.000% 10/15/2028 DO 10/01/98 AAA 416,298.18 .11 493,489.57 GNMA POOL #0465555 6.392 5.729 AAA 104.723 468,429.56 .17 36209AE48 6.000% 09/15/2028 DD 09/01/98 AAA 516,795.40 .13 13,171.18 GNMA POOL #0483452 6.392 5.729 AAA 104.723 12,502.34 .00 36209WBV3 6.000% 09/15/2028 DO 09/01/99 AAA 13,793.21 .00 458,238.47 GNMA POOL #0465546 6.392 5.729 AAA 104.723 434,968.55 .16 36209AET3 6.000% 08/15/2028 DD 08/01/98 AAA 479,879.51 .12 304,340.62 GNMA POOL #0468339 6.392 5.729 AAA 104.723 288,885.84 .10 36209DHQ0 6.000% 08/15/2028 DD 08/01/98 AAA 318,713.59 .08 18,607.22 GNMA POOL #0438057 6.393 5.726 AAA 104.785 17,662.33 .00 36207PTN9 6.000% 05/15/2028 DD 05/01/98 AAA 19,497.61 .01 18,836.70 GNMA POOL #0468330 6.393 5.729 AAA 104.723 17,880.13 .00 36209DHF4 6.000% 05/15/2028 DD 05/01/98 AAA 19,726.29 .01 3,032,099.71 FHLMC MULTICLASS CTF SER 1620Z 6.499 5.676 AAA 105.716 2,875,959.77 1.08 3133T17A4 6.000% 11/15/2023 DO 11/01/93 AAA 3,205,414.53 .83 327,492.79 GNMA II POOL #080088M 6.705 4.308 AAA 101.553 334,656.69 .11 36225CC20 7.375% 06/20/2027 DD 06/01/97 AAA 332,578.75 .09 2,000,000.00 MARSH & MCLENNAN COS INC SR NT 6.717 6.500 A2 101.921 1,992,280.00 .69 57174BABB 6.625% 06/15/2004 DD 06/14/99 AA- 2,038,420.00 .53 2,500,000.00 FORD MTR CR CO GLOBAL LANDMARK 6.739 6.559 A3 102.156 2,495,900.00 .86 345397SJ3 6.700% 07/16/2004 DO 07/16/99 BBB- 2,553,900.00 .66 2,500,000.00 COUNTRYWIDE HOME LNS INC NT 6.866 6.717 A3 101.984 2,498,400.00 .86 22237UABS 6.850% 06/15/2004 DO 06/24/99 A 2,549,600.00 .66 221,394.24 GNMA II POOL #0080023 6.992 5.487 AAA 102.516 225,061.08 .07 36225CAZ9 VAR RT 12/20/2026 DD 12/01/96 AAA 226,965.07 .06 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 7.113 5.778 AAA 114.666 2,030,133.00 .B1 31359MEY5 6.625% 09/15/2009 DD 09/01/99 AAA 2,407,985.79 .62 1,000,000.00 FORD MOTOR CR CO NT 7.592 6.429 A3 105.000 965,170.00 .35 345397GV9 6.750% 05/15/2005 DO 05/24/93 BBB- 1,050,000.00 .27 YLDANAL YIELD ANALYSIS PAGE 17 OCSF07522202 2004/01/31 RUN DATE 02/06/04 'DISTRICT: LONG-TERM OPERATING RUN TIME 10.22.29 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ----------------- ----------------------------- ------ ------- ------- -------- ------------ ---------- 945,144.52 WMP/BUNTOON PAIGE #000-11150 7.684 7.370 AAA 101.762 924,617.17 .32 302998GE3 7.500% 12/01/2030 DD 10/21/99 AAA 961,794.28 .25 3,000,000.00 PACIFICORP SECD MTN #TR 00115 7.709 7.020 A3 103.984 2,950,530.00 1.05 69512EEU5 7.300% 10/22/2004 DD 10/22/92 A 3,119,520.00 .80 1,600,000.00 ALLSTATE CORP SR NT 7.967 7.329 Al 107.453 1,594,032.00 .58 020002AL5 7.875% 05/01/2005 DD 05/01/00 A+ 1,719,248.00 .44 -------- ------- ----------------- --------- TOTAL FIXED INCOME SECURITIES .378 5.212 290,124,807.49 100.00 294,841,061.83 76.01 -------- ------- ----------------- --------- TOTAL, .359 4.946 382,907,039.39 100.00 387,623,293.73 100.00 ----------------- --------- ----------------- ----------- Asset Detail Report ID: GL8013- / Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOIdDATED-OCSGOOO 10000 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base .Base Total Base U.S. DOLLAR CASH&CASH EQUIVALENTS INTEREST RECEIVABLE 4,074,981.45 4,074,981.45 0.85% 0.00 RECEIVABLE FOR INVESTMENTS 28,598.26 28,598.26 0.01% 0.00 SOLD PAYABLE FOR INVESTMENTS -3,097,704.96 -3,097,704.96 -0.65% 0.00 PURCHASED DU PONT DE NEMOUR DISC 99.8667 4,500,000.000 4,494,000.00 4,494,000.00 0.94% 0.00 03/08/2004 SEC ID:26354AC85 EUROPEAN INVEST DISC 99.7321 900,000.000 897,588.50 897,588.50 0.19% 0.00 03/15/2004 SEC ID:29878RCF3 FEDERAL HOME LN BK CONS DISC N 99.8681 5,200,0100.000 5,193,143.22 5,193,143.22 1.08% 0.00 MAT 02/04/2004 SEC ID:313384SRI FEDERAL HOME LN BK CONS DISC 99.6879 11000,000.000 996,879.16 996,879.16 0.21% 0.00 SEC ID: 313384SS9 FEDERAL HOME LN BK CONS DISC 99.6136 600,0,00.000 597,681.67 597,681.67 0.12% 0.00 MAT 02/09/2004 SEC ID:313384SWO FEDERAL HOME LN BK CONS DISC 99.7321 2,000,000.000 1,994,641.11 1,994,641.11 0.42% 0.00 MAT 02/25/2004 SEC 1D: 313384TN9 FEDERAL HOME LN BK CONS DISC N 99.7421 4.,500,0.00.000 4,488,395.00 4,488,395.00 0.94% 0.00 MAT 03/12/2004 SEC ID: 313384UE7 FEDERAL HOME LN BKS CINS DISC 99,4625 900,000.000 895,162.50 895,162.50 0.19% 0.00 MAT 03/17/2004 SEC ID:313384UK3 FEDERAL HOME LN BK CONS DISC N 99.7510 l l,.800,0,00.000 11,770,622.63 11,770,622.63 2.45% 0.00 MAT 04/14/2004 SEC ID:313384VPI FEDERAL HOME LN BK CONS DISC N 99.7460 900,0100.000 897,713.63 897,713.63 0.19% 0.00 MAT 04/28/2004 SEC ID:313384WD7 FEDERAL HOME LN BK CONS DISC 99.4313 2,000,000.000 1,988,625.00 1,988,625.00 0.41% 0.00 MAT 05/19/2004 SEC ID:313384XA2 FEDERAL HOME LN MTG CORP DISC 99.6614 4,700,0,00.000 4,684,085.28 4,684,085.28 0.98% 0.00 MAT 02/02/2004 SEC 1D: 313396SP9 21612004 1:42:04PM PST 1 Workbench Asset Detail Report ID: GL8013 / Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: za�Ur z1Uz/m00:10 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FEDERAL HOME LN MTG CORP DISC 99.7240 2,500,0-00.000 2,493,100.00 2,493,100.00 0.52% 0.00 MAT 02/12/2004 SEC ID: 313396SZ7 FEDERAL HOME LN MTG CORP DISC 99.7602 6,000,0-00.000 5,985,610.83 5,985,610.83 1.25% 0.00 MAT 02/26/2004 SEC ID: 313396TP8 FEDERAL HOME LN MTG CORP DISC 99.5807 2,100.0-00.000 2,091,194.00 2,091,194.00 0.44% 0.00 MAT 03/22/2004 SEC ID: 313396UQ4 FEDERAL HOME LN MTG CORP DISC 99.4225 3,800,0.00.000 3,778,055.00 3,778,055.00 0.79% 0.00 MAT 03/31/2004 SEC ID: 313396UZ4 FEDERAL HOME LN MTG CORP DISC 99.7528 10,000,000.000 9,975,277.78 9,975,277.78 2.08% 0.00 MAT 04/13/2004 SEC ID:313396VNO FEDERAL HOME LN MTG CORP DISC 99.7472 1,700,000.000 1,695,702.78 1,695,702.78 0.35% 0.00 MAT 04/20/2004 SEC ID: 313396VV2 FEDERAL HOME LN MTG CORP DISC 99.7478 1,200,000.000 1,196,974.00 1,196,974.00 0.25% 0.00 MAT 04/27/2004 SEC ID: 313396WC3 FEDERAL NATL MTG ASSN DISC NT 99.8713 5,.200,000.000 5,193,305.00 5,193,305.00 1.08% 0.00 MAT 02/02/2004 SEC ID: 313588SPI FEDERAL NATL MTG ASSN DISCOUNT 99,9000 400,0-00.000 399,600.00 399,600.00 0.08% 0.00 MAT 02/04/2004 SEC ID: 313588SR7 FEDERAL NATL MTG ASSN DISC NT 99.7820 8,400,0.00.000 8,380,074.22 8,380,074.22 1.75% 0.00 SEC ID: 313588TF2 FEDERAL NATL MTG ASSN DISCOUNT 99.5530 3,.800,000.000 3,783,014.00 3,783,014.00 0.79% 0.00 MAT 02/19/2004 SEC ID:313588TGO FEDERAL NATL MTG ASSN DISCOUNT 99.7450 8,400,000.000 8,378,580.00 8,378,580.00 1.75% 0.00 MAT 02/25/2004 SEC ID: 313588TN5 FEDERAL NATL MTG ASSN DISCOUNT 99.7270 400,000.000 398,908.00 398,908.00 0.08% 0.00 MAT 03/03/2004 SEC ID: 313588TV7 FEDERAL NATL MTG ASSN DISCOUNT 99.7350 1,000,000.000 997,350.00 997,350.00 0.21% 0.00 MAT 03/10/2004 SEC ID: 313588UC7 FEDERAL NATL MTG ASSN DISC 99.7346 1,100,000.000 1,097,080.42 1,097,080.42 0.23% 0.00 SEC ID: 313588UK9 21612004 1:42:04PM PST 2 Workbench Asset Detail Report ID: UL8013 Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: T^^ :_, 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of (lain/Loss Description Base Shares Par Base Base Total Base FEDERAL NATL MTG ASSN DISCOUNT 99.4262 2,000,000.000 1,988,523.89 1,988,523.89 0.41% 0.00 MAT 05/19/2004 SEC ID:313588XA8 GENERAL ELEC CAP DISC 99.9018 2,500,0-00.000 2,497,545.14 2,497,545.14 0.52% 0.00 02/24/2004 SEC ID:36959HBQ9 GENERAL ELEC CAP DISC 99.6331 1,800,0-00.000 1,793,395.50 1,793,395.50 0.37% 0.00 04/07/2004 SEC ID:36959HD79 U S TREASURY BILL 99,5160 5,700,0.00.000 5,672,410.42 5,672,410.42 1.18% 0.00 DUE 02/12/2004 DD 08/14/2003 SEC ID:912795PK 1 U S TREASURY BILL 99.7575 9,200,000.000 9,177,690.00 9,177,690.00 1.91% 0.00 0.000%03/11/2004 DD 09/11/03 SEC ID:912795PP0 U S TREASURY BILL 99.7853 6,500,000.000 6,486,041.25 6,486,041.25 1.35% 0.00 0.000%03/18/2004 DD 09/18/03 SEC ID: 912795PQ8 UNITED STATES TREASURY BILL 99.4870 17..000,0.00.000 16,912,790.02 16,912,790.02 3.53% 0.00 DUE 04/22/2004 DD 10/23/03 SEC ID:912795PV7 U S TREASURY BILL 99.4843 12,000,0-00.000 11,938,120.00 11,938,120.00 2.49% 0.00 0.000%04/29/2004 DD 10/30/03 SEC ID:912795PW5 U S TREASURY BILL 99.4820 4,400,000.000 4,377,207.88 4,377,207.88 0.91% 0.00 0.0009/605/06/2004 DD 11/06/03 SEC ID:912795PX3 U S TREASURY BILL 99.4906 6,200,000.000 6,168,416.07 6,168,416.07 1.29% 0.00 0.000%05/27/2004 DD 11/28/03 SEC ID:912795QA2 FIRST BOSTON CORP REPO 100.0000 9,500,000.000 9,500,000.00 9,500,000.00 1.98% 0.00 00.970%02/02/2004 DD O1/30/04 SEC ID:99415T115 DREYFUS TREASURY CASH MGMT 100.0000 322,193.520 322,193.52 322,193.52 0.07% 0.00 SEC ID:996085247 BSDT-LATE MONEY DEPOSIT ACCT 100.0000 1,000.000 1,000.00 1,000.00 0.00% 0.00 SEC ID:996087094 TOTAL CASH&CASH EQUIVALENTS 172,123,193.520 172,583,572.17 172,583,572.17 35.97% 0.00 FIXED INCOME SECURITIES AIG SUNAMERICA GLOBAL REG S 109.8670 752,000,000 826,199.84 826,199.84 0.17% 0.00 5.850%08/01/2008 DD 08/08/01 SEC ID:U00907AA0 21612004 1:42:04PM PST 3 Workbench Asset Detail Report m: OLS013 Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: 2&01:,1iS21D2/,D0771❑ 1/31/2004 status: FINAL Net Unrealized Price Cost Market Value % of Gain/Lose Description Base Shares Par Base Base Total Base COMMIT TO PUR FNMA SF MTG 103.8047 3,000,000.000 3,097,695.31 3,114,140.70 0.65% 16,445.39 6.000%02/01/2034 DD 02/01/04 SEC 1D: 0IF060626 ALLSTATE CORP SR NT 107.4530 1,600,000.000 1,594,032.00 1,719,248.00 0.36% 125,216.00 7.875%05/01/2005 DD 05/01/00 SEC ID:020002AL5 ASSOCIATES CORP NA MTN SR00043 102.9370 100,D00.000 104,199.00 102,937.00 0.02% -1,262.00 7.920%07/13/2004 DD 07/13/94 SEC ID:045906BU7 ASSOCIATES CORP NORTH AMER 100.9840 1,000,000.000 1,041,290.00 1,009,840.00 0.21% -31,450.00 5.800%04/20/2004 DD 04/20/99 SEC ID:046003KA6 BANK OF AMERICA CORP SR GBL NT 101.9840 500,000.000 518,385.00 509,920.00 0.11% -8,465.00 6.625%06/15/2004 DD 06/15/99 SEC ID:066050CW3 BELL ATLANTIC-NEW JERSEY INC 100.0000 650,000.000 677,046.50 650,000.00 0.14% -27,046.50 5.875%02/01/2004 DD 02/01/94 SEC ID:077858AA6 C1T GROUP INC NEW SR NT 107.4060 1,500,000.000 1,527,135.00 1,611,090.00 0.34% 83,955.00 5.500% 11/30/2007 DD 12/02/02 SEC ID: 125581ADO CITIGROUP INC GLOBAL SUB NT 106.6870 5,000,000.000 5,333,600.00 5,334,350.00 1.11% 750.00 5.625%08/27/2012 DD 08/26/02 SEC ID: 172967BP5 COUNTRYWIDE HOME LNS INC NT 101.9840 2,500,000.000 2,498,400.00 2,549,600.00 0.53% 51,200.00 6.850%06/15/2004 DD 06/24/99 SEC ID:22237UAB8 WMP/HUNTOON PAIGE Ill 50 101.7616 945,144.520 924,617.17 961,794.28 0.20% 37,177.11 7.500% 12/01/2030 DD 10/21/99 SEC ID:302998GE3 FHLMC GROUP NG4-0353 101.7046 78,846.780 80,842.60 80,190.80 0.02% -651.80 7.500% 10/01/2004 DD 03/01/99 SEC ID: 3128DBMA2 FEDERAL HOME LN BK CONS BDS 105.8233 7,500,0,00.000 7,997,625.00 7,936,746.75 1.65% -60,878.25 7.125%02/15/2005 DD 02/08/00 SEC ID:3133MAUN7 FHLMC MULTICLASS MTG SER E3 A 103.1130 1,061,097.190 1,062,227.65 1,094,129.15 0.23% 31,901.50 VAR RT 08/15/2032 DD 12/01/97 SEC ID:3133TCE95 FHLMC MULTICLASS CTF SER 1620Z 105.7160 3,032,099.710 2,875,959.77 3,205,414.53 0.67% 329,454.76 6.000% 11/15/2023 DD 11/01/93 SEC ID:3133T17A4 21612004 1:42:04PM PST 4 Workbench Asset Detail Report ID: GL8013 Base Currency: USD Mellon by Currency Alternate Base Currency: 28sP *21 2/,^^_7'7 1/31/2004 c�ngStat ^ us: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base, . Base Total Base FEDERAL HOME LN MTG CORP DEB 100.5412 1,100,000.000 1,125,905.00 1,105,953.20 0.23% -19,951.80 3.750%04/15/2004 DD 04/15/02 SEC ID:3134A4PHI FHLMC GROUP#78-6064 103.3664 78,922.060 76,998.32 81,578.89 0.02% 4,580.57 6.384%01/01/2028 DD 12/01/97 SEC ID:31348SWZ3 FEDERAL NATL MTG ASSN DEBS 100.1403 4,200,000.000 4,350,168,00 4,205,892.18 0.88% -144,275.82 5.125%02/13/2004 DD 02/08/99 SEC ID: 31359MEM1 FEDERAL NATL MTG ASSN DEBS 114.6660 2,100,000.000 2,030,133.00 2,407,985.79 0.50% 377,852.79 6.625%09/15/2009 DD 09/01/99 SEC ID:31359MEY5 FEDERAL NATL MTG ASSN DEBS 105.7941 15,500,000.000 16,154,410.00 16,398,088.60 3.42% 243,678.60 7.125%02/15/2005 DD 02/14/00 SEC ID:31359MFHI FEDERAL NATL MTG ASSN DEBS 106.8966 11,350,000.000 11,521,271.50 12,132,758.43 2.53% 611,486.93 5.250%06/15/2006 DD 06/22/01 SEC ID:31359MJX2 FNMA POOL#0254510 102.3320 832,616.950 857,595.46 852,033.83 0.18% -5,561.63 5.000% 11/01/2017 DD 10/01/02 SEC ID:31371 KVB4 FNMA POOL#0254631 102.4570 176,487.830 181,782.47 180,824.19 0.04% -958.28 5.000%02/01/2018 DD 01/01/03 SEC ID:31371 KY47 FNMA POOL#0254760 102.4883 159,405.250 164,187.40 163,371.70 0.03% -815.70 5.000%06/01/2018 DD 05/01/03 SEC ID:31371K5V9 FNMA POOL#0254866 102.4883 69,607.320 71,695.55 71,339.35 0.01% -356.20 5.000%09/01/2018 DD 08/01/03 SEC ID: 31371LCB3 FNMA POOL#0254953 102.4883 369,272.410 374,003.72 378,460.94 0.08% 4,457.22 5.000% 11/01/2018 DD 10/01/03 SEC ID:31371 LE21 FNMA POOL#0254987 102.3361 989,316.580 1,001,992.19 1,012,428.36 0.21% 10,436.17 5.000% 12/01/2018 DD 11/01/03 SEC ID:31371LF46 FNMA POOL#0323980 105.5313 204,495.940 213,506.54 215,807.12 0.04% 2,300.58 6.000%04/01/2014 DD 09/01/99 SEC ID:31374T2M0 FNMA POOL#0357328 102.3580 31,747.720 32,700.15 32,496.33 0.01% -203.82 5.000%01/01/2018 DD 01/01/03 SEC ID:31376J4M8 21612004 1:42:04PM PST 5 Workbench Asset Detail Report m: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: 26-7621-2/,^-7- ' 1/31/2004 status: FINAL, Net Unrealized Price Cost Market Value % of Cain/Loss Description Base Shares Par Base Base Total Base FNMA POOL#0357430 102.3320 1,586,486.620 1,604,334.60 1,623,483.96 0.34% 19,149.36 5.000%09/01/2018 DD 09/01/03 SEC ID: 31376KA71 FNMA POOL#0456482 105.5313 61,362.450 64,066.23 64,756.56 0.01% 690.33 6.000%02/01/2014 DD 02/01/99 SEC ID: 31381 CCT2 FNMA POOL#0509649 105.5313 175,430.910 183,160.84 185,134.43 0.04% 1,973.59 6.000%09/01/2014 DD 09/01/99 SEC ID: 31383QEW0 FNMA POOL#0535451 105.4063 161,716.770 168,842.42 170,459.58 0.04% 1,617.16 6.000%06/01/2015 DD 07/01/00 SEC ID:31384VZQ8 FNMA POOL#0535672 105.5313 3.498,227.480 3,652,368.14 3,691,723.19 0.77% 39,355.05 6.000%01/01/2016 DD 12/01/00 SEC ID:31384WCHl FNMA POOL#0545296 105.3438 1 ,148,263.090 1,198,858.43 1,209,623.40 0.25% 10,764.97 6.000% 11/01/2016 DD 10/01/01 SEC ID:31385HXZ0 FNMA POOL#0545580 105.3438 96,898.250 101,167.82 102,076.25 0.02% 908.43 6.000%03/01/2017 DD 03/01/02 SEC ID:31385JCR7 FNMA POOL#0555101 105.4688 172,129.850 179,714.30 181,543.20 0.04% 1,828.90 6.000% 10/01/2017 DD 11/01/02 SEC ID: 31385WU23 FNMA POOL#0555285 103.9414 776,267.570 807,318.29 806,863.46 0.17% -454.83 6.000%03/01/2033 DD 02/01/03 SEC ID:31385W2S7 FNMA POOL#0555363 102.3320 380,738.810 392,160.97 389,617.75 0.08% -2,543.22 5.000%04/01/2018 DD 03/01/03 SEC ID:31385W5YI FNMA POOL#0555453 102.4570 38,998.310 39,497.98 39,956.51 0.01% 458.53 5.000%05/01/2018 DD 04/01/03 SEC ID:31385XBW6 FNMA POOL#0555545 102.3320 317,525.090 327,050.85 324,929.87 0.07% -2,120.98 5.000%06/01/2018 DD 05/01/03 SEC ID:31385XES2 FNMA POOL#0555621 102.3361 1,102,850.900 1,115,257.97 1,128,615.00 0.24% 13,357.03 5.000%07/01/2018 DD 06/01/03 SEC ID:31385XG68 FNMA POOL#0576386 105.1370 64,663.420 67,512.65 67,985.19 0.01% 472.54 6.000%05/01/2016 DD 05/01/01 SEC ID: 31386XJ72 21612004 1:42:04PM PST 6 Workbeneh Asset Detail Report m: GL8013 / Base Currency: vsD Mellon by Currency Alternate Base Currency: Exchange Rate: 2&e W 1^2/,0-,7 1/31/2004 status: FINAL Net Unrealized Price Cost Market Value % of Cain/Loss Description Base Shares Par Base Base, Total Base FNMA POOL#0576739 105.3438 173,931.370 181,595.22 183,225.83 0.04% 1,630.61 6.000%04/01/2016 DD 04/01/01 SEC ID:31386XV86 FNMA POOL#0580888 105.5938 230,571.900 240,731.47 243,469.52 0.05% 2,738.05 6.000%05/01/2016 DD 05/01/01 SEC ID:31387DJ91 FNMA POOL#0594002 105.3438 184,126.550 192,239.62 193,965.81 0.04% 1,726.19 6.000%07/01/2016 DD 07/01/01 SEC ID: 31387T3K8 FNMA POOL#0597376 105.3438 234,957.840 245,310.67 247,513.40 0.05% 2,202.73 6.000%09/01/2016 DD 08/01/01 SEC ID: 31387XT96 FNMA POOL#0605259 105.3438 157,839.890 164,794.71 166,274.46 0.03% 1,479.75 6.000%09/01/2016 DD 09/01/01 SEC ID: 31388HMG1 FNMA POOL#0608366 105.3438 102.6 74.040 107,198.12 108,160.68 0.02% 962.56 6.000% 10/01/2016 DD 09/01/01 SEC ID:31388LZ78 FNMA POOL 00616734 105.6563 169,865.390 177,350.08 179,473.40 0.04% 2,123.32 6.000% 12/01/2016 DD 12/01/01 SEC ID: 31388WEF9 FNMA POOL#0630812 105.1587 188,081,650 196,369.00 197,784.14 0.04% 1,415.14 6.000%02/01/2017 DD 02/01/02 SEC ID:31389NYH2 FNMA POOL#0632376 105.4688 826,323.450 862,733.34 871,513.01 0.18% 8,779.67 6.000%07/01/2017 DD 07/01/02 SEC ID: 31389QQ50 FNMA POOL#0653116 105.4688 472,082.110 492,883.23 497,899.10 0.10% 5,015.87 6.000%07/01/2017 DD 07/01/02 SEC ID: 31390QSD8 FNMA POOL#0673280 105.4688 188,315.610 196,613.27 198,614.12 0.04% 2,000.85 6.000%08/01/2017 DD 11/01/02 SEC ID: 31391P6R2 FNMA POOL#0681309 102,3320 570,407.770 587,520.00 583,709.85 0.12% -3,810.15 5.000%02/01/2018 DD 02/01/03 SEC ID:31391Y3S4 FNMA POOL#0681334 102.3320 71,3.51.970 73,492.52 73,015.92 0.02% -476.60 5.000%02/01/2018 DD 01/01/03 SEC ID:31391Y4T1 FNMA POOL#0684908 102.4570 352,619.460 357,137.40 361,283.43 0.08% 4,146.03 5.000%06/01/2018 DD 05/01/03 SEC ID:31400D3R1 21612004 1:42:04PM PST 7 Workbench Asset Detail Report ID: GL8013 / Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: 2&00*2102/,0,3700 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL#0685200 102.3320 204,992.460 207,618.93 209,772.95 0.04% 2,154.02 5.000%03/01/2018 DD 03/01/03 SEC ID:31400EGH7 FNMA POOL#0685665 102.3320 36,400.740 37,492.77 37,249.62 0.01% -243.15 5.000%02/01/2018 DD 02/01/03 SEC ID: 31400EW22 FNMA POOL#0686318 102.3320 313,562.630 322,969.51 320,875.00 0.07% -2,094.51 5.000%03/01/2018 DD 03/01/03 SEC ID:31400FPB7 FNMA POOL#0688739 102.3320 123,443.250 127,146.55 126,321.98 0.03% -824.57 5.000%06/01/2018 DD 06/01/03 SEC ID: 31400JEL9 FNMA POOL#0689859 102.4883 126,963.830 128,489.27 130,020.56 0.03% 1,531.29 5.000%05/01/2018 DD 05/01/03 SEC ID:3140OKMG8 FNMA POOL#0693834 102.3320 738,363.940 760,514.86 755,582.81 0.16% -4,932.05 5.000%03/01/2018 DD 03/01/03 SEC ID: 3140OPY74 FNMA POOL#0695852 102.3320 269,944.760 278,043.10 276,239.95 0.06% -1,803.15 5.000%05/01/2018 DD 05/01/03 SEC ID:31400SBVO FNMA POOL#0695889 102.3320 835,544.300 860,610.62 855,029.44 0.18% -5,581.18 5.000%05/01/2018 DD 05/01/03 SEC ID:31400SC23 FNMA POOL#0697026 102.3320 26,423.100 27,215.81 27,039.29 0.01% -176.52 5.000%05/01/2018 DD 04/01/03 SEC ID:31400TLF2 FNMA POOL#0698939 105.5938 91,476.220 95,506.89 96,593.17 0.02% 1,086.28 6.000%09/01/2017 DD 03/01/03 SEC ID:31400VPY2 FNMA POOL#0702210 102.3361 276,5,63.580 284,860.49 283,024.48 0.06% -1,836.01 5.000%05/01/2018 DD 05/01/03 SEC ID:31401ADP9 FNMA POOL#0702328 102.3320 148,219.750 150,118.82 151,676.28 0.03% 1,557.46 5.000%05/01/2018 DD 04/01/03 SEC ID:31401AHD2 FNMA POOL#0703195 105.6563 78,952.240 82,431.08 83,417.98 0.02% 986.90 6.000%01/01/2017 DD 04/01/03 SEC ID: 31401BGC3 FNMA POOL#0709148 102.3320 299,062.580 308,034.46 306,036.81 0.06% -1,997.65 5.000%06/01/2018 DD 06/01/03 SEC ID:31401HZM7 21612004 1:42:04PM PST 8 •Workbeneh Asset Detail Report m: GL8013 Base Currency: USD / Mellon by Currency Alternate Base Currency: Exchange Rate: 1-12/,--7^^ 1/31/2004 status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL#0709360 102.4883 696,034.890 704,952.84 713,354.19 0.15% 8,401.35 5.000%07/01/2018 DD 06/01/03 SEC ID:3140IJB56 FNMA POOL#0709826 102.3320 142,521.390 144,347.44 145,845.03 0.03% 1,497.59 5.000%06/01/2018 DD 06/01/03 SEC ID:31401JSP4 FNMA POOL#0709917 102.3320 263,009.670 266,379.48 269,143.13 0.06% 2,763.65 5.000%06/01/2018 DD 06/01/03 SEC ID: 31401JVJ4 FNMA POOL#0709963 102.3361 26,627.700 26,968.87 27,249.76 0.01% 280.89 5.000%06/01/2018 DD 06/01/03 SEC ID: 31401JWYO FNMA POOL#0710235 102.3320 796,757.690 820,660.43 815,338.32 0.17% -5,322.11 5.000%06/01/2018 DD 06/01/03 SEC ID:31401KBC8 FNMA POOL#0713344 102.3320 25,586.210 26,456.79 26,285.22 0.01% -171.57 5.000%06/01/2018 DD 06/01/03 SEC ID:3140INP52 FNMA POOL#0713365 102.3320 335,257.930 339,553.42 343,076.25 0.07% 3,522.83 5.000%07/01/2018 DD 07/01/03 SEC ID:31401NQS1 FNMA POOL#0720319 102.3320 973,922.840 986,401.22 996,635.01 0.21% 10,233.79 5.000%07/01/2018 DD 07/01/03 SEC ID:31401WG45 FNMA POOL#0720369 102.3361 2„428,707.380 2,501,568.60 2,485,445.29 0.52% -16,123.31 5.000%06/01/2018 DD 06/01/03 SEC ID:31401WJNO FNMA POOL#0721629 102.4883 312,634.840 322,013.89 320,414.07 0.07% -1,599.82 5.000%07/01/2018 DD 06/01/03 SEC ID:31401XVW4 FNMA POOL#0723487 102.3320 252,251.280 255,089.11 258,133.86 0.05% 3,044.75 5.000%06/01/2018 DD 06/01/03 SEC ID:31402AXQ4 FNMA POOL#0729601 102.4883 426,364.820 431,827.62 436,973.97 0.09% 5,146.35 5.000%07/01/2018 DD 07/01/03 SEC ID:31402HRW3 FNMA POOL#0732873 102.6133 36,444.570 36,911.51 37,396.97 0.01% 485.46 5.000% 11/01/2018 DD 10/01/03 SEC ID:31402MFN5 FNMA POOL#0737130 102.4883 747,867.910 757,449.96 766,476.96 0.16% 9,027.00 5.000% 10/01/2018 DD 10/01/03 SEC ID:31402S4P9 21612004 1:42:04PM PST 9 Workbench Asset Detail Report M. GL8013 Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: 2&0131&21 02/,❑❑7❑❑ 1/31/2004 status: FINAL Net Unrealized` Price Cost Market Value % of Gain/boss Description Base Shares Par Base Base Total I Base ,i FNMA POOL#0738211 102.3361 590,349.370 597,913.23 604,140.73 0.13% 6,227.50 5.000% 10/01/2018 DD 10/01/03 SEC ID: 31402UDQ2 FNMA POOL#0738487 102.3320 224,140.140 227,011.93 229,367.16 0.05% 2,355.23 5.000% 10/01/2018 DD 10/01/03 SEC ID: 31402UNC2 FNMA POOL#0740471 102.3361 697.632.820 706,571.23 713,930.47 0.15% 7,359.24 5.000% 10/01/2018 DD 10/01/03 SEC 1D:31402WT40 FNMA POOL#0740748 102.3320 827,537.730 838,140.55 846,836.16 0.18% 8,695.61 5.000% 10/01/2018 DD 11/01/03 SEC ID: 31402W5H7 FNMA POOL#0743868 102.3361 44,604.140 45,175.63 45,646.15 0.01% 470.52 5.000% 11/01/2018 DD 10/01/03 SEC ID: 31403BMRI FNMA POOL#0744008 102.3320 1,148,016.500 1,162,725.46 1,174,788.59 0.24% 12,063.13 5.000%07/01/2018 DD 09/01/03 SEC ID:31403BR54 FNMA POOL#0744316 102.3361 172,719.450 174,932.42 176,754.41 0.04% 1,821.99 5.000%09/01/2018 DD 09/01/03 SEC ID: 31403B3Z4 FNMA POOL#0747914 102.3320 361,547.490 366,179.82 369,978.89 0.08% 3,799.07 5.000% 11/01/2018 DD 11/01/03 SEC ID:31403F3X0 FNMA POOL#0748400 102.3361 243.351.270 246,469.22 249,036.29 0.05% 2,567.07 5.000%08/01/2018 DD 09/01/03 SEC ID: 31403GNR9 FNMA POOL#0748899 102.3934 1,034,427.410 1,047,681.01 1,059,185.42 0.22% 11,504.41 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403G7L0 FNMA POOL#0750377 102.3934 2,539,874.780 2,572,416.92 2,600,664.19 0.54% 28,247.27 5.000% 11/01/2018 DD 11/01/03 SEC 1D: 31403JUA2 FNMA POOL#0750380 102.3934 2,129,602.890 2,156,888.44 2,180,572.85 0.45% 23,684.41 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403JUD6 FNMA POOL#0750445 102.3934 193,323.000 195,799.95 197,950.00 0.04% 2,150.05 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403JWE2 FNMA POOL#0751960 102.3361 907,869.350 919,501.43 929,078.41 0.19% 9,576.98 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403LMH 1 2/6/2004 1:42:04PM PST 10 Workbench Asset Detail Report ID: GL8013• Base Currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: 2&11-r s21-2/,F? 7- 1/31/2004 status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL#0753425 102.3320 991,394.120 1,002,857.11 1,014,513.73 0.21% 11,656.62 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403NA23 FNMA POOL 40755165 102.4883 647,108.540 655,399.61 663,210.41 0.14% 7,810.80 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403Q6A3 FNMA POOL 00756372 102.4883 991,702.320 1,003,168.87 1,016,378.65 0.21% 13,209.78 5.000% 11/01/2018 DD 11/01/03 SEC ID:31403SJR8 FORD MOTOR CR CO NT 105.0000 1,000.0-00.000 965,170.00 1,050,000.00 0.22% 84,830.00 6.750%05/15/2005 DD 05/24/93 SEC ID: 345397GV9 FORD MTR CR CO GLOBAL 102.1560 2,500,000.000 2,495,900.00 2,553,900.00 0.53% 58,000.00 LANDMARK 6.700%07/16/2004 DD 07/16/99 SEC ID: 345397SJ3 GNMA POOL#0596612 105.7852 298,575.300 313,364.10 315,848.36 0.07% 2,484.26 6.500%09/15/2032 DD 09/01/02 SEC ID:36200BYH4 GNMA POOL#0569358 105.4652 1,169,942.540 1,197,363.07 1,233,882.53 0.26% 36,519.46 6.500%04/15/2032 DD 04/01/02 SEC 1D: 36200QQK3 GNMA POOL#0569685 105.8164 49,792.150 52,258.41 52,688.27 0.01% 429.86 6.500%02/15/2032 DD 02/01/02 SEC ID:3620002S2 GNMA POOL#0570019 105.8164 86,245.920 90,517.79 91,262.34 0.02% 744.55 6.500%07/15/2032 DD 07/01/02 SEC ID:3620ORG48 GNMA POOL#0574323 105.8164 494,313.090 518,797.04 523,064.37 0.11% 4,267.33 6.500% 12/15/2031 DD 12/01/01 SEC ID: 36200WAY7 GNMA POOL#0575364 105.8164 52,644.830 55,252.39 55,706.87 0.01% 454.48 6.500% 11/15/2031 DD 11/01/01 SEC ID:36200XFD6 GNMA POOL 40587117 105.8164 20,877.540 21,911.63 22,091.86 0.00% 180.23 6.500%06/15/2032 DD 06/01/02 SEC ID:36201MG22 GNMA POOL#0587439 105.7852 59,744.810 62,704.04 63,201.14 0.01% 497.10 6.500% 11/15/2032 DD 12/01/02 SEC ID: 3620IMS45 GNMA POOL#0421389 106.1602 14,543.720 15,264.10 15,439.64 0.00% 175.54 6.500%04/15/2026 DD 04/01/96 SEC ID: 36206UC23 21612004 1:42:04PM PST 11 Workbench Asset Detail Report ID: GGL8013 / Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: 2#yn r-,W. 1'72/,^^.7 =! 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base GNMA POOL#0438057 104.7852 18,607.220 17,662.33 19,497.61 0.00% 1,835.28 6.000%05/15/2028 DD 05/01/98 SEC ID:36207PTN9 GNMA POOL#0449851 105.5710 22,997.800 24,031.96 24,173.44 0.01% 141.48 6.500%01/15/2028 DD 01/01/98 SEC ID: 36208FWLO GNMA POOL#0457814 104.7227 36,944.460 35,068.36 38,689.22 0.01% 3,620.86 6.000% 10/15/2028 DD 10/01/98 SEC ID:36208QSB3 GNMA POOL#0465546 104.7227 458,238.470 434,968.55 479,879.51 0.10% 44,910.96 6.000%08/15/2028 DD 08/01/98 SEC ID: 36209AET3 GNMA POOL#0465555 104.7227 493,489.570 468,429.56 516,795.40 0.11% 48,365.84 6.000%09/15/2028 DD 09/01/98 SEC ID: 36209AE48 GNMA POOL#0466845 106.0352 67,274.690 70,606.89 71,334.83 0.01% 727.94 6.500%06/15/2028 DD 06/01/98 SEC ID: 36209BTA6 GNMA POOL#0467279 104.7227 20,617.140 19,570.18 21,590.82 0.00% 2,020.64 6.000% 10/15/2028 DD 10/01/98 SEC ID:36209CCQ7 GNMA POOL#0467286 104.7227 397,524.450 377,337.66 416,298.18 0.09% 38,960.52 6.000% 10/15/2028 DD 10/01/98 SEC ID:36209CCX2 GNMA POOL#0468052 106.0352 113,362.740 118,977.74 120,204.36 0.03% 1,226.62 6.500%07/15/2028 DD 07/01/98 SEC ID:36209C5M4 GNMA POOL 00468330 104.7227 18,836.700 17,880.13 19,726.29 0.000/0 1,846.16 6.000%05/15/2028 DD 05/01/98 SEC ID: 36209DHF4 GNMA POOL#0468339 104.7227 304,340.620 288,885.84 318,713.59 0.07% 29,827.75 6.000%08/15/2028 DD 08/01/98 SEC ID:36209DHQO GNMA POOL#0469688 104.7227 15,442.660 14,658.45 16,171.96 0.00% 1,513.51 6.000% 11/15/2028 DD 11/01/98 SEC ID:36209EXR8 GNMA POOL#0476041 106.0352 185,221.570 194,106.42 196,399.99 0.04% 2,293.57 6.500%06/15/2028 DD 06/01/98 SEC ID:36209MZE7 GNMA POOL#0478626 105.9414 164,0-68.790 171,938.97 173,816.79 0.04% 1,877.82 6.500%01/15/2029 DD 01/01/99 SEC ID: 36209QVT9 21612004 1:42:04PM PST 12 Workbench • n Asset Detail Report ID: GL8013' / Base currency: USD Mellon by Currency Alternate Base Currency: Exchange Rate: 2&OE[&2112/,❑»0 D 1/31/2004 status: FINAL Net Unrealized Price Cost Market Value % of (fain/Loss Description Base Shares Par Base Base Total Base.. GNMA POOL#0480598 106.0352 122,999.510 128,899.65 130,422.73 0.03% 1,523.08 6.500% 10/15/2028 DD 10/01/98 SEC ID: 36209S3F6 GNMA POOL#0483452 104.7227 13,171.180 12,502.34 13,793.21 0.00% 1,290.87 6.000%09/15/2028 DD 09/01/98 SEC ID: 36209WBV3 GNMA POOL#0485527 105.8164 435,166.850 456,721.21 460,477.94 0.10% 3,756.73 6.500%06/15/2031 DD 06/01/01 SEC ID: 36209YLG 1 GNMA POOL#0485610 105.8164 490,736.100 515,042.87 519,279.32 0.11% 4,236.45 6.500%07/15/2031 DD 07/01/01 SEC ID:36209YN38 GNMA POOL#0485682 105.8164 97,203.300 102,017.90 102,857.04 0.02% 839.14 6.500%08/15/2031 DD 08/01/01 SEC ID: 36209YRB6 GNMA POOL#0485703 105.8164 88,984.950 93,392.49 94,160.68 0.02% 768.19 6.500%08/15/2031 DD 08/01/01 SEC ID: 36209YRY6 GNMA POOL#0486720 104.7227 12,077.300 11,464.01 12,647.67 0.00% 1,183.66 6.0001/6 12/15/2028 DD 12/01/98 SEC ID:36210AVM6 GNMA POOL#0491103 104.7227 105,963.240 100,582.31 110,967.52 0.02% 10,385.21 6.000%01/15/2029 DD 01/01/99 SEC ID: 36210FRY4 GNMA POOL#0496461 104.7227 410,770.390 389,910.95 430,169.68 0.09% 40,258.73 6.000%01/15/2029 DD 01/01/99 SEC ID:36210MQN4 GNMA POOL#0497343 104.7227 22,500.340 21,357.75 23,562.95 0.000/0 2,205.20 6.000% 12/15/2028 DD 12/01/98 SEC ID:362IONP45 GNMA POOL#0499153 104.7227 12,651.900 12,009.42 13,249.41 0.00% 1,239.99 6.000%02/15/2029 DD 02/01/99 SEC ID: 36210QQE5 GNMA POOL#0500917 104.7227 7,3 16.300 6,944.76 7,661.82 0.00% 717.06 6.000%04/15/2029 DD 04/01/99 SEC ID: 36210SPAO GNMA POOL#0503388 104.7227 311,751.240 295,920.12 326,474.19 0.07% 30,554.07 6.000%03/15/2029 DD 03/01/99 SEC ID:3621OVF55 GNMA POOL#0506636 104.7227 35,337.840 33,543.33 37,006.73 0.01% 3,463.40 6.000%04/15/2029 DD 04/01/99 SEC ID: 3621OYY90 21612004 1:42:04PM PST 13 Workbench Asset Detail Report ID: GL8013 / Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: 26!7-r&2172/,^7272-1 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of gain/Loss Description Base Shares Par Base Base Total Base GNMA POOL#0512235 105.9414 10,919.140 11,459.97 11,567.89 0.00% 107.92 6.500% 11/15/2029 DD 11/01/99 SEC ID: 36211GBC6 GNMA POOL#0514326 105.9414 149.132.180 156,285.86 157,992.73 0.03% 1,706.87 6.500%07/15/2029 DD 07/01/99 SEC ID: 36211JLF2 GNMA POOL#0530053 105.4491 48,1 17.930 50,501.28 50,739.95 0.01% 238.67 6.500%04/15/2031 DD 04/01/01 SEC ID: 36212CZS3 GNMA POOL#0537885 105.8164 104,930.700 110,128.04 111,033.90 0.02% 905.86 6.500%02/15/2031 DD 02/01/01 SEC ID:36212MRE1 GNMA POOL#0547512 105.8164 12,796.480 13,430.31 13,540.78 0.000/0 110.47 6.500%04/15/2031 DD 04/01/01 SEC ID:36212YGV9 GNMA POOL#0547715 105.8164 128,171.500 134,319.73 135,626.48 0.03% 1,306.75 6.500%02/15/2031 DD 02/01/01 SEC ID: 36212YN82 GNMA POOL#0552322 105.8164 73,1 14.910 76,736.38 77,367.57 0.02% 631.19 6.500%01/15/2032 DD 01/01/02 SEC ID:36213ESK3 GNMA POOL#0552466 105.4652 539,265.430 565,975.93 568,737.50 0.12% 2,761.57 6.500%03/15/2032 DD 03/01/02 SEC ID:36213EW36 GNMA POOL#0552659 105.8164 437,1 13.670 458,764.44 462,537.99 0.10% 3,773.55 6.500%07/15/2032 DD 07/01/02 SEC ID: 36213E5U6 GNMA POOL#0561017 105.8164 437,479,710 459,148.62 462,925.32 0.10% 3,776.70 6.5001/6 07/15/2031 DD 07/01/01 SEC ID:36213QG29 GNMA II POOL#0080023 102.5163 221,394.240 225,061.08 226,965.07 0.05% 1,903.99 VAR RT 12/20/2026 DD 12/01/96 SEC ID:36225CAZ9 GNMA H POOL#080088M 101.5530 327,492.790 334,656.69 332,578.75 0.07% -2,077.94 7.375%06/20/2027 DD 06/01/97 SEC ID: 36225CC20 GNMA 11 POOL#0080395 101.4494 268,285.730 265,854.39 272,174.13 0.06% 6,319.74 VAR RT 04/20/2030 DD 04/01/00 SEC ID:36225CNM4 GNMA II POOL#080408X 101.4501 2,393,819.270 2,369,507.04 2,428,530.85 0.51% 59,023.81 6.500%05/20/2030 DD 05/01/00 SEC ID:36225CN28 21612004 1:42.04PM PST 14 Workbench Asset Detail Report m: OLS013 Base Currency. / Mellon by Currency Alternate Base Currency: USD Exchange Rate: 2&7! W. 1-12/,rn7-7n 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base GENERAL ELEC CAP MTN HTR 00448 101.5000 180,000.000 183,801.60 182,700.00 0.04% -1,101.60 7.250%05/03/2004 DD 05/01/00 SEC ID: 36962GUR3 GENERAL ELEC CAP MTN NTR 00545 100.0620 1,000,000.000 1,001,089.00 1,000,620.00 0.21% -469.00 VAR RT 05/20/2004 DD 05/20/02 SEC ID:36962GYS7 GENERAL ELEC CAP MTN NTR 00575 105.1560 5,000,000.000 5,203,500.00 5,257,800.00 1.10% 54,300.00 5.450%01/15/2013 DD 12/06/02 SEC ID:36962GZY3 GENERAL MTRS ACCEP CORP SR NT 106.5780 3,000,000.000 3,064,350.00 3,197,340.00 0.67% 132,990.00 6.125%08/28/2007 DD 08/29/02 SEC ID:370425SD3 GOLDMAN SACHS GROUP INC SR NT 102.8430 3,000,000.000 3,030,030.00 3,085,290.00 0.64% 55,260.00 4.125%01/15/2008 DD 01/13/03 SEC ID:38141GCS1 GNMA GTD REMIC TR 2000-9 FH 100.6040 699,738.880 699,738.88 703,965.30 0.15% 4,226.42 VAR RT 02/16/2030 SEC ID:3837H4NX9 HOUSEHOLD FIN CORP NT 11 1.3430 1,635,000.000 1,772,820.00 1,820,458.05 0.38% 47,638.05 6.375% 10/15/2011 DD 10/23/01 SEC ID:441812JW5 JP MORGAN CHASE&CO SUB NT 107.1090 3,000,0.00.000 3,127,260.00 3,213,270.00 0.67% 86,010.00 5.750%01/02/2013 DD 11/25/02 SEC ID:46625HAT7 LEHMAN BROS HLDGS INC 100.8750 1..000,0.00.000 1,045,590.00 1,008,750.00 0.21% -36,840.00 6.625%04/01/2004 DD 03/26/99 SEC ID: 524908BZ2 MARSH&MCLENNAN COS INC SR NT 101.9210 2,.000,0-00.000 1,992,280.00 2,038,420.00 0.42% 46,140.00 6.625%06/15/2004 DD 06/14/99 SEC ID: 571748AB8 MORGAN STANLEY NT 100.5620 3,200,000.000 3,195,648.00 3,217,984.00 0.67% 22,336.00 3.625%04/01/2008 DD 03/06/03 SEC ID:617446HW2 NCNB TEX NATL BK DALLAS TEX NT 102.6090 250,000.000 260,870.00 256,522.50 0.05% -4,347.50 9.500%06/01/2004 DD 06/01/89 SEC ID:628857DJ0 NATIONAL RURAL UTILS COOP FIN 117.5620 3,000,000.000 3,465,480.00 3,526,860.00 0.74% 61,380.00 7.250%03/01/2012 DD 03/07/02 SEC ID:637432CU7 NATIONSBANK CORP SR NTS 102.1560 627,000.000 646,650.18 640,518.12 0.13% -6,132.06 6.125%07/15/2004 DD 07/23/98 SEC ID:638585BJ7 21612004 1:42:04PM PSI' 15 Workbench Asset Detail Report W: GL8013 Base Currency: USD / Mellon by Currency Alternate Base Currency: 2&DC:,C 22102/,D07DD 1 31 2004 Exchange Rate: Status: FINAL. Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base NORWEST FINL INC NTS 100.9370 520,000.000 531,538.80 524,872.40 0.11% -6,666.40 7.200%04/01/2004 DD 04/07/97 SEC ID:669383DG3 PACIFICORP SECD MTN NTR 00115 103.9840 3,000,000.000 2,950,530.00 3,119,520.00 0.65% 168,990.00 7.300% 10/22/2004 DD 10/22/92 SEC ID:69512EEU5 PHILIP MORRIS COS INC NTS 101.0930 1,000,000.000 1,052,600.00 1,010,930.00 0.21% -41,670.00 7.500%04/01/2004 DD 04/01/97 SEC ID: 718154CH8 RESIDENTIAL ASSET 03-RSII AIIB 99.8750 984,505.700 984,505.70 983,275.07 0.20% -1,230.63 VAR RT 12/25/2033 DD 12/30/03 SEC ID:760985K83 SBA GTD DEV PARTN 2001-20C 1 108.4650 3,497,276.280 3,497,276.28 3,793,320.72 0.79% 296,044.44 6.340%03/01/2021 SEC ID:83162CWO SBA GTD PARTN CTFS SBIC-PS 01 107.0200 2,425,788.580 2,425,788.58 2,596,078.94 0.54% 170,290.36 6.640%02/10/2011 DD 02/21/01 SEC ID:831641 DD4 UNITED AIRLS PASSTHRU 0 1-1 C 18.1050 1,600,0-00.000 1,600,000.00 289,680.00 0.06% -1,310.320.00 6.831%03/01/2010 DD 08/22/01 SEC ID:909317BC2 US BANCORP MTN #TR 00119 101.3280 1.,000,000.000 1,046,310.00 1,013,280.00 0.21% -33,030.00 6.000%05/15/2004 DD 05/10/99 SEC ID:91159HEY2 U S TREASURY NOTES 111.3750 20..000,000.000 22,620,312.50 22,275,000.00 4.64% -345,312.50 06.250%02/15/2007 DD 02/15/97 SEC ID:9128272JO US TREASURY INFLATION INDEX NT 108.8440 16.,304,540.000 14,384,422.02 17,746,513.52 3.70% 3,362,091.50 3.375%01/15/2007 DD 01/15/97 SEC ID:9128272M3 US TREASURY INFLATION INDEX NT 111.2815 3,.426,390.000 3,736,244.03 3,812,938.19 0.79% 76,694.16 3.625%01/15/2008 DD 01/15/98 SEC ID:9128273T7 US TREASURY INFLATION INDEX NT 113.9065 14„626,300.000 16,253,51 1.35 16,660,306.41 3.47% 406,795.06 3.875%01/15/2009 DD 01/15/99 SEC ID:9128274Y5 U S TREASURY NOTES 107.1250 57,.100,0.00.000 62,782,901.47 61,168,375.00 12.75% -1,614,526.47 05.750% 11/15/2005 DD 11/15/00 SEC ID:9128276N7 U S TREASURY NT 101.0300 12,.000,000.000 11,870,156.25 12,123,600.00 2.53% 253,443.75 3.250%08/15/2008 DD 08/15/03 SEC ID:912828BG4 21612004 1:42:04PM PST 16 Workbench Asset Detail Report ID: 01,8013- / Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: 2&- `&2 102/,0070 0 1/31/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base VERIZON GLOBAL FDG CORP GLOBAL 116.5780 3,000,000.000 3,530,490.00 3,497,340.00 0.73% -33,150.00 7.375%09/01/2012 DD 08/26/02 SEC ID: 92344GAT3 VIRGINIA ELEC&PWR 01 SERA 106.9680 1,750,000.000 1,743,840.00 1,871,940.00 0.39% 128,100.00 5.750%03/31/2006 DD 03/27/01 SEC ID: 927804ENO WELLS FARGO&CO NEW NT 102.3590 125,000.000 128,605.00 127,948.75 0.03% -656.25 6.625%07/15/2004 DD 07/28/99 SEC ID: 949746AA9 TOTAL FIXED INCOME SECURITIES 289,998,622.940 302,786,255.57 307,180,815.98 64.03% 4,394,560.41 TOTAL ASSETS U.S. DOLLAR 462,121,8 16.460 475,369,827.74 479,764,388.15 100.00% 4,394,560.41 TOTAL ASSETS-BASE: 462,121,816.460 475,369,827.74 479,764,388.15 100.00% 4,394,560.41 21612004 1:42:04PM PST 17 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED -OCSG00010000 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base PURCHASES CASH &CASH EQUIVALENTS U.S. DOLLAR B DU PONT DE NEMOUR DISC 03/08/2004 1/20/2004 99.8667 4,500,000.000 4,494,000.00 -4,494,000.00 0.00 SEC ID:26354AC85 1/20/2004 BROKER: CREDIT SUISSE FIRST BOSTON 1/20/2004 CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO B FEDERAL HOME LN BK CONS DISC N MAT 1/14/2004 99.7485 900,000.000 897,736.38 -897,736.38 0.00 04/14/2004 1/14/2004 SEC ID:313384VP1 1/14/2004 BROKER: GOLDMAN SACHS&CO, NY OCSF07522202:LONG TERM OPER-PIMCO B FEDERAL HOME LN BK CONS DISC N MAT 1/15/2004 99.7513 10,900,000.000 10,872,886.25 -10,872,886.25 0.00 04/14/2004 1/15/2004 SEC ID:313384VPI 1/15/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07522202:LONG TERM OPER-PIMCO B FEDERAL HOME LN BK CONS DISC N MAT 1/28/2004 99.7460 900,000.000 897,713.63 -897,713.63 0.00 04/28/2004 1/28/2004 SEC ID:313384WD7 1/28/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07522202:LONGTERM OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 1/15/2004 99.7528 10,000,000.000 9,975,277.78 -9,975,277.78 0.00 04/13/2004 1/15/2004 SEC ID:313396VNO 1/15/2004 BROKER: GOLDMAN SACHS&CO, NY OCSF07522202:LONG TERM OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 1/20/2004 99.7472 1,700,000.000 1,695,702.78 -1,695,702.78 0.00 04/20/2004 1/20/2004 SEC ID:313396VV2 1/20/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 1 Workbench Transaction Detail Report ID: EWBO09' / Mellon Reported by Transaction Category Base Currency: USD OCSDCONSOLIDATED1111,2761-InO-lnnnnn 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Trait Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base B FEDERAL HOME LN MTG CORP DISC MAT 1/29/2004 99.7478 1,200,000.000 1,196,974.00 -1,196,974.00 0.00 04/27/2004 1/29/2004 SEC ID:313396WC3 1/29/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202:LONG TERM OPER-PIMCO B GENERAL ELEC CAP DISC 02/24/2004 1/20/2004 99.9018 2,500,000.000 2,497,545.14 -2,497,545.14 0.00 SEC ID:36959HBQ9 1/20/2004 BROKER: LEHMAN GOVT SECS INC, NY 1/20/2004 OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT REPO 00.990%01/05/2004 DD 1/2/2004 100.0000 8,400,000.000 8,400,000.00 -8,400,000.00 0.00 01/02/04 1/2/2004 SEC ID:99414P783 1/2/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT REPO 00.980%01/06/2004 DD 1/5/2004 100.0000 8,300,000.000 8,300,000.00 -8,300,000.00 0.00 01/05/04 1/5/2004 SEC ID:99414R318 1/5/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.950%01/07/2004 1/6/2004 100.0000 8,400,000.000 8,400,000.00 -8,400,000.00 0.00 DD 01/06/04 1/6/2004 SEC ID:99414S423 1/6/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.940%01/08/2004 1/7/2004 100.0000 8,400,000.000 8,400,000.00 -8,400,000.00 0.00 DD 01/07/04 1/7/2004 SEC ID:99414T884 1/7/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT 2 REPO 00.950%01/09/2004DD 1/8/2004 100.0000 8,400,000,000 8.400,000.00 -8,400,000.00 0.00 01/08/04 1/8/2004 SEC ID:99414V673 1/8/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO 2/6/2004 1:44:31 PM PST 2 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D-12i276110C170C3 IL113 1/2/2004 - 1/30/2004 Status: FINAL, Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Tyle Description Reported Date Base Shares/Par Base Base Base B CREDIT SUISSE FB REPO 00.920%01/12/2004 1/9/2004 100.0000 8,400,000.000 8,400,000.00 -8,400,000.00 0.00 DD 01/09/04 1/9/2004 SEC ID:99414W986 BROKER: CREDIT SUISSE FIRST BOSTON 1/9/2004 CORP,N Y OCSF07511102:LIQUID OPER-PIMCO g CREDIT SUISSE FB REPO 00.970%01/13/2004 1/12/2004 100.0000 4,200,000.000 4,200,000.00 -4,200,000.00 0.00 DD 01/12/04 1/12/2004 SEC ID:99414X547 1/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT 2 REPO 00.970%01/13/2004 DD 1/12/2004 100.0000 4,200,000.000 4,200,000.00 -4,200,000.00 0.00 01/12/04 1/12/2004 SEC ID:99414Y396 1/12/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO g LEHMAN CAT 2 REPO 00.950%01/14/2004 DD 1/13/2004 100.0000 9,900,000.000 9,900,000.00 -9,900,000.00 0.00 01/13/04 1/13/2004 SEC ID:99414Z807 1/13/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO $ LEHMAN CAT 2 REPO 00.950%01/15/2004 DD 1/14/2004 100.0000 9,900,000.000 9,900,000.00 -9,900,000.00 0.00 01/14/04 1/14/2004 SEC ID:99415B221 1/14/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT 2 REPO 00.990%01/16/2004 DD 1/15/2004 100.0000 9,900,000.000 9,900,000.00 -9,900,000.00 0.00 01/15/04 1/15/2004 SEC ID:9941SC849 1/15/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO B LEHMAN CAT REPO 00.970%01/20/2004 DD 1/16/2004 100,0000 9,900,000.000 9,900,000.00 -9,900,000.00 0.00 01/16/04 1/16/2004 SEC ID:99415D789 1/16/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO 21612004 1:44:31PM PST 3 Workbench. Transaction Detail Report tD: EWB009 ' / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED`H���6CJCII7700i1C]❑ 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base B LEHMAN CAT REPO 00.960%01/21/2004 DD 1/20/2004 100.0000 900,000.000 900,000.00 -900,000.00 0.00 01/20/04 1/20/2004 SEC ID:99415F677 BROKER: LEHMAN GOUT SECS INC, NY 1/20/2004 OCSF0751 1102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.970%01/22/2004 1/21/2004 100.0000 8,100,000.000 8,100,000.00 -8,100,000.00 0.00 DD 01/21/04 1/21/2004 SEC ID:99415G857 BROKER: CREDIT SUISSE FIRST BOSTON 1/21/2004 CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.980%01/23/2004 1/22/2004 100.0000 8,200,000.000 8,200,000.00 -8,200,000.00 0.00 DD 01/22/04 1/22/2004 SEC ID:9941SJ547 1/22/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,NY OCSF0751 1102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.960%01/26/2004 1/23/2004 100.0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 DD 01/23/04 1/23/2004 SEC ID:99415J760 1/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.980%01/27/2004 1/26/2004 100,0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 DD 01/26/04 1/26/2004 SEC ID:99415L286 1/26/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.980%01/28/2004 1/27/2004 100.0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 DD 01/27/04 1/27/2004 SEC ID:99415M763 1/27/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,NY OCSF07511102:LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.9900/.01/29/2004 1/28/2004 100.0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 DD 01/28/04 1/28/2004 SEC ID:99415P154 1/28/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO 21612004 1:44:31 PM PST 4 Workbench Transaction Detail Report m: EWB009 @ Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D3IIi2.767C]l-,,-0L111Ili 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base B CREDIT SUISSE FB REPO 00.980%01/30/2004 1/29/2004 100.0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 DD 01/29/04 1/29/2004 SECID:99415Q699 1/29/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO B FIRST BOSTON CORP REPO 00.970% 1/30/2004 100.0000 9,500,000.000 9,500,000.00 -9,500,000.00 0.00 02/02/2004 DD 01/30/04 1/30/2004 SEC ID:99415T115 1/30/2004 BROKER:CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO B DREYFUS TREASURY CASH MGMT 1/2/2004 1.0000 86,250.250 86,250.25 -86,250.25 0.00 SEC ID:996085247 1/2/2004 OCSF07522202:LONGTERM OPER-P1MC0 1/2/2004 B DREYFUS TREASURY CASH MGMT 1/2/2004 1.0000 8,402,037.000 8,402,037.00 -8,402,037.00 0.00 SEC ID:996085247 1/2/2004 OCSF0751 1102:LIQUID OPER-PIMCO 1/2/2004 B DREYFUS TREASURY CASH MGMT 1/5/2004 1.0000 352.190 352.19 -352.19 0.00 SEC ID:996085247 1/5/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/5/2004 B DREYFUS TREASURY CASH MGMT 1/6/2004 1.0000 6,686.300 6,686.30 -6,686.30 0.00 SEC ID:996085247 1/6/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/6/2004 B DREYFUS TREASURY CASH MGMT 1/7/2004 1.0000 221.670 221.67 -221.67 0.00 SEC ID:996085247 1/7/2004 OCSF0751 1102:LIQUID OPER-PIMCO 1/7/2004 B DREYFUS TREASURY CASH MGMT 1/8/2004 1.0000 219.330 219.33 -219.33 0.00 SEC ID:996085247 1/8/2004 OCSF0751 1102:LIQUID OPER-PIMCO 1/8/2004 B DREYFUS TREASURY CASH MGMT 1/9/2004 1.0000 221.670 221.67 -221.67 0.00 SEC ID:996085247 1/9/2004 OCSF0751 1102:LIQUID OPER-PIMCO 1/9/2004 21612004 1:44:31 P114 PST 5 Workbench Transaction Detail LIEWBOo9 / Mellon Reported by Transaction Category BasUSDOCSD-CONSOLIDATED-IF-2-161u1t"!.:I('1fi'lill! 1/2/2004 - 1/30/2004FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss T'Pe Description Reported Date Base Shares/Par Base Base Base B DREYFUS TREASURY CASH MGMT 1/12/2004 1.0000 644.000 644.00 -644.00 0.00 SEC ID:996085247 1/12/2004 OCSF07511102:LIQUID OPER-PIMCO 1/12/2004 B DREYFUS TREASURY CASH MGMT 1/13/2004 1.0000 1,742.170 1,742.17 -1,742.17 0.00 SEC ID:996085247 1/13/2004 OCSF07511102:LIQUID OPER-PIMCO 1/13/2004 B DREYFUS TREASURY CASH MGMT 1/14/2004 1.0000 261.250 261.25 -261.25 0.00 SEC ID:996085247 1/14/2004 OCSF07511102:LIQUID OPER-PIMCO 1/14/2004 B DREYFUS TREASURY CASH MGMT 1/15/2004 1.0000 23,603.760 23,603.76 -23,603.76 0.00 SEC ID:996085247 1/15/2004 OCSF07511102:LIQUID OPER-PIMCO 1/15/2004 B DREYFUS TREASURY CASH MGMT 1/15/2004 1.0000 1,531,925.820 1,531,925.82 -1,531,925.82 0.00 SEC ID:996085247 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/15/2004 B DREYFUS TREASURY CASH MGMT 1/16/2004 1.0000 272.250 272.25 -272.25 0.00 SEC ID:996085247 1/16/2004 OCSF07511102:LIQUID OPER-PIMCO 1/16/2004 B DREYFUS TREASURY CASH MGMT 1/16/2004 1.0000 28,071.920 28,071.92 -28,071.92 0.00 SEC ID:996085247 1/16/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/16/2004 B DREYFUS TREASURY CASH MGMT 1/20/2004 1.0000 2,010,543.910 2,010,543.91 -2,010,543.91 0.00 SEC ID:996085247 1/20/2004 OCSF07511102:LIQUID OPER-P1MCO 1/20/2004 B DREYFUS TREASURY CASH MGMT 1/21/2004 1.0000 22.010 22.01 -22.01 0.00 SEC ID:996085247 1/21/2004 OCSF07522202:LONGTERM OPER-PIMCO 1/21/2004 B DREYFUS TREASURY CASH MGMT 1/22/2004 1.0000 367.740 367.74 -367.74 0.00 SEC ID:996085247 1/22/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/22/2004 2/6/2004 1:44:3I PM PST 6 Workbench Wig agXsoM ' L LScf IMfV 66-I vv�c i7. 00'0 ZI'6Z£'ZIT'9IZ- ZT'6Z£'ZTT'8IZ 09VC6Vt ST'8IZ -dV'I'IOa 'S'n S,Lx3'1VAIn63 HSVO 99 HSVO'IVIOX boor,/06/I 00Wid-asd0 QInbn:ZOT I ismdsOO b00Z/0£/T b60L80966:a103S 00.0 00.000'I- 00.000'1 000.000'T 0000'T b00Z/OE/I L00V.L1SOdsa A3NOW 3.LV'I-.Luse H b00Z/0£/T 00W1d-21SdO alnan:ZOI I ismaO0 b00Z/0£/I LbZ980966:a1021S 00.0 19.8SZ- 19.8SZ 019.89Z 0000-1 b00Z/0£/I .LWOWHSVOA21nsvas.LsndAsaa S b00Z/66/1 00WId-2I2dO WZIS.L0N0'I:Z0ZZZSL0ASOO b00Z/6Z/1 LbZS80966:QI03S 00'0 LO'bSZ'61- LO-bSZ'61 OLO-bSZ'61 0000"1 VOOZ/6Z/I .LWOW HSVO A21nSVSSI Sn3A38G 13 b00Z/6Z/1 00WId-NSd0 ulndll:ZOT I ISLOAS00 VOOZ/6Z/T LKS80966:uI 03S 00.0 SZ-19r,- SZ-I9Z 0SZ-I9Z 0000-I b00Z/6Z/1 Lwow HSVO A2InSVmu sagAasu E vooZ/8Z/T 00WId-21SdOalnal'1:ZOTIiSLOAS00 b00Z/8Z/1 LKS80966:01 03S 00'0 19.8Sr,- 19.89Z 019.89Z 0000-1 b00Z/SZ/i IWOW HSVO Asnsnu sfisnba H b00Z/LZ/I 00Wl d-S3dO a 1na1'I:ZOT I I SLOdS00 b00Z/LZ/I LbZ980966:QI03S 00'0 I9.89Z- 19'89Z 019.85;r, 0000-I b00Z/LZ/I .LWOW HSVO AHnSVSSL SngASHCI a b00Z/9Z/I 00WId-SSd0 WZ181 0N0'I:ZOZZZSL0dS00 b00Z/9r,/I LbZ980966:QI33S 00.0 SL'800'968- SL'800'908 0SL-800'968 0000,1 boor,/9r,/I .LWOWHSV0AsnSV82LLSndAsMa e b00Z/96/I 00Wld-S:RdO ulnbl'I:ZOT T ISLOSS30 VOOZ/901 417ZS90966=a100S 00.0 00.09L- 00.09L 000'09L 0000-1 b00Z/9Z/T .LWOW HSVO Asnsvau Sn3AZ21a a b00Z/£Z/i 00Wld-213d0alnal'I:Z0TIISLOdS00 b00Z/Sr,/I Lbr,S80966:010:RS 00.0 ZZ'£L9'98- ZZ-£L9'98 OZZ'£L9'98 0000'1 b00Z/£Z/i .LWOWHSVOAansvamisnAAssc e boor,/Er,/T 00WId-S dO WH3IONCn:Z0ZZZSL0.gS00 b00Z/EZ/I 4tZ980966:a102S 00.0 08.9I£'9£- 08.9I£'9£ 008.91£'9£ 0000-I boOZ/£Z/I ,LWJW HSVO A21nSVgd.L SfldAZN(l $ ages asuff egg's JVd/saiugs asss a;Ba powdag "PdIsagaa adAl Ml/9199:10M ;unouiV ;903 a0Pd a;Ba PP408 a�Ba aP�.L 'IVJlTI3 `$";B�s b00Z/OE/i - boor,/Z/I iJOCOOLUL)u9CZMEa3,LVQ110SN00-uSOO asn :6auauno asag Ajo2ap3 uoj;alasuBjy Aq papodag U01jeW 600aMa :a1 podazl uu;aa uoi;ousuuiy Transaction Detail Report ID: EWB069 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDIE2 7 611 111-1 01--FIFIIJ 1/2/2004 - 1/30/2004 Status: FINAL, Trade Date Tl Settle Date Price Cost Amount Net Gain/Loss Tyt Description Reported Date Base Shares/Par Base Base Base TOTAL CASH 8a CASH EQUIVALENTS BASE: 218,184,493.160 218,112,329.12 -218,112,329.12 0.00 FIXED INCOME SECURITIES U.S. DOLLAR B COMMIT TO PUR FNMA SF MTG 6.000% 1/7/2004 103.0938 1,000,000.000 1,030,937.50 -1,030,937.50 0.00 02/01/2034 DD 02/01/04 2/12/2004 SEC 1D:01P060626 1/7/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07522202:LONGTERM OPER-PIMCO 13 COMMIT TO PUR FNMA SF MTG 6.000% 1/8/2004 103.1875 500,000.000 515,937.50 -515,937.50 0.00 02/01/2034 DD 02/01/04 2/12/2004 SEC ID:01F060626 1/8/2004 BROKER: CHASE/GREENWICH CAP,NEW YORK OCSF07522202:LONGTERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6.000% 1/8/2004 103.2539 1,000,000.000 1,032,539.06 -1,032,539.06 0.00 02/01/2034 DD 02/01/04 2/12/2004 SEC ID:01F060626 1/8/2004 BROKER: GOLDMAN SACHS&CO, NY OCSF07522202:LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6.000% 1/12/2004 103.6563 500,000.000 518,281.25 -518,281.25 0.00 02/01/2034 DD 02/01/04 2/12/2004 SEC ID:01F060626 1/12/2004 BROKER: BEAR STEARNS&CO INC,NY OCSF07522202:LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: 3,000,000.000 3,097,695.31 -3,097,695.31 0.00 TOTAL FIXED INCOME SECURITIES BASE: 3,000,000.000 3,097,695.31 -3,097,695.31 0.00 TOTAL PURCHASES BASE: 221,184,493.160 221,210,024.43 -221,210,024.43 0.00 SALES CASH&CASH EQUIVALENTS U.S. DOLLAR 1-aa•'�1 PM PST 8 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE1331^2 f1rj ]LU_RIE 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss T3'Pe Description Reported Date Base Shares/Par Base Base Base S CREDIT SUISSE FB REPO 00.970%01/02/2004 1/2/2004 100.0000 -8,400,000.000 -8,400,000.00 8,400,000.00 0.00 DD 12/24/03 1/2/2004 SEC ID:99414G593 1/2/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.970%01/02/2004 1/2/2004 100.0000 0.000 0.00 2,037.00 0.00 DD 12/24/03 1/2/2004 SEC ID:99414G593 1/2/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT REPO00.990%01/05/2004 DD 1/5/2004 100.0000 -8,400,000.000 -8,400,000.00 8,400,000.00 0.00 O1/02/04 1/5/2004 SEC ID:99414P783 1/5/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT REPO 00.990%01/05/2004 DD 1/5/2004 100.0000 0.000 0.00 693.00 0.00 01/02/04 1/5/2004 SEC ID:99414P783 1/5/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT REPO 00.980%01/06/2004 DD 1/6/2004 100.0000 -8,300.000.000 -8,300,000.00 8,300,000.00 0.00 01/05/04 1/6/2004 SEC ID:99414R318 1/6/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.980%01/06/2004 DD 1/6/2004 100.0000 0.000 0.00 225.94 0.00 O1/05/04 1/6/2004 SEC ID:99414R318 1/6/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.950%Ol/07/2004 1/7/2004 100.0000 -8,400.000.000 -8,400,000.00 8,400,000.00 0.00 DD 01/06/04 1/7/2004 SEC ID:994145423 1/7/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO 2/6/2004 1:44:31 PM PST 9 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DJU2❑6❑❑❑:1(JUJ L: 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net (fain/Loss Type Description Reported Date Base Shares/Par Base Base Base IS CREDIT SUISSE FB REP000.950%01/07/2004 1/7/2004 100.0000 0.000 0.00 221.67 0.00 DD 01/06/04 1/7/2004 SEC ID:99414S423 1/7/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,NY OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.940%01/08/2004 1/8/2004 100.0000 -8,400,000.000 -8,400,000.00 8,400,000.00 0.00 DD 01/07/04 1/8/2004 SEC ID:99414T884 1/8/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.940%01/08/2004 1/8/2004 100.0000 0.000 0.00 219.33 0.00 DD 01/07/04 1/8/2004 SEC ID:99414T884 1/8/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT REPO 00.950%01/09/2004 DD 1/9/2004 100.0000 -8,400,000.000 -8,400,000.00 8,400,000.00 0.00 01/08/04 1/9/2004 SEC ID:99414V673 1/9/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.950%01/09/2004DD 1/9/2004 100.0000 0.000 0.00 221.67 0.00 01 08 04 / 1 9/2004 SEC ID:99414V673 1/9/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.920%01/12/2004 1/12/2004 100.0000 -8,400,000.000 -8,400,000.00 8,400,000.00 0.00 DD 01/09/04 1/12/2004 SEC ID:99414W986 1/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.920%01/12/2004 1/12/2004 100.0000 0.000 0.00 644.00 0.00 DD 01/09/04 1/12/2004 SEC ID:99414W986 1/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO 2/6/2004 1:44:3I PM PST 10 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD�CONSOLI DATE D;7'12J6000 DOD J0❑ 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base S CREDIT SUISSE FB REPO 00.970%01/13/2004 1/13/2004 100.0000 -4,200,000.000 -4,200,000.00 4,200,000.00 0.00 DD 01/12/04 1/13/2004 SEC ID:99414X547 1/13/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF0751 1102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.970%01/13/2004 1/13/2004 100.0000 0.000 0.00 113.17 0.00 DD 01/12/04 1/13/2004 SEC ID:99414X547 1/13/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT 2 REPO 00.970%01/13/2004 DD 1/13/2004 100.0000 -4,200,000.000 -4,200,000.00 4,200,000.00 0.00 O1/12/04 1/13/2004 SEC ID:99414Y396 1/13/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF0751 1102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.970%01/13/2004 DD 1/13/2004 100.0000 0.000 0.00 113.17 0.00 01/12/04 1/13/2004 SEC ID:99414Y396 1/13/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-P1MC0 S LEHMAN CAT 2 REPO 00.950%01/14/2004 DD 1/14/2004 100.0000 -9,900,000.000 -9,900,000.00 9,900,000.00 0.00 O1/13/04 1/14/2004 SEC ID:99414Z807 1/14/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.950%01/14/2004 DD 1/14/2004 100.0000 0.000 0.00 261.25 0.00 O1/13/04 1/14/2004 SEC ID:99414Z807 1/14/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT REPO 00.950%01/15/2004 DD 1/15/2004 100.0000 -9,900,000.000 -9,900,000.00 9,900,000.00 0.00 01/14/04 1/15/2004 SEC ID:9941513221 1/15/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF0751 1102:LIQUID OPER-PIMCO 21612004 1:44:31 PM PST 11 Workbench Transaction Detail Report m: EWBb09 ' / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D1112 :761.1UD.Ul.-Y-i1ll 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net slain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base is LEHMAN CAT 2 REPO 00.950%01/15/2004 DD 1/15/2004 100.0000 0.000 0.00 261.25 0.00 01/14/04 1/15/2004 SEC ID:9941SB221 1/15/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT 2 REPO 00.990%01/16/2004 DD 1/16/2004 100.0000 -9,900,000.000 -9,900,000.00 9,900,000.00 0.00 01/15/04 1/16/2004 SEC ID:99415C849 1/16/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.990%01/16/2004 DD 1/16/2004 100.0000 0.000 0.00 272.25 0.00 01/15/04 1/16/2004 SEC ID:99415C849 1/16/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT 2 REPO 00.970%01/20/2004 DD 1/20/2004 100.0000 -9,900,000.000 -9,900,000.00 9,900,000.00 0.00 01/16/04 1/20/2004 SEC ID:99415D789 1/20/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.970%01/20/2004 DD 1/20/2004 100.0000 0.000 0.00 1,067.00 0.00 01/16/04 1/20/2004 SEC ID:9941513789 1/20/2004 BROKER: LEHMAN GOUT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S LEHMAN CAT 2 REPO 00.960%01/21/2004DD 1/21/2004 100.0000 -900,000.000 -900,000.00 900,000.00 0.00 01/20/04 1/21/2004 SEC ID:994ISF677 1/21/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO IS LEHMAN CAT REPO 00.960%01/21/2004 DD 1/21/2004 100.0000 0.000 0.00 24.00 0.00 01/20/04 1/21/2004 SEC ID:99415F677 1/21/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSEFB REPO 00.970%01/22/2004 1/22/2004 100.0000 -8,100,000.000 -8,100,000.00 8,100,000.00 0.00 DD 01/21/04 1/22/2004 SEC ID:9941SG857 1/22/2004 BROKER:CREDIT SUISSE FIRST BOSTON CORP,NY OCSF07511102.LIQUID OPER-PIMCO 91612004 1:44:31 PM PST 12 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency USD OCSD-CONSOLI DATE DI 2 7116V)F-iJ1lt;71EII: 1/2/2004 - 1/30/2004 status: FINAL. Trade Date Tran settle Date Price Cost Amount Net Gain/Loss T'Pe Description Reported Date Base Shares/Par Base Base Base IS CREDIT SUISSE FB REPO 00.9700/.01/22/2004 1/22/2004 100.0000 0.000 0.00 218.25 0.00 DD 01/21/04 1/22/2004 SEC ID:99415G857 1/22/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.980%01/23/2004 1/23/2004 100.0000 -8,200,000,000 -8,200,000.00 8,200,000.00 0.00 DD 01/22/04 1/23/2004 SEC ID:99415J547 1/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.980%01/23/2004 1/23/2004 100.0000 0.000 0.00 223.22 0.00 DD 01/22/04 1/23/2004 SEC ID:99415J547 1/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.960%01/26/2004 1/26/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 DD 01/23/04 1/26/2004 SEC ID:99415J760 1/26/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-P1MCO 1S CREDIT SUISSE FB REPO 00.960%01/26/2004 1/26/2004 100.0000 0.000 0.00 760.00 0.00 DD 01/23/04 1/26/2004 SEC ID:99415J760 1/26/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.980%01/27/2004 1/27/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 DD 01/26/04 1/27/2004 SEC ID:99415L286 1/27/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-P1MCO 21612004 1:44:31PNI PST 13 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-00NS0LIDATED=2"I6rInn:,-In lflr] 1/2/2004 - 1/30/2004 Status: FINAL. Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss T'Pe Description Reported Date Base Shares/Par Base Base Base IS CREDIT SUISSE FB REPO 00.980%01/27/2004 1/27/2004 100.0000 0.000 0.00 258.61 0.00 DD 01/26/04 1/27/2004 SEC ID:99415L286 1/27/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y 0CSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.980%01/28/2004 1/28/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 DD 01/27/04 1/28/2004 SEC ID:99415M763 1/28/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.980%01/28/2004 1/28/2004 100.0000 0.000 0.00 258.61 0.00 DD 01/27/04 1/28/2004 SEC ID:99415M763 1/28/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.990%01/29/2004 1/29/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 DD 01/28/04 1/29/2004 SEC ID:994151`154 1/29/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.9909%01/29/2004 1/29/2004 100.0000 0.000 0.00 261.25 0.00 DD 01/28/04 1/29/2004 SEC ID:99415P154 1/29/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO S CREDIT SUISSE FB REPO 00.980%01/30/2004 1/30/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 DD 01/29/04 1/30/2004 SECID:99415Q699 1/30/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.980%01/30/2004 1/30/2004 100.0000 0.000 0.00 258.61 0.00 DD 01/29/04 1/30/2004 SECID:99415Q699 1/30/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07511102:LIQUID OPER-PIMCO 21612004 1:44:31 PM PST 14 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATED TT--2 tin 1/2/2004 - 1/30/2004 Status: FINAL Trade Date ETY; Description Settle Date Price Cost Amount Net Gain/Loss Reported Date Base Shares/Par Base Base Base S DREYFUS TREASURY CASH MGMT 1/5/2004 1.0000 -8,298,145.260 -8,298,145.26 8,298,145.26 0.00 SEC ID:996085247 1/5/2004 OCSF07511102:LIQUID OPER-PIMCO 1/5/2004 S DREYFUS TREASURY CASH MGMT 1/6/2004 1.0000 -99,774.060 -99,774.06 99,774.06 0.00 SEC ID:996085247 1/6/2004 OCSF07511102:LIQUID OPER-P1MC0 1/6/2004 S DREYFUS TREASURY CASH MGMT 1/14/2004 1.0000 -56,131.950 -56,131.95 56,131.95 0.00 SEC ID:996085247 1/14/2004 OCSF07522202:LONG TERM OPER-P1MC0 1/14/2004 S DREYFUS TREASURY CASH MGMT 1/20/2004 1.0000 -1,582,522.900 -1,582,522.90 1,582,522.90 0.00 SEC ID:996085247 1/20/2004 OCSF07522202:LONGTERM OPER-PIMCO 1/20/2004 S DREYFUS TREASURY CASH MGMT 1/21/2004 1.0000 -1,999,976.000 -1,999,976.00 1,999,976.00 0.00 SEC ID:996085247 1/21/2004 OCSF07511102:LIQUID OPER-PIMCO 1/21/2004 S DREYFUS TREASURY CASH MGMT 1/22/2004 1.0000 -99,781.750 -99,781.75 99,781.75 0.00 SEC ID:996085247 1/22/2004 OCSF07511102:LIQUID OPER-PIMCO 1/22/2004 S DREYFUS TREASURY CASH MGMT 1/28/2004 1.0000 -897,713.630 -897,713.63 897,713.63 0.00 SEC ID:996085247 1/28/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/28/2004 TOTAL CASH&CASH EQUIVALENTS U.S. DOLLAR: -184,434,045.550 -184,434,045.55 184,442,658.80 0.00 TOTAL CASH&CASH EQUIVALENTS BASE: -184,434,045.550 -184,434,045.55 184,442,658.80 0.00 FIXED INCOME SECURITIES U.S. DOLLAR S COMMIT TO PUR FNMA SFMTG 6.000% 1/7/2004 103.4336 -1,000,000.000 -1,027,562.50 1,034,335.93 6,773.43 01/01/2034 DD 0 1/01/04 1/14/2004 SEC ID:01F060618 1/7/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP,N Y OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 15 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D17276r n lnnnn inr_i 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain; ss TYPe Description Reported Date Base Shares/Par Base Base Base S COMMIT TO PUR FNMA SF MTG 6.000% 1/8/2004 103.5391 -500,000.000 -513,781.25 517,695.31 3,914.06 01/01/2034 DD 01/01/04 1/14/2004 SEC ID:01F060618 1/8/2004 BROKER: CHASE/GREENWICH CAP,NEW YORK OCSF07522202:LONGTERM OPER-PIMCO S COMMIT TO PUR FNMA SF MTG 6.000% 1/8/2004 103.6016 -1,000,000.000 -1,027,562.50 1,036,015.62 8,453.12 01/01/2034 DD 0 1/01/04 1/14/2004 SEC ID:01F060618 1/8/2004 BROKER: GOLDMAN SACHS&CO, NY OCSF07522202:LONGTERM OPER-PIMCO S FNMA POOLN0555528 6.000%04/01/2033 1/12/2004 104.0117 -744,687.690 -774,475.20 774,562.47 87.27 DD 05/01/03 1/14/2004 SECID:31385XD95 1/12/2004 BROKER: BEAR STEARNS&CO INC,NY OCSF07522202:LONGTERM OPER-PIMCO IS FNMA POOL#0555528 6.000%04/01/2033 1/12/2004 104.0117 0.000 0.00 1,613.49 0.00 DD 05/01/03 1/14/2004 SEC ID:31385XD95 1/12/2004 BROKER: BEAR STEARNS& CO INC,NY OCSF07522202:LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -3,244,687.690 -3,343,381.45 3,364,222.82 19,227.88 TOTAL FIXED INCOME SECURITIES BASE: -3,244,687.690 -3,343,381.45 3,364,222.82 19,227.88 TOTAL SALES BASE: -187,678,733.240 -187,777,427.00 187,806,881.62 19,227.88 PRINCIPAL PAYMENTS FIXED INCOME SECURITIES U.S. DOLLAR PD GNMA GTD REMIC TR 2000-9 FH VAR RT 1/16/2004 100.0000 -25,900.060 -25,900.06 25,900.06 0.00 02/16/2030 1/16/2004 SEC ID:3837H4NX9 1/16/2004 OCSF07522202:LONGTERM OPER-PIMCO PD RESIDENTIAL ASSET 03-RSI I AIIB VAR RT 1/25/2004 100.0000 -15,494.300 -15,494.30 15,494.30 0.00 12/25/2033 DD 12/30/03 1/25/2004 SEC ID:760985K83 1/25/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 16 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDCH12!.16L300DOLIDDLI 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -41,394.360 -41,394.36 41,394.36 0.00 TOTAL FIXED INCOME SECURITIES 13ASE: -41,394.360 -41,394.36 41,394.36 0.00 TOTAL PRINCIPAL PAYMENTS BASE: -41,394.360 -41,394.36 41,394.36 0.00 MATURITIES CASH&CASH EQUIVALENTS U.S. DOLLAR MT FEDERAL HOME LN MTG CORP DISC MAT 1/15/2004 100.0000 -20,800,000.000 -20,744,004.66 20,744,004.66 0.00 O1/15/2004 1/15/2004 SEC ID:313396RV7 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO MT FEDERAL HOME LN MTG CORP DISC MAT 1/21/2004 100.0000 -5,200,000.000 -5,195,138.00 5,195,138.00 0.00 01/21/2004 1/21/2004 SEC ID:313396SBO 1/21/2004 OCSF07511102:LIQUID OPER-PIMCO MT FEDERAL HOME LN MTG CORP DISC MAT 1/29/2004 100.0000 -1,200,000.000 -1,196,718.67 1,196,718.67 0.00 01/29/2004 1/29/2004 SEC ID:313396SKO 1/29/2004 OCSF07522202:LONG TERM OPER-PIMCO MT WELLS FARGO BANK NA INSTL C/D 1.070% 1/13/2004 100.0000 -1,500,000.000 -1,500,000.00 1,500,000.00 0.00 01/13/2004DD 12/10/03 1/13/2004 SEC ID:94975U2V8 1/13/2004 OCSF07511102:LIQUID OPER-PIMCO TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: -28,700,000.000 -28,635,861.33 28,635,861.33 0.00 TOTAL CASH&CASH EQUIVALENTS BASE: -28,700,000.000 -28,635,861.33 28,635,861.33 0.00 FIXED INCOME SECURITIES U.S. DOLLAR MT FEDERAL FARM CR BKS CONS SYSTE 6.40% 1/23/2004 100.0000 -1,350,000.000 -1,399,963.50 1,350,000.00 -49,963.50 01/23/2004 DD 01/01/1999 1/23/2004 SEC ID:31331H6G7 1/23/2004 OCSF07511102:LIQUID OPER-PIMCO 21612004 1:44:31PM PST 17 Wgrkbench Transaction Detail Report ID: EWBO09 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDrnU72 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base TOTAL MATURITIES BASE: -30,050,000.000 -30,035,824.83 29,985,861.33 -49,963.50 CORPORATE ACTIONS FIXED INCOME SECURITIES U.S. DOLLAR CD PAID ASA RESULT OFACONSENT 1/30/2004 0.000 1,000.00 1,000.00 1,000.00 SOLICITATION SEC ID:046003KA6 1/30/2004 OCSF07511102:LIQUID OPER-P1MCO MISCELLANEOUS ACTIVITY FIXED INCOME SECURITIES U.S. DOLLAR SW TO BRING ACCOUNT INTO BALANCE US 1/29/2004 -43,400.000 -38,288.96 0.00 -38,288.96 TREASURY INFLATION INDEX NT 1/30/2004 SEC ID:9128272M3 OCSF07522202:LONG TERM OPER-PIMCO 1/29/2004 SW TO BRING ACCOUNT INTO BALANCE US 1/29/2004 -9,090.000 -9,912.02 0.00 -9,912.02 TREASURY INFLATION INDEX NT 1/30/2004 SEC ID:9128273T7 1/29/2004 OCSF07522202:LONG TERM OPER-PIMCO SW TO BRING ACCOUNT INTO BALANCE US 1/29/2004 -38,870.000 -43,194.38 0.00 -43,194.38 TREASURY INFLATION INDEX NT 1/30/2004 SEC ID:9128274Y5 1/29/2004 OCSF07522202:LONGTERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -91,360.000 -91,395.36 0.00 -91,395.36 TOTAL FIXED INCOME SECURITIES BASE: -91,360.000 -91,395.36 0.00 -91,395.36 TOTAL MISCELLANEOUS ACTIVITY BASE: -91,360.000 -91,395.36 0.00 -91,395.36 INTEREST CASH&CASH EQUIVALENTS U.S. DOLLAR IT FEDERAL HOME LN MTG CORP DISC MAT 1/15/2004 20,800,000.000 55,995.34 55,995.34 0.00 01/15/2004 1/15/2004 SEC ID:313396RV7 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO 21612004 1:44:31 PM PST 18 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED➢02-16fl[1171❑❑7LI[ 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tram Settle Date Price Cost Amount Net Gain/Loss TYPe Description Reported Date Base Shares/Par Base Base Base IT FEDERAL HOME LN MTG CORP DISC MAT 1/21/2004 5,200,000.000 4,862.00 4,862.00 0.00 01/21/2004 1/21/2004 SEC ID:313396SBO 1/21/2004 OCSF07511102:LIQUID OPER-PIMCO IT FEDERAL HOME LN MTG CORP DISC MAT 1/29/2004 1,200,000.000 3,281.33 3,281.33 0.00 01/29/2004 1/29/2004 SEC ID:313396SKO 1/29/2004 OCSF07522202:LONGTERM OPER-PIMCO IT WELLS FARGO BANK NA INSTL C/D 1.070% 1/13/2004 1,500,000.000 1,515.83 1,515.83 0.00 01/13/2004 DD 12/10/03 1/13/2004 SEC ID:94975U2V8 OCSF07511102:LIQUID OPER-PIMCO 1/13/2004 IT DREYFUS TREASURY CASH MGMT 1/5/2004 0.000 352.19 352.19 0.00 SEC ID:996085247 1/1/2004 OCSF07522202:LONGTERM OPER-PIMCO 1/5/2004 IT DREYFUS TREASURY CASH MGMT 1/5/2004 0.000 1,161.74 1,161.74 0.00 SEC ID:996085247 1/1/2004 OCSF07511102:LIQUID OPER-P1MC0 1/5/2004 IT BSDT-LATE MONEY DEPOSIT ACCT 1/2/2004 0.000 0.25 0.25 0.00 SEC ID:996087094 1/1/2004 OCSF07522202:LONG TERM OPER-PIMCO 1/2/2004 TOTAL CASH 8c CASH EQUIVALENTS U.S. DOLLAR 28,700,000.000 67,168.68 67,168.68 0.00 TOTAL CASH&CASH EQUIVALENTS BASE: 28,700,000.000 67,168.68 67,168.68 0.00 FIXED INCOME SECURITIES U.S. DOLLAR IT WMP/HUNTOON PAIGE 0000-11150 7.500% 1/6/2004 769.490 5,916.81 5,916.81 0.00 12/01/203O DD 10/21/99 12/1/2003 SEC ID:302998GE3 1/6/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FHLM C GROUP##G4-0353 7.500%10/01/2004 1/15/2004 358.670 495.03 495.03 0.00 DD 03/01/99 1/1/2004 SEC ID:3128DBMA2 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 19 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D.'R12❑6U❑U7❑❑❑❑11 1/2/2004 - 1/30/2004 Status: FINAL. Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TYPe Description Reported Date Base Shares/Par Base Base Base IT FHLMC MULTICLASS MTG SER E3 A VAR RT 1/23/2004 36,324.900 3,615.79 3,615.79 0.00 08/15/2032 DD 12/01/97 12/1/2003 SEC ID:3133TCE95 OCSF07522202:LONGTERM OPER-PIMCO 1/23/2004 IT FHLMC MULTICLASS CTF SER 1620Z 6.000% 1/20/2004 15,085.080 15,085.08 15,085.08 0.00 11/15/2023 DD 11/01/93 1/1/2004 SEC ID:3133T17A4 1/20/2004 OCSF07522202:LONGTERM OPER-P1MCO IT FEDERAL FARM CR BKS CONS SYSTE 6.40% 1/23/2004 1,350,000.000 36,450.00 36,450.00 0.00 01/23/2004 DD 01/01/1999 1/23/2004 SEC ID:31331 H6G7 OCSF0751 1102:LIQUID OPER-PIMCO 1/23/2004 IT FHLMC GROUP#78-6064 6.384%O1/01/2028 1/21/2004 198.210 253.54 253.54 0.00 DD 12/01/97 12/1/2003 SEC ID:31348SWZ3 1/21/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL40254510 5.000%11/01/2017 1/26/2004 13,146.830 3,524.02 3,524.02 0.00 DD 10/01/02 1/1/2004 SECID:31371KVB4 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0254631 5.000%02/01/2018 1/26/2004 2,287.350 744.90 744.90 0.00 DD 01/01/03 1/1/2004 SEC ID:31371KY47 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0254760 5.000%06/01/2018 1/26/2004 1,989.920 672.48 672.48 0.00 DD 05/01/03 1/1/2004 SECID:31371K5V9 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL40254866 5.000%09/01/2018 1/26/2004 657.450 292.77 292.77 0.00 DD 08/01/03 1/1/2004 SECID:31371LCB3 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL40254953 5.000%11/01/2018 1/26/2004 3,662.190 1,553.89 1,553.89 0.00 DD 10/01/03 1/1/2004 SEC ID:31371LE21 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 20 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D,,,,T9_-16❑C1U"nL!Af)l! 1/2/2004 - 1/30/2004 Status: FINAL. Trade Date LTTry Settle Date Price Cost Amount Net gain/Loss Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL 40254987 5.000%12/01/2018 1/26/2004 5,460.460 4,144.90 4,144.90 0.00 DD 11/01/03 1/1/2004 SEC ID:31371LF46 1/26/2004 OCSF07522202:LONGTERM OPER-P1MCO IT FNMA POOL#0323980 6.000%04/01/2014 1/26/2004 8,087.050 1,062.92 1,062.92 0.00 DD 09/01/99 1/1/2004 SEC ID:31374T2M0 1/26/2004 0CSF07522202:LONG TERM OPER-PIMCO IT FNMA POOLU0357328 5.000%01/01/2018 1/26/2004 857.750 135.86 135.86 0.00 DD 01/01/03 1/1/2004 SEC ID:31376J4M8 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0357430 5.000%09/01/2018 1/26/2004 21,165,050 6,698.55 6,698.55 0.00 DD 09/01/03 1/1/2004 SEC ID:31376KA71 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0456482 6.000%02/01/2014 1/26/2004 4,487.760 329.25 329.25 0.00 DD 02/01/99 1/1/2004 SEC ID:31381 CCT2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL U0509649 6.000%09/01/2014 1/26/2004 1,269.640 883.50 883.50 0.00 DD 09/01/99 1/1/2004 SEC ID:31383QEW0 1/26/2004 0CSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL410535451 6.000%06/01/2015 1/26/2004 5,805.910 837.61 837.61 0.00 DD 07/01/00 1/1/2004 SEC ID:31384VZQ8 1/26/2004 0CSF07522202:LONG TERM OPER-PIMCO IT FNMA P00L#0535672 6.000%01/01/2016 1/26/2004 141,028.850 18,196.28 18,196.28 0.00 DD 12/01/00 1/1/2004 SEC ID:31384WCHl 1/26/2004 0CSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0545296 6.000%11/01/2016 1/26/2004 56,716.250 6,024.90 6,024.90 0.00 DD 10/01/01 1/1/2004 SECID:31385HXZ0 1/26/2004 0CSF07522202:LONG TERM OPER-PIMCO 21612004 1:44:31 PM PST 21 Workbench Transaction Detail Report M: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD�ONSOLIDATED QllL2J6U0O❑❑❑U(]C; 1/2/2004 - 1/30/2004 Status: FINAL Trade Date ETY; Description Settle Date Price Cost Amount Net Gain/Loss Reported Date Base Shares/Par Base Base Base IT FNMA POOL40545580 6.000%03/01/2017 1/26/2004 4,582.050 507.40 507.40 0.00 DD 03/01/02 1/1/2004 SEC ID:31385JCR7 OCSF07522202:LONG TERM OPER-PIMCO 1/2b/2004 IT FNMA POOL N0555101 6.000%10/01/2017 1/26/2004 6,886.520 895.08 895.08 0.00 DD 11/01/02 1/1/2004 SEC ID:31385WU23 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0555285 6.000%03/01/2033 1/26/2004 27,799.860 4,020.34 4,020.34 0.00 DD 02/01/03 1/1/2004 SEC ID:31385W2S7 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL 90555363 5.000%04/01/2018 1/26/2004 4,967.260 1,607.11 1,607.11 0.00 DD 03/01/03 1/1/2004 SEC ID:31385W5Y1 OCSF07522202:LONG TERM OPER-PIMCO 1/26/2004 IT FNMA POOL40555453 5.000%05/01/2018 1/26/2004 575.290 164.89 164.89 0.00 DD 04/01/03 1/1/2004 SEC ID:31385XBW6 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0555528 6.000%04/01/2033 1/26/2004 28,572.420 3,866.30 3,866.30 0.00 DD 05/01/03 1/1/2004 SEC ID:31385XD95 1/26/2004 OCSF07522202:LONGTERM OPER-P1MCO IT FNMA POOL#0555545 5.000%06/01/2018 1/26/2004 4,399.480 1,341.35 1,341.35 0.00 DD 05/01/03 1/1/2004 SECID:31385XES2 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0555621 5.000%07/01/2018 1/26/2004 13,305.510 4,650.65 4,650.65 0.00 DD 06/01/03 1/1/2004 SECID:31385XG68 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0576386 6.000%05/01/2016 1/26/2004 457.970 325.61 325.61 0.00 DD 05/01/01 1/1/2004 SEC ID:31386XJ72 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO 21612004 1:44:31PM PST 22 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: uSD OCSD-CONSOLI DATE D:.U2-16fin !:?0!?_]Clr 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0576739 6.000%04/01/2016 1/26/2004 1,179.410 875.55 875.55 0.00 DD 04/01/01 1/1/2004 SEC ID:31386XV86 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0580888 6.000%05/01/2016 1/26/2004 3,867.770 1,172.20 1,172.20 0.00 DD 05/01/01 1/1/2004 SEC ID:31387DJ91 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 IT FNMA POOL#0594002 6.000%07/01/2016 1/26/2004 901.450 925.14 925.14 0.00 DD 07/01/01 1/1/2004 SEC ID:31387T3K8 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 IT FNMA POOL#0597376 6.000%09/01/2016 1/26/2004 19,556.630 1,272.57 1,272.57 0.00 DD 08/01/01 1/1/2004 SEC ID:31387XT96 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0605259 6.000%09/01/2016 1/26/2004 7,343.520 825.92 825.92 0.00 DD 09/01/01 1/1/2004 SEC ID:31388HMG1 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0608366 6.000%10/01/2016 1/26/2004 564.940 516.19 516.19 0.00 DD 09/01/01 1/1/2004 SEC ID:31388LZ78 1/26/2004 OCSF07522202:LONG TERM 0 PER-PIMC0 IT FNMA POOL#0616734 6.000%12/01/2016 1/26/2004 710.670 852.88 852.88 0.00 DD 12/01/01 1/1/2004 SEC ID:31388WEF9 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0630812 6.000%02/01/2017 1/26/2004 13,600.900 1,008.41 1,008.41 0.00 DD 02/01/02 1/1/2004 SEC ID:31389NYH2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0632376 6.000%07/01/2017 1/26/2004 22,751.220 4,245.37 4,245.37 0.00 DD 07/01/02 1/1/2004 SEC ID:31389QQ50 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 23 Wgrkbench„ Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSDCONSOLI DATE D=2J6LIODJOD_7GG 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tr'an Settle Date Price Cost Amount Net chain/Loss Type Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0653116 6.000%07/01/2017 1/26/2004 14,079.790 2,430.81 2,430.81 0.00 DD 07/01/02 1/1/2004 SEC ID:31390QSD8 OCSF07522202:LONG TERM OPER-PIMCO 1/26/2004 IT FNMA POOL#0673280 6.000%08/01/2017 1/26/2004 7,361.930 978.39 978.39 0.00 DD 11/01/02 1/1/2004 SEC ID:31391P6R2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL40681309 5.000%02/01/2018 1/26/2004 6,842.820 2,405.21 2,405.21 0.00 DD 02/01/03 1/1/2004 SEC ID:31391Y3S4 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0681334 5.000%02/01/2018 1/26/2004 1,369.550 303.01 303.01 0.00 DD 01/01/03 1/1/2004 SEC ID:31391Y4T1 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 1T FNMA POOL#0684908 5.000%06/01/2018 1/26/2004 1,707.890 1,476.36 1,476.36 0.00 DD 05/01/03 1/1/2004 SECID:31400D3R1 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0685200 5.000%03/01/2018 1/26/2004 2,007.800 862.50 862.50 0.00 DD 03/01/03 1/1/2004 SEC ID:31400EGH7 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL40685665 5.000%02/01/2018 1/26/2004 451.100 153.55 153.55 0.00 DD 02/01/03 1/1/2004 SEC ID:31400EW22 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0686318 5.000%03/01/2018 1/26/2004 2,131.030 1,315.39 1,315.39 0.00 DD 03/01/03 1/1/2004 SEC ID:31400FPB7 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO 1T FNMA POOL#0688739 5.000%06/01/2018 1/26/2004 576.480 516.75 516.75 0.00 DD 06/01/03 1/1/2004 SEC ID:31400JEL9 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 24 Workbench Transaction Detail Report ID: EVM009 / Mellon Reported by Transaction Category Base Currency: USD OCSD�CONSOLI DATE D"19r2D60OLYN G 700 1/2/2004 - 1/30/2004 Status: FINAL. Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0689859 5.000%05/01/2018 1/26/2004 516.090 530.75 530.75 0.00 DD 05/01/03 1/1/2004 SEC ID:31400KMG8 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL 40693834 5.000%03/01/2018 1/26/2004 13,238.630 3,131.68 3,131.68 0.00 DD 03/01/03 1/1/2004 SEC ID:31400PY74 1/26/2004 OCSF07522202: LONGTERM OPER-PIMCO IT FNMA POOL#0695852 5.000%05/01/2018 1/26/2004 4,898.280 1,145.18 1,145.18 0.00 DD 05/01/03 1/1/2004 SEC ID:31400SBVO 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL40695889 5.000%05/01/2018 1/26/2004 5,136.630 3,502.83 3,502.83 0.00 DD 05/01/03 1/1/2004 SEC ID:31400SC23 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 IT FNMA POOL#0697026 5.000%05/01/2018 1/26/2004 666.330 112.87 112.87 0.00 DD 04/01/03 1/1/2004 SEC ID:31400TLF2 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0698939 6.000%09/01/2017 1/26/2004 481.740 459.79 459.79 0.00 DD 03/01/03 1/1/2004 SEC ID:31400VPY2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0702210 5.000%05/01/2018 1/26/2004 1,316.090 1,157.83 1,157.83 0.00 DD 05/01/03 1/1/2004 SEC ID:31401ADP9 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0702328 5.000%05/01/2018 1/26/2004 1,410.860 623.46 623.46 0.00 DD 04/01/03 1/1/2004 SEC ID:31401AHD2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0703195 6.000%01/01/2017 1/26/2004 3,406.370 411.79 411.79 0.00 DD 04/01/03 1/1/2004 SEC ID:31401BGC3 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 25 Workbench' Transaction Detail Report ID: EWBO09. / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D-OH2 1611Fif] 11i itlf. 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0709148 5.000%06/01/2018 1/26/2004 3,586.470 1,261.04 1,261.04 0.00 DD 06/01/03 1/1/2004 SEC ID:31401HZM7 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0709360 5.000%07/01/2018 1/26/2004 2,926.110 2,912.34 2,912.34 0.00 DD 06/01/03 1/1/2004 SEC ID:31401JB56 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0709826 5.000%06/01/2018 1/26/2004 2,905.600 605.95 605.95 0.00 DD 06/01/03 1/1/2004 SEC ID:31401JSP4 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0709917 5.000%06/01/2018 1/26/2004 2,618.620 1,106.78 1,106.78 0.00 DD 06/01/03 1/1/2004 SEC ID:31401JVJ4 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0709963 5.000%06/01/2018 1/26/2004 527.400 113.15 113.15 0.00 DD 06/01/03 1/1/2004 SEC ID:31401JWYO 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0710235 5.000%06/01/2018 1/26/2004 10,321.340 3,362.83 3,362.83 0.00 DD 06/01/03 1/1/2004 SEC ID:31401KBC8 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0713344 5.000%06/01/2018 1/26/2004 113.930 107.50 107.50 0.00 DD 06/01/03 1/1/2004 SEC ID:31401NP52 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0713365 5.000%07/01/2018 1/26/2004 1,459.740 1,402.99 1,402.99 0.00 DD 07/01/03 1/1/2004 SEC ID:31401NQS1 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0720319 5.000%07/01/2018 1/26/2004 18,244.370 4,134.03 4,134.03 0.00 DD 07/01/03 1/1/2004 SEC ID:31401 WG45 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 21612004 1:44:31 PM PST 26 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DJU1i2_160I7l 1/2/2004 - 1/30/2004 status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0720369 5.000%06/01/2018 1/26/2004 10,829.600 10,164.74 10,164.74 0.00 DD 06/01/03 1/1/2004 SEC ID:31401WJN0 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0721629 5.000%07/01/2018 1/26/2004 3,056.530 1,315.38 1,315.38 0.00 DD 06/01/03 1/1/2004 SEC ID:31401XVW4 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0723487 5.000%06/01/2018 1/26/2004 958.520 1,055.04 1,055.04 0.00 DD 06/01/03 1/1/2004 SEC ID:31402AXQ4 1/26/2004 OCSF07522202:LONGTERM OPER-P1MCO IT FNMA POOL#0729601 5.000%07/01/2018 1/26/2004 4,467.340 1,795.13 1,795.13 0.00 DD 07/01/03 1/1/2004 SEC ID:31402HRW3 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL 100732873 5.000% 11/01/2018 1/26/2004 136.390 152.42 152.42 0.00 DD 10/01/03 1/1/2004 SEC ID:31402MFN5 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0737130 5.000%10/01/2018 1/26/2004 3,579.870 3,131.03 3,131.03 0.00 DD 10/01/03 1/1/2004 SEC ID:31402S4P9 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0738211 5.000%10/01/2018 1/26/2004 2,422.080 2,469.88 2,469.88 0.00 DD 10/01/03 1/1/2004 SEC ID:31402UDQ2 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0738487 5.000%10/01/2018 1/26/2004 1,211.820 938.97 938.97 0.00 DD 10/01/03 1/1/2004 SEC ID:31402UNC2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0740471 5.000%10/01/2018 1/26/2004 2,831.240 2,918.60 2,918.60 0.00 DD 10/01/03 1/1/2004 SEC ID:31402WC40 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 27 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSDCONSOLIDATED1IIi2 ]61-1DDJDI!_Il_][1 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Tyle Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL 40740748 5.000%10/01/2018 1/26/2004 3,334.950 3,461.97 3,461.97 0.00 DD 11/01/03 1/1/2004 SEC ID:31402W5H7 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0743868 5.000%11/01/2018 1/25/2004 0.000 189.24 189.24 0.00 DD 10/01/03 1/1/2004 SEC ID:31403BMR1 1/25/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0744008 5.000%07/01/2018 1/26/2004 35,627.260 4,931.85 4,931.85 0.00 DD 09/01/03 1/1/2004 SEC ID:31403BR54 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 IT FNMA POOL40744316 5.000%09/01/2018 1/26/2004 3,123.690 732.68 732.68 0.00 DD 09/01/03 1/1/2004 SEC ID:31403B3Z4 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0747914 5.000%11/01/2018 1/26/2004 1,377.790 1,512.19 1,512.19 0.00 DD 11/01/03 1/1/2004 SEC ID:31403F3X0 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0748400 5.000%08/01/2018 1/26/2004 979.100 1,018.04 1,018,04 0.00 DD 09/01/03 1/1/2004 SEC ID:31403GNR9 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0748899 5.000%12/01/2018 1/26/2004 5,255.130 4,332.01 4,332.01 0.00 DD 11/01/03 1/1/2004 SEC ID:31403G7L0 OCSF07522202:LONGTERM OPER-PIMCO 1/26/2004 IT FNMA POOL N0750377 5.000%11/01/2018 1/26/2004 10,591.890 10,626.95 10,626.95 0.00 DD 11/01/03 1/1/2004 SEC ID-.31403JUA2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0750380 5.000% 11/01/2018 1/26/2004 8,623.080 8,909.27 8,909.27 0.00 DD 11/01/03 1/1/2004 SEC ID:31403JUD6 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31 PM PST 28 Workbench Transaction Detail Report ID: EWB009 1 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D ➢➢12d6C[IJ❑*:1[]I7:]❑❑ 1/2/2004 - 1/30/2004 Status: FINAL ETrade Date Tian Settle Date Price Cost Amount Net Gain/Loss �Pe Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL#0750445 5.000%11/01/2018 1/26/2004 825.320 808.95 808.95 0.00 DD 11/01/03 1/1/2004 SEC ID:31403JWE2 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0751960 5.000%12/01/2018 1/26/2004 6,226.480 3,808.73 3,808.73 0.00 DD 11/01/03 1/1/2004 SEC ID:31403LMHI 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0753425 5.000%11/01/2018 1/26/2004 3,978.340 4,147.39 4,147.39 0.00 DD 11/01/03 1/1/2004 SEC ID:31403NA23 1/26/2004 OCSF07522202:LONG TERM OPER-PIMCO IT FNMA POOL#0755165 5.000%12/01/2018 1/26/2004 6,816.060 2,724.69 2,724.69 0.00 DD 11/01/03 1/1/2004 SEC ID:31403Q6A3 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FNMA POOL#0756372 5.000%11/01/2018 1/26/2004 3,823.240 4,148.02 4,148.02 0.00 DD 11/01/03 1/1/2004 SEC ID:31403SJR8 1/26/2004 OCSF07522202:LONGTERM OPER-PIMCO IT FORD MTR CR CO GLOBAL LANDMARK 6.700% 1/16/2004 2,500,000.000 83,750.00 83,750.00 0.00 07/16/2004 DD 07/16/99 1/16/2004 SEC ID:345397SJ3 1/16/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0596612 6.500°/a 09/15/2032 1/15/2004 38,400.560 1,825.28 1,825.28 0.00 DD 09/01/02 1/1/2004 SEC ID:36200BYH4 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0569358 6.500%04/15/2032 1/15/2004 50,154.760 6,608.86 6,608.86 0.00 -DD 04/01/02 1/1/2004 SEC ID:362000QK3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0569685 6.500%02/15/2032 1/15/2004 3,368.790 287.96 287.96 0.00 DD 02/01/02 1/1/2004 SEC ID:36200Q2S2 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 29 Workbench Transaction Detail Report m: EWBO09 / Mellon Reported by Transaction Category Base Currency: USD OCSDCONS ILI DATE DM2-D6❑❑❑011-111111 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss_ Tyne Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL#0570019 6.5009/6 07/15/2032 1/15/2004 4,226.350 490.06 490.06 0.00 DD 07/01/02 1/1/2004 SEC ID:3620ORG48 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0574323 6.500% 12/15/2031 1/15/2004 64,377.350 3,026.24 3,026.24 0.00 DD 12/01/01 1/1/2004 SEC ID:36200WAY7 OCSF07522202:LONG TERM OPER-PIMCO 1/15/2004 IT GNMA POOL#0575364 6.500% 11/15/2031 1/15/2004 6,537.050 320.57 320.57 0.00 DD 11/01/01 1/1/2004 SECID:3620OXFD6 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0587117 6.500%06/15/2032 1/15/2004 676.370 116.75 116.75 0.00 DD 06/01/02 1/1/2004 SEC ID:36201MG22 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0587439 6.5009/611/15/2032 1/15/2004 5,396,620 352.85 352.85 0.00 DD 12/01/02 1/1/2004 SEC ID:36201MS45 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0421389 6.5000/o 04/15/2026 1/15/2004 394.930 80.92 80.92 0.00 DD 04/01/96 1/1/2004 SEC ID:36206UC23 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0438057 6.0000/o05/15/2028 1/15/2004 10,775.940 146.92 146.92 0.00 DD 05/01/98 1/1/2004 SEC ID:36207PTN9 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0449851 6.5000/o O1/15/2028 1/15/2004 2,075.110 135.27 135.27 0.00 DD 01/01/98 1/1/2004 SEC ID:36208FWLO 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0457814 6.000% 10/15/2028 1/15/2004 1,405.330 191.75 191.75 0.00 DD 10/01/98 1/1/2004 SEC ID:36208QSB3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 30 Workbench Transaction Detail Report m: EWB009 / Mellon Reported by Transaction Category Base Currency: usD OCSD-CONSOLI DATE D`15;2-160n;7❑1i;1C1Ci 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Trap Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL#0465546 6.000%08/15/2028 1/15/2004 806.280 2,295.22 2,295.22 0.00 DD 08/01/98 1/1/2004 SEC ID:36209AET3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL110465555 6.000%09/15/2028 1/15/2004 908.590 2,471.99 2,471.99 0.00 DD 09/01/98 1/1/2004 SEC ID:36209AE48 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0466845 6.500%06/15/2028 1/15/2004 91.270 364.90 364.90 0.00 DD 06/01/98 1/1/2004 SEC ID:3620913TA6 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL40467279 6.000% 10/15/2028 1/15/2004 2,223,510 114.20 114.20 0.00 DD 10/01/98 1/1/2004 SEC ID:36209CCQ7 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0467286 6.000% 10/15/2028 1/15/2004 547.250 1,990.36 1,990.36 0.00 DD 10/01/98 1/1/2004 SEC ID:36209CCX2 OCSF07522202:LONG TERM OPER-PIMCO 1/15/2004 IT GNMA POOL#0468052 6.500%07/15/2028 1/15/2004 147,567.580 1,413.37 1,413.37 0.00 DD 07/01/98 1/1/2004 SEC ID:36209C5M4 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0468330 6.000%05/15/2028 1/15/2004 35.500 94.36 94.36 0.00 DD 05/01/98 1/1/2004 SEC ID:36209DHF4 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0468339 6.000%08/15/2028 1/15/2004 16,547.440 1,604.44 1,604.44 0.00 DD 08/01/98 1/1/2004 SEC ID:36209DHQO 1/15/2004 OCSF07522202:LONG TERM OPER-P1MC0 IT GNMA POOL#0469688 6.000% 11/15/2028 1/15/2004 924.040 81.83 81.83 0.00 DD 11/01/98 1/1/2004 SEC ID:36209EXR8 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 31 Workbench., Transaction Detail Report ID: EWB009 @ Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D-EII'2.160 1/2/2004 - 1/30/2004 Status: FINAL. Trade Date Tran Settle Date Price Cost Amount Net Gain/Coss TYPe Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL#0476041 6.500%06/15/2028 1/15/2004 27,647.590 1,153.04 1,153.04 0.00 DD 06/01/98 1/1/2004 SEC ID:36209MZE7 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT GNMA POOL 110478626 6.5009%01/15/2029 1/15/2004 211.280 889.85 889.85 0.00 DD 01/01/99 1/1/2004 SEC ID:36209QVT9 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL 40480598 6.500% 10/15/2028 1/15/2004 46,314.430 917.12 917.12 0.00 DD 10/01/98 1/1/2004 SEC ID:36209S3F6 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0483452 6.000%09/15/2028 1/15/2004 19.290 65.95 65.95 0.00 DD 09/01/98 1/1/2004 SEC ID:36209WBV3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0485527 6.500%06/15/2031 1/15/2004 24,899.1 10 2,492.03 2,492.03 0.00 DD 06/01/01 1/1/2004 SEC ID:36209YLG1 1/15/2004 OCSF07522202:LONG TERM OPER-P1MCO IT GNMA POOL#0485610 6.500%07/15/2031 1/15/2004 28,687.650 2,813.55 2,813.55 0.00 DD 07/01/01 1/1/2004 SEC ID:36209YN38 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0485682 6.500%08/15/2031 1/15/2004 8,446.330 572.27 572.27 0.00 DD 08/01/01 1/1/2004 SECID:36209YRB6 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0485703 6.500%08/15/2031 1/15/2004 11,888.540 546.40 546.40 0.00 DD 08/01/01 1/1/2004 SEC ID:36209YRY6 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL 00486720 6.000% 12/15/2028 1/15/2004 210.060 61.44 61.44 0.00 DD 12/01/98 1/1/2004 SEC ID:36210AVM6 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 21612004 1:44:31PM PST 32 Workbench Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED 2:I60UD_IUUJ011 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL#0491103 6.000%01/15/2029 1/15/2004 1,884.740 539.24 539.24 0.00 DD 01/01/99 1/1/2004 SEC ID:36210FRY4 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0496461 6.000%01/15/2029 1/15/2004 30,066.560 2,204.18 2,204.18 0.00 DD 01/01/99 1/1/2004 SEC ID:36210MQN4 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL H0497343 6.000% 12/15/2028 1/15/2004 857.920 116.79 116.79 0.00 DD 12/01/98 1/1/2004 SEC ID:36210NP45 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT GNMA POOL#0499153 6.000%02/15/2029 1/15/2004 17.790 63.35 63.35 0.00 DD 02/01/99 1/1/2004 SEC ID:36210QQE5 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL 40500917 6.000%04/15/2029 1/15/2004 10.730 36.64 36.64 0.00 DD 04/01/99 1/1/2004 SEC ID:36210SPAO 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0503388 6.000%03/15/2029 1/15/2004 5,810.900 1,587.81 1,587.81 0.00 DD 03/01/99 1/1/2004 SEC ID:36210VF55 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL#0506636 6.000%04/15/2029 1/15/2004 1,389.910 183.64 183.64 0.00 DD 04/01/99 1/1/2004 SEC ID:36210YY90 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0512235 6.500% 11/15/2029 1/15/2004 14.440 59.22 59.22 0.00 DD 11/01/99 1/1/2004 SEC ID:36211GBC6 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 1T GNMA POOL#0514326 6.500%07/15/2029 1/15/2004 18,637.430 908.75 908.75 0.00 DD 07/01/99 1/1/2004 SEC ID:36211JLF2 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO 2/6/2004 1:44:31PM PST 33 Workbench Transaction Detail Report ID: EWBO09 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE URE2❑6❑❑❑7❑❑I❑❑ 1/2/2004 - 1/30/2004 Status: FINAL Trade Date EDescription Settle Date Price Cost Amount Net Gain/Loss Reported Date Base Shares/Par Base Base Base IT GNMA POOL 40530053 6.500%04/15/2031 1/15/2004 3,523.720 279.73 279.73 0.00 DD 04/01/01 1/1/2004 SEC ID:36212 CZS3 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL#0537885 6.500%02/15/2031 1/15/2004 111.220 568.98 568.98 0.00 DD 02/01/01 1/1/2004 SEC ID:36212MREI 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL 00547512 6.500%04/15/2031 1/15/2004 572.230 72.41 72.41 0.00 DD 04/01/01 1/1/2004 SEC ID:36212YGV9 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL 00547715 6.500%02/15/2031 1/15/2004 165.960 695.16 695.16 0.00 DD 02/01/01 1/1/2004 SEC ID:36212YN82 OCSF07522202:LONG TERM OPER-PIMCO 1/15/2004 IT GNMA POOL00552322 6.500%01/15/2032 1/15/2004 4.608.160 421.00 421.00 0.00 DD 01/01/02 1/1/2004 SEC ID:36213ESK3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL M0552466 6.500%03/15/2032 1/15/2004 55,868.040 3,223.64 3,223.64 0.00 DD 03/01/02 1/1/2004 SEC ID:36213EW36 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA POOL 00552659 6.500%07/15/2032 1/15/2004 20,020.200 2,476.14 2,476.14 0.00 DD 07/01/02 1/1/2004 SEC ID:36213E5U6 1/15/2004 OCSF07522202:LONG TERM OPER-PIMCO IT GNMA POOL00561017 6.500%07/15/2031 1/15/2004 20,504.950 2,480.75 2,480.75 0.00 DD 07/01/01 1/1/2004 SEC ID:36213QG29 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GNMA II POOL40080023 VAR RT 12/20/2026 1/20/2004 8,257.150 1,076.49 1,076.49 0.00 DD 12/01/96 1/1/2004 SEC ID:36225CAZ9 1/20/2004 OCSF07522202:LONG TERM OPER-PIMCO 21612004 1:44:31 PM PST 34 Workbench Transaction Detail Report ID: EWB009 / Mellon Reported by Transaction Category Base Currency: USD OCSD�ONS )LI DATE DAIR2--161jnn-lna_]❑D 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Trap Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT GNMA 11 POOL#080088M 7.375%06/20/2027 1/20/2004 2,693.490 1,203.80 1,203.80 0.00 DD 06/01/97 1/1/2004 SEC ID:36225CC20 OCSF07522202:LONGTERM OPER-PIMCO 1/20/2004 IT GNMA 11 POOL#0080395 VAR RT 04/20/2030 1/20/2004 8,639.960 807.70 807.70 0.00 DD 04/01/00 1/1/2004 SEC ID:36225CNM4 OCSF07522202:LONGTERM OPER-PIMCO 1/20/2004 IT GNMA 11 POOL#080408X 6.500%05/20/2030 1/20/2004 83,276.430 7,224.86 7,224.86 0.00 DD 05/01/00 1/1/2004 SEC ID:36225CN28 1/20/2004 OCSF07522202:LONGTERM OPER-PIMCO IT GENERAL ELEC CAP MTN #TR 00545 VAR RT 1/20/2004 1,000,000.000 1,022.05 1,022.05 0.00 05/20/2004 DD 05/20/02 1/20/2004 SEC ID:36962GYS7 1/20/2004 OCSF0751 1102:LIQUID OPER-PIMCO IT GENERAL ELEC CAP MTN#TR 00575 5.450% 1/15/2004 5,000,000.000 136,250.00 136,250.00 0.00 01/15/2013 DD 12/06/02 1/15/2004 SEC ID:36962GZY3 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT GOLDMAN SACHS GROUP INC SR NT 4.125% 1/15/2004 3,000,000.000 61,875.00 61,875.00 0.00 01/15/2008 DD 01/13/03 1/15/2004 SEC ID:38141 GCS 1 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT GNMA GTD REMIC TR 2000-9 FH VAR RT 1/16/2004 25,900.060 1,000.40 1,000.40 0.00 02/16/2030 1/16/2004 SEC ID:3837H4NX9 1/16/2004 OCSF07522202:LONGTERM OPER-PIMCO IT JP MORGAN CHASE&CO SUB NT 5.750% 1/2/2004 3,000,000.000 86,250.00 86,250.00 0.00 01/02/2013 DD 11/25/02 1/2/2004 SEC ID:46625HAT7 OCSF07522202:LONG TERM OPER-PIMCO 1/2/2004 IT NATIONSBANK CORP SR NTS 6.125% 1/15/2004 627,000.000 19,201.88 19,201.88 0.00 07/15/20G4 DD 07/23/98 1/15/2004 SEC ID:638585BJ7 1/15/2004 OCSF0751 1102:LIQUID OPER-PIMCO 2/6/2004 1:44:31PM PST 35 Workbench Transaction Detail Report ID: EWBO09 / Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D.M➢2-16000--100 JU0 1/2/2004 - 1/30/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss TyPe Description Reported Date Base Shares/Par Base Base Base IT RESIDENTIAL ASSET 03-RSI I AIIB VAR RT 1/29/2004 15,494.300 1,101.51 1,101.51 0.00 12/25/2033 DD 12/30/03 1/25/2004 SEC ID:760985K83 1/29/2004 OCSF07522202:LONG TERM OPER-PIMCO IT US TREASURY INFLATION INDEX NT 3.375% 1/15/2004 14,000,000.000 275,524.20 275,524.20 0.00 01/15/2007 DD 01/15/97 1/15/2004 SEC ID:9128272M3 1/15/2004 OCSF07522202:LONGTERM OPER-PIMCO IT US TREASURY INFLATION INDEX NT 3.6251/6 1/15/2004 3,000,000.000 62,189.78 62,189,78 0.00 01/15/2008 DD 01/15/98 1/15/2004 SEC ID:9128273T7 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT US TREASURY INFLATION INDEX NT 3.875% 1/15/2004 13,000,000.000 283,780.01 283,780.01 0.00 01/15/2009 DD 01/15/99 1/15/2004 SEC ID:9128274Y5 OCSF07522202:LONGTERM OPER-PIMCO 1/15/2004 IT WELLS FARGO &CO NEW NT 6.625% 1/15/2004 125,000.000 4,140.63 4,140.63 0.00 07/15/2004 DD 07/28/99 1/15/2004 SEC ID:949746AA9 OCSF0751 1102:LIQUID OPER-PIMCO 1/15/2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR 48,127,851.580 1,323,650.46 1,323,650.46 0.00 TOTAL FIXED INCOME SECURITIES BASE: 48,127,851.580 1,323,650.46 1,323,650.46 0.00 TOTAL INTEREST BASE: 76,827,851.580 1,390,819.14 1,390,819.14 0.00 TOTAL TRANSACTIONS: 80,150,857.140 4,655,802.02 -1,984,067.98 -121,130.98 21612004 1:44:31 PM PST 36 Workbench FAHR COMMITTEE Meeting Date To Bd.of Dir. 02/11/04 02/25/04 AGENDA REPORT Item Number Item Number FAHR04-05 14(c) Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Michael D. White, Controller SUBJECT: MID-YEAR FINANCIAL REPORT FOR THE PERIOD ENDED DECEMBER 31 , 2003 GENERAL MANAGER'S RECOMMENDATION Receive and file FY 2003-04 Mid-Year Financial Report for the period ended December 31, 2003. SUMMARY Attached in a separately bound document is the District's Mid-Year Financial Report for the period ended December 31, 2003. This report is a consolidation of the financial accomplishments of the District at the December 31 , 2003, mid-year point. Contained within the Mid-Year Financial Report are budget summary reviews of the Joint Operating & Working Capital Funds. the Capital Improvement Program, the Revenue Areas, and the self-insurance funds. As indicated within the Overview Section of this report, 52.19 percent, or $40.19 million of the FY 2003-04 net joint operating budget of $77.01 million has been expended. Net cost has increased $10.33 million, or 34.6 percent in comparison with the same period last year primarily due to the increased level of wastewater treatment with full disinfection. The total cost per million gallons at December 31 , 2003, is S899.98 based on flows of 44.66 billion gallons, or 242.72 million gallons per day. This is S58.35, or 6.93 percent above the budgeted cost per million gallons of $841 .63. This overage is primarily due to expenditures being higher than budget by 4.38 percent, or $1 .69 million. The remaining increase is due to flows being 2.91 percent lower than the budget estimate of 250 million gallons per day. PROJECT/CONTRACT COST SUMMARY N/A Wdept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(c).Mid-VearFinanclalReport.doc Revised: 8l20,'98 Page BUDGETIMPACT ❑ This item has been budgeted. ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) ADDITIONAL INFORMATION None. ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1 . FY 2003-04 Mid-Year Financial Report for the period Ended December 31 , 2003. H:\dept\agenda\Board Agenda Reports12004 Board Agenda ReportM0204\ltern 14(c).Mid-YearFinancialReport.doc Revised: 8/20/98 Page 2 FAHR COMMITTEE Meeting Date To Bd.of Dir. 02/11/04 02/25/04 AGENDA REPORT Item Number Item Number FAHR04-06 14 d Orange County Sanitation District FROM: Gary G. Streed, Director of Finance Originator: Michael D. White, Controller SUBJECT: QUARTERLY INVESTMENT MANAGEMENT PROGRAM REPORT FOR THE PERIOD OCTOBER 1 , 2003 THROUGH DECEMBER 31 , 2003 GENERAL MANAGER'S RECOMMENDATION Receive and file the Quarterly Investment Management Program Report for the period October 1 , 2003 through December 31, 2003. SUMMARY Section 15.0 of the District's Investment Policy includes monthly and quarterly reporting requirements for the District's two investment portfolios. These two funds, the "Liquid Operating Monies," and the "Long-Term Operating Monies" are managed by PIMCO, the District's external money manager. The ongoing monitoring of the District's investment program by staff and Callan Associates, the District's independent investment advisor, indicates that the District's investments are in compliance with the District's adopted Investment Policy and the California Government Code, and that overall performance has tracked with benchmark indices. In addition, sufficient liquidity and anticipated revenues are available for the District to meet budgeted expenditures for the next six months. The District's portfolios do not include any reverse repurchase agreements or derivative securities. PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. E Not applicable (information item) H1dept\agenda\FAHR\FAHR2004\0204\04-06.Quarterly Investment.doc Revised: 8/20198 Page 1 ADDITIONAL INFORMATION W Performance Reports The Quarterly Strategy Review, prepared by PIMCO, and the Investment Measurement Service Quarterly Review, prepared by Callan Associates, are attached for reference. Also attached are Long-Term and Liquid Operating Monies Summary of Performance Data and Portfolio Statistics charts that depict the performance results, estimated yield and duration, credit quality, and sector diversification of the District's portfolios. as of October 1. 2003 and December 31 , 2003. The Liquid Operating Monies portfolio, with an average maturity of 90 days, consists entirely of cash equivalent investments such as U.S. Treasuries and corporate discount notes. Portfolio Performance Summary The following table presents a performance summary of the District's portfolios as compared to their benchmarks for the period October 1 through December 31, 2003. Portfolio Performance Summary Quarter Ended December 31,2003 Liquid Operating Monies(0/6) Long-Term Operating Monies(%) Total Rate Total Rate of of Return Benchmark"' Return Benchmark"' 3 Months 0.26 0.24 0.23 0.14 6 Months 0.54 0.48 0.57 0.48 9 Months 0.86 0.77 2.03 2.15 12 Months 1.22 1.07 3.22 13.30 Since inception 30 Sept.95 4.65 4.17 6.52 6.49 Market Value $91 AM S386.8M Average Quality "AAA" "AAA" Current Yield(°o) 1.6 4.4 Estimated Yield to Maturity(°o) 1.1 2.6 Quarterly Deposits(Withdrawals) S53.3M S0.0M Estimated Annual Income $1.5M $16.1 M (1) Benchmarks: • Liquid Operating Portfolio: 3-Month Treasury Bill Index ■ Long-Term Operating Portfolio: Merrill Lynch Corp/Govt. 1-5 Year Bond Index Portfolio Market Values Comparative marked-to-market quarter-end portfolio values are shown in the following table, and in the attached bar chart. Liquid Long-Term Quarter Operating Operating Ending Monies ISM) Monies($M) 31 Mar.03 49.6 325.0 30 June 03 66.5 329.7 30 Sept.03 38.0 385.9 31 Dec.03 91.4 386.8 H:\depMgenda\FAHR\FAHR2004\0204\04-06.Quarterly Investment.doc Revised: 8/20/98 Page 2 District's Investment Account Balances as of December 31, 2003 Book Balances Estimated Investment Accounts December 31,2003 Yield(%) State of Calif. LAIF $ 34,100,246 1.55 Union Bank Checking Account 815,107 0.89 PIMCO—Short-term Portfolio 91,100,342 1.37 PIMCO-Long-term Portfolio 383,028,089 2.55 Petty Cash 5,000 N/A TOTAL $509,048,784 2.27 Debt Service Reserves w/Trustees $1602213.442 2.03 ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1. Historical Yield Curve Graph 2. PIMCO Quarterly Report 3. Quarter End Portfolio Market Value Bar Chart 4. Summary of Performance Data and Portfolio Statistics — Liquid Operating Monies 5. Summary of Performance Data and Portfolio Statistics — L-T Operating Monies 6. Asset Summary by Asset Type — Liquid Operating Portfolio 7. Asset Summary by Asset Type — Long Term Portfolio 8. Investment Listing of Liquid Operating and L-T Portfolios (Yield Analysis Report). 9. Investment Transactions and Balances in LAIF 10. Callan Report (separate bound document) 11. PIMCO Report (separate bound document) H:\dept\agenda\FAHR\FAHR2004\0204\04-06.Ouarterly Investment.doc Revised: W0/98 Page 3 HISTORICAL YIELD CURVE 5.25 4.75 ---- 4.50 -- - - 4.25 - - _ - --- - 4.00 -- 3.75 --- . . ---- - 3.50 --- - --- ...--- - __ -- - 0 3.25 - - -- -- -------- - - - - 0 3.00 — _-- - ----- - ----- -- ---_ - --- } 2.75 2.50 - -- -- --- &01- 2.25 - -- - - --- 2.00 ----- ---- - --- - 1.75 --- 1.50 -- - -- -- ----- - - 1.25 - 1.00 - - - - ---- -- ---- 0.75 --- --- - -- 0.50 E E N M et to n o 0 0 +30-Jun-03 -A 30-Sep-03 f31-Dec-03 a 6 P I M C 0 840 Newport Center Drive Newport Beach,CA 92660 Tel: 949.720.6000 Fax: 949.720.1376 February 2, 2004 Mr. Mike White Controller Orange County Sanitation District 10844 Ellis Avenue Administration Building Fountain Valley, CA 92708-7018 Re: 4th Quarter 2003 Report Dear Mike: The following is a description of events in the bond markets during the 4th quarter of 2003 and an analysis of the strategies undertaken in the Orange County Sanitation District's Long-Term, Liquid, and COP Proceeds portfolios over the period. We have also included a section on strategies to be pursued in your portfolios during the coming months. Bond Market Recap: Bonds Gain Ground in 2003 Despite Volatile Interest Rates Most bonds posted positive returns in the fourth quarter, capping a year in which fixed income assets gained ground despite volatile interest rates. The Lehman Brothers Aggregate Bond Index returned 0.32 percent for the quarter and 4.10 percent for the year. While Treasury yields rose only 20 to 50 basis points for the year, the markets were far from calm. For instance, yields moved lower through the first half of the year as deflation risks dominated the news and the market's view of future Federal Reserve policy. The Fed cut the federal funds rate to 1 percent in June and the 10-year Treasury yield plunged to a 45-year low near 3 percent. Rates then reversed course dramatically, jumping more than 130 basis points from June through July, which was the worst month in the U.S. government bond market in more than 22 years. This reversal was prompted by technical factors in the Treasury market but also by investors' growing confidence that growth would accelerate. Economic performance in the second half of the year met investors' expectations. Business investment revived while massive fiscal stimulus and the lagged impact of the mortgage refinancing boom sustained consumption, leading to 8.2 e percent annualized growth in the third quarter, the fastest pace in almost two decades. The 10- year Treasury yield finished the year at 4.25 percent, up 43 basis points for the full year. Commodity prices surged in 2003 as growth revived, while the dollar plunged against most major currencies amid concern about the U.S. trade deficit. Despite these trends, inflation overall was well behaved, which limited the rise in interest rates. In a global economy where human resources and innovation are ever more important for boosting output, slack labor markets and gains in labor productivity allowed companies to absorb higher prices of physical inputs without raising prices. Highest Yielding Bonds Fare Best As Risk Appetites Revive The following is a summary of fixed income sector performance: • Mortgages modestly outperformed Treasuries on a like-duration basis in 2003, though mid- year volatility exerted a drag on returns. Mortgages outpaced Treasuries in the final quarter as market conditions stabilized. With mortgage rates well above the summer's lows, refinancings at year end were some 80 percent slower than the record pace of mid year. Mortgage yield premiums relative to Treasuries fell considerably in the fourth quarter, boosting returns. • Corporate bonds, particularly lower-grade issues, outperformed for the quarter and the year. Credit premiums for high-grade corporates tightened by 75 to 100 basis points. Corporate profit growth and margins improved and demand for riskier, higher yielding assets surged, especially among non-U.S. investors. • Emerging market bonds outperformed most bond sectors for the quarter and the year. The main drivers were continued improvements in credit fundamentals, as evidenced by Russia's upgrade to investment-grade status and enhanced prospects for an upgrade for Brazil. • Treasuries lagged Euroland bonds in 2003 but outpaced Japan, which was among the worst performers during the year. In the fourth quarter, Treasuries underperformed most major bond markets, although short maturity returns in the U.S., Euroland and the U.K. were similar as investors worldwide began to expect central bank tightening given revived growth. • Real return bonds and municipals outpaced Treasuries both in the final quarter and for the full year. These high quality assets demonstrated their defensive characteristics as interest rates moved higher. Performance Attribution: Long Term Portfolio The Long-Term portfolio that PIMCO manages on behalf of Orange County Sanitation District turned in a 0.23 percent return over the quarter outperforming its benchmark, the Merrill Lynch 1-5 year Government Corporate Index by 9 basis points. This portfolio's performance was due in part to the following factors: 2 • Active management across a wide spectrum of strategies—"rolling down"a steep yield curve, select mortgages and corporates, and Treasury Inflation Protection bonds- added value amid volatile markets in 2003 • Below-index duration was positive for returns as rates rose • A broader-than-index curve structure was positive for the quarter as maturities within the index fared the worst as interest rates rose ■ A mortgage emphasis helped returns;these assets gained as lower volatility caused yield premiums to tighten modestly • Corporate holdings were positive as rising profits stimulated investor demand and tighter spreads ® An allocation to real return bonds was positive as these assets outperformed more volatile Treasuries of like duration Liquid Portfolio The Liquid portfolio that PIMCO manages on behalf of Orange County Sanitation District turned in a 0.26 percent return over the quarter, outperforming the 3-month Treasury Bill Index by 2 basis points. This portfolio's performance was due in part to the following factors: m Near-index duration was neutral for returns • A corporate emphasis was positive as profit growth and margins improved it Use of higher yielding securities such as commercial paper and short-term notes contributed to performance 112003 COP Proceeds—Future Construction"Portfolio The COP Proceeds portfolio that PIMCO manages on behalf of Orange County Sanitation District turned in a 0.26 percent return over the quarter,outperforming the 3-month Treasury Bill Index by 3 basis points. This portfolio's performance was due in part to the following factors: Near-index duration was neutral for returns ■ A corporate emphasis was positive as profit growth and margins improved ® Use of higher yielding securities such as commercial paper and short-term notes contributed to performance 3 Economic Outlook: Recovery To Continue; Interest Rates Will Trend Upward The recovery in the global economy will be sustained in 2004, with China joining the U.S. as an engine of growth. U.S. interest rates could rise up to 100 basis points for short maturities but less for longer maturities as markets anticipate tightening by the Federal Reserve. The timing of the Fed move, late in 2004 or early 2005, will depend on how quickly the economy narrows its output gap, measured by the slack in labor markets. This unused capacity, combined with enhanced labor productivity, will keep inflation tame. Key elements of PIMCO's forecast are: • In the U.S. economy, positive forces will outweigh negatives. The hoped for rebound in business investment is now a reality. Massive fiscal stimulus will also provide support, as will spending to rebuild lean inventories. ■ On the negative side, effects of large tax cuts will peak in 2004 and become a fiscal drag by 2005, while benefits of the boom in mortgage refinancing have already begun to dissipate. Employment growth will be muted because of productivity gains and outsourcing to low cost labor markets such as India and China. • China's contribution to growth is tied to its currency peg with the U.S. dollar. The peg forces China to follow the Fed's reflationary policy, fueling a boom in investment for domestic infrastructure. This investment will promote growth in Asia and elsewhere as China imports commodities and components to build its infrastructure. While China will eventually succumb to pressure and revalue its currency, its currency peg will be sustained for the next year because the peg serves Chinese and U.S. interests. China will retain competitive pricing in dollar terms for its exports. It will use the dollars it earns to help finance the U.S. trade deficit,thereby stemming a freefall in the dollar and mitigating the rise in U.S. interest rates. • Japan is recovering without fiscal stimulus for the first time in a decade as healthier Japanese companies integrate with China. Japan's fiscal policy is now focused on reform of the banking sector. Euroland will be the laggard in 2004, but the recent collapse of the Growth and Stability Pact opens the door for needed fiscal stimulus that will offset a stronger euro. Defensive Posture Focused On Safe Yield Will Add Value The bond market in 2004 will be challenging, with upward pressure on rates and full valuations in Treasuries, most corporates and mortgages. Active managers with the resources and skill to exploit a broad spectrum of strategies can add value, however, especially with a defensive posture focused on safe yield and (where allowed) modest currency exposure. This approach involves an underweight to mortgages and corporates, below-index duration and focus on intermediate maturities. The Fed will anchor the short end of the yield curve for most of 2004, keeping the curve steep and allowing investors focused on intermediate maturities to reap gains by "rolling down"the curve. 4 Outside these core strategies, real return, municipal, short maturity Eurozone and emerging market bonds remain compelling. TIPs hedge against secular inflation risk. Munis provide yields near Treasuries and defensive characteristics in a rising rate environment. Short-term Euroland exposure offers yields that do not reflect the low probability of central bank tightening in 2004. Modest exposure to the euro and yen can add value as concern about the U.S. trade deficit keeps the dollar weak. Finally, high yielding emerging market bonds are poised for another good year as fundamentals continue to improve. Strategy: The following list highlights the strategies that will be used in the Long Term portfolio in the coming months: • A defensive posture focused on diversified sources of safe yield will add value in a challenging environment for bonds ® Target below-index duration to protect relative returns against the risk of upward pressure on rates ® Retain broader-than-index curve position to exploit value all along the curve;take exposure to short maturities as the Fed will anchor this end of the yield curve • Continue to hold mortgages to benefit from their long-term structural advantages; add value through coupon selection ® Limit exposure to corporate bonds given their rich valuations,focus on more attractively priced bonds • Own TIPS,which hedge against secular inflation risk and are less volatile than nominal bonds when rates rise • Hold high yielding emerging market bonds, which have potential for solid returns as fundamentals continue to improve; they also offer better value than similarly rated corporate issues The following list highlights the strategies that will be used in the Liquid and COP Proceeds portfolios in the coming months: • A defensive posture focused on diversified sources of safe yield will add value in a challenging environment • Target duration slightly above the benchmark to capture extra yield available from a steep yield curve and to reap gains via "roll down" • Given rich valuations, limit corporate holdings to issues with attractive yields and solid credit characteristics 5 c We hope you find this information useful. Please feel free to call us with any questions. Sincerely, Christine Telish, CFA John M. Miller, CFA Vice President Senior Vice President 6 Prepared by Finance, 2/3/2004, 3:00 PM OCSD Investment Management Program Quarter End Portfolio Values (Marked-to-Market) $450,000,000 $400,000,000 - ---- -- --- $350,000,000 - - - - - $300,000,000 - $250,000,000 -- - - - - - - - $200,000,000 — - -- — - -- - ---- $150,000,000 - _ - - - ----- --- - $100,000,000 --- - - $50,000,000 $0 30 Sep 02 31 Dec 02 31 Mar 03 30 Jun 03 30 Sep 03 30 Dec 03 El Operating Monies 13Long-Term Operating Monies H:\dept\agenda\FAHR\FAHR2004\0204\04-06.3 Summary of Performance Data and Portfolio Statistics Orange County Sanitation District Liquid Operating Portfolio 5-Year Return vs.Standard Deviation 11 � 10 PeriodsPerformance 8 c 7 I X Total Portfolio' Citigroup Before Fees(%) 4.65 4.03 2.78 1.22 0.86 0.54 0.26 6 r MIL 1-3 Yr. 10-Yr.Strip 10 After Fees(%) 4.51 3.89 2.63 1.06 0.74 0.45 0.23 5 Treasury i 41 ■Portfolio 4 Index a 3 Citigroup 3 Month T-Bill Index(%)Z 4.17 3.49 2.28 1.07 0.77 0.48 0.24 2 0 1 2 3 4 5 6 7 8 9 10 11 Standard Deviation of Return (%) of Market Value %of Duration Summary Information �� Ir . .� . 1 �� II 11 11 Total Market Value($MM) 38.0 91.4 Government 38 32 40 43 Quarterly Contributions($MM) -28.7 53.3 Mortgages 0 0 0 0 Estimated Annual Income($MM) 1.5 1.5 Corporates 16 8 22 13 Estimated Yield to Maturity(%) 1.3 1.1 High Yield 0 0 0 0 Estimated Duration(yrs) 0.3 0.2 Non U.S.$Developed 0 0 0 0 Average Maturity(yrs) 0.3 0.2 Emerging Markets 0 0 0 0 Average Quality AAA AAA Other 0 0 0 0 Average Coupon (%) 4.2 1.6 Net Cash Money Markets 46 60 38 44 Tracking Error(3 yrs.,%)3 0.2 0.2 Total 100 100 100 100 Information Ratio(3 yrs.)° 2.8 2.5 See footnotes in Appendix. Summary of Performance Data and Portfolio Statistics Orange County Sanitation District Long Term Operating Portfolio 5-Year Return vs.Standard Deviation 10 - 91 Performance 8 0 Total Portfolio' x LBAG s Portfolio Index Before Fees(%) 6.52 6.01 6.16 3.22 2.03 0.57 0.23 After Fees(%) 6.37 5.86 6.01 3.08 1.93 0.50 0.20 ; 5 Q 4 Merrill 1-5 Year Gov't.Corp.(%)2 6.49 6.21 6.70 3.30 2.15 0.48 0.14 A Citigroup 3- 3 F me 2 -2 -1 0 1 2 3 4 5 6 7 8 Standard Deviation of Return(%) %of Market Value %of Duration Summary Information 1m;1 11 MMI Sector Allocation1 /1 11 1 11 11 Total Market Value($MM) 385.9 386.8 Government 47 46 53 53 Quarterly Contributions($MM) 54.1 0.0 Mortgages 17 16 18 19 Estimated Annual Income($MM) 16.0 16.1 Corporates 11 10 25 25 Estimated Yield to Maturity(%) 2.5 2.6 High Yield 0 0 0 0 Estimated Duration(yrs) 2.3 2.2 Non U.S.$Developed 0 0 0 0 Benchmark Duration(yrs) 2.4 2.4 Emerging Markets 0 0 0 0 Average Maturity(yrs) 2.7 2.5 Other 0 0 0 0 Average Quality AAA AAA Net Cash Equivalents:3 25 28 4 3 Average Coupon(%) 4.4 4.4 Commercial Paper/STIF 23 13 2 1 Tracking Error(3 yrs.,%)4 0.7 0.6 ST Mortgages 2 2 1 0 Information Ratio(3 yrs.)5 -0.7 -0.8 ST Corporates 5 3 1 1 ST Government 1 10 0 1 Other 1 1 0 0 Less: Liabilities -7 -1 0 0 See footnotes In Appendix. Total 100 100 100 100 Report ID:GL8251 Asset Summary Base Currency:USD by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LIQUID OPER•PIMCO-OCSF07511102 12/31/2003 _ _ Status:FINAL Net Unrealized Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base CASH&CASH EQUIVALENTS U.S. DOLLAR INTEREST 262,968.26 262,968.26 0.29% 0.00 CERTIFICATES OF DEPOSIT- DOMESTIC 1,500,000.000 1,500,000.00 1,500,000.00 1.64% 0.00 FED HM LOAN BNK-LESS THAN IYR 16,200,000.000 16,154,527.66 16,154,527.66 17.68% 0.00 FEDERAL HOME LOAN MORTGAGE-LESS THAN 1 15,000,000.000 14,958,803.83 14,958,803.83 16.37% 0.00 FNMA ISSUES-LESS THAN 1YR 13,200,000.000 13,168,747.50 13,168,747.50 14.41% 0.00 MUTUAL FUNDS 159,080.160 159,080.16 159,080.16 0.17% 0.00 REPURCHASE AGREEMENTS 8,400,000.000 8,400,000.00 8,400,000.00 9.19% 0.00 TREASURY BILLS- LESS THAN 1YR 23,100,000.000 23,026,338.99 23,026,338.99 25,20% 0.00 U.S. DOLLAR 77,559,080.160 77,630,466.40 77,630,466.40 84.97% 0.00 CASH&CASH EQUIVALENTS 77,559,080.160 77,630,466.40 77,630,466.40 84.97% 0.00 FIXED INCOME SECURITIES U.S. DOLLAR BANKING&FINANCE 6,302,000.000 6,508,328.58 6,399,421.95 7.00% -108,906.63 U.S. AGENCIES 6,650,000.000 6,876,036.50 6,681,290.31 7.31% -194,746.19 UTILITY-TELEPHONE 650,000.000 677,046.50 652,132.00 0.71% -24,914.50 U.S. DOLLAR 13,602,000.000 14,061,411.58 13,732,844.26 15.03% -328,567.32 FIXED INCOME SECURITIES 13,602,000.000 14,061,411.58 13,732,844.26 15.03% -328,567.32 TOTAL ASSETS-BASE: 91,161,080.160 91,691,877.98 91,363,310.66 100.00% -328,567.32 1 Workbench Asset Summary Report ID:GL8251 Base Currency:USD by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LONG TERM OPER-PIMCO-OCSF07522202 12/31/2003 Status:FINAL Net Unrealized Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base CASH&CASH EQUIVALENTS U.S. DOLLAR PENDING TRADES -2,531,623.30 -2,531,623.30 -0.65% 0.00 INTEREST 3,755,831.13 3,755,831.13 0.97% 0.00 COMMERCIAL PAPER- DISCOUNT 2,700,000.000 2,690,984.00 2,690,984.00 0.70% 0.00 FEDERAL HOME LOAN MORTGAGE-LESS THAN 1 31,300,000.000 31,209,102.61 31,209,102.61 8.07% 0.00 FNMA ISSUES- LESS THAN 1YR 17,500,000.000 17,447,688.03 17,447,688.03 4.51% 0.00 MUTUAL FUNDS 113,665.750 113,665.75 113,665.75 0.03% 0.00 TREASURY BILLS- LESS THAN IYR 37,900,000.000 37,706,336.65 37,706,336.65 9.75% 0.00 U.S. DOLLAR 89,513,665.750 90,391,984.87 90,391,984.87 23.37% 0.00 CASH & CASH EQUIVALENTS 89,513,665.750 90,391,984.87 90,391,984.87 23.37% 0.00 FIXED INCOME SECURITIES U.S. DOLLAR ABS-AIRPLANE RECEIVABLES 1,600,000.000 1,600,000.00 274,912.00 0.07% -1,325,088.00 ABS- HOME EQUITY 1,000,000.000 1,000,000.00 998,750.00 0.26% -1,250.00 BANKING&FINANCE 29,335,000.000 30,475,793.00 31,018,123.75 8.02% 542,330.75 COLLATERALIZED MORTGAGE OBLIGATION 2,425,788,580 2,425,788.58 2,577,279.08 0.67% 151,490.50 FHLMCMULTICLASS 1,088,725.740 1,089,885.64 1,107,419.16 0.29% 17,533.52 FHLMC POOLS 158,321.720 158,398.15 162,661.92 0.04% 4,263.77 FNMA POOLS 45,021,465.930 46,110,288.04 46,340,063.10 11.98% 229,775.06 GNMA MULTI FAMILY POOLS 3,313,859.060 3,297,217.83 3,356,281.61 0.87% 59,063.78 GNMA SINGLE FAMILY POOLS 9,341,048.670 9,492,701.17 9,835,287.38 2.54% 342,586.21 INDUSTRIAL 8,000,000.000 8,248,380.00 8,257,780.00 2.13% 9,400.00 INFLATION INDEXED SECURITIES 34,448,590.000 34,465,572.76 38,084,675.63 9.85% 3,619,102.87 INSURANCE 1,600,000,000 1,594,032.00 1,726,000.00 0.45% 131,968.00 PVT PLACEMENTS- MORE THN 1YR 752,000.000 826,199.84 826,199.84 0.21% 0.00 U.S.AGENCIES 41,138,573.590 42,215,328.96 43,837,094.83 11.33% 1,621,765.87 U.S. GOVERNMENTS 92,597,276.280 100,770,646.50 99,508,801.63 25.73% -1,261,844.87 UTILITY- ELECTRIC 4,750,000.000 4,694,370.00 5,004,355.00 1.29% 309,985.00 UTILITY-TELEPHONE 3,000,000.000 3,530,490.00 3,476,250.00 0.900/0 -54,240.00 U.S. DOLLAR 279,570,649.570 291,995,092.47 296,391,934.93 76.63% 4,396,842.46 1 Workbench Report ID:GL8251 Asset Summary Base Currency:USD by Asset Type with Sectors Alternate Base Currency: Exchange Rate: LONG TERM OPER-PIMCO-OCSF07522202 _ _ _ 12/31/2003_ _ _ Status:FINAL Net Unrealized Cost Market Value % of Gain/Loss Description Shares Par Base Base Total Base FIXED INCOME SECURITIES 279,570,649.570 291,995,092.47 296,391,934.93 76.63% 4,396,842.46 TOTAL ASSETS-BASE: 369,084,315.320 382,387,077.34 386,783,919.80 100.00% 4,396,842.46 2 Workbench YLDANAL YIELD ANALYSIS PAGE 1 OCSF07511102 2003/12/31 RUN DATE 01/07/04 DISTRICT: LIQUID OPERATING RUN TIME 13.46.28 PAR VALUE YIN AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - ------ ------- -------- ------------ ---------- CASH 6 CASH EQUIVALENTS 5,200,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.868 5,193,143.22 6.71 313384SRI MAT 02/04/2004 A-1+ 5,193,143.22 5.70 1,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.688 996,879.16 1.28 313384SS9 A-1+ 996,879.16 1.09 600,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.614 597,681.67 .77 313384SWO MAT 02/09/2004 A-1+ 597,681.67 .66 2,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.732 1,994,641.11 2.57 313384TN9 MAT 02/25/2004 A-1+ 1,994,641.11 2.19 4,500,000.00 FEDERAL HOME LN BK CONS DISC N .000 .000 P-1 99.742 4,489,395.00 5.80 313384UE7 MAT 03/12/2004 A-1+ 4,488,395.00 4.93 900,000.00 FEDERAL HOME LN BKS CINS DISC .000 .000 P-1 99.462 995,162.50 1.15 313384UK3 MAT 03/17/2004 A-1+ 895,162.50 .98 2,000,000.00 FEDERAL HOME LN BK CONS DISC .000 .000 P-1 99.431 1,988,625.00 2.57 313384XA2 MAT 05/19/2004 A-1+ 1,988,625.00 2.18 5,200,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.906 5,195,138.00 6.71 313396SBO MAT O1/21/2004 A-1+ 5,195,138.00 5.70 6,000,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.760 5,985,610.83 7.73 313396TPO MAT 02/26/2004 A-1+ 5,985,610.83 6.57 3,800,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.422 3,778,055.00 4.88 313396U24 MAT 03/31/2004 A-1+ 3,778,055.00 4.15 5,200,000.00 FEDERAL NATL MTG ASSN DISC HT .000 .000 P-1 99.871 5,193,305.00 6.71 313589SPI MAT 02/02/2004 A-1+ 5,193,305.00 5.70 6,000,000.00 FEDERAL NATL MTG ASSN DISC NT .000 .000 P-1 99.782 5,986,918.61 7.73 313588TF2 A-1+ 5,986,918.61 6.57 2,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.426 1,988,523.89 2.57 313588XAB MAT 05/19/2004 A-1+ 1,988,523.89 2.10 1,200,000.00 U S TREASURY BILL .000 .000 P-1 99.516 1,194,191.67 1.54 912795PKI DUE 02/12/2004 DD 08/14/2003 A-1+ 1,194,191.67 1.31 YLDAUAL YIELD ANALYSIS PAGE s 2 OCSF07511102 2003/12/31 RUN DATE s 01/07/04 DISTRICT: LIQUID OPERATING RUN TIME t 13.46.28 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION &OOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 9,200,000.00 U S TREASURY BILL .000 .000 P-1 99.757 9,177,690.00 11.66 912795PPO 0.000% 03/11/2004 DD 09/11/03 A-1+ 9,177,690.00 10.07 6,500,000.00 U S TREASURY BILL .000 .000 P-1 99.785 6,486,041.25 8.38 912795PQB 0.000% 03/10/2004 DD 09/18/03 A-1+ 6,486,041.25 7.12 6,200,000.00 U S TREASURY BILL .000 .000 P-1 99.491 6,168,416.07 7.97 912795QA2 DUE 05/27/2004 DD 11/28/2003 A-1+ 6,168,416.07 6.77 1,500,000.00 WELLS FARGO BANK NA INSTL C/D .000 1.070 100.000 1,500,000.00 1.93 9497SU2V8 1.070% 01/13/2004 DD 12/10/03 1,500,000.00 1.65 8,400,000.00 CREDIT SUISSE FB REPO .000 .970 100.000 8,400,000.00 10.85 99414G593 00.970% 01/02/2004 DD 12/24/03 8,400,000.00 9.22 159,080.16 DREYFUS TREASURY CASH MGMT .000 .807 AAA 100.000 159,080.16 .20 996085247 AAA 159,080.16 .17 -------- ------- ----------------- ---------- TOTAL CASH 6 CASH EQUIVALENTS .000 .029 77,367,498.14 100.00 77,367,490.14 84.91 FIXED INCOME SECURITIES 100,000.00 ASSOCIATES CORP NA MTN SR00043 .000 7.657 AA1 103.437 104,199.00 .75 045906BU7 7.920% 07/13/2004 DD 07/13/94 AA- 103,437.00 .11 1,000,000.00 ASSOCIATES CORP NORTH AMER .000 5.723 AA1 101.343 1,041,290.00 7.37 046003KA6 5.800% 04/20/2004 DD 04/20/99 AA- 1,013,430.00 1.11 500,000.00 BANK OF A14ERICA CORP SR GBL NT .000 6.470 AA2 102.390 518,385.00 3.72 066050CW3 6.625% 06/15/2004 DD 06/15/99 A+ 511,950.00 .56 650,000.00 BELL ATLANTIC-NEW JERSEY INC .000 5.856 AA3 100.328 677,046.50 4.74 077858AA6 5.875% 02/01/2004 DD 02/01/94 A+ 652,132.00 .72 1,350,000.00 FEDERAL FARM CR BKS CONS SYSTE .000 5.386 AAA 100.263 1,399,963.50 9.05 31331H6G7 6.40% 01/23/2004 DD 01/01/1999 AAA 1,353,555.90 1.49 1,100,000.00 FEDERAL HOME LN MTG CORP DEB .000 3.722 AAA 100.747 1,125,905.00 8.06 3134A4PH1 3.750% 04/15/2004 DD 04/15/02 AAA 1,100,219.53 1.22 YLDANAL YIELD ANALYSIS PAGE 3 OCSF07511102 2003/12/31 RUN DATE s 01/07/04 DISTRICT: LIQUID OPERATING RUN TIME 13.46.28 PAR VALUE YlrM AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S—P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- — --- ------- ------- -------- ------------ ---------- 4,200,000.00 FEDERAL NATL MTG ASSN DEBS .000 5.101 AAA 100.465 4,350,168.00 30.72 31359M£MI 5.125% 02/13/2004 DD 02/08/99 AAA 4,219,514.88 4.63 180,000.00 GENERAL ELEC CAP MTN 1TR 00448 .000 7.111 AAA 101.953 183,801.60 1.33 36962GUR3 7.250% 05/03/2004 DD 05/01/00 AAA 183,515.40 .20 1,000,000.00 GENERAL ELEC CAP MTN /TR 00545 .000 1.268 AAA 100.078 1,001,089.00 7.28 36962GYS7 VAR RT 05/20/2004 DD 05/20/02 AAA 1,000,780.00 1.10 1,000,000.00 LEHMAN BROS HI.DGS INC .000 6.539 Al 101,312 1,045,590.00 7.37 524908BZ2 6.6251 04/01/2004 DD 03/26/99 A 1,013,120.00 1.11 250,000.00 NCNB TEX NAT1, BK DALLAS TEX HT .000 9.204 AA2 103.218 260,870.00 1.87 628857DJO 9.5001 06/01/2004 DD 06/01/89 A+ 258,045.00 .28 627,000.00 NATIOIISBANK CORP SR NTS .000 5.975 AA2 102.515 646,650.18 4.68 638585BJ7 6.125% 07/15/2004 DD 07/23/99 A+ 642,769.05 .71 520,000.00 NORWEST FINL INC NTS .000 7.101 AA1 101.390 531,538.00 3.83 669383DG3 7.200% 04/01/2004 DD 04/07/97 AA— 527,228.00 .58 1,000,000.00 US BANCORP MTN ITR 00119 .000 5.901 AA3 101.671 1,046,310.00 7.40 91159HEY2 6.000% 05/15/2004 DD 05/10/99 A+ 1,016,710.00 1.12 125,000.00 WELLS FARGO 6 CO NEW NT .000 6.440 AA1 102.750 128,605.00 .93 949746AA9 6.625% 07/15/2004 DD 07/28/99 AA— 128,437.50 .14 -------- ------- ----------------- --------- TOTAL FIXED INCOME SECURITIES .000 5.222 14,061,411.58 100.00 13,732,844.26 15.08 -------- ------- ----------------- --------- TOTAL .000 .747 91,428,909.72 100.00 91,100,342.40 100.00 YLDANAL YIELD ANALYSIS PAGE t 4 OCSF07522202 2003/12/31 RUN DATE t 01/07/04 DISTRICTt LONG-TERM OPERATING RUN TIME t 13.46.28 PAR VALUE Y'II"H AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BCrOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - ------ ------- -------- ------------ ---------- CASH 6 CASH EQUIVALENTS 900,000.00 EUROPEAN INVEST DISC D00 .00D 99.732 897,588.50 1.00 29878RCF3 03/15/2004 897,588.50 .23 20,800,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.731 20,744,004.66 23.26 313396RV7 MAT 01/15/2004 A-1+ 20,744,004.66 5.38 1,200,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.727 1,196,718.67 1.34 313396SKO MAT 01/29/2004 A-1+ 1,196,718.67 .31 4,700,000.00 FEDERAL HOME LN MTG CORD DISC .000 .000 P-1 99.661 4,684,085.28 5.25 313396SP9 MAT 02/02/2004 A-1+ 4,684,085.28 1.21 2,500,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.724 2,493,100.00 2.79 313396S27 MAT 02/12/2004 A-1+ 2,493,100.00 .65 2,100,000.00 FEDERAL HOME LN MTG CORP DISC .000 .000 P-1 99.581 2,091,194.00 2.34 313396UQ4 MAT 03/22/2004 A-1+ 2,091,194.00 .54 400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.900 399,600.00 .44 313588SR7 MAT 02/04/2004 A-1+ 399,600.00 .10 2,400,000.00 FEDERAL NATL MTG ASSN DISC NT .000 .000 P-1 99.715 2,393,155.61 2.68 313588TF2 A-1+ 2,393,155.61 .62 3,800,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.553 3,783,014.00 4.24 313568TGO MAT 02/19/2004 A-1+ 3,763,014.00 .98 8,400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.745 8,378,500.00 9.39 313588TN5 MAT 02/25/2004 A-1+ 8,378,580.00 2.17 400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.727 399,900.00 .44 313588TV7 MAT 03/03/2004 A-1+ 398,908.00 .10 1,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .000 .000 P-1 99.735 997,350.00 1.11 313588UC7 MAT 03/10/2004 A-1+ 997,350.00 .26 1,100,000.00 FEDERAL NATL MTG ASSN DISC 000 .000 P-1 99.735 1,097,080.42 1.23 313588UK9 A-1+ 1,097,080.42 .28 1,800,000.00 GENERAL ELEC CAP DISC .000 .000 P-1 99.633 1,793,395.50 2.01 36959HD79 04/07/2004 1,793,395.50 .47 YLDANAL YIELD ANALYSIS PAGE 5 OCSF07522202 2003/12/31 RUN DATE : 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 13.46.28 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ---- ------ ------- -------- ------------ ---------- 4,500,000.00 U S TREASURY BILL .000 .000 P-1 99.516 4,478,218.75 5.02 912795PK1 DUE 02/12/2004 DD 08/14/2003 A-1+ 4,478,218.75 1.16 17,000,000.00 UNITED STATES TREASURY BILL .000 .000 P-1 99.487 16,912,790.02 18.96 912795PV7 DUE 04/22/2004 DD 10/23/03 A-1+ 16,912,790.02 4.39 12,000,000.00 U S TREASURY BILL .000 .000 P-1 99.484 11,938,120.00 13.38 912795PW5 0.000% 04/29/2004 DD 10/30/03 A-1+ 11,938,120.00 3.10 4,400,000.00 U S TREASURY BILL •000 .000 P-1 99.482 4,377,207.89 4.90 912795PX3 0.000% 05/06/2004 DD 11/06/03 A-1+ 4,377,207.88 1.14 113,665.75 DREYFUS TREASURY CASH MGMT .000 .807 AAA 100.000 113,665.75 .12 996085247 AAA 113,665.75 .03 --- -- ------- ----------------- --------- TOTAL CASH & CASH EQUIVALENTS .000 .000 89,167,777.04 100.00 89,167,777.04 23.12 FIXED INCOME SECURITIES 752,000.00 AIG SUNA14ERICA GLOBAL REG S .000 5.325 109.967 826,199.84 .27 U00907AAO 5.850% 08/01/2008 DD 08/08/01 826,199.84 .21 2,500,000.00 COMMIT TO PUR FNMA SF MTG .000 5.006 AAA 103.343 2,568,906.25 .87 01F060618 6.000% 01/01/2034 DD 01/01/04 AAA 2,583,575.00 .67 1,500,000.00 CIT GROUP INC NEW SR HT .000 5.137 A2 107.062 1,527,135.00 .54 125581ADO 5.500% 11/30/2007 DD 12/02/02 A 1,605,930.00 .42 5,000,000.00 CITIGROUP INC GLOBAL SUB NT .000 5.329 AA2 105.562 5,333,600.00 1.78 172967BP5 5.625% 08/27/2012 DD 08/26/02 A+ 5,278,100.00 1.37 79,205.45 FHLMC GROUP #G4-0353 .000 7.349 AAA 102.055 81,210.35 .02 3128DB14A2 7.500% 10/01/2004 DD 03/01/99 AAA 80,833.39 .02 7,500,000.00 FEDERAL HOME LN BK CONS BDS .000 6.708 AAA 106.210 7,997,625.00 2.68 3133HAUN7 7.1258 02/15/2005 DD 02/08/00 AAA 7,965,729.75 2.07 79,116.27 FHLMC GROUP #70-6064 .000 3.387 AAA 103.428 77,187.80 .02 31348SWZ3 6.384% 01/01/2028 DD 12/01/97 AAA 81,828.53 .02 YLDANAL YIELD ANALYSIS PAGE s 6 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME s 13.46.28 PAR VALUE YT'H AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BGOK YIELD S-P PRICE MARKET VALUE 9 TOTAL ----------------- ----------------------------- -- ------- ------- -------- ------------ ---------- 11,350,000.00 FEDERAL NATL MTG ASSN DEBS .000 4.909 AAA 106.938 11,521,271.50 4.09 31359MJX2 5.250% 06/15/2006 DD 06/22/01 AAA 12,137,508.40 3.15 845,763.78 FNMA POOL #0254510 .000 4.887 AAA 102.305 B71,136.70 .29 31371KVB4 5.000% 11/01/2017 DD 10/01/02 AAA 865,256.01 .22 178,775.18 FNMA POOL #0254631 .000 4.893 AAA 102.180 184,138.44 .06 31371KY47 5.000% 02/01/2018 DD 01/01/03 AAA 182,671.92 .05 161,395.17 FNMA POOL 00254760 .000 4.893 AAA 102.180 166,237.02 .05 31371K5V9 5.000% 06/01/2010 DD 05/01/03 AAA 164,913.08 .04 70,264.77 FNMA POOL #0254066 .000 4.893 AAA 102.180 72,372.72 .02 31371LCB3 5.000% 09/01/2018 DD 08/01/03 AAA 71,796.32 .02 372,934.60 FNMA POOL 00254953 .000 4.893 AAA 102.180 377,712.83 .12 31371LE21 5.000% 11/01/2018 DD 10/01/03 AAA 381,063.42 .10 994,777.04 FNMA POOL #0254907 .000 4.991 AAA 102.220 1,007,522.61 .34 3137ILF46 5.000% 12/01/2018 DD 11/01/03 AAA 1,016,861.01 .26 212,582.99 FNMA POOL #0323980 .000 5.694 AAA 105.371 221,949.93 .07 31374T2M0 6.000% 04/01/2014 DD 09/01/99 AAA 224,001.01 .06 32,605.47 FNMA POOL #0357328 .000 4.890 AAA 102.242 33,583.63 .01 31376J4M8 5.000% 01/01/2018 DD 01/01/03 AAA 33,336.40 .01 1,607,651.67 FNMA POOL #0357430 .000 4.893 AAA 102.180 1,625,737.76 .55 31376KA71 5.000% 09/01/2010 DD 09/01/03 AAA 1,642,693.49 .43 65,050.21 FNMA POOL 10456482 .000 5.694 AAA 105.371 68,751.73 .02 31381CCT2 6.000% 02/01/2014 DD 02/01/99 AAA 69,387.08 .02 176,700.55 FNMA POOL #0509649 .000 5.694 AAA 105.371 184,406.42 .06 31383QEWO 6.000% 09/01/2014 DD 09/01/99 AAA 186,191.30 .05 167,522.68 FNMA POOL 10535451 .000 5.694 AAA 105.371 174,904.15 .05 31384VZQB 6.000% 06/01/2015 DD 07/01/00 AAA 176,520.47 .05 3,639,256.33 FNMA POOL #0535672 .000 5.694 AAA 105.371 3,799,611.07 1.29 31384WCHI 6.000% 01/01/2016 DD 12/01/00 AAA 3,834,724.06 .99 1,204,979.34 FNMA POOL #0545296 .000 5.697 AAA 105.321 1,259,073.74 .42 31305HXZO 6.000% 11/01/2016 DD 10/01/01 AAA 1,269,097.38 .33 YLDANAL YIELD ANALYSIS PAGE 7 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 13.46.28 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ E TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE E TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 101,490.30 FNMA POOL #0545580 .000 5.699 AAA 105.284 105,951.77 .03 31385JCR7 6.000E 03/01/2017 DD 03/01/02 AAA 106,842.10 .03 179,016.37 FNHA POOL #0555101 .000 5.691 AAA 105.421 186,904.26 .06 31385WU23 6.000E 10/01/2017 DD 11/01/02 AAA 188,721.01 .05 804,067.43 FNMA POOL 00555285 .000 5.796 AAA 103.523 836,230.14 .28 31385W2S7 6.000E 03/01/2033 DD 02/01/03 AAA 832,398.26 .22 385,706.07 FNMA POOL 10555363 .000 4.093 AAA 102.180 397,277.25 .13 31385W5Y1 5.0001 04/01/2010 DD 03/01/03 AAA 394,113.27 .10 39,573.60 FNMA POOL. OOSS5453 .000 4.093 AAA 102.100 40,080.64 .01 31385XBW6 5.0001 OS/01/2018 DD 04/01/03 AAA 40,436.18 .01 773,260.11 FNMA POOL 1055SS28 .000 5.796 AAA 103.523 804,190.52 .27 31385XD95 6.0001 04/01/2033 DD 05/01/03 AAA 800,505.47 .21 321,924.57 FNMA POOL 00555545 .000 4.893 AAA 102.160 331,582.31 .11 31385XES2 5.000E 06/01/2019 DD 05/01/03 AAA 328,941.53 .09 1,116,156.41 FNMA POOL 10555621 .000 4.091 AAA 102.220 1,120,713.17 .38 31385XG68 5.000E 07/01/2018 DD 06/01/03 AAA 1,140,934.99 .30 65,121.39 FNMA POOL #0576386 .000 5.719 AAA 104.919 67,990.90 .02 31386XJ72 6.000E 05/01/2016 DD 05/01/01 AAA 68,324.61 .02 175,110.78 FNMA POOL 40576739 .000 5.699 AAA 105.284 192,826.60 .06 31386XV86 6.000E 04/01/2016 DD 04/01/01 AAA 184,362.92 .05 234,439.67 FNMA POOL #0590888 .000 5.690 AAA 105.309 244,769.66 .08 31387DJ91 6.000E 05/01/2016 DD 05/01/01 AAA 246,885.11 .06 185,028.00 FNMA POOL #0594002 .000 5.708 AAA 105.121 193,180.79 .06 31387T3K8 6.000E 07/01/2016 DD 07/01/01 AAA 194,503.45 .05 254,514.47 FNMA POOL #0597376 .000 5.699 AAA 105.284 265,729.01 .09 31387XT96 6.000E 09/01/2016 DD 08/01/01 AAA 267,961.97 .07 165,193.41 FNMA POOL #0605259 .000 5.699 AAA 105.284 172,461.80 .05 31388HMG1 6.000E 09/01/2016 DD 09/01/01 AAA 173,9ll.02 .05 103,238.98 FNMA POOL #0608366 .000 5.699 AAA 105.284 107,787.95 .03 31388LZ78 6.000E 10/01/2016 DD 09/01/01 AAA 108,693.70 .03 YLDANAL YIELD ANALYSIS PAGE S 8 OCSF07522202 2003/12/31 RUN DATE : 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 13.46.28 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ E TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE E TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 170,576.06 FNMA POOL #0616734 .000 5.691 AAA 105.434 178,092.06 .06 31388WEF9 6.000E 12/01/2016 DD 12/01/01 AAA 179,844.46 .05 201,682.55 FNMA POOL #0630812 .000 5.717 AAA 104.946 210,569.19 .07 31389NYH2 6.000E 02/01/2017 DD 02/01/02 AAA 211,657.21 D5 849,074.67 FNMA POOL 00632376 .000 5.691 AAA 105.421 886,487.04 .30 31309QQ50 6.000E 07/01/2017 DD 07/01/02 AAA 895,103.77 .23 486,161.90 FNMA POOL #0653116 OOD 5.691 AAA 105.421 507,583.41 .17 31390QSDO 6.000E 07/01/2017 DD 07/01/02 AAA 512,517.17 .13 195,677.54 FNMA POOL #0673280 .000 5.708 AAA 105.121 204,299.58 .06 31391P6R2 6.000E 08/01/2017 DD 11/01/02 AAA 205,698.36 .05 577,250.59 FNMA POOL 10681309 .000 4.093 AAA 102.180 594,568.10 .19 3139IY3S4 5.000E 02/01/2018 DD 02/01/03 AAA 589,832.86 .15 72,721.52 FNMA POOL #0681334 .000 4.993 AAA 102.180 74,903.16 .02 31391Y4T1 5.000E 02/01/2018 DD O1/01/03 AAA 74,306.62 .02 354,327.35 FNMA POOL #0684908 .000 4.889 AAA 102.280 358,867.17 .12 31400D3R1 5.000E 06/01/2018 DD 05/01/03 AAA 362,404.92 .09 207,000.26 FNMA POOL #0685200 .000 4.893 AAA 102.180 209,652.45 .07 31400EGH7 5.000E 03/01/2018 DD 03/01/03 AAA 211,512.22 .05 36,851.84 FNNA POOL 10685665 .000 4.993 AAA 102.180 37,957.40 .01 31400EW22 5.000E 02/01/2018 DD 02/01/03 AAA 37,655.10 .01 315,693.66 FNMA POOL #0686318 .000 4.893 AAA 102.180 325,164.47 .10 31400FPB7 5.000E 03/01/2018 DD 03/01/03 AAA 322,574.80 .08 124,019.73 FNMA POOL #0608739 .000 4.893 AAA 102.100 127,740.32 .04 31400JEL9 5.000E 06/01/2018 DD 06/01/03 AAA 126,722.98 .03 127,379.92 FNMA POOL 00689859 .000 4.893 AAA 102.180 129,011.97 .04 31400KMG8 5.000E 05/01/2018 DD 05/01/03 AAA 130,156.41 .03 751,602.57 FNMA POOL #0693834 .000 4.887 AAA 102.305 774,150.65 .25 31400PY74 5.000E 03/01/2018 DD 03/01/03 AAA 768,924.68 .20 274,843.04 FNMA POOL #0695052 .000 4.893 AAA 102.180 283,088.33 .09 31400SBV0 5.000E 05/01/2018 DD 05/01/03 AAA 280,833.77 .07 YLDANAL YIELD ANALYSIS PAGE 9 OCSF07522202 2003/12/31 RUN DATE : 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME 13.46.28 PAR VALUE YT'M AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 840,680.93 FNMA POOL 10695889 .000 4.893 AAA 102.180 865,901.35 .28 31400SC23 5.000% 05/01/2018 DD 05/01/03 AAA 859,005.17 .22 27,089.43 FNMA POOL #0697026 .000 4.893 AAA 102.180 27,902.13 .00 3140OTLF2 5.D008 05/01/2018 DD 04/01/03 AAA 27,679.90 .01 91,957.96 FNMA POOL 10698939 .000 5.691 AAA 105.434 96,009.06 .03 31400VPY2 6.000% 09/01/2017 DD 03/01/03 AAA 96,954.58 .03 277,879.67 FNMA POOL 10702210 .000 4.891 AAA 102.220 286,216.06 .09 31401ADP9 5.000% 05/01/2018 DD 05/01/03 AAA 284,048.50 .07 149,630.61 FNMA POOL 10702328 .000 4.893 AAA 102.180 151,547.76 .05 31401AHD2 5.000% 05/01/2018 DD 04/01/03 AAA 152,892.09 .04 82,358.61 FNMA POOL #0703195 .000 5.684 AAA 105.559 85,907.54 .02 314018GC3 6.000% 01/01/2017 DD 04/01/03 AAA 86,936.59 .02 302,649.05 FNMA POOL 10709148 .000 4.893 AAA 102.180 311,728.52 .10 31401HZM7 5.000% 06/01/2010 DD 06/01/03 AAA 309,245.86 .08 698,961.00 FNMA POOL #0709360 .000 4.893 AAA 102.180 707,916.44 .24 31401JB56 5.000% 07/01/2018 DD 06/01/03 AAA 714,196.18 .19 145,426.99 FNMA POOL 10709826 .000 4.893 AAA 102.180 147,290.27 .05 31401JSP4 5.000% 06/01/2018 DD 06/01/03 AAA 148,596.85 .04 265,628.29 FNMA POOL #0709911 .000 4.893 AAA 102.180 269,031.65 .09 31401JVJ4 5.000% 06/01/2018 DD 06/01/03 AAA 271,418.16 .07 27,155.10 FNMA POOL #0709963 .000 4.891 AAA 102.220 27,503.03 .00 31401JWYO 5.000% 06/01/2018 DD 06/01/03 AAA 27,757.94 .01 807,079.03 FNMA POOL #0710235 .000 4.893 AAA 102.180 831,291.41 .27 31401KBC8 5.000% 06/01/2018 DD 06/01/03 AAA 824,670.85 .21 25,800.14 FNMA POOL ID713344 .000 4.893 AAA 102.180 26,574.14 .00 3140INP52 5.000% 06/01/2018 DD 06/01/03 AAA 26,362.50 .01 336,717.67 FNMA POOL #0713365 .000 4.893 AAA 102.180 341,031.86 .11 31401NQSI 5.000% 07/01/2018 DD 07/01/03 AAA 344,057.07 .09 992,167.21 FNMA POOL #0720319 .000 4.893 AAA 102.180 1,004,879.35 .34 31401WG45 5.000% 07/01/2018 DD 07/01/03 AAA 1,013,793.38 .26 YLDANAL YIELD ANALYSIS PAGE s 10 OCSF07522202 2003/12/31 RUN DATE t 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME t 13.46.28 PAR VALUE YT'H AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 2,439,536.98 FNMA POOL 10720369 .000 4.891 AAA 102.220 2,512,723.09 .84 31401WJNO 5.000% 06/01/2018 DD 06/01/03 AAA 2,493,694.51 .65 315,691.37 FNMA POOL 10721629 .000 4.887 AAA 102.305 325,162.12 .10 31401XVW4 5.000% 07/01/2018 DD 06/01/03 AAA 322,967.08 .00 253,209.80 FNMA POOL #0723487 .000 4.893 AAA 102.180 256,058.41 .08 31402AX04 5.000% 06/01/2018 DD 06/01/03 AAA 258,728.99 .07 430,832.16 FNMA POOL #0729601 .000 4.893 AAA 102.180 436,352.20 .14 31402HRW3 5.000% 07/01/2019 DD 07/01/03 AAA 440,222.97 .11 36,580.96 FNMA POOL #0732873 .000 4.893 AAA 102.405 37,049.65 .01 31402HFN5 5.000% 11/01/2016 DD 10/01/03 AAA 37,460.62 .01 751,447.78 FNMA POOL #0737130 .000 4.093 AAA 102.180 761,075.70 .25 31402S4P9 5.000% 10/01/2018 DD 10/01/03 AAA 767,827.01 .20 592,771.45 FNMA POOL #0738211 .000 4.891 AAA 102.220 600,366.34 .20 31402UD02 5.000% 10/01/2018 DD 10/01/03 AAA 605,930.93 .16 225,351.96 FNMA POOL #0730487 .000 4.893 AAA 102.180 220,239.28 .07 31402UNC2 5.000% 10/01/2018 DD 10/01/03 AAA 230,263.93 .06 700,464.06 FN14A POOL #0740471 .000 4.691 AAA 102.220 709,438.75 .24 31402WT40 5.000% 10/01/2018 DD 10/01/03 AAA 716,014.31 .19 830,872.68 FNMA POOL #0740748 .000 4.893 AAA 102.100 841,518.23 .28 31402W5H7 5.000% 10/01/2018 DD 11/01/03 AAA 848,983.13 .22 1,183,643.76 FNMA POOL #0744008 .000 4.893 AAA 102.180 1,198,809.19 .40 31403BR54 5.000% 07/01/2010 DD 09/01/03 AAA 1,209,443.52 .31 175,843.14 FNMA POOL #0744316 .000 4.891 AAA 102.220 178,096.13 .06 31403B324 5.000% 09/01/2018 DD 09/01/03 AAA 179,746.64 .05 362,925.28 FNMA POOL 10747914 .000 4.893 AAA 102.180 367,575.26 .12 31403F3X0 5.000% 11/01/2018 DD 11/01/03 AAA 370,835.93 .10 244,330.37 FNMA POOL 10748400 .000 4.891 AAA 102.220 247,460.86 .00 31403GNR9 5.000% 08/01/2018 DD 09/01/03 AAA 249,754.48 .06 1,039,682.54 FNMA POOL #0748899 .000 4.896 AAA 102.121 1,053,003.47 .35 31403G7L0 5.000% 12/01/2018 DD 11/01/03 AAA 1,061,738.36 .28 YLDANAL YIELD ANALYSIS PAGE 11 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TINE 13.46.28 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ 9 TYPE SECURITY ID SECURITY DESCRIPTION B(AK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - -- ------- ------- --------- ------------ ---------- 2,550,466.67 FNMA POOL #0750377 .000 4.896 AAA 102.121 2,583,144.52 .87 31403JUA2 5.000% 11/01/2018 DD 11/01/03 AAA 2,604,572.24 .68 2,138,225.97 FNMA POOL 10750380 .000 4.896 AAA 102.121 2,165,622.00 .73 31403JUD6 5.000% 11/01/2018 DD 11/01/03 AAA 2,183,586.27 .57 194,148.32 FNMA POOL 10750445 .000 4.896 AAA 102.121 196,635.84 .06 314033WE2 5.000% 11/DI/2018 DD 11/01/03 AAA 198,266.98 .05 914,095.83 FNMA POOL 00751960 .000 4.891 AAA 102.220 925,807.69 .31 31403LM111 5.000♦ 12/01/2010 DD 11/01/03 AAA 934,388.68 .24 995,372.46 FNMA POOL 40753425 .000 4.893 AAA 102.180 1,006,881.45 .34 31403NA23 5.000% 11/01/2018 DD 11/01/03 AAA 1,017,068.49 .26 653,924.60 FNMA POOL #0755165 .000 4.893 AAA 102.180 662,303.00 .22 31403Q6A3 5.000% 12/01/2018 DD 11/01/03 AAA 668,178.13 .17 995,525.56 FNMA POOL #0756372 .000 4.893 AAA 102.100 1,007,036.32 .34 31403SJRB 5.000% 11/01/2018 DD 11/01/03 AAA 1,017,224.93 .26 45,596.00 FNMA POOL #0765165 .000 4.937 AAA 101.281 46,180.20 .01 31404DCA4 5.000% 11/01/2018 DD 11/01/03 AAA 46,180.20 .01 336,975.86 GNMA POOL #0596612 .000 6.152 AAA 105.660 353,666.69 .12 36200BYH4 6.500% 09/15/2032 DD 09/01/02 AAA 356,049.23 .09 1,220,097.30 GNMA POOL #0569358 .000 6.161 AAA 105.507 1,248,693.33 .43 362000QK3 6.500% 04/15/2032 DD 04/01/02 AAA 1,287,291.21 .33 53,160.94 GN14A POOL #0569685 .000 6.150 AAA 105.691 55,794.06 .01 3620002S2 6.500% 02/15/2032 DD 02/01/02 AAA 56,186.55 .01 90,472.27 GNMA POOL #0570019 .000 6.152 AAA 105.660 94,953.48 .03 3620ORG48 6.500% 07/15/2032 DD 07/01/02 AAA 95,593.15 .02 558,690.44 GNMA POOL #0574323 .000 6.150 AAA 105.691 586,363.08 .19 36200WAY7 6.500% 12/15/2031 DD 12/01/01 AAA 590,487.80 .15 59,181.88 GNMA POOL #0575364 .000 6.150 AAA 105.691 62,113.23 .02 36200XFD6 6.500% 11/15/2031 DD 11/01/01 AAA 62,550.16 .02 21,553.91 GN14A POOL #0587117 .000 6.150 AAA 105.691 22,621.50 .00 36201MG22 6.500% 06/15/2032 DD 06/01/02 AAA 22,780.63 .01 YLDANAL YIELD ANALYSIS PAGE t 12 OCSF07522202 2003/12/31 RUN DATE : 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME t 13.46.28 PAR VALUE YT'M AT CURRENT MOODY MARKET TOTAL COST/ E TYPE SECURITY ID SECURITY DESCRIPTION BCPOK YIELD S-P PRICE MARKET VALUE E TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 65,141.43 GNMA POOL 10587439 .000 6.152 AAA 105.660 68,367.96 .02 3620IMS45 6.500E 11/15/2032 DD 12/01/02 AAA 68,828.54 .02 14,938.65 GNMA POOL 10421389 .000 6.130 AAA 106.035 15,678.59 .00 36206UC23 6.500E 04/15/2026 DD 04/01/96 AAA 15,840.22 .00 24,972.91 GNMA POOL #0449851 .000 6.155 AAA 105.611 26,209.85 .00 36208FWLO 6.500E 01/15/2028 DD 01/01/98 AAA 26,374.06 .01 67,365.96 GNMA POOL #0466845 .000 6.137 AAA 105.910 70,702.68 .02 36209BTA6 6.500E 06/15/2028 DD 06/01/98 AAA 71,347.40 .02 260,930.32 GNMA POOL 10468052 .000 6.137 AAA 105.910 273,854.52 .09 36209C5M4 6.500E 07/15/2020 DD 07/01/98 AAA 276,351.72 .07 212,869.16 GNMA POOL #0476041 .000 6.137 AAA 105.910 223,080.23 .07 36209MZE7 6.500E 06/15/2028 DD 06/01/98 AAA 225,450.07 .06 164,280.07 GNMA POOL #0478626 .000 6.143 AAA 105.816 172,160.38 .05 36209QVT9 6.500E 01/15/2029 DD 01/01/99 AAA 173,835.27 .05 169,313.94 GNMA POOL J0480598 .000 6.137 AAA 105.910 177,435.73 .06 36209S3F6 6.500E 10/15/2028 DD 10/01/98 AAA 179,320.66 .05 460,065.96 GNMA POOL #0485527 .000 6.150 AAA 105.691 482,853.60 .16 36209YLG1 6.500E 06/15/2031 DD 06/01/01 AAA 486,250.20 .13 519,423.75 GNMA POOL 10485610 .000 6.150 AAA 105.691 545,151.46 .18 36209YN38 6.500E 07/15/2031 DD 07/01/01 AAA 548,906.29 .14 105,649.63 GNMA POOL 10485682 .000 6.150 AAA 105.691 110,882.59 .03 36209YRB6 6.500E 08/15/2031 DD 09/01/01 AAA 111,662.50 .03 100,873.49 GNMA POOL #0485703 .000 6.150 AAA 105.691 105,869.89 .03 36209YRY6 6.500E 08/15/2031 DD 08/01/01 AAA 106,614.61 .03 10,933.58 GNMA POOL #0512235 .000 6.143 AAA 105.816 11,475.13 .00 36211GBC6 6.500E 11/15/2029 DD 11/01/99 AAA 11,569.52 .00 167,769.61 GN14A POOL #0514326 .000 6.143 AAA 105.816 175,817.30 .05 36211JLF2 6.500E 07/15/2029 DD 07/01/99 AAA 177,527.78 .05 51,641.65 GNMA POOL #0530053 .000 6.161 AAA 105.497 54,199.53 .01 36212CZS3 6.500E 04/15/2031 DD 04/01/01 AAA 54,480.31 .01 s YLDANAL YIELD ANALYSIS PAGE s 13 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME 2 13.46.28 PAR VALUE Y'S'M AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION HOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ---------------------- ----'- ------- ------- -------- ------------ ---------- 105,041.92 GNMA POOL #0537885 .000 6.150 AAA 105.691 110,244.77 .03 3621214RE1 6.500% 02/15/2031 DD 02/01/01 AAA 111,020.29 .03 13,368.71 GNMA POOL 10547512 .000 6.150 AAA 105.691 14,030.88 .00 36212YGV9 6.500% 04/15/2031 DD 04/01/01 AAA 14,129.50 .00 128,337.46 GNMA POOL #0547715 .000 6.150 AAA 105.691 134,493.65 .04 36212YN82 6.500% 02/15/2031 DD 02/01/01 AAA 135,641.67 .04 77,723.07 GNMA POOL #0552322 .000 6.150 AAA 105.691 81,572.79 .02 36213ESK3 6.500% 01/15/2032 DD 01/01/02 AAA 82,146.61 .02 595,133.47 GNMA POOL #0552466 .000 6.161 AAA 105.507 624,611.18 .21 36213EW36 6.500% 03/15/2032 DD 03/01/02 AAA 627,909.01 .16 457,133.87 GNMA POOL #0552659 .000 6.150 AAA 105.691 479,776.27 .16 36213E5U6 6.500% 07/15/2032 DD 07/01/02 AAA 483,151.23 .13 457,994.66 GNMA POOL #0561017 .000 6.150 AAA 105.691 480,669.21 .16 36213OG29 6.50D8 07/15/2031 DD 07/01/01 AAA 484,050.44 .13 276,925.69 GNMA II POOL #0080395 .000 3.461 AAA 101.141 274,416.05 .09 36225CNM4 VAR RT 04/20/203D DD 04/01/00 AAA 280,086.52 .07 2,477,095.70 GNMA II POOL f080408X .000 3.462 AAA 101.009 2,451,937.69 .84 36225CN28 6.500% 05/20/2030 DD 05/01/00 AAA 2,504,058.89 .65 5,000,000.00 GENERAL ELEC CAP MTN ITR 00575 .000 5.239 AAA 104.031 5,203,500.00 1.75 36962GZY3 5.450% 01/15/2013 DD 12/06/02 AAA 5,201,550.00 1.35 3,000,000.00 GENERAL MTRS ACCEP CORP SR NT .000 5.703 A3 107.406 3,064,350.00 1.08 370425SD3 6.125% 08/28/2007 DD 08/29/02 BBB 3,222,180.00 .84 3,000,000.00 GOLDMAN SACHS GROUP INC SR NT .000 4.023 AA3 102.531 3,030,030.00 1.03 38141GCSI 4.125% 01/15/2008 DD 01/13/03 A+ 3,075,930.00 .80 1,635,000.00 HOUSEHOLD FIN CORP NT .000 5.709 Al 110.125 1,772,820.00 .60 441812JW5 6.375% 10/15/2011 DD 10/23/01 A 1,800,543.75 .47 3,000,000.00 JP MORGAN CHASE 6 CO SUB NT .000 5.453 A2 105.453 3,127,260.00 1.06 46625HAT7 5.750% 01/02/2013 DD 11/25/02 A 3,163,590.00 .82 3,200,ODO.00 MORGAN STANLEY NT .000 3.620 AA3 100.140 3,195,648.00 1.08 617446HW2 3.625% 04/01/2008 DD 03/06/03 A+ 3,204,480.00 .83 YLDANAL YIELD ANALYSIS PAGE 14 OCSF07522202 2003/12/31 RUN DATE t 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 13.46.28 PAR VALUE Y'T'H AT CURRENT MOODY MARKET TOTAL COST/ 9 TYPE SECURITY ID SECURITY DESCRIPTION SriOR YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - ------ ------- -------- ------------ ---------- 3,000,000.00 NATIONAL RURAL UTILS COOP FIN .000 6.222 A2 116.515 3,465,480.00 1.17 637432CU7 7.250% 03/01/2012 DD 03/07/02 A 3,495,450.00 .91 1,000,000.00 PHILIP MORRIS COS INC NTS .000 7.423 BAA2 101.031 1,052,600.00 .34 718154CH8 7.500% 04/01/2004 DD 04/01/97 BBB 1,010,310.00 .26 1,000,000.00 RESIDENTIAL ASSET 03-RS11 AIIB .000 1.472 AAA 99.875 1,000,000.00 .33 760985K83 VAR RT 12/25/2033 DD 12/30/03 AAA 998,750.00 .26 3,497,276.28 SBA GTD DEV PARTN 2001-20C 1 .000 5.034 AAA 108.670 3,497,276.28 1.28 03162CLJ0 6.340% 03/01/2021 AAA 3,800,490.13 .99 2,425,788.58 SBA GTD PARTN CTFS SBIC-PS O1 .000 6.250 AAA 106.245 2,425,788.58 .86 831641DD4 6.640% 02/10/2011 DD 02/21/01 NR 2,577,279.08 .67 1,600,000.00 UNITED AIRLS PASSTHRU 01-1 C .000 39.757 CA 17.182 1,600,000.00 .09 909317BC2 6.831% 03/01/2010 DD 08/22/01 A- 274,912.00 .o7 20,000,000.00 U S TREASURY NOTES .000 5.605 AAA 111.500 22,620,312.50 7.52 9128272J0 06.250% 02/15/2007 DD 02/15/97 AAA 22,300,000.00 5.78 3,435,480.00 US TREASURY INFLATION INDEX NT .000 3.277 AAA 110.625 3,746,156.05 1.28 9120273T7 3.625% 01/15/2008 DD O1/15/98 AAA 3,900,499.75 .99 14,665,170.00 US TREASURY INFLATION INDEX NT .000 3.430 AAA 112.969 16,296,705.73 5.58 9128274Y5 3.875% 01/15/2009 DD O1/15/99 AAA 16,567,095.90 4.30 57,100,000.00 U S TREASURY NOTES .000 5.353 AAA 107.406 62,782,901.47 20.69 9128276N7 05.750% 11/15/2005 DD 11/15/00 AAA 61,329,111.50 15.91 12,000,000.00 U S TREASURY NT .000 3.229 AAA 100.660 11,870,156.25 4.07 912828BG4 3.250% 08/15/2008 DD 08/15/03 AAA 12,079,200.00 3.13 3,000,000.00 VERIZON GLOBAL FDG CORP GLOBAL .000 6.365 A2 115.075 3,530,490.00 1.17 92344GAT3 7.375% 09/01/2012 DD 00/26/02 A+ 3,476,250.00 .90 1,750,000.00 VIRGINIA ELEC 6 PWR O1 SER A .000 5.371 A3 107.062 1,743,840.00 .63 927804EN0 5.750% 03/31/2006 DD 03/27/01 BBB+ 1,873,585.00 .49 16,347,940.00 US TREASURY INFLATION INDEX NT 5.817 3.114 AAA 108.375 14,422,710.98 5.97 9128272M3 3.375% 01/15/2007 DD 01/15/97 AAA 17,717,079.98 4.60 15,500,000.00 FEDERAL NATL MTG ASSN DEBS !,.967 6.705 AAA 106.261 16,154,410.00 5.55 31359MFH1 7.125% 02/15/2005 DD 02/14/00 AAA 16,470,476.70 4.27 YLDANAL YIELD ANALYSIS PAGE 15 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME = 13.46.28 PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY IO SECURITY DESCRIPTION BOOOX YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - ---- ------- ------- -------- ------------ ---------- 1,086,725.74 FHLMC MULTICLASS MTG SER E3 A 6.316 3.774 AAA 101.717 1,089,885.64 .37 3133TCE95 VAR RT 08/15/2032 DD 12/01/97 AAA 1,107,419.16 .29 725,638.94 GNMA GTD REMIC TR 2000-9 FH 6.320 1.643 AAA 100.681 725,638.94 .24 3837H4NX9 VAR RT 02/16/2030 AAA 730,580.54 .19 7,327.03 GNMA POOL #0500917 6.389 5.747 AAA 104.398 6,954.95 .00 36210SPAO 6.000% 04/15/2029 DD 04/01/99 AAA 7,649.31 .00 36,727.75 GN14A POOL 10506636 6.389 5.747 AAA 104.398 34,862.66 .01 36210YY90 6.000% 04/15/2029 DD 04/01/99 AAA 38,343.20 .01 317,562.14 GNMA POOL #0503386 6.389 5.747 AAA 104.398 301,435.94 .11 36210VF55 6.000% 03/15/2029 DD 03/01/99 AAA 331,529.92 .09 12,669.69 GNMA POOL #0499153 6.389 5.747 AAA 104.398 12,026.31 .00 36210QQE5 6.000% 02/15/2029 DD 02/01/99 AAA 13,226.96 .00 440,836.95 GNMA POOL #0496461 6.390 5.747 AAA 104.398 418,450.69 .15 36210MQN4 6.000% 01/15/2029 DD 01/01/99 AAA 460,226.90 .12 107,847.98 GNMA POOL #0491103 6 .390 5.747 AAA 104.399 102,371.34 .03 36210FRY4 6.000% 01/15/2029 DD 01/01/99 AAA 112,591.61 .03 12,287.36 GNMA POOL 40486720 6 .390 5.747 AAA 104.398 11,663.40 .00 36210AVM6 6.000% 12/15/2028 DD 12/01/98 AAA 12,827.81 .00 23,358.26 GNMA POOL #0497343 6 .390 5.747 AAA 104.398 22,172.10 .00 3621ONP45 6.000% 12/15/2020 DO 12/01/98 AAA 24,385.66 .01 16,366.70 GNMA POOL #0469688 6 .391 5.747 AAA 104.398 15,535.57 .00 36209EXR8 6.000% 11/15/2028 DD 11/01/98 AAA 17,086.58 .00 22,840.65 GNMA POOL f0467279 6 .391 5.747 AAA 104.398 21,680.78 .00 36209CCQ7 6.000% 10/15/2028 DD 10/01/98 AAA 23,845.28 .01 38,349.79 GNMA POOL 10457014 6 .391 5.747 AAA 104.398 36,402.33 .01 362080SB3 6.000% 10/15/2028 DD 10/01/98 AAA 40,036.58 .01 398,071.70 GNMA POOL #0467286 6.391 5.747 AAA 104.398 377,857.12 .14 36209CCX2 6.000% 10/15/2028 DD 10/01/98 AAA 415,580.64 .11 494,390.16 GNMA POOL #0465555 6.392 5.747 AAA 104.398 469,292.01 .17 36209AE48 6.000% 09/15/2028 DO 09/01/98 AAA 516,143.97 .13 YLDANAL YIELD ANALYSIS PAGE : 16 OCSF07522202 2003/12/31 RUN DATE : 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 13.46.28 PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BWK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- - ---- ------- ------- -------- ------------ ---------- 13,190.47 GNHA POOL 10493452 6.392 5.747 AAA 104.398 12,520.65 .00 36209WBV3 6.000% 09/15/2028 DD 09/01/98 AAA 13,770.64 .00 459,044.75 GNMA POOL 10465546 6.392 5.747 AAA 104.398 435,733.89 .16 36209AET3 6.000% 08/15/2028 DD 08/01/98 AAA 479,235.56 .12 320,888.06 GNMA POOL #0468339 6.392 5.747 AAA 104.398 304,592.98 .11 36209DHQO 6.000% 08/15/2028 DD 08/01/98 AAA 335,002.13 .09 29,383.16 GN14A POOL 10438057 6.391 5.747 AAA 104.398 27,891.06 .01 36207PTN9 6.000% 05/15/2028 DD 05/01/98 AAA 30,675.56 .01 18,872.20 GNMA POOL #0469330 6.393 5.747 AAA 104.398 17,913.83 .00 36209DHF4 6.000% 05/15/2028 DD 05/01/98 AAA 19,702.28 .01 3,017,014.63 FHLMC MULTICLASS CTF SER 1620Z 6.499 5.720 AAA 104.897 2,860,874.69 1.06 3133T17A4 6.000% 11/15/2023 DD 11/01/93 AAA 3,164,757.84 .82 330,106.28 GNMA II POOL i080088M 6.705 4.295 AAA 101.859 337,409.10 .11 36225CC20 7.375% 06/20/2027 DD 06/01/97 AAA 336,325.10 .09 2,000,000.00 MARSH 6 MCLENNAN COS INC SR NT 6.717 6.476 A2 102.296 1,992,280.00 .69 57174BABS 6.625% 06/15/2004 DD 06/14/99 AA- 2,045,920.00 .53 2,500,000.00 FORD NTR CR CO GLOBAL LANDMARK 6.739 6.533 A3 102.562 2,495,900.00 .86 345397SJ3 6.700% 07/16/2004 DD 07/16/99 BBB- 2,564,050.00 .67 2,500,000.00 COUNTRYWIDE HOME LNS INC NT 6.066 6.690 A3 102.390 2,498,400.00 .86 22237UABS 6.850% 06/15/2004 DD 06/24/99 A 2,559,750.00 .66 229,651.39 GNMA II POOL #0080023 6.992 4.504 AAA 102.682 233,454.99 .07 36225CAZ9 VAR RT 12/20/2026 DD 12/01/96 AAA 235,011.10 .06 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 7.113 5.800 AAA 114.226 2,030,133.00 .80 31359MEY5 6.625% 09/15/2009 DD 09/01/99 AAA 2,396,750.83 .62 1,000,000.00 FORD MOTOR CR CO NT -7.582 6.440 A3 104.812 965,170.00 .35 345397GV9 6.750% 05/15/2005 DD 05/24/93 BBB- 1,048,120.00 .27 945,920.02 WMP/HUNTOON PAIGE 1000-11150 7.604 7.319 AAA 102.471 925,375.83 .32 302998GE3 7.500% 12/01/2030 DD 10/21/99 AAA 969,290.77 .25 3,000,000.00 PACIFICORP SECD MTN 1TR 00115 -7.709 6.995 A3 104.359 2,950,530.00 1.05 69512EEU5 7.300% 10/22/2004 DD 10/22/92 A 3,130,770.00 .81 1 y v YLDANAL YIELD ANALYSIS PAGE 17 OCSF07522202 2003/12/31 RUN DATE 01/07/04 DISTRICT: LONG-TERM OPERATING RUN TIME 13.46.28 PAR VALUE YT'M AT CURRENT MOODY MARKET TOTAL COST/ 8 TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE 8 TOTAL ----------------- ----------------------------- ------- ------- ------- -------- ------------ ---------- 1,600,000.00 ALLSTATE CORP SR NT 7 .967 7.300 Al 107.875 1,594,032.00 .58 020002AL5 7.875% 05/01/2005 DD 05/01/00 A+ 1,726,000.00 .45 --- --- ------- ----------------- --------- TOTAL FIXED INCOME SECURITIES .375 5.222 291,995,092.47 100.00 296,391,934.93 76.91 -------- ------- ----------------- --------- TOTAL .359 4.986 381,162,069.51 100.00 385,559,711.97 100.00 ----------------- --------- Orange County Sanitation District Investment Transactions and Balances in the State of California Local Agency investment Fund December 31, 2003 Par Value Book Value Market Value Rate Yield Balance December 1,2003 $31,000,246 $31,000,246 $31,000,246 1.545 1.545 Deposits: 12/11/2003 9,700,000 9,700,000 9,700,000 1.545 1.545 12/18/2003 4,000,000 4,000,000 4,000,000 1.545 1.545 Total Deposits 13,700,000 13,700,000 13,700,000 1.545 1.545 Withdrawals: 12/3/2003 (500,000) (500,000) (500,000) 1.545 1.545 12/4/2003 (2,600,000) (2,600,000) (2,600,000) 1.545 1.545 12/10/2003 (2,000,000) (2,000,000) (2,000,000) 1.545 1.545 12/19/2003 (3,500,000) (3,500,000) (3,500,000) 1.545 1.545 12/23/2003 (2,000,000) (2,000,000) (2,000,000) 1.545 1.545 Total Withdrawls (10.600,000) (10,600,000) (10,600,000) 1.545 1.545 Balance December 31,2003 $34,100.249 $34,100,246 $34,100,249 1.545 1.545 FAHR COMMITTEE Meeting Date To Bd.of Dir. i 02/11/04 02/25/04 AGENDA REPORT Item Number Item Number FAHR04-07 14 e Orange County Sanitation District FROM: Gary G. Streed, Director of Finance Originator: Michael D. White, Controller SUBJECT: SWAP REPORT FOR THE QUARTER ENDED DECEMBER 31, 2003 GENERAL MANAGER'S RECOMMENDATION Receive and file Swap Report for the quarter ended December 31, 2003. SUMMARY In August 2003, the Committee approved an Interest Rate Exchange Agreement Policy that provides guidelines for the use of hedging products including swaps, caps, floors, collars, options, and other similar financial instruments (collectively, "hedging products") in connection with the financial exposure of the District, including interest rate exposure. As required by this policy, following are the quarterly monitoring and reporting requirements and status at December 31, 2003: Requirement Highlight all material changes to hedging product agreements including counterparty downgrades and/or terminations. Results: The District currently utilizes two hedging product agreements, the AIG Swap agreement and the Soc Gen Swap Agreement. The AIG Swap agreement was originally entered into in October 1, 1992 in order to convert the Refunding Certificates of Participation, 1992 Series (the "1992 Certificates") to a fixed rate obligation. There have been no material changes to the agreement. American International Group, Inc.'s current ratings are AAA and Aaa from Standard and Poor's and Moody's, respectively. The Soc Gen Swap Agreement was originally entered into in September 1, 1993 in order to convert the Refunding Certificates of Participation, 1993 Series (the "1993 Certificates) to a fixed rate obligation. There have been no material changes to the agreement. Soc Gen's current ratings are AA- and Aa3 from Standard and Poor's and Moody's, respectively. Requirement Summarize any new hedging products entered into by the District since the last report. Results: No new hedging products have been entered into by the District since the last report covering the period ended September 30, 2003. As stated above, the District utilizes only two hedging product agreements, the AIG Swap agreement entered into in 1992, and the Soc Gen Swap Agreement, entered into in 1993. Requirement Summarize any planned hedging product transactions and the impact of such transactions on the District; a description of each outstanding Hedging Product agreement, including a summary of its terms and conditions, the notional amount, volume, rates, maturity, the estimated market value of each agreement, the method of procurement (competitive or negotiated), and the full name, description and credit ratings of the agreement's counterparty and if necessary, its applicable guarantor. Results: The District currently is not planning any additional hedging product transactions at this time. Requirement List any amounts which were required to be paid and received, and any amounts which actually were paid and received under each outstanding hedging product over the last quarter; Results: Following are the amounts that were actually paid and received under the District's two swap agreements. All amounts required to be paid and received were actually paid and received. 1992 1993 Certificates Certificates AIG Swap Soc Gen Swap October Paid by the District to the Swap Provider _ $161,500.00 Paid by the Swap Provider on behalf of the District _ $ (34,815.07) August Paid by the District to the Swap Provider _ $161,500.00 Paid by the Swap Provider on behalf of the District _ $ (34,279.46) September Paid by the District to the Swap Provider _ $161,500.00 Paid by the Swap Provider on behalf of the District _ $ (37,454.18) Requirement List any credit enhancement, liquidity facility or reserves associated therewith including an accounting of all costs and expenses incurred, whether or not in conjunction with the procurement of credit enhancement or liquidity facilities under each outstanding Hedging Product. Results: Credit Enhancements, liquidity facility or reserves associated with the 1992 Certificates AIG Swap: -Lloyds Bank Letter of Credit cost for the quarter ended October 31, 2003: $72,485.42 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 14(e).SWAP Report.doc Revised: 06/04/03 Page 2 Credit Enhancements, liquidity facility or reserves associated with the 1993 Certificates Soc Gen Swap: -Soc Gen Irrevocable Letter of Credit: No costs or expenses incurred during the quarter ended December 31, 2003. Credit Enhancements, liquidity facility or reserves associated with the 2000 Certificates: -Dexia Public Finance Bank Standby Certificate Purchase Agreement Commitment Fee for the quarter ended October 31, 2003: $73,766.34 Requirement An assessment of the counterparty risk, termination risk, and other risks associated therewith, which shall include the value of the collateral posted by counterparties and the District, the aggregate marked-to-market value for each counterparty and relative exposure compared to other counterparties, and a calculation of the District's Value at Risk for each counterparty. Results: The counter party risk and termination risk has been calculated by Public Resources Advisory Group (PRAG). PRAG used the value at risk methodology in determining the county parry risk at maximum exposure over the term of the Swap Agreements. Counterparty exposure limits are important because they create diversification, so if any one counterparty goes bankrupt, the District's total loss would be limited to only one counterparty. The termination risk is what the District would have to pay the counterparty upon a termination of the Swap Agreement. 1992 1993 Certificates Certificates AIG Swap Soc Gen Swap Counterparty Risk $ 8,360,178 $6,621,880 Termination Risk $14,169,481 $2,968,809 Requirement The report shall also include a copy of this Policy in the quarter after it is adopted or subsequently modified. Results: No modifications have been made to the Policy since its adoption. PRIOR COMMITTEE/BOARD ACTIONS N/A PROJECT/CONTRACT COST SUMMARY N/A H:ldept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(e).SWAP Report.doc Revised: 06/04/03 Page 3 BUDGETIMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) ADDITIONAL INFORMATION N/A ATTACHMENTS None. H:\deptlagenda\Board Agenda Reports\2004 Board Agenda Reports\020411tem 14(o).SWAP RepoA.doc Revised: 06/04/03 Page 4 i Meeting Date To M.of Dir. FAHR COMMITTEE oz/11�o4 oz/zs�o4 AGENDA REPORT Item Number Item Number FAHR04-08 14 Orange County Sanitation District FROM: Lisa Tomko, Director of Human Resources Originator: Jeff Reed. Human Resources Manager SUBJECT: CHANGES AND ADDITIONS TO HUMAN RESOURCES POLICIES AND PROCEDURES AS AUTHORIZED BY RESOLUTION 98-33. GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 04-05, amending Resolution No. OCSD 98-33, amending Human Resources Policies and Procedures Manual. SUMMARY The attached policies are routine updates or additions to maintain consistent language with the Memorandums of Understanding (MOU) and/or new legislation or to explain procedures more clearly. PRIOR COMMITTEE/BOARD ACTIONS Human Resources Policies and Procedures Manual revisions were presented at the October 2003 FAHR and Board of Directors meetings. PROJECT/CONTRACT COST SUMMARY None BUDGETIMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) ADDITIONAL INFORMATION Policy Number and Subject From To Reason for Change 13150.00 Recruitment Current Language. Revised Language. MOU changes. C10.10 Classification and Compensation Current Language. Revised Language. MOU changes. C20.10 Equity Adjustments Current Language. Revised Language. MOU changes. C40.00 Extraordinary Services Current Language. Revised Language. MOU changes. Compensation for Exempt Employees in the Professional Group H:,dept,agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\ltem 14lq.HR Policies.doc Revised: 2/18/2004 Page 1 Policy Number From To Reason for Change , and Subject • C170.00 California Wastewater Current Language. Revised Language. MOU changes. Treatment Plant Operator's Grade V Certificate Pa C190.00 Variable Non Base Pay Current Language. Revised Language. MOU changes. D10.00 Leave-of-Absence With Pay Current Language. Revised Language. MOU changes. D30.00 Holidays Current Language. Revised Language. MOU changes. D50.00 Insurance Current Language. Revised Language. MOU changes and surviving benefit addition. D110.00 Catastrophic Illness Leave Current Language. Revised Language. Surviving benefit addition. Donation Program F50.00 Problem Solving Procedure Current Language. Revised Language. MOU changes. F60.00 Grievance Procedure Current Language. Revised Language. MOU changes. F70.00 Discipline Current Language. Revised Language. MOU changes. ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1. Resolution No. OCSD 04-XX 2. Policy B150.00, Recruitment 3. Policy C10.10, Classification and Compensation 4. Policy C20.10, Equity Adjustments 5. Policy C40.00, Extraordinary Services Compensation for Exempt Employees in the Professional Group 6. Policy C170.00, California Wastewater Treatment Plant Operator's Grade V Certificate Pay 7. Policy C190.00, Variable Non Base Pay 8. Policy D10.00, Leave-of-Absence With Pay 9. Policy D30.00, Holidays 10. Policy D50.00, Insurance 11. Policy D110.00, Catastrophic Illness Leave Donation Program 12. Policy F50.00, Problem Solving Procedure 13. Policy F60.00, Grievance Procedure 14. Policy F70.00, Discipline H:\dept\agenda\Board Agenda ReponM2004 Board Agenda Repons\0204\Item 14(f).HR Policies.doc Revised: 211&2004 Page 2 . RESOLUTION NO. OCSD 04-05 a AMENDING RESOLUTION NO. OCSD 98-33 A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT AMENDING THE HUMAN RESOURCES POLICIES AND PROCEDURES The Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: That Exhibit"A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. B150.00, Recruitment, set forth in Attachment No. 1, attached hereto and incorporated herein by reference. Section 2: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. C10.10, Classification and Compensation, set forth in Attachment No. 2, attached hereto and incorporated herein by reference. Section 3: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.C20.10, Equity Adjustments, set forth in Attachment No. 3, attached hereto and incorporated herein by reference. Section 4: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.C40.00, Extraordinary Services Compensation for Exempt Employees in the Professional Group, set fourth in Attachment No. 4, attached hereto and incorporated herein by reference. Section 5: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.C170.00, California Wastewater Treatment Plant Operator's Grade V Certificate Pay, set fourth in Attachment No. 5, attached hereto and incorporated herein by reference. Section 6: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.C190.00, Variable Non Base Pay, set fourth in Attachment No. 6, attached hereto and incorporated herein by reference. Section 7: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.D10.00, Leave-of-Absence With Pay, set fourth in Attachment No. 7, attached hereto and incorporated herein by reference. Section 8: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.D30.00, Holidays, set fourth in Attachment No. 8, attached hereto and incorporated herein by reference. Section 9: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.D50.00, Insurance, set fourth in Attachment No. 9, attached hereto and incorporated herein by reference. Section 10: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.D110.00, Catastrophic Illness Leave Donation Program, set fourth in Attachment No. 10, attached hereto and incorporated herein by reference. H:Wept\agenda\Board Agenda Repons\2004 Board Agenda Roports\0204V1em 14 ftHR Policies.doc Revised: 2J1 MW4 Page 3 r Section 11: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.F50.00, Problem Solving Procedure, set fourth in Attachment No. 11, attached hereto and incorporated herein by reference. Section 12: That Exhibit"A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.F60.00, Grievance Procedure, set fourth in Attachment No. 12, attached hereto and incorporated herein by reference. Section 13: That Exhibit r'Ar' of Resolution No. OCSD 98-33 is hereby amended by amending Policy No.F70.00, Discipline, set fourth in Attachment No. 13, attached hereto and incorporated herein by reference. Section 14: That all other terms and conditions of Resolution No. OCSD 98-33, as previously recommended, shall remain in full force and effect. Section 15: That all future amendments to Resolution No. OCSD 98-33 be made by Resolution. PASSED AND ADOPTED at a regular meeting held February 25, 2004. Chair ATTEST: Board Secretary H:ldept\agenda\Board Agenda Reports\2004 Board Agenda Reponst0204Utem 14(f).HR Policies.doc Revised: 2/1=004 Page 4 Orange County Policy Number: B150.00 Sanitation District Effective Date: Gatallater 22, 2003 February25, 2004 Subject: Recruitment Supersedes: FebFUaFy 26,2-003 Octobe>�22,,2�03 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for toe Orange Cnurity Santtati6 District's {.00SD';} recruitment activities. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District OCSD departments, divisions, sections and employees. 3.0 DEFINITIONS 3.1 Recruitment is the process of attracting qualified individuals to apply for jobs that are open within the organization, whether internal or external. 3.2 Internal recruitment means considering only present employees as applicants for job openings within the organization. 3.3 Open recruitment means attracting applicants from outside the organization, as well as internally to apply for job openings within the organization. 3.4 Probationary Period- Initial as defined in applicable MOU provisions, includes at least the first 6 months or 26 weeks of employment with the District OC.SD beginning with the date of hire. This period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and 9i9trist-0CSD management to assess, over a substantial period of time, whether or not the hiring decision was appropriate. 3.5 Probationary Period- Promotional as defined in applicable MOU provisions, includes at least the first 6 months or 120 days of employment with the District dCSD, beginning with the effective date of promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and District 601SD management to assess, over a substantial period of time, whether or not the decision was appropriate. "At-will"employees do not serve a promotional probationary period. 3.6 Probed hkV Period-Reassignment or Lateral"Transfer as�lefined m-pp :MOU provisions,includes at least the first26 weeks flfgemployment with OCSd,beginning with the effect♦ve date of;the"reass�gnme►tt ar lateral t7rgnsfer :This=penod prQrrfdes'an opportun ity for b'h"the employee and aCSt3 rnanagernent to assess,oVeta,e substantial , , csipop mth oced v rWasappropriate. 3.7 Relative is any person related by one of the following familial relationships to any employee at the agency: spouse, mother, father, brother, sister, child, grandmother, grandfather, grandchild, cousin, aunt, uncle, mother-in-law,father-in-law, brother-in-law or sister-in-law H:Weptlagenda\Board Agenda Reports12004 Board Agenda Reports\0204Vtem 14(Q.HR Policies.doc Revised: 2/1 W004 Page 5 4.0 POLICY 0 4.1 It is taae-Bistist's OCSD's policy to provide nondiscriminatory, lawful and consistent guidelines and procedures to its agency recruitment processes, whether internal or open. 5.0 PROCEDURE 5.1 PERSONNEL REQUISITIONS 5.1.1 A personnel requisition is the first step for the hiring manager/supervisor to communicate staffing needs to Human Resources; however, if the recruitment requires testing (hands-on, written, essay, etc.) as part of the interview process, the testing methods must be reviewed for validity and reliability by Human Resources prior to the initiation of a personnel requisition. 5.1.2 The hiring supervisor completes the personnel requisition and receives the appropriate signatures required before sending it to Human Resources. 5.1.3 Human Resources reviews the requisition to make sure the qualifications are appropriate for the position. If changes are necessary, Human Resources will work with the appropriate manager/supervisor. 5.2 EMPLOYMENT OPPORTUNITY BULLETINS/POSTINGS 5.2.1 The recruiter prepares the employment opportunity bulletin, also known as a posting. Each posting will include the following information: • Wage range • Department • Brief job description • Required qualifications • Desired qualifications • Posting/closing dates • Procedure for applying • Brief benefits overview 5.2.2 The recruiter provides the draft posting to the hiring manager for approval. 5.2.3 Upon approval, all job postings (except Intern positions) are advertised as internal recruitments for ten business days unless authorized by the HR Director and extenuating circumstances apply. If there are at least two internal applicants and they meet the minimum qualifications for the position,those applicants will be interviewed. If an internal applicant is not selected or if there are no internal applicants,the position shall be advertised as an external recruitment. 5.2.4 Department representatives are provided with postings for communication within their designated departments. 5.2.5 Bulletin boards at Plant No. 1 where Employment Opportunity Bulletins will be regularly posted are located in the Control Center, and Warehouse, outside the Human Resources Office and in the Administration Building lunchroom. 5.2.6 Internal Job Announcement Notifications are sent via e-mail to all Bist,x OCSD employees for internal and external recruitments. 5.2.7 Employment Opportunity bulletin boards at Plant No. 2 are located in the Operations Center, Maintenance Office, Maintenance lunchroom and Warehouse. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\1tem 14(t).HR Policies.doc Revised: 2/1t372004 Page 6 • 5.2.8 Employment Opportunity Bulletins may also be found in other convenient areas throughout both plants. 5.3 ADVERTISING 5.3.1 Advertising for positions at the 9is#ist OCSD ensures positions are filled with the best-qualified candidate for the job. 5.3.2 All positions are advertised on the Internet.Technical and hard-to-fill positions are advertised on trade specific websites. 5.3.3 Trade magazines and other forms of advertising may be used for hard-to-fill or specialized positions. 5.4 APPLICANT SCREENING 5.4.1 Resumes or applications that are received are reviewed and selected for further consideration only 9 they meet the minimum job requirements. 5.4.2 The recruiter forwards copies of the resumes or applications of qualified applicants to the hiring supervisor for review. Originals remain in HR in the Recruiting files. 5.4.3 All materials(e.g.,applications,resumes,interviewer notes,interview packets,packets,etc.) submitted by applicants/candidates during the interview process are confidential and are considered 8istrist OCSD property and must be returned to Human Resources upon completion of the hiring process. 5.5 INTERVIEW PROCESS 5.5.1 The interview panel members are selected along with the interview date(s). Applicants are scheduled, interview questions are prepared, and the interview panel conducts the actual interview. 5.5.2 The recruiter and the hiring supervisor work together to select the interview panel. However, the recruiter makes the final decision to ensure consistency. The ideal interview panel will include the hiring supervisor, one employee within the department, two individuals outside the department, and the recruiter, or another member of the Human Resources Department. Normally, subordinates within the hiring department are not included in the interview panel. 5.5.3 The recruiter and the hiring manager work together to establish a set of questions for the candidates. 5.5.4 The recruiter prepares interview packets and distributes them to the interview panel. Packets include: • An overview of the interview process • A copy of the interview schedule • A copy of the employment bulletin opportunity/posting • Copies of candidate applications • Interview questions and evaluation forms for each candidate Wdepllagenda\Board Agenda RepoAs\2004 Board Agenda Reporls\=Mltem 14(1).HR Policies.doc Revised: 2tl&2004 Page 7 5.5.5 The interview panel will meet at least one half hour before the interview. The panel will finalize the interview questions that are recommended by the hiring supervisor and the recruiter. The panel may add or delete questions. The panel will gain an understanding from the hiring supervisor about the criteria with which to select the ideal candidate, and adopt the appropriate criteria. 5.5.6 The recruiter facilitates the interview process. When interviews are completed, the interview panel members evaluate each candidate interviewed. The top three candidates are identified and ranked in order of preference based on the criteria established prior to the interview. The recruiter collects the documentation at the end of the interview process. 5.5.7 The final candidate is selected from the top three candidates when a majority decision is reached. If a majority decision cannot be reached,the General Manager or designee will make the final determination based on the input of the hiring supervisor,the panel,and the HR representative. If a majority decision is reached,and the hiring supervisor does not agree with the final decision,he or she may appeal for a final decision from the General Manager or designee. 5.6 RECRUITMENT APPEALS PROCESS 5.6.1 Employees should bring recruitment process and decision-making issues to the attention of the Human Resources Manager as soon as possible. The manager will review the issue and provide a written response within five business days from the issue notification date. 5.6.2 If the issue is not resolved to the employee's satisfaction, the employee may file a written statement concerning the problem to the Director of Human Resources within ten business days of receipt of the manager's decision. Upon request by either party, a meeting may be held to discuss the issue and establish remedies. 5.6.3 The employee will be provided a written response from the Director of Human Resources within ten business days after their statement is received. The decision of Human Resources is final (see policy F50,00, Problem Solving Procedure and F60.00, Grievance Procedure). 5.6.4 Time limits may be extended for cause upon mutual consent of the parties. 5.7 EMPLOYMENT OFFERS 5.7.1 The recruiter and hiring supervisor determine an appropriate starting salary for all candidates,except those designated as"at-will"employees,based on a Salary Offer Analysis. This analysis will include the applicant's: • Qualifications • Years of experience • Educational background • Salary history • Parity within the department 5.7.2 The HR Compensation Analyst reviews the recommended salary,and approves or makes additional recommendations.All salary offers that are either at or beyond the midpoint step 4 of the range will require the approval of the Human Resources Director(or designee). Under no circumstances should panel members(excluding the HR representative)or any other Bis#fst OCSD employee discuss salary offers with candidates or make promises of any kind. HR staff are the only employees authorized to engage in salary discussions with job candidates. 5.7.3 The recruiter completes a status change form for the candidate and initiates the background investigation. Background investigation results are provided to the candidate by the-District's OpSD.'s background screening firm. 5.7.4 When the status change form is approved and the backgroundinvestigation is clear, the recruiter makes a verbal employment offer to the candidate,which is contingent upon results of a pre-employment physical and drug screening. Upon acceptance of the employment offer, the recruiter sends regret letters to H:Wept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204U1em 14(f).HR Policies.doc Revised: 2l1&2004 Page 8 unsuccessful candidates. Internal candidates are contacted personally prior to receiving regret letters. 5.7.5 The recruiter schedules the pre-employment physical for the candidate, works with the supervisor to establish a potential start date and prepares a formal offer letter for the candidate. 5.7.6 When the Safety Manager(or designee) has cleared the pre-employment physical results,the recruiter will contact the applicant to confirm the employment offer. 5.7.7 The recruiter coordinates the candidate's start date. 6.0 EXCEPTIONS 6.1 EMPLOYMENT OF FORMER EMPLOYEES 6.1.1 Employment of former employees for full-time equivalent or part-time positions shall be subject to and conducted in accordance with this policy. 6.1.2 Employment of a former employee is subject to the approval of the General Manager and the Director of Human Resources. 6.1.3 In all cases, approval of the General Manager and the Director of Human Resources shall be received prior to an offer of employment to a former employee. 6.1.4 The General Manager may, with the written approval of the Board Chair, employ on a part-time or as-needed basis, a former employee retired from thA District LSD;when the individual possesses knowledge and expertise of unique and particular benefit to thA D+strist OCSD and when the services are required.The length of service performed in any one year shall be limited in accordance with the provisions prescribed by the Orange County Employees' Retirement System (currently 120-day maximum). 6.1.5 Part-time or as-needed service shall be compensated at the same current hourly rate of the retired employee's position classification, or if no such classification exists, at a rate not to exceed that paid for the most comparable classification. The retired employee shall not be entitled to receive any benefits otherwise payable to Dis#rir-At OCSD employees. In the event any employment under this provision involves work assignments outside of Orange County,the current expense reimbursement policy established for regular employees will apply. 6.1.6 If any former employee commences doing business wherein the employee, his/her spouse, or members of his/her immediate family are sole proprietors, or majority or controlling shareholders or owners of a corporation, partnership or other business entity, such business shall not be retained as an independent contractor or consultant to provide service directly to the D',strint OCSD for a period of one year after leaving D+striat's OCSD's employment. Thereafter, said business entity shall be allowed to contract with the-D+stFist OCSD upon compliance with all resolutions and regulations of the Di6trist OCSD,then in effect, relating to the procurement of services. 6.1.7 If any former employee becomes employed by any firm or business entity in which the former employee, his/her spouse or members of his/her immediate family own less than the majority or controlling interest in said entity, said entity shall not be prohibited from contracting with the District OCSD. However, the former employee shall not perform work on District-OCSD projects for a period of one year after leaving District-OCSi?employment; nor shall such former employee contact District OCSD officers or employees for the purpose of H:\dopt\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(1).HR Policies.doc Revised: 211WO04 Page 9 attempting to influence any District C)CSD decision, including but not limited to, the award of contract, issuance of permits, or compromise of administrative civil penalties, for a like period of one year. Said services shall be obtained only in accordance with all rules and procedures of the-Bistrist Ob8b relating to procurement. 6.1.8 Any Distrint 668D employee who receives an offer of employment or a request to discuss potential employment from any person or business entity performing services for the DistFist OGSO shall report such contact to his or her immediate supervisor, who shall decide whether any change in assignment is necessary or appropriate while the offer or discussions are pending. 6.1.9 The prohibitions of this policy may be waived by the Finance, Administration and Human Resources Committee of the Boards of Directors if, on a case-by-case basis, it is determined to be in the best interests of the-District CSD to do so. 6.2 EMPLOYMENT OF RELATIVES 6.2.1 Except as otherwise provided by law, no employee, prospective employee or applicant shall be denied employment or benefits of employment solely on the basis of his or her familial relationship with an employee of the agency or a member of the Board of Directors. 6.2.2 ThR BisWst 408D will make reasonable efforts to assign job duties to eliminate any potential for an adverse impact on supervision, safety, security or morale, or potential conflicts of interest. 6.3 LATERAL TRANSFERS 6.3.1 Employees may request a lateral transfer to a vacant position in the same classification in another department providing they have demonstrated at least six months of continuous competent or above performance in their current position, and the transfer is of benefit to the-District UCSD. 6.3.2 Employees who wish to be considered for a lateral transfer should notify Human Resources in writing of their intent. In the event a transfer is approved and accepted by the employee, the department from which the employee is transferring may determine the effective date based upon operational requirements and a reasonable period of time to acquire a suitable replacement. 6.3.3 Lateral transfers do not normally involve increased levels of duties and responsibilities, or otherwise qualify as promotions, and therefore do not involve salary adjustments. 6.3.4 In the event an adjustment appears warranted based on extenuating circumstances, the adjustment must have written approval from the department head prior to being extended to the employee. 7.0 PROVISIONS AND CONDITIONS 7.1 The interview process for Intern positions shall be an abbreviated version of the process outlined in section 5.5 and will be administered by the appropriate division manager/supervisor and a Human Resources representative. 7.2 The DistF+st's OCSD's Board of Directors must approve unbudgeted positions for new hires or promotions before any internal or open recruitment effort is initiated. 7.3 Hiring an individual into a budgeted position requires the approval of the Department Head and General Manager. Wdepbagenda\Board Agenda Reports12004 Board Agenda Reports\0204\1tem 14(0.HR Poficies.doc Revised: 2/18/2004 Page 10 7.4 Promoting an individual into a budgeted position requires the approval of the Division Manager, Department Head or General Manager. 7.5 Tie-Distron (3GSD'retains the right to refuse to place a relative under the direct supervision of ah. Distrint OCS0 employee where such has a potential for creating an adverse impact on supervision, safety, security or morale. ..................... 7.6 Ths B+s�ist OCSD retains the right to refuse to place relatives in the same department, division, or facility where such has a potential for creating an adverse impact on supervision, safety, security or morale, or involves potential conflicts of interest. 7.7 INITIAL PROBATIONARY PERIOD ................... 7.7.1 All persons hired by the DistFist UCSD, except those designated as"at-will" employees, are considered to be probationary employees for a period of at least the first 26 weeks or 6 months of employment, depending upon the applicable MOU provisions, beginning with their date of hire.This probationary period is regarded as an extension of the hiring process, and provides an opportunity for both the employee and District's OCSD's management to assess, over a substantial period of time, whether or not the hiring decision was appropriate and resulted in a relationship that adequately meets the needs of both the individual and the-District OCSD. 7.7.2 The probationary period may be extended by mutual agreement between the Dis#iet OCSD and the employee, prior to the expiration of the probationary period. An employee's probationary period may be extended when there is a need to further assess the individual's abilities to satisfactorily perform the duties required for their job classification. Probationary employees may be released by the-D rWnt OCSD at any time during the probationary period (including any extension) without cause or reason. 7.7.3 A probationary employee's work performance is closely monitored during this period to ensure that the employee understands the duties, responsibilities and management expectations of the position, and to allow an opportunity for the supervisor or manager to provide proper direction and guidance. Employees who do not demonstrate the potential for meeting performance expectations for their position within a reasonable period of time may be released prior to the completion of the Probationary Period. Probationary employees shall serve at the will of the-Di6#ist OCSD during this period. In the event of release of a probationary employee, the employee shall not be entitled to receive any severance pay. 7.8 PROMOTIONAL PROBATIONARY PERIOD 7.8.1 All promoted employees, except those designated as"at-will" employees, shall serve a promotional probationary period lasting at least 120 days or 6-months, depending upon the applicable MOU provisions, beginning with the effective date of promotion. This period is regarded as an extension of the selection process, and provides an opportunity for both the employee and the Distrint OCSD management to assess, over a substantial period of time, whether or not the decision was appropriate. 7.9 REFERENCE CHECKS 7.9.1 Employment with the-Distrirt OCSD is contingent upon a pre-employment screening process which includes a physical examination, drug/alcohol test and background investigation. Candidates must also be able to provide documentation authorizing their legal right to work in the United States as per the Immigration Reform and Control Act of 1986. Wdept4igenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 14(1).HR Poficies.doc Revised: 2/182004 Page 11 7.9.2 The-PirWnt(JCSD may verify information contained in the job application of a prospective employee with the prospective employee's authorization. 7.9.3 Inquiries to Bis#�t 0$I);employees regarding reference or employment verification checks of former or present employees, shall be discussed with or referred to Human Resources prior to any response. 8.0 RELATED DOCUMENTS 8.1 501, OCEA and SPMT memorandums of understanding (MOUs) 8.2 Human Resources Intern Program guidelines 8.3 Policy F50.00, Problem Solving Procedure 8.4 Policy F60.00, Grievance Procedure H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\02044tem 14(o.HR Poficies.doc Revised: V1812004 Page 12 Orange County Policy Number: C10.10 Sanitation District Effective Date: AEI-25, 2001 February 25,`2004 Subject: CLASSIFICATION AND Supersedes: . COMPENSATION Apnl 25 2001` Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish and maintain uniform guidelines and procedures for use in the administration of the Orange County;Sanitation District's (OCSD's) classification and compensation programs. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Distfist OCSD employees,as specified herein. 3.0 DEFINITIONS Classifications are groups of positions, regardless of location, which are alike enough in duties and responsibilities to be called by the same descriptive title, to be given the same pay scale under similar conditions, and to require substantially the same qualifications. Salary Ranges are the range of pay rates, from minimum to maximum, set for a pay grade or class. Salary Grade is an organizational unit into which classifications of the same or similar value are grouped for compensation purposes. All classifications in a grade have the same salary range. Comparative Market are those agencies that Executive Management considers most comparable to thA District OCSD in terms of function, population served, employee population, technology and equipment. Budgeted Positions are those positions that have been formally approved during the annual budget process. and leRgthef time WGFked dUFiRgthepeFfe-.rm...aa.n.r-,e- re-view peried when tiFneWgFked Is less than the review perind Y-Rating is the process of freezing the salary of an employee who has been reclassified to a lower paid classification until the salary range exceeds the employee's salary. 4.0 POLICY 4.1 It is the policy of the DistroC.t OCSD to apply uniform classification and compensation standards. The DistFict OCSD's Classification and Compensation Program provides for the establishment of a wage and benefit structure through the Meet and Confer process that allows Distfist OCSD management and DlStF;Gt OCSD employees to effectively compete in the labor market and to retain present employees through an internally H:\dep1\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204UEem 14(f).HR Policies.doc Revised: 2/10/2004 Page 13 consistent measure of relative job worth and personal merit. Every position is assigned to a salary grade based upon the duties and responsibilities of that position and the comparative market value of that job function. Comparisons are most generally made with organizations of similar size and engaged in similar occupational pursuits within the geographic area of potential recruitment. The salary ranges are set forth on Exhibit A. 4.2 The General Manager is authorized to employ and assign persons as needed to occupy budgeted positions and to exercise supervision over all persons in accordance with the provisions of this policy and to terminate, for cause,the employment of any regular full time employee employed under these provisions. All other employees, e.g., probationary, part-time, and limited term/temporary and contract may be terminated at t#ae Bis#iss OCSD's sole discretion. 4.3 The General Manager is also authorized to employ Executive Management employees on an "at-will" basis. Conditions of"at-will"employment are set forth in District OCSp Policy No. C180.00. 4.4 Non-management employees are awarded merit increases based upon their performance as determined by the performance evaluation program. The specific evaluation process and tools used to determine the actual amount of merit increase are set forth in various Memoranda of Understanding (Supervisory, Professional, OCEA, 501 bargaining units) or other written procedures (Confidential bargaining unit). In addition, (GOLA) to keep empleyeers' 6a!arie6 at market . the salary structure will be reviewed on an annual basis and active employees will have their pay rates adjusted according to the salary structure percentage adjustment. 4.5 Employees who believe their position is not properly classified may request a classification study of their position through their direct supervisor. In addition, the Distrint QCSD may conduct a classification study on its own initiative. 4.5.1 Classification studies can be requested by employees twice during the year, during the annual budget planning process and in November. Those reclassifications approved in the budget may be made effective any time during the new fiscal year. Classification study requests must be submitted to Human Resources no later than Nevembef October 151 for the November cycle. 4.5.2 Classification studies may be conducted by the District OC$D to establish and determine job classifications as needed. 4.5.3 Classification studies may result in: 4.5.3.1 Employees being reclassified to either a lower or higher level classification. 4.5.3.2 Employees being reclassified to a newly created classification. 4.5.3.3 Employees remaining in the current classification. 4.5.4 All classification study findings regarding existing classifications are subject to approval by the General Manager;findings recommending the establishment of new job classifications are subject to approval by the-Distract'-s OCSD's Board of Directors. 4.6 The DistriGt shall PFGV*de aR invest.m.e.nt inrVentive salary to the employees within the 5.0 PROCEDURE H:\doptlagenda\Board Agenda Reports\2004 Board Agenda Reports\0204\I1em 14(f).HR Policies.doc Revised: 2/18/2004 Page 14 5.1 New Employees. Employees shall be offered a salary at or near the minimum of the range unless their level of training, educational background, expertise, and/or prior earnings indicates a need for a salary greater than the minimum. The determination of an appropriate salary should also consider the relationship of the employee's proposed salary to that of other employees in the same classification and to employees supervised, if applicable. 5.1.1 Exempt and non-exempt employees shall be compensated within the salary range authorized for the classification in which they are employed and, in the case of non-exempt employees, in accordance with FLSA provisions. 5.2 Probation. Employees serve a Probationary Period of six months and receive a comprehensive performance evaluation at the end of that period. 5.—2.1 Employees hired before july 1 aF9 eligible fQF a PFGFated salary aGljustmen .: Employees hired At the range minim dii-(step 1)will receive a step increase.upon,successfully completing their stx.mon#hs prabatianary.ped aeqwstm9Rt Will be the pFebati9R GGFAple:tiGR date. 5.2.3 July. 5.3 Reviews. An annual performance review is completed for all employees in accordance with the provisions of the performance evaluation program which is in force at the time. 5.3.1 first pay peried in jully. Employees in the'501 and OCEA bargaining units who were-hired either on or before November 29,,2002 are eligible for a step increase on the first day of the first pay period in July. Employees hired after November 29,:2002 are eligible for a step increase according to the schedule in the applicable MOU. Employees in'the bargaining units of SPMT who were hired either on orbefore July 12,2002 are eligible for a step increase on the first day of the first pay period in July. Employees hired after July 12,2002 are eligible for step increase according to the schedule in the applicable MOU. 5.3.3 prorated salary aeqU6itment based oR the aGtual numbei:of days worked during than six mORths dUFiRg the review GyGle well Rot be eligible feF aRY peFferMaRGe 5.4 Promotional Increases. Employees who earn promotions to a higher pay range will normally receive an increase of at least 5.5 perseRt one'step or a salary increase to the bottom of the new pay range. H:\deptlagenda\Board Agenda Reports\2004 Board Agenda Reports\020411tem 14(f).HR Poficies.doc Revised: 2/1=W4 Page 15 5.4.1 Employees are not entitled to a probationary salary adjustment at the conclusion ` of the Promotional Probationary Period If the employee's probation period has not concluded as ofy-1 fFs effctEve date of their step''increase, the annual performance based salary adjustment is deferred until such time as probation is successfully concluded. 5.5 Y-Rating. 5.5.1 If the duties and responsibilities of a position are allocated to a lower paid classification as a result of a classification study, the salary of the employee in that position shall remain unchanged (Y-rated) according to the following table: Years of Service Term of Y-rate 0-3 years One year 4-5 years Two years 6-10 years Three years 11 -20 years Four years 20 or more years Five years 5.5.2 The Y-rate remains in effect until the salary range for the new classification equals or exceeds the employee's Y-rated salary, or until the term of the Y-rate expires. 5.5.2.1 If the Y-rate expires before the employee's salary falls within the range of the new classification, the employee shall be placed at the maximum of the new range nearest but not more than the Y-rated salary. 5.5.2.2 Employees become eligible for merit increases and G9LA salary structure range,adjustment increases when the Y-rate is no longer in effect. 5.5.2.3 An employee who requests a voluntary reduction is not entitled to a Y-rate. 5.6 Z-Rating: 5.6.1 Employees allocated to classifications with a lower range maximum than their current salary as a result of OCSD's Classification Study results implemented effective July 12,2002 will have their salary remain unchanged until such time thatthe range maximum of their salary range exceeds or equals their current salary. 6.0 EXCEPTIONS 6.1 Sections 5.1, 5.2, 5.3, 5.4, 5.5 and 5.6 do not apply to at-will Executive Management Employees. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Exhibit A 8.2 Fair Labor Standards Act 8.3 Former Policy C10.00 and C20.00. 8.4 At-will Policy C180.00. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 14(f).HR Policies.doc Revised: 2/18/2004 Page 16 Orange County Policy Number: C20.10 Sanitation District Effective Date: 1999 july 1, ` Its `2004 Subject: Equity Adjustments Supersedes: N/A July 1, 19g9 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the distribution and administration of equity adjustments. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All full-time regular employees. 3.0 DEFINITIONS 3.1 Inequity—Unusual salary disparity either between an employee and the market or between two or more employees. 3.2 Peers— Employees in the same or comparable classifications performing similar or comparable job duties and responsibilities. The classifications have the same or comparable requirements for education, experience, knowledge, skills and abilities. 3.3 Competencies—The education, experience, responsibilities, knowledge, skills and abilities an employee possesses. The acquisition of new or different competencies that support the operational unit tend to broaden the scope of the job. 3.4 Market—Ter►Thirteen comparable California util agencres. 3.5 Market Rate—The average salary at the 7e percentile being paid in the market for a given job. rateG. The Orange County Sanitation,District(OCSD)contracts with an independent consulting firm to'conduct a,market'survey every year. 4.0 POLICY 4.1 It is Orange County Sanitation District(OCSD) policy to correct pay inequities, in accordance with this policy, that can not be remedied with the annual merit review program. 4.2 All Pis#r Gt OCSD employees may be eligible for equity adjustments. 5.0 EQUITY ADJUSTMENT CATEGORIES 5.1 External Equity Adjustment—An equity adjustment may be made to an employee's salary so that the salary corresponds to rates prevailing in the external market for an employee's job. This adjustment may be made to bring an employee's salary closer to the market rate for his or her position. 5.2 Internal Equity Adjustment—An adjustment may be made to an employee's salary so that the salary corresponds to the job's relative value to the organization. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Vtem 14(f).HR Policies.doc Revised: 2/1W004 Page 17 5.2.1 Relationship to Subordinates—An equity adjustment may be made to correct an inequity that exists between a supervisor and his or her subordinate(s). 5.2.2 Relationship to Peers—An equity adjustment may be made to correct an inequity that exists between an employee and his or her peer(s). The adjustment would be required to create or reduce differential between employees with significant differences in contribution levels. 5.2.3 Individual Equity Adjustment—An adjustment may be made to an employee's salary so that the salary corresponds to the employee's competency level. The adjustment may be made when an employee's level of contribution increases significantly as the result of an increase in responsibilities. 6.0 PROCEDURES 6.1 Equity adjustment requests are submitted as Decision Packages during the normal budget process each year. 6.2 Each Decision Package must include justification for the equity adjustment request. Justification should include the employee's name; the Equity Adjustment Category; the employee(s) with whom the inequity exists, if applicable;the amount of equity adjustment required to correct the inequity; and, any other supporting information. 6.3 In unusual circumstances, a request may be considered outside of the budget process. Consideration is initiated by submitting a Justification Memo, outlining the information listed in Section 6.2 of this policy, to Human Resources. Equity adjustments recommended outside of the budget process will be considered once a year in November. The equity adjustment, if approved, will be funded by the General Manager's contingency fund. 6.4 Human Resources will review all equity adjustment requests to ensure compliance with t#}e Bistt+st's QCSD's Salary Structure and Compensation Policy; to provide market or peer comparative data; to provide data for comparison across departments; and, to provide information and advice as requested. 6.5 If an equity adjustment has been approved, either through the budget process or outside of the budget process, Human Resources will process the equity adjustment increase by generating an Employee Status Change Form and obtaining the necessary signatures. 6.6 The General Manager will sign all Employee Status Change Forms. 6.7 Equity adjustment increases authorized in the budget process will be made effective at the start of the first pay period of the new fiscal year. All other adjustments will be made effective on the first day of the pay period in which the Employee Status Change Form is submitted to Payroll. 6.8 There shall be no right to an equity adjustment. Such adjustments shall be made at the sole discretion of the B+s#ist OCSD and shall not be subject to the grievance procedure or to judicial review. H:\dopt�agenda\Board Agenda Reports12004 Board Agenda Reports\0204Utem 14(f).HR Policies.doc Revised: 2/1&2004 Page 18 7.0 EXCEPTIONS 7.1 Employees on Performance Improvement Plans (PIP's)are not eligible for equity adjustments. 8.0 PROVISIONS AND CONDITIONS 9.0 RELATED DOCUMENTS HAdepMgenda\Board Agenda Reports12004 Board Agenda Reports\0204Utem 14(1).HFt Policies.doc Revised: 2/18/2004 Page 19 Orange County Policy Number: C40.00 Sanitation District Effective Date: OGtGber 77' 1 AA7 Fe�►rua�lr���5,���1i Subject: EXTRAORDINARY SERVICES Supersedes: OC ®ber-22 1997 COMPENSATION FOR EXEMPT EMPLOYEES IN THE PROFESSIONAL AND SUPERVISOR GROUPS Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform policies regarding extraordinary services compensation for exempt employees in the Professional and,Supervisor Groups. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies only to employees in the Professional and Supervisor Groups. 3.0 DEFINITIONS Exempt employees are those employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees are considered exempt by virtue of their duties in conformance with the Act's definition of executive, administrative and professional responsibilities. 4.0 POLICY 4.1 It is the policy of the 00%0 County.Sanitation District{OCSD) to compensate employees in the Professional and;Supervisor Groups for extraordinary services in accordance with the following procedures. 5.0 PROCEDURE 5.1 Employees in the Professional and Supervisor Groups are exempt from the overtime provisions of the Fair Labor Standards Act. However, when services are required beyond what is normally expected of a position in this these groups, employees will be eligible to receive additional compensation for performance of such extraordinary service, upon approval of their Department Head or designee, as set forth in this policy. 5.2 Employees in the Professional and Supervisor Groups will be eligible to receive additional compensation at their regular rate of pay for performing extraordinary services of at least eight hours in a pay period. Extraordinary service is required work such as: work required by a major facilities failure; work necessary to protect public health and safety caused by an emergency declared as such by the General Manager or designee; or work which cannot be reasonably anticipated due to extraordinary circumstances. 5.3 Written authorization to receive compensation for all such extraordinary service must be obtained in advance, except in the event such approval is precluded by the nature of the emergency. The authorization must be signed by the Department Head or designee, and set forth the work to be accomplished,the reason such work is required, the anticipated hours and eligibility for additional compensation. Pay for extraordinary;service time`shall H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204VItem 14(f).HR Policies.doc Revised: 2/1 812 0 0 4 Page 20 not ocxurt acktiat�orlrrie oft3 hours,in a,pay.peri+a rachad. All authorized extraordinary service time worked must be reported on an Emergency Overtime Report as well as the employee's time report. FA of 550 shall be paid at the empleyeegs Fegular Fate of pay. 6.0 EXCEPTIONS 6.1 Except for performing extraordinary services as defined in this policy and in their Memorandum of Understanding, Professional and Supervisor Groups employees are not entitled to receive any compensation or compensatory time off for service rendered beyond their normal work schedule. 7.0 PROVISIONS AND CONDITIONS 7.1 Unless an employee's contract indicates otherwise, the provisions of this policy shall apply only to Professional and Supervisor Groups employees. 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. H:ldeptlagenda\Board Agenda Reports\2004 Board Agenda Reports1020411tem 14(f).HR Policies.doc Revised: 2/1 812 0 0 4 Page 21 Orange County Policy Number: C170.00 Sanitation District Effective Date: April 7Q 1999 �a a-�-rrcv�—r�r�.� Feb �rary 25,!�e- 044 Subject: California Wastewater Supersedes: NIA Treatment Plant Operator's Grade V AROM " Certificate Pay Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 To establish uniform guidelines and procedures for California Wastewater Treatment Plant Operator's Grade V Certificate pay. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all employees in the Operations Division who have obtained a California Wastewater Treatment Plant Operator's Grade V Certificate and who perform duties involving the operation and control of wastewater through the treatment plant. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is the policy of the Orange County;Sanitation District(OCSD)to compensate employees in the Operations Division who perform duties involving the operation and control of wastewater through the treatment plant for the obtainment of a California Wastewater Treatment Plant Operator's Grade V Certificate. 5.0 PROCEDURE 5.1 Employees who perform duties involving the operation and control of wastewater through the treatment plant are eligible to receive a quarter of a 5.5% Gt9p inGFea6e, o a 1.375% increase, upon obtainment of a California Wastewater Treatment Plant Operator's Grade V Certificate. 5.2 Employees who fail to maintain their Grade V Certificate will lose the Grade V Certificate pay. 6.0 EXCEPTIONS 6.1 Employees in classifications with a minimum qualification of California Wastewater Treatment Plant Operator's Grade V Certificate are not entitled to the Grade V Certificate pay. 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS H:\dept\agenda\Board Agenda Reports\2004 Board Agenda RepoRs\0204\ftem 14(f).HR Policies.doc Revised: 2/18/2004 Page 22 Orange County Policy Number: C190.00 2003 Sanitation District Effective Date: , February 25,2004 Subject: Variable Non Base Pay Supersedes: CebFuaFy 26, 2003 October 29,2 3 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for variable pay other than basic hourly rate. This variable pay includes: overtime pay for non- exempt employees, acting pay, call-back pay, standby pay, providing unscheduled overtime meals, severance pay and differential shift pay. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 Overtime Day for non-exempt applies to all OrangetCanty Sanitation District(OCSD) employees represented by the Engineering Unit, Technical Services Unit, Administrative/Clerical Unit, Operations and Maintenance and nonexempt confidential positions. 2.2 Acting pay, unscheduled overtime meals and severance pay applies to all Distfiet OCSD employees regardless of their organizational unit. 2.3 Call-back pay and standby pay applies to all non-exempt District OCSD employees regardless of their organizational unit. 2.4 Shift differential pay applies to all Distfiet OCSD employees who are covered by an MOU that entitles them to shift differential pay. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(f).HR Policies.doc Revised: 2 IW004 Page 23 3.0 DEFINITIONS 3.1 Acting means performing substantially all of the duties of a vacant budgeted position with a higher maximum rate of pay. 3.2 Call-back paV is paid to an employee by tie-gist OCSD when an employee is called back to work by management without prior notice, and the employee has completed his or her normal work shift and left the plant, or when prior notice is given but the work begins on the same day at least three hours after completion of the regular shift, the employee shall receive a minimum of three hours of call-back pay. 3.3 Non-Exempt employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that they perform and their earnings level, are subject to receiving overtime pay in addition to any entitlement otherwise provided for in applicable Memoranda of Understanding or other policies. 3.4 Overtime is the number of hours in paid status in excess of 40 during a workweek. 3.5 Salary Range is the approved salary minimum and approved salary maximum for each pay grade in the-Distrast's OCSD's approved compensation structure. 3.6 Standby is time during which an employee is not required to be at the work location or at the employee's residence but is required to be available for immediate return to work. 3.7 Workweek N-It 9-Ads aAy time a#eF midnight eR Friday, all he,mr, wnrkAd oR that shift aFe GORsideFed Fked an . For full-time employees is 40 houtsl ,er 18> hout�period, to be Paid on a biweelc3y payroll basis of 80 hours worked. Employee work periods may be scheduled in shfhks f four 9-hour days,and one 4-hour day each workweek(9/80 schedule),five 8-ftour days each workweek (10/80),four i 0-hour days each workweek (8/80);or three 12 hour days=and one 4-hour day each workweek (7/80). The starting and'ending times`of individual employees'workweeks may vary. 4.0 POLICY 4.1 OVERTIME PAY FOR NON-EXEMPT EMPLOYEES 4.1.1 Non-exempt employees who qualify for overtime compensation for work beyond their normal schedule shall be paid one-and-a-half times their regular rate of pay in accordance with the procedures listed in section 5.1. 4.2 ACTING PAY 4.2.1 It is DistFiGt OCS© policy to compensate employees, for performing substantially all of the duties of a vacant budgeted position with a higher maximum rate of pay in accordance with the procedures listed in section 5.2. 4.2.2 Acting pay status shall continue for a maximum of six months. 4.3 CALL-BACK PAY 4.3.1 It is Dis#ist OCSD policy to compensate employees for call-back pay in accordance with the procedure listed in section 5.3. 4.4 STANDBY PAY H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0200tem 14(1).HR Policies.doc Revised: 2/18/2004 Page 24 4.4.1 An employee covered by a Memorandum of Understanding provision for standby pay who is placed on standby shall be compensated at the rate of two hundred dollars per week, and will also receive call-back pay when they are actually called to work in accordance with the procedures listed in section 5.4. 4.5 UNSCHEDULED OVERTIME MEALS 4.5.1 It is Distract OCSD policy to provide employees with money for meals or food service when they are required to serve unscheduled overtime in accordance with the procedure listed in section 5.5. 4.6 SEVERANCE PAY 4.6.1 Employees are expected to give a minimum of two weeks written notification when resigning from employment with the-Pistrist OGSU. The Bistrist OCSD will follow the procedures for a Notice of Intent to Separate as listed in section 5.6. 4.7 SHIFT DIFFERENTIAL PAY ................. 4.7.1 It is Dis#ist OCSD policy to compensate employees for shift work outside normal business hours at an hourly rate above their normal hourly rate in accordance with the procedures listed in section 5.7. 5.0 PROCEDURE 5.1 OVERTIME PAY FOR NON-EXEMPT EMPLOYEES 5.1.1 When an employee's work schedule requires that they work on an observed holiday, the employee may opt to be paid at two-and-one-half times their regular rate of pay for the holiday or to be paid at one-and-one-half times their regular rate and receive an amount of Holiday Compensatory Time Off equivalent to the number of hours in the shift. Normally, employees that accumulate in excess of fifty hours of Holiday Compensatory Time Off will be scheduled to take such excess time off or be paid for the excess accumulated Holiday Compensatory Time Off at the convenience of thiq 9istrirt OCSD. For good reason, the Department Head may allow Holiday Compensatory Time Off to be accumulated in excess of fifty hours. 5.2 ACTING PAY 5.2.1 Employees who are temporarily assigned by District OCSD+management to perform substantially all of the duties of a higher level classification for a period of at least 100 consecutive hours will be eligible for a salary increase,for further continued service in the higher classification. 5.2.2 For service beyond 100 consecutive hours, pay shall be 5.5*%nigher one step greater than the employee's current rate of pay, or at the minimum of the pay range for the acting position, whichever is greater. 5.2.2.1 The higher rate of pay begins with the 10151 hour, and continues until the assignment ends. 5.2.2.2 Requests for acting pay require the approval of the employee's Department Head and the Director of Human Resources. 5.3 CALL-BACK PAY 5.3.1 When an employee is called back to work by the District OCSD without prior notice, and the employee has completed his or her normal work shift for that day and left the work site, or when prior notice is given by the District OCSD, but the H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\ltem 14(Q.HR Poficies.doc Revised: ?11=004 Page 25 work begins on the same day at least three hours after completion of an employee's regular shift, the employee shall receive a minimum of three hours of call-back pay. The three hours minimum, whether or not actually worked, shall be paid at the rate of one and one half times the employee's regular hourly rate. If the actual work time exceeds three hours, the employee will be compensated for that time as well, except that no employee may work for or be compensated for more than 16 hours in a 24-hour period. Employees who are called back a second time within a normal shift period are considered to be working for the duration of that shift. 5.4 STANDBY PAY 5.4.1 Standby assignments shall first be made on a voluntary basis. 5.4.2 A volunteer standby list shall be established by classification and job location. 5.4.3 Standby assignments shall be made from the list of employees who are competent and experienced, in alphabetical order, on a rotating basis. 5.4.4 In the event that no one volunteers,the-Bistrist OCSD shall, on a rotational basis, assign standby by job classification and work location from employees who are competent and experienced. 5.5 UNSCHEDULED OVERTIME MEALS 5.5.1 When employees are required to work overtime due to an emergency, and actually work at least five hours, or due to an unanticipated extension of their regular workday that includes a regular meal period, the employee is entitled to reimbursement for the actual cost of a meal, not to exceed applicable per diem amounts in addition to any compensation for time worked. Receipts are not required to receive the per diem amount. In lieu of cash reimbursement,tie Bistsst-0SD may provide actual food service to the employees. 5.6 SEVERANCE PAY 5.6.1 When a full-time regular employee is separated from employment by action of tl-ie-9istrist OCSQ, except for disciplinary cause,the employee will be notified in writing through a Notice of Intent to Separate two weeks prior to the effective separation date. The notification period for employees on unpaid leave will be reduced by the number of calendar days of such leave. In the event such notification is not given,the employee shall be entitled to severance pay in accordance with the formula set forth below: 5.6.1.1 Full-time, employees shall be entitled to eight hours pay for each full calendar month of continuous employment not to exceed one hundred sixty hours pay, or as may be determined by the General Manager. 5.6.1.2 Employees in limited term or part-time classifications, and employees who are dismissed for cause, are not eligible for severance pay under any circumstances. 5.7 SHIFT DIFFERENTIAL PAY 5.7.1 Employees who are regularly assigned to work a night shift that consists of 50% or more of their hours between 6 p.m. and 6 a.m., and who actually work that shift, shall receive a shift differential of$2.50 per hour. 6.0 EXCEPTIONS H:\dept\agenda\Board Agenda Reports12004 Board Agenda Reports\0204Utem 14(Q.HR Poiicies.doc Revised: 211 W004 Page 26 6.1 Acting pay-the 100-hour eligibility period may be waived at the discretion of the General Manager. 7.0 PROVISIONS AND CONDITIONS 7.1 Standby pay—a standby list will be developed by the Operations and Maintenance Department weekly, and it shall be posted at both the Plant No. 1 Control Center and at the Plant No. 2 Operations Center. 7.2 Severance pay—employees who are dismissed for cause will not receive a Notice of Intent to Separate under the provisions of the policy. 8.0 RELATED DOCUMENTS 8.1 Overtime pay non-exempt employees- Fair Labor Standards Act H:\dept\agendMBoard Agenda Reporls\2004 Board Agenda Reports\0204\ltem 14(f).HR Policies.doc Revised: 2/18/2004 Page 27 Orange County Policy Number: D110.00 Sanitation District Effective Date: OGtobeF 22, 2003 February 25, 2004 Subject: Catastrophic Illness Leave Supersedes: October 22, 2003 Donation Program Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's Catastrophic Illness Leave Donation Program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All District employees. 3.0 DEFINITIONS 3.1 Catastrophic Illness or Injury • Debilitating illness or injury which is expected to incapacitate the employee for an extended period of time and which creates a financial hardship due to the exhaustion of all accrued leave. • A debilitating illness or injury of a child, parent or spouse that results in the employee being required to take time away from work for an extended period to care for the family member,therefore creating a hardship due to the exhaustion of the employee's accrued leave. 4.0 POLICY 4.1 Employees may on occasion face catastrophic medical conditions involving themselves or their immediate family that results in the exhaustion of all accrued sick, vacation, personal or other paid leave. Such employees may request, or be nominated for allocations of leave time according to the District's Catastrophic Illness Leave Donation Program. 4.2 Employees may, in accordance with the provisions of the District's policy regarding the Catastrophic Illness Leave Donation Program, elect to donate accrued and unused personal leave, vacation leave or compensatory time off to an individual employee qualified and approved to receive allocations of leave time. 4.3 Leave time eligible to be donated by one employee to another include vacation, compensatory or personal leave. 5.0 PROCEDURE 5.1 Requests or nominations for donated leave time are subject to the approval of the Director of Human Resources or designee, pursuant to this policy. 5.2 Requests for donated leave time are to be submitted to the Human Resources Supervisor using the form"Application for Use of Catastrophic Illness Leave Hours". This form is located on the HR intranet site. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(1).HR Policies.doc Revised: 2l1W004 Page 28 5.3 Communicating the request to District employees for leave time donations shall be made in the following manner: 5.3.1 The employee or nominator will submit a draft e-mail to Human Resources for review informing employees of the request for leave time donations. 5.3.2 Human Resources will send the approved e-mail announcement to the employee's immediate work division, and may also send it to the department. It can later be sent to other divisions or departments if requested. 5.4 To make a leave time donation, employees should complete a"Catastrophic Illness Leave Donation Form"and submit it the form to Human Resources. This form is located on the HR intranet site. 5.5 The vacation, compensatory or personal leave time donated by an employee shall be converted to a dollar value based on the hourly rate of the donor. 5.6 At the time of allocation, those dollars shall then be converted into sick leave or personal leave at the hourly rate of the recipient of the donated leave time. 6.0 EXCEPTIONS 6.1 Employees who have not exhausted their paid leave-vacation, sick, personal and compensatory time off - at the time of request or nomination will not be considered for allocation of leave time until their paid leave time is exhausted. 6.2 Sick leave may not be donated by one employee to another. 7.0 PROVISIONS AND CONDITIONS 7.1 To be eligible to receive allocations of leave time as provided by the Catastrophic Illness Leave Donation Program, employees must have exhausted all of their paid leave, including vacation, sick, personal and compensatory time off. 7.2 The maximum allocation of donated leave that an employee may receive is 480 hours per individual per 12 month period except in the event the leave period terminates due to the employee's death, if death occurs,remaining donated hours rnay.exceed 480 to be,paid out-zs.asurvivor benefit. 7.3 Employees will be requested to provide medical documentation of a catastrophic health condition involving their child, parent or spouse, or involving the employee's own catastrophic health condition. 7.4 Donations must be made in whole hour increments, and are irrevocable. 7.4.1 Any such hours that remain at the conclusion of the leave period shall be returned to the donors on a pro-rated basis per the hourly salary of the originally donated hours. 7.4.2 In the case of an employee's death during'the leave period,donors may be`given the option of having their donated hours,remain in the.deceased employee's leave account to be paid out as a survivor benefit. 8.0 RELATED DOCUMENTS 8.1 Application for Use of Catastrophic Illness Leave Hours form. 8.2 Catastrophic Illness Leave Donation form H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 14(f).HR Policies.doc Revised: 2 IM004 Page 29 Orange County Policy Number: D30.00 .� Sanitation District Effective Date: OatobeF 24, 2002 February 25 2004 Subject: HOLIDAYS Supersedes: De^ember 20 2000 October 24 2002 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for holidays. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all current employees regardless of their organizational unit. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is ti4e Orange;County Sanitation District's(OCSP's) policy to grant employees 12 paid holidays per year in accordance with this policy. 5.0 PROCEDURE 5.1 Full-time employees shall receive holiday pay if their entire scheduled work shift immediately preceding and following the holiday is in a paid payroll status. When an employee's work schedule requires that they work on an observed holiday,the employee shall be paid at the employee's regular rate of pay for the holiday or receive an equivalent amount of holiday compensatory time off, and shall also receive overtime pay at the rate of one-and-one-half times their regular hourly rate for all hours actually worked. 5.2 Holiday pay for part-time employees is based on a nine (9) hour workday. It is paid on the following prorated basis: NORMALLY SCHEDULED HOURS OF WORK PER WEEK PERCENT BENEFIT/SUBSIDY 0—under 19 None 20—under 29 50%- 4.5 hours 30—39 75% - 6.75 hours 5.3 When a holiday occurs on an employee's regularly scheduled day off, the employee will accrue compensatory time off for those hours. In no case may an employee accumulate more than 50 hours holiday compensatory time off. 5.4 The days listed below are observed by the 9+6trfst OCSD as holidays for 2003, 2004 and 2005. 5.5 Employees who are assigned to eight, nine or ten-hour shifts, Monday through Friday, will observe the holidays listed in Schedule A. Employees who are assigned to twelve- hour shifts will observe the holidays as listed in Schedule B. SCHEDULE A HOLIDAY F2003 2004 7_ 2005 H:\depttagendMBoard Agenda Reports12004 Board Agenda Reports\0204U1em 14(o.HR Poticies.doc Revised: 2JI&2004 Page 30 New Year's Day Wednesday,January 1 Thursday,January 1 Friday,December 31 Lincoln's Birthday Wednesday,February 12 Thursday,February 12 Friday,February 11 President's Day Monday,February 17 Monday,February 16 Monday,February 21 Memorial Day Monday,May 26 Monday,May 31 Monday,May 30 Independence Day Friday,July 4 Monday,July 5 Monday,July 4 Labor Day Monday,September 1 Monday,September 6 Monday,September 5 Veteran's Day Tuesday,November 11 Thursday,November 11 Friday,November 11 Thanksgiving Day Thursday,November 27 Thursday,November 25 Thursday,November 24 Day after Thanksgiving Friday,November 28 Friday,November 26 Friday,November 25 Day before Christmas Wednesday,December 24 Thursday,December 23 Friday,December 23 Christmas Day Thursday,December 25 Friday,December 24 Monday,December 26 Floating Holiday ** ** ** SCHEDULE B HOLIDAY 2003 2004 2005 New Year's Day Wednesday,January 1 Thursday,January 1 Saturday,January 1 Lincoln's Birthday Wednesday,February 12 Thursday,February 12 Saturday,February 12 President's Day Monday,February 17 Monday,February 16 Monday,February 21 Memorial Day Monday,May 26 Monday,May 31 Monday,May 30 Independence Day Friday,July 4 Sunday,July 4 Monday,July 4 Labor Day Monday,September 1 Monday,September 6 Monday,September 5 Veteran's Day Tuesday,November 11 Thursday,November 11 Friday,November 11 Thanksgiving Day Thursday,November 27 Thursday,November 25 Thursday,November 24 Day after Thanksgiving Friday,November 28 Friday,November 23 Friday,November 25 Day before Christmas Wednesday,December 24 Friday,December 24 Saturday,December 24 Christmas Day Thursday,December 25 Saturday,December 25 Sunday,December 25 Floating Holiday ** ** ** ** Employees may elect one day during each year as a"Floating Holiday." Near emplo�tees wdl accrue th"e'. bating Ho liday"on the.foliowing pra=ir to basis thelr:ftrst calendar year�1 IServic : s 1.t quarter hire=100%, 21 quarter hire=750% 3` quarter hire :50%,and. 'quarter hire 0% The"Floating Holiday" must be used within the year it is accrued. AR eFAP1Gy9e be eligible to aGGrue the Flgat;Rg Holiday if empleyed en or before nenernher I sE Every effort shall be made to grant an employee's request for a"Floating Holiday'off providing an employee gives sufficient notice to their supervisor. It is recommended that the floating holiday be utilized by the last full pay-period in December of the year in which it is accrued however, if an employee chooses to use the floating holiday after the last full pay-period up until December 31, they may. The employee should notify payroll if they choose the latter option. 6.0 EXCEPTIONS 6.1 When an employee is on medical or pregnancy leave, holidays will be paid only during disability waiting period if employee is in a continuous paid status. All other holidays that H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\ltem 14i11.HR Policies.doe Revised: 2/18/2004 Page 31 occur outside the waiting period will not be paid, regardless if employee is in paid status or not. 6.2 Part-time employees who work on a holiday are not eligible to receive overtime pay. 7.0 PROVISIONS AND CONDITIONS 7.1 If a regularly scheduled holiday occurs on a Saturday, the previous Friday shall be taken off as the"holiday"for pay purposes. If a regularly scheduled holiday occurs on a Sunday, then the following Monday shall be taken off as the"holiday'for pay purposes. 8.0 RELATED DOCUMENTS H:\depl\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(f).HR Polides.doc Revised: 2/1812004 Page 32 Q Orange County Policy Number: D50.00 Sanitation District Effective Date: OGtober 27, 1999 tleblruary5s2004 Subject: INSURANCE Supersedes: May 13, Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Q#00e_Gount �SanWcir District's(OCSD's)insurance benefits program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Dis#ist OD employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 T#e Distract ?aGSD shall provide medical-health insurance coverage through both health maintenance organizations and an indemnity type group health plan, life insurance, and disability insurance for the benefit of full-time employees. 4.2 All insurance coverage shall become effective on the first day of the month following eras date of hire;regariliess,of tiire,date. An open enrollment period shall be held annually in the month of June. 5.0 PLANS- PROGRAMS 5.1 Medical. The Dis#ist OCSQ shall contribute 100%of employee only premiums for the medical health plans and shall contribute 80%of the employee +1 dependent and full family premiums. Any change in insurance rates shall be shared equally in same ratio as premiums are currently paid by the Dis# ist C CS0 and employees. Before the renewal of any Distrast's OCSD's=sponsored health insurance plan,the parties agree to meet and confer as to the plan. 5.1.1 Any change in insurance rates caused by a carrier after 11-25-96 are subject to the applicable provisions of the various Memoranda of Understanding approved by the Boards of Directors. 5.2 Life. The DistFiet OCSQ provides term life insurance coverage for most employees. The DistKiet OCSD shall pay the full premium for term life insurance as established for each employee covered under a Memorandum of Understanding or as otherwise agreed upon. 5.3 Short Term Disability. The District OC}shall provide a non-work related, short-term disability indemnity plan that pays up to a maximum of$3W$490 per week for up to 26 weeks following a fourteen calendar day waiting period. Employees may request to receive prorated sick leave, personal leave or vacation pay to supplement their short term disability payments in an amount such that the sum of both is equal to the employee's regular base pay. 5.4 Long-Term Disability. The-District OCSD offers, at the employee's expense, a non-work related, long-term disability indemnity plan that pays two-thirds of the employee's rate of pay in effect at the time of such disability, not to exceed$5,000 per month,following a 90-day waiting period of continuous disability. The DistAGOOCS0 provides this coverage at tie District's OCSD's expense after five years of employment. H:ldeptlagenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utem 14(Q.HR Policies.doc Revised: 2 IM004 Page 33 5.5 Dental. The-Dis# v+st .,=SD provides a dental plan for regular, full-time employees and their eligible dependents at no cost for employee-only coverage and$9.00 per month for full family coverage. 5.5 Vision. The D44riAt OCSD shall provide a vision insurance plan for regular, full-time employees and their eligible dependents. 5.6 Retiring Employees. The Distest OCSD:shall pay,for employees hired prior to July 1, 1988, two and one-half months' premium for each year of continuous service of a retiring employee towards the premium costs of coverage for the employee and eligible dependents under the-Mistrist's OG medical plan. 5.6.1 The District OCSD shall enter into an agreement with the Orange County Employee Retirement System (OCERS) to implement the retiree medical health premium offset program established by the County of Orange wherein the cost of health premiums are offset by$10 per month for every year of service up to a maximum of 25 years or$250 per month. 5 7 deceased Emplovees In the`sventa l eQtCefath�af an acute employee O s gf ay ' �I �jjUnl C�3St HOC aeilQt ,Of Ott@]t$�CCQB $iStB f��dtfH91 f<er�mrrae for me sutt3ng dependenis covered underthe plo�ies a lld ii@[l ,llns6i c A' plans x 7 t µ s _•%.:.Via' 5.8 Workers Compensation Insurance. The Distrist''s t7CSD's Workers Compensation program is self-funded and administered by a third party administrator. Workers' Compensation insurance provides coverage for injuries arising out of employment with the-District OCSID and occurring in the course of employment. 5.9 Reimbursement Account. Section 125 of the Internal Revenue Code permits employees to use pretax dollars to pay for their portion of the cost of benefits under the plan through salary redirection arrangements. The available options are summarized below. For complete information regarding Flexible Spending Accounts employees must refer to the plan booklet available in the Human Resources Department. Participation in this Program does not affect the Distrist'n OCSG`s contribution to the Orange County Employees Retirement System. The amount deducted shall then be repaid to the employee through the Bistris s OCSD's provided Reimbursement Program. 5.9.1 5.9.2 Medical Care Reimbursement Account.The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Medical Care Reimbursement Account for the purposes of reimbursing the employee for payment of health care costs not otherwise covered by the health and medical insurance. 5.9.3 Dependent Care Assistance Account.The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Dependent Care Assistance Account for the purposes of reimbursing the employee for child care expenses or day care for a disabled dependent. 6.0 EXCEPTIONS 6.1 Contract workers are not entitled to and are ineligible to join or participate in any benefit plans offered to those individuals listed on OCSD's payroll as regular employees. 7.0 PROVISIONS AND CONDITIONS 7.1 No combination of disability or sick leave pay shall result in more than an employee's regular rate of pay. Employees may not receive short-term and long-term disability H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\ltem 14(f).HR Policies.doc Revised: 2/18=04 Page 34 benefits at the same time. An employee who is otherwise not eligible for Bistriet paid long-term disability may purchase such coverage at their own expense. 7.2 In the event the-Bis#rist ID!b adds additional optional insurance plans, the 9istrist's QGS©'S share of the premium shall be the same as for existing plans as set forth above. In the event the-Bistrist OCSD changes underwriters for existing insurance plans, the District's OC8M share of the premium shall be the same as for existing insurance plans as set forth above. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(f).HR Policies.dec Revised: 211 M004 Page 35 Orange County Policy Number: D110.00 Sanitation District Effective Date: , 2003 February 25, 2004 Subject: Catastrophic Illness Leave Supersedes: October 22, 2003 Donation Program Approved by: Lisa L. Tomko 6.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the District's Catastrophic Illness Leave Donation Program. 7.0 ORGANIZATIONAL UNITS AFFECTED 7.1 All District employees. 8.0 DEFINITIONS 8.1 Catastrophic Illness or Injury • Debilitating illness or injury which is expected to incapacitate the employee for an extended period of time and which creates a financial hardship due to the exhaustion of all accrued leave. • A debilitating illness or injury of a child, parent or spouse that results in the employee being required to take time away from work for an extended period to care for the family member,therefore creating a hardship due to the exhaustion of the employee's accrued leave. 9.0 POLICY 4.1 Employees may on occasion face catastrophic medical conditions involving themselves or their immediate family that results in the exhaustion of all accrued sick, vacation, personal or other paid leave. Such employees may request, or be nominated for allocations of leave time according to the District's Catastrophic Illness Leave Donation Program. 4.3 Employees may, in accordance with the provisions of the District's policy regarding the Catastrophic Illness Leave Donation Program, elect to donate accrued and unused personal leave, vacation leave or compensatory time off to an individual employee qualified and approved to receive allocations of leave time. 4.4 Leave time eligible to be donated by one employee to another include vacation, compensatory or personal leave. 10.0 PROCEDURE 10.1 Requests or nominations for donated leave time are subject to the approval of the Director of Human Resources or designee, pursuant to this policy. 10.2 Requests for donated leave time are to be submitted to the Human Resources Supervisor using the form "Application for Use of Catastrophic Illness Leave Hours". This form is located on the HR intranet site. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\1tem 14(f).HR Policies.doc Revised: 2JIM004 Page 36 10.3 Communicating the request to District employees for leave time donations shall be made in the following manner: 10.3.1 The employee or nominator will submit a draft e-mail to Human Resources for review informing employees of the request for leave time donations. 10.3.2 Human Resources will send the approved e-mail announcement to the employee's immediate work division, and may also send it to the department. It can later be sent to other divisions or departments if requested. 10.4 To make a leave time donation, employees should complete a"Catastrophic Illness Leave Donation Form"and submit it the form to Human Resources. This form is located on the HR intranet site. 10.5 The vacation, compensatory or personal leave time donated by an employee shall be converted to a dollar value based on the hourly rate of the donor. 10.6 At the time of allocation, those dollars shall then be converted into sick leave or personal leave at the hourly rate of the recipient of the donated leave time. 6.0 EXCEPTIONS 6.1 Employees who have not exhausted their paid leave-vacation, sick, personal and compensatory time off- at the time of request or nomination will not be considered for allocation of leave time until their paid leave time is exhausted. 6.3 Sick leave may not be donated by one employee to another. 7.0 PROVISIONS AND CONDITIONS 7.1 To be eligible to receive allocations of leave time as provided by the Catastrophic Illness Leave Donation Program, employees must have exhausted all of their paid leave, including vacation, sick, personal and compensatory time off. 7.2 The maximum allocation of donated leave that an employee may receive is 480 hours per individual per 12 month period except inAh'e ever t'the leave period terminates due to the employee's death. If death occurs, remaining donated hours may exceed 480 to be.;paid out:as a survivor benefit. 7.3 Employees will be requested to provide medical documentation of a catastrophic health condition involving their child, parent or spouse, or involving the employee's own catastrophic health condition. 7.5 Donations must be made in whole hour increments, and are irrevocable. 7.5.1 Any such hours that remain at the conclusion of the leave period shall be returned to the donors on a pro-rated basis per the hourly salary of the originally donated hours. 7.5.2 In the case"-of an employee's death during"the leave period, donors may be giver the option of having their donated hours remain:in the;deceased employee's leave account to be paid out as a survivor benefit. 9.0 RELATED DOCUMENTS 9.1 Application for Use of Catastrophic Illness Leave Hours form. 9.2 Catastrophic Illness Leave Donation form H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\1tem 14(i).HR Policies.dw Revised: 2/182004 Page 37 1 Orange County Policy Number: F50.00 Sanitation District Effective Date: FebFUaFy 26, 2003 mk rum 25,"2004 n. tobeF Subject: PROBLEM SOLVING PROCEDURE Supersedes: o�,�,->�,�-r Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for application of the Orat3g8'00u6ty;sakitit District's(QCSD'S Problem Solving Procedure. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Bis#_rist-OCSb employees in all organizational units and departments, unless otherwise specified. 3.0 DEFINITIONS 4.0 POLICY 4.1 It is thA District's OCSU's policy to encourage and facilitate the resolution of employee concerns in a responsive, timely and fair manner. 5.0 PROCEDURE 5.1 Employees may bring problems to the attention of District OCSD managers through the Problem-Solving Procedure. This procedure may be used to attempt to resolve issues that may not be subject to the Grievance Procedure(Policy F60.00). 5.2 Employees should discuss concerns regarding issues that are not grievable with their supervisor as soon as possible. The supervisor will review the situation or decision, and provide a written response within five business days from the date they were notified of the problem. 5 33 If the problem is not resolved to the employee's satisfaction, the employee may file a written statement concerning the problem with the Director of Human Resources within ten business days of receipt of the supervisor's decision. Upon request by either party, a meeting may be held to define issues and establish the remedies sought. F9r LaGal 501 employees, the We* ................. 5.4 The employee will be provided with a written response within ten business days after their his/her statement is received.Time limits may be extended for cause upon mutual consent of the parties. The decision of Human Resources is final. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy F60.00, Grievance Procedure H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\020411tem 14(f).HR Policies.doc Revised: 2l1812004 Page 38 Orange County Policy Number: F60.00 b Sanitation District Effective Date: GistobeF 22,1997 Febru�iry 25 2004 Subject: GRIEVANCE PROCEDURE Supersedes: October' 22; 1997 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in administration of the Orange,Couhty Sarjrtation District's tOCSIX Grievance Procedure. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Distrit OCSD employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS A Grievance is any complaint that management has violated a specific written policy or provision of a Memorandum of Understanding (MOU). 4.0 POLICY 4.1 It is the policy of thei)is#FiGt OCSD to allow a grievance to be brought to the attention of the D+strant OCSD by an individual employee or by a recognized employee organization. 5.0 PROCEDURE 5.1 Grievances brought by two or more employees, and concerning the same incident, issue, or course of conduct, or multiple grievances brought by the same employee may, upon mutual agreement of the District OCSD and an employee organization, be consolidated for the purposes of this procedure. An employee shall have the right to be represented at all steps of the Grievance Procedure by any other employee within the bargaining group or by the representative of the recognized employee organization. Any reference to days in this article implies business days. 5.2 Step 1. An employee who has a complaint shall attempt to resolve it with them his/her immediate supervisor within five days of the occurrence of the event giving rise to the complaint. The supervisor shall attempt to resolve the issues surrounding the complaint, and respond to the employee within five days. 5.3 Step 2. If the grievance is not settled informally at Step 1, it may be presented in writing to the employee's Department Head or designee. This request for formal review must be presented on a form provided by the District OCSD:within five days of the conclusion of Step 1. A copy of each written communication on a grievancewi+ill'be filed with the Director of Human Resources. The written grievance must: 5.3.1 Identify the specific management act to be reviewed; 5.3.2 Specify how the employee was adversely affected; 5.3.3 List the specific provisions of the MOU that were allegedly violated, and state how they were violated; 5.3.4 Specify the remedy requested; H:ldept\agenda\Board Agenda Reports12004 Board Agenda Reports\0204\ltem 14(f).HR Policies.doc Revised: 2/1W004 Page 39 5.3.5. Provide the date of attempts at informal resolution and the name of the supervisor or individual involved. The Department Head, or designee, shall respond in writing to the employee within 10 days after the date the grievance is received. 5.4 Step 3. If a grievance is not settled under Step 1 or 2, it may be presented to the Director of Human Resources for review and written response. The request for formal review must be presented on a form provided by the-Distfist OCSO within ten days of the conclusion of Step 1 or 2, and must contain the information specified in Step 2. A pop' f=each written comae unicetian qq grievance;w it I$ filed with the Director,of Human Resources: The Director of Human Resources,or designee, shall respond in writing to the employee within 10 days after the date the grievance is received. 5.5 Step 4. If the grievance cannot be resolved under Step 3, it may be presented to the General Manager within 10 days from the date the Step 3 finding was issued. The General Manager or designee, shall respond in writing to the employee within 15 days after the date the grievance is received. 5.5.1 Failure of a supervisor, Department Head or other management representative to respond within the prescribed time limit shall provide a basis for the employee to appeal to the next step. If a grievance is not presented or appealed to the next level within the specified time limits, it shall be considered settled on the basis of the preceding response. The Director of Human Resources may be petitioned in writing to waive the step or time requirements provided sufficient cause exists. Time limits may also be extended at any step upon mutual agreement of the parties. 5.6 , it may be 6.0 EXCEPTIONS 6.1 A grievance may not be brought by the DistFist OCSD through this procedure. 7.0 PROVISIONS AND CONDITIONS 7.1 General Provisions. An employee shall be given reasonable time off, with advance approval of his or her supervisor,to investigate and process a grievance. When an employee is represented by a recognized employee organization, that organization may designate one employee to investigate and process the grievance. The employee representative shall be given reasonable time off, with the advance approval of his or her supervisor, to perform this duty. Time off for investigating and processing a grievance shall be without loss of pay. Absence from work will be approved only if it does not disrupt the District's O..CSD's operations. If the time requested cannot be provided, another time will be arranged. 7.2 Discipline imposed under Policy No. F70.00 (Discipline) is not reviewable as a grievance under this procedure. 8.0 RELATED DOCUMENTS H:ldept\agenda\Board Agenda Reports12004 Board Agenda Reports10204Utem 14(f).HR Policies.doc Revised: 2/18/20W Page 40 Orange County Policy Number: F70.00 Sanitation District Effective Date: grill 26,i FebrA.uall� 5.,,�2004 Subject: DISCIPLINE Supersedes: �2�r A'plri#�,2000 Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Orange County`Sanitatiori District(OCSD)employees. 3.0 DEFINITIONS Discipline is the occurrence of any of the following actions taken for just cause with respect to any employee:eFal verbal reprimand, seur►sel+ng-meme, written warningreprimand, suspension without pay, reduction in pay, demotion to a classification with a lower maximum rate of pay, or dismissal. Dismissal is the separation from 9istriat OCSD employment of a non-probationary employee Initiated by4#e- is�ist B QG or pFegeF j100 cause. 'Termination" means dismissal, and the terms are used interchangeably throughout this policy manual. 4.0 POLICY 4.1 The Dis#ist OGSID is committed to practicing supervisory and management practices and procedures which support effective operations in the interest of thA Dis#iet OCSD and of our employees. Such procedures include the administration of fair and consistent discipline in instances where employees have exceeded the limits of acceptable behavior or performance. Employment with the District OCSD is voluntarily entered into, and employees have the right to resign at any time to pursue other interests. Similarly,the DistFiet OCSD has the right to conclude an employment relationship for proper cause when it is believed to be in thA Dfstr+st's OCSD's best interests. 4.2 The General Manager is authorized and directed to exercise supervision over all employees and to impose discipline, for just cause, upon any person employed under the provisions of this Policy for both general and serious violations. 4.3 The General Manager shall establish rules and guidelines pertaining to the procedures governing such actions. 4.4 The General Manager is authorized to delegate his authority herein to the Department Heads, Division Managers, Director of Human Resources and other management and supervisory employees, as the General Manager deems appropriate. Notwithstanding the foregoing,"at-will' Executive Management employees may be dismissed at any time, without notice or just cause. 4.5 Notwithstanding the foregoing, Executive Management and contract employees who have signed an agreement to serve at the pleasure of the Joint Boards or General Manager are "at-will"and may be dismissed at any time, without notice or just cause. H:ldept%genda\Board Agenda Reports12004 Board Agenda Reports10204Utem 14(f).HR Policies.doc Revised: 2 IM004 Page 41 5.0 PROCEDURE 5.1 Discipline may occurs when any of the following actions are taken for just cause with respect to any employee: oral"veitial reprimand,seURseiiRg-Fneme, written waming reprimand, suspension without pay, reduction in pay, demotion to a classification with a lower maximum rate of pay, or dismissal. Dismissal is the termination from District 00SD employment, of a non-probationary employee, initiated by the PistRst OCSD for proper just cause. Employees exempt from overtime pursuant to the Fair Labor Standards Act, however,shall not be subject to suspension without pay for less than one week except for major safety violations. 5-.2 A Notice of Intent to impose disciplinary action is not required when the disciplinary action involves aR eral verbal reprimand; 'or written warning reprimand: or suspens OR without pay 5.3 A Notice of Intent to impose disciplinary action is required and will be given to an employee whenever the disciplinary action involves suspension without pay in-F.m.e.re than five working days;reduction in pay, demotion to a classification with a lower maximum rate of pay or dismissal. The Notice of Intent shall be given to the affected employee either by delivery in person or by Certified Mail sent to the employee's last know address. The Notice of Intent shall indicate the date on which it was personally delivered or deposited in the mail, which shall be the date of issuance. 5.3.1 The Notice of Intent shall contain the fallowing:; W a description of the disciplinary action intended and the effective date of the action, (2)the reasons for the proposed action;-,and(3)a copy of the charges and materials upon which the action is based:, antl„(4) a statement of the employee's right to respond, either oraaty verbally or in writing to the aatheRy person initially imposing the discipline, or to an.0 CSIDi.mdriagement,representatnra w�th:author ty to"make an ef#ectnre recomrr�er ciatton 1an'the pcopos !.a6don,the person to whom any response must be directed, and the fact that such response must be received within ten business days of the date of issuance of the notice. The Notice will also advise the employee of their the right to representation. 5.4 Prior to the effective date of any proposed disciplinary action requiring a Notice of Intent, the employee will be given an opportunity to respond either orally or in writing to a management representative with authority to make an effective recommendation on a proposed action. After review of an employee's response,the District OCSD will notify the employee in writing of any action to be taken. Such action may not involve discipline more severe than that described in the Notice of Intent; however, the-District O .,SD may reduce discipline without .................... further notice. 5.5 Dismissal shall be proceeded by at least one written warning repnrand, except in those situations in which the employee knows or reasonably should have known that the performance or conduct was unsatisfactory. Such performance or conduct may involve, but is not limited to: dishonesty, possession, use, sale or being under the influence or drugs or alcohol, theft or misappropriation of District's OCSD's property or'funcls, falsification of District's bQSD's records, fighting on the job, insubordination, acts endangering people or property, or other serious misconduct. The-District OCSD may also substitute a documented suspension, with-er without pay, in lieu of the written warning reprIyn4nd requirement herein. 5.6 If a Notice of Intent is upheld and the disciplinary action is imposed,the employee may request a post-disciplinary hearing. The request must be submitted to the Director of Human Resources or designee within ten business days after the date of issuance of the notice of disciplinary action. Human Resources shall schedule a post-disciplinary hearing with the General Manager or his designee. The General Manager, or his designee, may uphold the disciplinary action, which has been taken or may reduce such discipline without the issuance of further notice. The decision of the General Manager or his designee shall be final. H:1dep11agenda\Board Agenda Reports\2004 Board Agenda Reports\0204\Item 14(1).HR Policies.doc Revised: 2/18/2004 Page 42 5.7 , iRGIuding the Fight to pest disGipliRaFy hearing, shall apply to the d*6G*p!*Re and dirmis;r,;;l Af r=xgr--doug M nagerneRt employees, who have not signed an at-wig 5.8 The-Dis#ist OCSD may place an employee on administrative leave without prior notice in order to review or investigate allegations of conduct which, in the D06#946 QQ'S view, would warrant relieving the employee immediately from all work duties. If, upon conclusion of the investigation, neither suspension without pay nor dismissal is determined by the Dis#fct OCSD to be appropriate, the employee shall be paid for the leave. Although an administrative leave may exceed fifteen business days, if a suspension without pay is determined to be the appropriate discipline, a maximum of fifteen business days of the administrative leave period may be applied to such suspension without pay. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Policy 13100.00 Employee Separation. H:ldepl%genda\Board Agenda Reports12004 Board Agenda Reports10204Utem 14(f).HR Poficies.doc Revised: 01W2004 Page 43 t FAH R COMMITTEE Meeting Date To Bd.of Dir. 02/11/04 02/25/04 AGENDA REPORT Item Number Item Number FAHR04-09 14(g) Orange County Sanitation District FROM: Lisa Tomko, Director of Human Resources ORIGINATOR: James Matte, Safety and Health Supervisor SUBJECT: Safety Policy, Backflow Prevention Policy GENERAL MANAGER'S RECOMMENDATION Approve SAFETY-POL-115, Backflow Prevention Program as provided for in Resolution No. OCSD 02-5 regarding the District's Backflow Prevention Program. SUMMARY The District is implementing a written policy to adopt requirements of the California Department of Health Services Regulations, found in Titles 17 and 22 of the California Code of Regulations, that requires performance of specific actions and practices when safeguarding potable water systems. This is a new program combining elements found in existing Engineering Specifications, Safety and Health and Operations and Maintenance programs. The document presented for your review and adoption represents the District's written Backflow Prevention Policy, which conforms to the elements defined in the California Department of Health Services, Titles 17 and 22 of the California Code of Regulations. PROJECT/CONTRACT COST SUMMARY Not Applicable BUDGET IMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ® Not applicable (information item) ADDITIONAL INFORMATION The Policy is required under the California Department of Health Services Regulations , found in Titles 17 and 22 of the California Code of Regulations. ALTERNATIVES Not Applicable CEQA FINDINGS Not Applicable ATTACHMENTS Attachment 1- Backflow Prevention Policy (SAFETY-POL-115) R:depMgenda\Board Agenda Repons\2004 Board Agenda ReportsWWVtern 14(g).SAFETY•POL-115.doc Revised: 8,120/01 Page 2 • f a c7 ORANGE COUNTY SANITATION DISTRICT Safety and Health Division DRAFT SAFETY POL-115 Backf low Prevention APPROVALS Approved by: Date: Director of Human Resources Approved by: Date: Manager, Human Resources Approved by: Date: Safety and Health Supervisor PROCEDURE REVISION HISTORY Rev. Date Approval 0 This document is controlled when viewed online. When downloaded and printed, this document becomes UNCONTROLLED, and users should check the Safety and Emergency Response public folder to ensure that they have the latest version. Backflow Prevention SAFETY-POL-115 Contents Purposeand Scope.......................................................................................................3 Prerequisites .................................................................................................................3 Precautions....................................................................................................................3 Definitions......................................................................................................................3 General...........................................................................................................................5 Instructions-New Construction....................................................................................5 Training and Communication.......................................................................................5 Recordkeeping..............................................................................................................6 References.....................................................................................................................6 Attachments ..................................................................................................................7 Rev. 0 Hard Copy Is Uncontrolled 10/25/03 2 of 7 h:ldept\agendalboard agenda reports\2004 board agenda reports\0204utem 14(g).i.doc Orange County Sanitation District Number: SAFETY-POL-115 Revision Number: 0 Backflow Prevention Program Date: Approved by: Purpose and Scope This policy has been developed to protect the Orange County Sanitation District (OCSD) water distribution system from contamination and/or pollution resulting from the backflow, back-siphonage or cross connection into a potable water service connection(s). The OCSD shall develop and implement a backflow prevention and cross connection program that complies with state and local regulations. This policy applies to all designs, installations, maintenance or testing function related to an OCSD water distribution system. This policy shall also act as the mechanism for compliance with existing OCSD specifications, policies and procedures while protecting employee and public health. Prerequisites 1. Connection to a potable water source. 2. Verify that this policy is the current version. Precautions 1. Cross connections to potable water supplies can lead to contaminated water supplies. Definitions Air Gap Separation (AG) A physical break between the supply line and a receiving vessel. Regulated Water Supply A water supply whose potability is regulated by a State or local health agency Auxiliary Water Supply Any water supply other than that received from an OCSD water system. AWWA Standard An official standard developed and approved by the American Water Works Association. Backflow A flow condition, caused by a differential in pressure Rev. Hard Copy Is Uncontrolled 12/30/01 3 of 7 h:\dept\agenda\board agenda reports\2004 board agenda reports\0204\item 14(g).1.doc Backflow Prevention SAFETY-POL-115 v that causes the flow of unapproved water or other contaminants into the potable supply source. Backsiphonage Backflow caused by negative or reduced pressure in the supply piping. Backpressure Backflow caused by positive or higher pressure in the user's system. Cross Connection An unprotected actual or potential connection between a potable water system used to supply water for drinking purposes and any source or system containing unapproved water or a substance that is not or cannot be approved as safe, wholesome and potable. By-pass arrangements, jumper connections, removable sections, swivel or changeover devices or other devices through which backflow could occur, shall be considered cross-connections. Double Check Valve An assembly of at least two independently acting check valves including tightly closing shut-off valves on each side of the check valve assembly and test cocks available for testing the water tightness of each check valve. Recycled Water A wastewater which as a result of treatment is suitable for uses other than potable use. Reduced Pressure Principle A backflow preventer incorporating not less than two check valves, an automatically operated differential relief valve located between the two check valves, a tightly closing shut-off on each side of the check valve assembly, and is equipped with the necessary test cocks for testing. User Connection The point of connection of a user's piping to the water supplier's facilities. Water Supplier The person or entity who owns or operates a public water system. Water User Any person or entity obtaining water from a public water supply. Rev. 0 Hard Copy Is Uncontrolled 10/25/03 4 of 7 h:\dept\agenda\board agenda reports\2004 board agenda reports\020Atern 14(g).i.doc Backflow Prevention SAFETY-POL-115 General The OCSD shall install, operate, maintain and protect its water systems by controlling actual or potential cross-connections via: 1. Promoting elimination of existing or future cross-connections through scheduled inspections and regulation of water system construction and operation within OCSD facilities. 2. Properly installing and maintaining backflow preventers where actual or potential cross-connections exist to prevent backflow or back siphonage of contaminants or pollutants into OCSD water systems. 3. All installations shall comply with regulatory requirements and shall be commensurate with the degree of hazard that exists. Instructions-New Construction 1. Backflow prevention shall be installed in accordance with OCSD Specification, Sections 15100 and 15115. 2. The specifications shall include, but not be limited to, the following elements: A. Submittal of the job-specific backflow prevention devices. B. Submittal of the backflow preventer testing documentation. C. Identification of locations where the contractor's work will require use of a backflow preventer (specify type). 3. The Construction Inspector is responsible to ensure that backflow prevention devices are tested by an independent third party and copies of the test results are forwarded to the CMMS Group for inclusion into that system. Training and Communication 1. A training program to educate applicable OCSD staff on: A. The requirements of this policy; B. The operating procedures by which the program is implemented; and, C. Job-specific role(s)/responsibility(ies). Rev. 0 Hard Copy Is Uncontrolled 10/25/03 5 of 7 h:\dept\agenda\board agenda reports\2004 board agenda reports\0204\Rem 14(g).i.doc i Backflow Prevention SAFETY-POL-115 r Recordkeeping 1. A database within the Computer Maintenance Management System (CMMS) to properly inventory and maintain existing backflow preventers. 2. The database shall include "at will" backflow preventers, used on an as needed basis, and those currently in service on OCSD property. 3. This database should include, but not be limited to, the following elements: A. The name of the device B. Manufacturer C. Serial Number (manufacturer) D. Loop Tag Number (OCSD) E. Location (if in service) F. Date of purchase G. Date of manufacture H. Most recent certification test data I. Date of the next scheduled or required certification test 4. A list of approved backflow prevention assemblies which will be made available to OCSD employees and the public by written or electronic request. References OCSD Engineering Specifications, Sections 15100 and 15115 OCSD Engineering Guidelines, Chapters 2 and 6 OCSD Instrument and Equipment Tagging Procedure California Code of Regulations, Title 17, Chapter 5 California Code of Regulations, Title 22, Division 4 American Water Works Association, Standard C506 Water Recycling 2030: Recommendations of California's Recycled Water Task Force, California Department of Water Resources, June 2003 Rev. 0 Hard Copy Is Uncontrolled 10/25/03 6 of 7 h:\dept\agenda\board agenda reports\2004 board agenda reports\0204\itern 14(g).i.doc Backflow Prevention SAFETY-POL-115 Approved Backflow Prevention Assemblies for Service Isolation, California Department of Health Services, August 2002 Attachments California Health Laws Related to Recycled Water, "The Purple Book". Most Recent Edition. California Department of Health Services, Recycled Water Unit. Rev. 0 Hard Copy Is Uncontrolled 10/25/03 7 of 7 h:\dept\agenda\board agenda reports\2004 board agenda reports\0200tem 14(g).1.doc FAHR COMMITTEE Meeting Date To Bd.of Dir. 12/10/03 2/25/04 AGENDA REPORT Item Number Item Number FAHR03-108 14 h Orange County Sanitation District FROM: Carol Beekman, Communications Services Manager Originator: Dionne Kardos, Public Information Specialist SUBJECT: CORPORATE IDENTITY AND PUBLIC AWARENESS PROJECT GENERAL MANAGER'S RECOMMENDATION FAHR Committee Recommendation: Authorize the General Manager to solicit Requests for Proposals to conduct research services in connection with the Corporate Identity and Public Awareness Project, Specification No. CS-2003-16213D, in an amount not to exceed $50,000. General Manager's Recommendation to FAHR: Authorize the General Manager to solicit Requests for Proposal and subsequently award a Consultant Services Agreement for Corporate Identity and Public Awareness Project, Specification No. CS-2003-16213D, in the amount not to exceed $325,000. SUMMARY Staff discussed the five project components (see attachment). The FAHR Committee recommended conducting only the initial baseline research component and that the results from this research are presented for consideration at a future FAHR meeting. Staff estimates the research and report to be completed in approximately six months. The FAHR Committee had no recommendation as to the project's entire scope or budget, presently estimated to be $325,000. The FAHR will address this question only after the baseline research results are received. PRIOR COMMITTEE/BOARD ACTIONS None. This project was highlighted in the OCSD Communications Services Strategic Plan for Fiscal Year 2003-04, that was received and filed at the October 8, 2003 FAHR Committee Meeting and at the October 22, 2003 Board Meeting. PROJECT/CONTRACT COST SUMMARY S50,000 is estimated for the initial baseline research component in Phase 1 . The total estimated costs for Phase 1 is S125,000, budgeted in the current fiscal year's budget (Contractual Services category in the Communication Services Division). Expenditures during FY 2004-05 for Phase 2 work are estimated to be S200,000. BUDGETIMPACT ® This item has been budgeted. (PHASE 1 research component only: in Section 6,on page 12) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) H:\depl\agenda\Board Agenda Reports\2004 Board Agenda Reports\0204Utern 14(h).Corporate Identity.doc Revised: 0&04103 Page 1 ADDITIONAL INFORMATION The project's scope includes: seeking a qualified firm or consultant team to conduct customer awareness and perception surveys to gather baseline research information: reviewing and making recommendations to OCSD's current Corporate Identity System; and developing an implement plan for an educational marketing campaign to promote a positive agency image to the general public and target audiences in OCSD's service area. The first step to gather baseline information on customer, employee and stakeholder awareness and perception of OCSD is necessary to make recommendations regarding OCSD's current Corporate Identity System. OCSD has not conducted comprehensive, benchmark research on a large area of its service area and target audiences to find out the answers to these most basic questions, "does the public know who OCSD is" and "what OCSD does." Part of the assessment of the OCSD's Corporate Identity System will be to determine if the political will of stakeholders would embrace a name/identity change and if the agency is equipped—financially and from a human resources standpoint—to undergo a name/identity change that will need to be implemented throughout the entire agency. The goal of this project is to establish a corporate identity system that clearly communicates the Orange County Sanitation District's functions and vision. Project objectives include: Increase public awareness of who we are and what we do Have the public perceive us as the essential service we are Position ourselves within the community Reinforce our positive messages • Determine the needs and expectations of the community Increase stakeholder involvement This project is broken into two phases. Phase 1 includes the initial research work and assessment of OCSD's current corporate identity system. Phase 2 work deliverables are dependent on outcomes of Phase 1 , pending approval to proceed if a change to OCSD's name or identity is recommended. See attached Statement of Work for detailed project information. ALTERNATIVES No alternatives are proposed CEQA FINDINGS N/A ATTACHMENT 1 . Estimated Costs Based on Request for Information Proposals 2. DRAFT Scope of Work for the Corporate Identity and Public Awareness Project CB:dk H:ldept4agenda\Board Agenda Reports\2004 Board Agenda Reports102Mtem 14(h).Corporate Identity.doc Revised: 06iO4l03 Page 2 1 t ATTACHMENT December 10, 2003 ACTION ITEM: FAHR03-108 OCSD Corporate Identity and Public Awareness Project, Estimated Costs Based on Request for Information Proposals Project Components Estimated Cost 1. Initial Baseline Research $50,000 • 4 focus groups • 500 telephone surveys • one-on-one employee and board member interviews 2. Develop Corporate Identity Manual(includes review of current corporate identity system) $25,000 3. New Name/Logo/Identity Development $60,000 • Presentation and approval process with executive staff and board members • Name/logo trademark search • Final artwork 4. Public Awareness/Marketing Campaign(for new or existing identity) $140,000 • Internal—training for staff,workshop/event,Board/stakeholder event • External—letters/mailing to service area and stakeholders, public service announcements,media plan and event, launch ads/advertising,news/web site articles,displays 5. Final Validation Research $50,000 4 focus groups • 500 telephone surveys • one-on-one employee and board member interviews Total Estimated Project Budget NTE $325,000 NOTES: • $125,000 has been budgeted for this work in the current Fiscal Year 2003-04 budget.The remaining $200,000 will be a line item in the Fiscal Year 2004-05 budget. • Administrative costs,including reports/proposals,meetings and presentations are included in the estimated costs for each component above.Costs for creating new collateral material are not included in this project's budget. • A detailed breakdown of project tasks and deliverables are included in the Statement of Work on pages 51-55 of the agenda package. H:\dept\agenda\Board Agenda Reportst2004 Board Agenda Reports102041 tern 14(h).Corporate Identity.doc DRAFT 12/01/03 REQUEST FOR PROPOSALS (RFP) Corporate Identityand Public Awareness Proj* ect •{ S a N 1 Tgr�oy Q A o � v�vVv � FIOU E EN�`��� Orange County Sanitation District P.O. Box 8127 Fountain Valley, CA 92728-8127 (714) 962-2411 www.ocsd.com RFP ATTACHMENT A Statement of Work Statement of Work Corporate Identity and Public Awareness Project Table of Contents 1.0 Summary.......................................................................................................................................2 2.0 Background of the Orange County Sanitation District.................................................................2 3.0 Current Organizational Structure..................................................................................................2 4.0 Problem Statements......................................................................................................................3 5.0 Goal and Objectives of Project.....................................................................................................3 6.0 Project Timeframe........................................................................................................................3 7.0 Phase 1 Qualitative and Quantitative Research and Assessment.................................................3 ConductResearch Studies........................................................................................................3 Establish Customer and Stakeholder Baseline Information.....................................................4 Establish Strategic Positioning ................................................................................................4 Review of OCSD's Current Corporate Identity System..........................................................4 Assessment—No Name/Identity Change ................................................................................4 Assessment—Name/Identity Change is Recommended..........................................................4 8.o Phase 2 Rollout.............................................................................................................................4 Rollout—No Name/Identity Change.......................................................................................4 Rollout—Name/Identity Change is Recommended.................................................................5 9.0 Deliverables..................................................................................................................................5 Reportsand Proposals..............................................................................................................5 Final Logo/Identity Artwork(if applicable) ............................................................................5 Corporate Identity Standards Manual......................................................................................5 10.o General Requirements ..................................................................................................................5 ProjectManagement ................................................................................................................5 Meetings and Presentations......................................................................................................5 ProgressReports......................................................................................................................6 BillingRequirements...............................................................................................................6 Additional Requirements and Information..............................................................................6 ProjectCalendar.......................................................................................................................6 Al of 6 DRAFT 12/01/03 OCSD/GM/COM l30/CB:dk M:\Griphics\DOCS\Corp ID Project 2003\SOW_CorpIDstudy_1203_fmaldrafl.doc RFP ATTACHMENT A Statement of Work 1.0 Summary The Orange County Sanitation District(OCSD)is seeking a qualified firm or consultant team to conduct customer awareness and perception surveys to gather baseline information,review and make recommendations to OCSD's current Corporate Identity System,and implement an educational marketing campaign to promote a positive agency image and identity to the general public and target audiences in OCSD's service area. 2.0 Background of the Orange County Sanitation District The Orange County Sanitation District(OCSD)is a public agency responsible for regional wastewater collection, treatment and disposal from homes,businesses and industry in Orange County,California. Established in 1954,OCSD is the third largest wastewater treatment discharger west of the Mississippi River. OCSD owns and operates two wastewater treatment facilities and a 650-mile long sewer collections system. OCSD provides services to approximately 2.3 million people in 21 cities and three special districts in the northern and central portions of Orange County by treating 240 million gallons per day of wastewater.OCSD serves approximately 92 percent of the County's population with a service area of approximately 471 square miles,or 59 percent of the County. OCSD vision states,"to maintain world-class leadership in wastewater and water ,a„ resource management."The primary goals of the OCSD wastewater management -- -�� program are to protect Orange County's most valuable resources—the Santa Ana orarnge C.- River Watershed and the Pacific Ocean.Each day,OCSD employees,working as OCSD� caruomia environmental stewards,control air emissions,work to conserve and recycle Service, natural resources and monitor the impacts of wastewater discharge on marine life. Area In 1995,OCSD changed its logo identity to the current one used today.The logo J includes the words"protecting the environment."In July 1, 1998 the districts consolidated,and the agency's name was officially changed from the County Sanitation Districts of Orange County to the Orange County Sanitation District. For additional background information and current news,please reference our website at yti%tiv.ocsd.com and attached OCSD Communications Services Strategic Plan. Fiscal Year 1003-04. 3.0 Current Organizational Structure OCSD is governed by a 25-member Board of Directors that is comprised of representatives from 21 cities, unincorporated areas of the County and three special districts,including mayors of cities,members of city councils, directors of independent special districts,and one member from the Orange County Board of Supervisors.OCSD employs approximately 550 employees in seven departments—General Management, Finance and Purchasing,Human Resources,Technical Services,Engineering,Operations and Maintenance,and Information Technology.The departments are broken down into 22 divisions that perform a variety of different functions.OCSD employees can be generally categorized into four different groups as follows: Approx. Employee Group Number Examples of Job Titles Management&Supervisory 80 Directors,Managers, Supervisors,Foremen Professional ISO Engineers,Accountants,Buyers,Analysts,Scientists,Specialists Operations&Maintenance 185 Operators, Mechanics,Electricians,Welders, Builders,Technicians Support Personnel 105 Inspectors,Assistants, Secretaries,Aides,Clerks Also On-site: Consultants/Contractors—Engineers,Construction Workers,Program Managers Outsourced Services—Security Guards,Groundskeepers,Janitors A2 of 6 DRAFT 12/01/03 OCSD/GM/COM 130/CB:dk M:\Graphics\DOCS\Corp ID Project 2003\SOW_C'orplDstudN,_1203_finaldraft.doe RFP ATTACHMENT A Statement of Work ; OCSD's administrative office is located at Reclamation Plant No. 1 at the intersection of the Santa Ana River and the 405 Freeway in Fountain Valley,and its Wastewater Treatment Plant No.2 is located off Brookhurst Street near Pacific Coast Highway in Huntington Beach. 4.0 Problem Statements OCSD has been in operation well over 50 years in the same location.But does the public we service know who the Orange County Sanitation District is and what services we provide?Can the public recognize our logo?Does the public think we offer trash pickup and that we are part of the County?How well has OCSD educated the public on how vital our sewers and treatment plants are to the well-being of everyone,providing reliable service 24/7,protecting public health and preserving the ocean environment?Do they understand our position of being the third largest wastewater treatment plant west of the Mississippi River?Do they know all the services we provide,the environmental stewardship projects we are involved in,and our commitment to protecting water,land,air and energy resources? Does OCSD's current identity system portray our vision and operating philosophy?Is OCSD only portrayed to the public through local news articles,voiced only by a small minority of our service area? OCSD's primary audience for this project is its service area customers: 80%residential—homeowners,apartment dwellers,and 20%business and industry owners who pay permit fees(other target audiences listed in attached OCSD Communications Services Strategic Plan, Fiscal Year 2003-04).However,OCSD has indirect contact with its residential customers,who are billed for their sewer user fees twice a year as a line item on their property tax bill.A newsletter or informational piece is not mailed with the"bill"explaining what their money is paying for and the services we provide. We have not conducted comprehensive,benchmark research on a large area of our service area and target audiences to find out the answers to these most basic questions,"does the public know who we are and what we do,and how do they currently perceive OCSD and our services/roles to the community."Current limited research that was conducted is noted on page 5 and 6 of the attached OCSD Communications Services Strategic Plan,Fiscal Year 2003-04. 5.0 Goal and Objectives of Project The goal of this project is to establish a corporate identity system that clearly communicates the Orange County Sanitation District's functions and vision. Project objectives include: • Increase public awareness of who we are and what we do • Have the public perceive us as the essential service we are • Position ourselves within the community • Reinforce our positive messages • Determine the needs and expectations of the Community • Increase stakeholder involvement 6.0 Project Timeframe This project is broken into two phases.Phase 1 research work is estimated to begin in March 2004,for a period of four months from Notice to Proceed.The work period for Phase 2 is estimated to start in OCSD Fiscal Year 2004-05 starting July 1,2004 through June 30,2005.Phase 2 work deliverables are dependent on outcomes of Phase 1,and pending approval to proceed if a change to OCSD's name/identity is recommended. 7.0 Phase 1 Qualitative and Quantitative Research and Assessment—Tasks and Deliverables 7.1 Conduct Research Studies of: • OCSD's service area demographics and ethnic groups. • OCSD as referenced in the media,including past and current events from news articles,technical journals, broadcasts and OCSD press releases. • Peer review of OCSD to similar wastewater treatment agencies or publicly-owned treatment works by: (1)size,(2)county demographics,and(3)located in California. Include information on: — Target markets and messages A3 of 6 DRAFT 12/01/03 OCSD/GM/COM 130/CB:dk M:\Graphics\DOCS\Corp ID Project 2003\SOW CorpiDstudy_1203_fmaldmft.doc ` RFP ATTACHMENT A Statement of Work — Marketing effectiveness programs(awareness tracking,other effectiveness measurements) — Branding strategies and treatments 7.2 Establish Customer and Stakeholder Baseline Information—on customer awareness and image of OCSD. It shall cover,but not necessarily be limited to identity,image and awareness of OCSD,perceived strengths and weaknesses,public information/education efforts,and communication channels(best ways for OCSD to reach out). • External:conduct a minimum of four focus groups and 500 random telephone surveys with general public (customers)within OCSD's service area(specify how many cities,ethnic groups included),including representatives of other external OCSD target audiences. • Internal:conduct random surveys and one-on-one interviews with OCSD board members,general manager and employees to evaluate their opinion,and their perception of customer opinion,of OCSD's image and identity. 7.3 Establish Strategic Positioning • Review OCSD's current business strategy and position,stakeholder perceptions and future direction of our agency. • Report analysis of research findings. 7.4 Review of OCSD's Current Corporate Identity System—Conduct an audit of OCSD's identity system and branding strategies.Work shall include compiling and reviewing all logos and name applications,project associations,and branded collateral materials/items that are under OCSD's jurisdiction.A written recommendation of a strategy to increase consistency in brand connection between OCSD's services and outreach,projects and materials/items shall be submitted. Part of the assessment of the OCSD's Corporate Identity System will be to determine if the political will of stakeholders would embrace a name/identity change and if the agency is equipped—financially and from a human resources standpoint—to undergo a name/identity change that will need to be implemented throughout the entire agency. 7.5 Assessment—No Name/Identity Change • Create internal/external corporate identity standards manual. • Proposal for elements and schedule of a public awareness/marketing campaign to educate the community and continuously market OCSD messages.Proposal shall include cost,goals and objectives,duration, implementation plan,and plan for training and educating employees of key messages.The plan shall also include the means to evaluate campaign success with evaluation tool(s)to consider mediums used, frequency,how it is reaching/targeting individuals,the saturation/coverage of service area,and means for public feedback to evaluate effectiveness. 7.6 Assessment—Name/Identity Change is Recommended • Layout process and work plan for developing a new name and identity,and retain agreement to proceed. • Identify elements that would need to be changed with new identity,propose priorities,forecast length of time it would take and estimate the costs(changes and costs not included in this project's scope). • Submit proposal and timeframe for new identity rollout campaign.It shall include,but not necessarily be limited to internal and external workshops,examples of new stationary system,new collateral materials, PSAs and advertising and press kit/media materials. 8.0 Phase 2 Rollout—Tasks and Deliverables 8.1 Rollout—No Name/Identity Change • Implement marketing campaign. • Conduct a minimum of four follow-up focus groups and 500 telephone surveys to measure change in awareness of target audiences. A4 of 6 DRAFT 12/01/03 OCSD/GM/COM 130/CB:dk M:\Graphics\DOCS\Corp ID Project 2003\SOW_CorpIDstudy_1203_fmaldraft.doc RFP ATTACHMENT A Statement of Work 8.2 Rollout—Name/Identity Change is Recommended • Name and logo development. • Conduct presentations,selection procedure and approval process for new identity. • Conduct trademark search on new name/tagline and/or logo artwork. • Finalize final artwork. • Create internal/external corporate identity standards manual. • Develop launch plan and initial rollout campaign for new identity. • Implement rollout campaign of new identity internally and externally. • Conduct a minimum of four follow-up focus groups and 500 telephone surveys to measure change in awareness of target audiences. 9.0 Deliverables 9.1 Reports and Proposals—in MS Word or PDF format that includes an executive summary,separate reviews of findings for each element of the Statement of Work tasks,and appendices with raw or supporting documentation. 9.2 Final Logo/Identity Artwork(if applicable)—in PC-formatted CorelDraw or Illustrator vector files,other file types to be specified by OCSD graphics staff. 9.3 Corporate Identity Standards Manual—in MS Word or PDF format that includes,but is not limited to: • Name identity information. • Logo history/background and meaning. • Proper usage of name,acronym and references. • Proper usage of logo for various media applications. • Graphic design standards. • Boilerplate language(typical and news release versions). • Color palette and typography specifications. 10.0 General Requirements 10.1 Project Management—One project manager shall be designated as the key contact person to OCSD.This person will serve as the day-today contact and overall program coordinator.The project manager shall have the authority to make commitments and decisions that are binding to the consulting firm/team.The project manager for OCSD is Carol Beekman,Communications Division Manager.OCSD will assign a specified staff member(s)as the day-to-day contact during this project. 10.2 Meetings and Presentations—consultant will conduct regular standing meetings at OCSD's facilities and will specify how OCSD will be kept updated on project progress including work plan schedules and contact reports. • Project manager and project team to conduct a kickoff meeting with OCSD project staff within two weeks of Notice to Proceed. Include objectives,preliminary schedule and milestones for project. • Project manager to provide meeting agendas and progress reports prior to each meeting,and provide meeting minutes within three business days after meeting. • Project manager and/or project team to be available at OCSD's convenience for contingency meetings to address unforeseen events. • Project manager to give at least two formal presentations(one presentation to introduce project team members and firm/team's background,and one presentation on final project findings and recommendations) at a regularly scheduled OCSD department heads and general manager meeting(prescheduled every Monday morning between 8 AM and noon). A5 of DRAFT 12/01/03 OCSD/GM/COM 130/CB:dk M:\Graphics\DOCS\Corp ID Project 2003\SOW_CorpIDstudy_1203_frnaldraft.doc ` RFP ATTACHMENT A Statement of Work • Project manager to be available at OCSD's convenience to give at least two formal 1-hour presentations at a regularly scheduled OCSD Board Committee and/or Board of Directors Meeting(meetings prescheduled each month on Wednesday night between the hours of 5 PM and 9 PM). 10.3 Progress Reports—submit a formal monthly status report in MS Word.This document will include an executive summary on project's progress and status,detailed status on the work accomplished for that period, problems encountered,anticipated problems,budget update,work to be accomplished and future milestones. 10.4 Billing Requirements—invoices shall include detailed breakdown of all activities itemized and showing hours for all staff services,including administrative and support,by task with totals for each.Subconsultants work shall be broken down and shown in the same manner. 10.5 Additional Requirements and Information—copies and examples of OCSD's corporate identity system and collateral material will be provided upon award of contract.A tour of both treatment plant facilities will provided to the consultant fttm/team upon request.All documents submitted must be in either PDF format,MS Word,MS Excel,MS PowerPoint or MS Project format,unless specified otherwise. 10.6 Project Calendar—the days identified within this Scope of Work are workdays.Workdays are defined as all days that are not Saturday,Sunday,or legally observed holidays. Meetings with OCSD staff shall be scheduled from Monday through Thursday between the hours of 8 AM and 4 PM(exception is operations staff who maintain plant operations 24/7 and work a rotated 12-hour shift)and shall conform to OCSD work schedules. OCSD review periods shall not include legal observed holidays. A6of6 DRAFT 12/01/03 OCSD/GM/COM 130/CB:dk M:\Graphics\DOCS\Corp ID Project 2003\SOW_CorplDstudy_1203_fmaldraft.doc l ,I MINUTES OF SPECIAL WALKING TOUR OF THE GROUNDWATER REPLENISHMENT SYSTEM AND MEETING OF JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE OF THE ORANGE COUNTY SANITATION DISTRICT AND THE ORANGE COUNTY WATER DISTRICT January 12, 2004, 4:30 p.m. A Special Walking Tour of the Groundwater Replenishment System at the Orange County Water District facility began at 4:30 p.m. and concluded just prior to the regularly scheduled 5:30 p.m. meeting of the Joint Cooperative Committee. The following persons were present: OCSD Committee Members & Alternates OCWD Committee Members &Alternates Norman Eckenrode, Vice Chair Philip Anthony, Chair (absent) Shirley McCracken Paul Cook Brian Donahue Lawrence Kraemer, Jr. Brian Brady, Alternate No. 1 Kathryn Barr, Alternate No. 1 Paul Walker, Alternate No. 2 Brett Franklin, Alternate No. 2 Steve Anderson, Alternate No. 3 Richard Chavez, Alternate No. 3 (absent) OCSD Directors OCWD Directors John Collins Wes Bannister OCSD Staff OCWD Staff Blake Anderson, General Manager Virginia Grebbien, General Manager Ana Burkhart Craig Miller, Assistant General Manager Michael Markus, Program Manager Others Present Bill Everest, Design Manager Paul Brown, Camp Dresser & McKee, Inc. Shivaji Deshmukh, Senior Engineer Dick Corneille, Camp Dresser & McKee, Inc. Mehul Patel, Senior Engineer Debra Burris, DDB Engineering Joanne Daugherty, Engineer Abdul Rashidi, Montgomery Watson Harza Anthony Manzano, Principal Engineer David Mosher, Montgomery Watson Harza Ron Wildermuth, Director of Communications Brenda Deeley, Porter Novelli Jenny Wedge, Public Affairs Linda Martin, Porter Novelli Marilyn Kuga, Recording Secretary Iry Pickler, I.P.A. PLEDGE OF ALLEGIANCE Following the Pledge of Allegiance to the Flag, Vice Chair Norm Eckenrode called the meeting to order, CONSENT CALENDAR Upon motion duly made, seconded and carried, the Consent Calendar was approved as follows: 1. Minutes of Previous Meeting The Minutes of the December 1, 2003 Joint Cooperative Committee Meeting were approved as mailed. 2. Issuance of Change Order No. 1 to OCB Reprographics Purchase Order for Reprographic Services Recommended for OCWD approval at the January 21, 2004 Board meeting: Authorize issuance of Change Order No. 1 to OCB Reprographics Purchase Order No. 241375 in the amount of$50,000 for reprographic services. MATTERS FOR CONSIDERATION 3. Contract No. GWRS-2001-3 Southeast Barrier Pipeline (Mladen Buntich Construction Co., Inc.): Change Order No. 10 and Notice of Completion Senior Engineer Shivaji Deshmukh explained that the change order contingency for the Southeast Barrier Pipeline project had exceeded 10% with Change Order No. 10; therefore, it was being brought to the Committee for approval for an increase in contract price of$64,943 and an extension of time of 52 calendar days. When questioned regarding the difference between a change order and a potential change order, General Manager Virginia Grebbien confirmed that a potential change order is essentially a request from a contractor that has not yet been approved. She then directed the Committee's attention to a table entitled, Final Change Order Report, which detailed change order amounts and percentages, and which would be provided for the tracking of each project. Staff also assured the Committee that Pegasus School is happy with the landscaping and that a positive relationship has been established with them. Upon motion made by Director Cook, seconded by Director Barr and carried, the Committee recommended that the OCWD Board, at its January 21, 2004 meeting: 1. Authorize issuance of Change Order No. 10 to Contract No. GWRS-2001-3, Southeast Barrier Pipeline (Mladen Buntich), for an increase in the contract price of $64,943 and a 52-calendar-day extension to the contract completion date; and 2. Accept completion of work and authorize filing of Notice of Completion. 2 4. Contract No. GWRS-2163, Process Control System Pre-Selection Agreement (Westinghouse Process Control, Inc., an Emerson Company): Change Order No. 1 Engineer Laura Thomas reported that Westinghouse Process Control, Inc., an Emerson Company, was pre-selected as the Process Control System (PCS) supplier in October 2002 using the 30% design pricing structure of the Advanced Water Treatment Facility (AWTF). Now that the design is final, this contract needs to be increased by $1,065,350, bringing the updated cost for the PCS to $3,017,592, of which $2,793,363 would apply to the GWR System. Ms. Thomas added that staff is currently in the process of reviewing the Systems Integrator Statement of Qualifications. Upon motion made by Director Kraemer, seconded by Director Cook and carried, the Committee recommended that the OCWD Board, at its January 21, 2004 meeting: Authorize issuance of Change Order No. 1 to Contract No. GWRS-2163, Process Control System Pre-Selection Agreement, to Westinghouse Process Control, Inc., an Emerson Company, in the amount of$1,065,350 for a total contract amount of $3,017,592. INFORMATIONAL ITEMS 5. Proiect Schedule and Budget Update Mr. Markus updated the Committee on the status of the seven major contracts that comprise the Groundwater Replenishment System Project. With regard to the Advanced Water Treatment Facility (AWTF) contract, the Committee agreed with staffs determination that the bidding period on this project be extended four weeks to allow the contractors more time to evaluate the contract and put together a good, competitive bid. An AWTF Contract— Potential Bidders List was distributed for the Committee's review. 6. Construction Projects Progress Mr. Markus, referring to slides, reviewed the overall layout of the GWR System and reported on the status of the Southeast Barrier Pipeline and Initial Microfiltration/Site Power Distribution projects. A walking tour conducted just prior to this committee meeting covered the areas Mr. Markus discussed in this slide presentation. 7. Monthly Chanqe Order Update Mr. Markus reported that this new report is part of the change order policy and will be presented on a monthly basis to summarize the status of any change orders that have been executed the prior month. He added that details of this report can be found in the spiral-bound Monthly Progress Report that Montgomery Ward Harza consultant Abdul Rashidi produces. 3 8. Status Report • Public Information and Education Update— Communications Director Ron Wildermuth began his presentation with an update on recent outreach efforts, support letters received from minority clinics, his attendance at a WateReuse Conference wherein the issues of agency trust were discussed, and that a dedication ceremony is being scheduled for late February or early March for the GWR Unit 3 Pipeline project. Mr. Wildermuth then updated the Committee on recent and ongoing complaints made by residents of the nearby Ward Street neighborhood. The most recent issue was brought about when Southern California Edison (SCE) erected two poles in this neighborhood. Approximately 20 residents signed a letter petition, which they filed with the Public Utilities Corporation (PUC) claiming that SCE did not go through the proper procedures before they put the poles in place. The Committee conducted an in-depth discussion that addressed their concerns regarding constructions impacts to residents of this neighborhood. Staff confirmed that they immediately began addressing the issue of SCE's two poles, and will continue to work with neighbors on the ongoing issue of possible vibration damage to homes. The Committee emphasized the importance of maintaining a good relationship with these residents. DIRECTORS' ANNOUNCEMENTS/REPORTS Director Norm Eckenrode reported that he has been invited to speak to the Kiwanis Club in Garden Grove on February 12, 2004 and asked that he be provided with materials and supplies for this presentation. He also reported that the WateReuse Annual Conference will be held from February 25 — 27, 2004 at Universal City. GENERAL MANAGERS' ANNOUNCEMENTS/REPORTS Ms. Grebbien reported that legal counsel for both OCSD and OCWD have agreed that there is nothing to prohibit the concept of a combined campus, and that a meeting has been scheduled this Thursday to discuss the mechanics of this concept. General Manager Blake Anderson reported that OCSD would present to an upcoming JCC meeting, then to OCWD's Board, the coordination of major OCSD projects that coincide with completion of the GWR System due for completion in 2007. DETERMINATION OF ITEMS TO BE PLACED ON CONSENT CALENDAR FOR THE JANUARY 21, 2004 BOARD MEETING Items No. 2, 3 and 4 were approved for the Consent Calendar for the January 21, 2004 Board Meeting. 4 0 ADJOURNMENT The meeting was adjourned at 7:05 p.m. 5 BOARD OF DIRECTORS Meeting Date To Bd.of Dir. 02/25/04 AGENDA REPORT Item Number Item Number 15 b Orange County Sanitation District FROM: Dave Ludwin, Director of Engineering Originator: Wendy Sevenandt, Associate Engineer III SUBJECT: GROUNDWATER REPLENISHMENT SYSTEM, JOB NO. J-36, JOINT COOPERATIVE COMMITTEE NAME CHANGE GENERAL MANAGER'S RECOMMENDATION Authorize changing the name of the "Joint Groundwater Replenishment System Cooperative Committee" to the "GWR System Steering Committee." SUMMARY • In February 1997, the Joint Cooperative Committee was established to act as an advisory board for development of the Groundwater Replenishment System (GWR System). • On November 12, 2002, a joint operating agreement between the Orange County Sanitation District and the Orange County Water District was executed continuing the Joint Cooperative Committee (JCC). • The current name of the Committee does not clearly communicate the purpose of the Committee to outside stakeholders. • A proposal was put forth to the JCC to change the name of the "Joint Cooperative Committee" to the "GWR System Steering Committee." • The JCC recommends that the Boards approve the name change to the "GWR System Steering Committee." PRIOR COMMITTEE/BOARD ACTIONS October 23, 2002 — Approval of the Joint Exercise of Powers Agreement for the Development, Operation, and Maintenance of the Groundwater Replenishment System and the Green Acres between Orange County Water District and Orange County Sanitation District. September 24, 2003 — Approve Addendum No. 1 to the Joint Agreement. PROJECT/CONTRACT COST SUMMARY This name change does not impact project cost. ibdepttagenda\Board Agenda Reports12004 Board Agenda Reports\0204\1tem 15(b).GWRS Comm.doc Revised: 06/04/03 Page 1 BUDGETIMPACT ❑ This item has been budgeted. (Line item: ) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑'I Not applicable ADDITIONAL INFORMATION See attached Agenda Item Submittal to the Joint Cooperative Committee. ALTERNATIVES; By not approving this agenda item, the Board members would elect to keep original name of Joint Cooperative Committee. CEQA FINDINGS The Environmental Impact Report/Environmental Impact Statement (EIR/EIS) for the Groundwater Replenishment (GWR) System was certified by the Orange County Sanitation District (OCSD) and the Orange County Water District (OCWD) Board of Directors on March 24, 1999. Addendum No. 1 was approved by both Boards on March 28, 2001 . Addendum No. 2 was approved by OCSD on January 23, 2002, and by OCWD on January 16, 2002. Addendum No. 3 to the EIR was received and filed by the Joint Cooperative Committee on December 1 , 2003. ATTACHMENTS Agenda Item Submittal to the JCC re: Committee Name Change WTS:gc \\fi1er-1\ocsd\ntg1obaMgenda Draft Reports\Joint Boards\GWRS J-36 JCC name change 022504.doc H:\dept\agenda\Board Agenda Reporfs\2004 Board Agenda Reports\0204\I1em 15(b).GWRS Comm.doc Revised: 06/04l03 Page 2 AGENDA ITEM SUBMITTAL Meeting Date: February 9, 2004 Budgeted: Yes Funding Source: OCWD/OCSD/Grants To: Joint Groundwater Replenishment Program/Line Item No.: 501-5049-722.70-01 System Cooperative Committee Cost Estimate: N/A From: Virginia Grebbien General Counsel Approval: N/A Blake Anderson Project Report Approved: Yes CEQA Compliance: Yes Staff Contact: Ron Wildermuth Subject: COMMITTEE NAME CHANGE SUMMARY The current name of the Committee does not clearly communicate the purpose of the Committee to outside stakeholders. A proposal is being put forth to change the name of the "Joint Cooperative Committee" to one that more clearly identifies its purpose such as the "GWR System Steering Committee". RECOMMENDATION Agendize for the February 18 OCWD and February 25 OCSD Board Meetings: Approve changing the name of the "Joint Cooperative Committee" to the "GWR System Steering Committee". DISCUSSION/ANALYSIS The GWR System has moved into the construction phase and this Committee will be communicating with more outside stakeholders than they have in the past. The current title of the Committee is fairly non-descript and does not effectively communicate its function. It has been suggested that a more appropriate name for the Committee may be the "GWR System Steering Committee" since the purpose of the Committee is to guide the project through construction and into successful implementation. PRIOR COMMITTEE ACTIONS None. BOARD OF DIRECTORS Meeting Date To Bd.of Dir. 02/25/04 AGENDA REPORT item Number item Number 16 Orange County Sanitation District FROM: Davis Ludwin, Director of Engineering Originator: Milind Joshi, Project Manager SUBJECT: ABANDONMENT OF AIRBASE TRUNK SEWER - CALIFORNIA STREET CONTRACT NO. 6-13-3 GENERAL MANAGER'S RECOMMENDATION (1) Approve Plans and Specifications for Abandonment of Airbase Trunk Sewer - California Street, Contract No. 6-13-3, on file at the office of the Board Secretary-, (2) Approve Addendum No. 1 to the plans and specifications-, (3) Receive and file bid tabulation and recommendation-, and (4) Award a construction contract to Mike Prlich and Sons, Inc. for Abandonment of Airbase Trunk Sewer - California Street, Contract No. 6-13-3, for an amount not to exceed $507,610. SUMMARY • This contract is for abandonment of two existing sanitary sewer lines within California Street. • The project was designed by Boyle Engineering Corporation. The Plans and Specifications were completed on November 6, 2003. Sealed bids were received on December 16, 2003. Summary information on Contract No. 6-13-3 budget and bids are as follows: Project Budget.- $975,293 Construction Budget: $682,000 Engineer's Estimate: $680,000 Low Responsive Bid: $507,610 High Bid: $1 ,067,540 Number of Bids: 8 • The Director of Engineering recommends award of the construction contract to Mike Prlich and Sons, Inc. for an amount not to exceed $507,610. PRIOR COMMITTEE/BOARD ACTIONS None PROJECT/CONTRACT COST SUMMARY Authorization of $507,610 for the construction contract is being requested. This authorization is within the project construction phase budget. Please refer to the attached Budget Information Table for more information. Revised: 06/04/03 Page 1 The Budget Information Table does not reflect any design cost because the design for this project was completed under a separate contract (Contract No. 6-13). BUDGET IMPACT X This item has been budgeted. (Line item: 2003-04 Budget Book, Page 8-28) ❑ This item has been budgeted, but there are insufficient funds. ❑ This item has not been budgeted. ❑ Not applicable (information item) ADDITIONAL INFORMATION The project is needed because of the condition of the sanitary sewers that are being abandoned. The sewers have deteriorated internally and can no longer be cleaned. These sewers produce excessive odors due to the overall condition of the sewers and due to the low flows in the sewers. ALTERNATIVES None CEQA FINDINGS This project was included in the 1999 Strategic Plan Program EIR certified on October 27, 1999. ATTACHMENTS 1 . Budget Information Table 2. Bid Tabulation MJ:ba:eh:gc K\ntglobakAgenda Draft Reports\Joint Boards\6-13-3 Contract Award_022504.doc Revised: 06/04/03 Page 2 BUDGET INFORMATION TABLE ABANDONMENT OF AIR BASE TRUNK SEWERS - CALIFORNIA STREET CONTRACT NO. 6-13-3 ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED ESTIMATED PROJECT/PHASE AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION TOTAL EXPENDITURE EXPENDED TO BUDGET BUDGET INCREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE DATE(%) /DECREASE Phase 1 -Project Development $ $ $ - $ S $ $ 0% Phase 2-Preliminary Design $ $ $ $ S - $ $ $ 0% Phase 3-Design $ $ $ - $ S - $ - $ $ 0% Phase 4-Construction $ 794,000 $ 794,000 $ - $ 794,000 S 122,000 $ 507,610 $ 629,610 $ 1,492 0% Phase 5-Commissioning $ 55,000 $ 55,000 $ $ 55.000 S 25,000 $ 25,000 $ 4,771 19% Phase 6-Close-Out $ 20,157 $ 20,157 $ - $ 20.157 $ 10.000 $ 10,000 $ - 0% Phase 7-Contingency $ 106,136 $ 106,136 $ - $ 106,136 $ - 1 $ - $ - 0% PROJECT TOTAL $ 975,293 $ 975,293 $ - $ 975.293 S 157,000 $ 507,610 $ 664,610 $ 6.263 1% Reimbursable Costs PROJECT NET $ 975,293 $ 975,293 $ - $ 975,293 $ 157,000 $ 507,610 $ 664,610 $ 6.263 PSA/Contract Design PSA $ - $ S - $ - li: $ - $ - $ - $ Construction Contract S 682,000 $ 682,000 S - $ 682,000 $ - $ 507,610 $ 507,610 $ NOTE: The Phase 1 through Phase 3 for this project were completed as a part of the Design Contract No. 6-13. EDMS:003763751 Date December 16, 2003 11:00 a.m. ADDENDUM NO.: 1 BID TABULATION Abandonment of Airbase Trunk Sewer California Street Contract No. 6-13-3 Engineer's Estimate: $ 680,000 Construction Contract Budget: $682,000 CONTRACTOR TOTAL BID 1. Mike Prlich and Sons, Inc. $ 507,610.00 2. Metro Builders & Engineers Group Ltd. $ *618,513.20 3. So. Calif. Underground Contractors, Inc. $ 683,150.00 4. Clark Contracting Corporation $ 740,240.00 5. Valverde Construction, Inc. $ 789,552.00 6. Albert W. Davies, Inc. $ 938,077.00 7. ARB $ 952,652.00 8. KEC Engineering $ 1,067,540.00 1 have reviewed the proposals submitted for the above project and find that the low bid is a responsible bid. I, therefore, recommend award to Mike Prlich and Sons, Inc. in the bid amount of $507,610.00 as the lowest and best bid. *Corrected amount. (Metro Builders & Engi e s Group Ltd.) incorrect total was $671,378.60 J David A. Ludwin, P.E. Director of Engineering C:Tile NetWIP\6-13-3 Bid Tab.doc Revised 05/19/98 OCSD P.O.Box 8127 Fountain Valley,CA 92728-8127 • (714) 962-2411 I Environmental Stewardship L , ' E.~ W CD POOR- I P, -1 .11 79 10 Ill: W Wastewater Management 1 Table of Contents NO Section1 - Overview...................................................................................................................1 Section 2-Joint Operating Budget Review Chart of the Cost per Million Gallons by Department— Budget and Actual............................1 Chart of the Net Expenses by Major Category— Budget and Actual.....................................1 Divisional Contributions to Gallonage Charge.......................................................................2 Comparison of Expenses by Department..............................................................................3 Summary of Expenses by Major Category.............................................. Summary of Joint Operating Revenues by Line Item............................................................5 Summary of Expenses by Line Item......................................................................................6 Summary of Expenses by Treatment Process......................................................................8 Chart of Staffing Trends......................... Section 3 - Capital Improvement Program Review Capital Improvement Program Graphs by Type and Funding Source...................................1 Summary of Capital Improvement Construction Requirements - Current Year.....................2 Summary of Capital Improvement Construction Requirements - Project Life........................6 Section 4- Budget Review by Revenue Area Summary Budget Reviews -All Revenue Areas ...................................................................1 Consolidated Revenue Area Budget Review.........................................................................2 Revenue Area No. 14 Budget Review ..................................................................................3 Section 5— Self Insurance Budget Review tw General Liability Fund Budget Review ..................................................................................1 Workers' Compensation Fund Budget Review......................................................................2 kv izo bw FY 2003-04 Mid-Year Report IW This Page Intentionally Left Blank W W i r i.r overview Overview ' Mid-Year Financial Report December 31, 2003 .d The Finance Department is pleased to present the FY 2003-04 mid-year comprehensive financial report. This report provides the Directors, staff, and the general public with a comprehensive overview of the financial condition of the District and reports on the status of all capital projects in progress. A summary of the sections contained within this report is provided below. Joint Operating Budget Review: At December 31, 2003, 52.19 percent, or$40.19 million of the FY 2003-04 net joint operating budget of $77.01 million has been expended. Net operating expenses increased by $10.33 million from the same period last year, primarily due to 1) increased salaries, wages, and employee benefits as a result of thirty-five additional full-time equivalent employees, 2) increased costs of chemicals as a result of disinfecting the effluent, and 3) increased costs for biosolids removal due to providing more secondary treatment. The total cost per million gallons at December 31, 2003 is $899.98 based on flows of 44.66 billion gallons, or 242.72 million gallons per day. This is $58.35, or 6.93 percent above the budgeted cost per million gallons of $841.63. This higher cost per million gallons is primarily due to net expenses being 4.38 percent, or$1.69 million higher than the proportionate budget through December 31, 2003. The remaining increase is due to flows being 2.91 percent lower than the budgeted 250 million gallons per day. Some of the significant joint operating results as of December 31, 2003 include: • Salaries, Wages and Benefits—Overall, personnel costs are near to being on target �+ at 51.92 percent of budget through mid-year. Leave payoffs are at 112.72 percent due to annual accrued leave payouts occurring in December. Additionally, regular salaries are at 54.88 percent due to the salary increases implemented as of the kid latest MOU's being slightly higher than were anticipated when the budget was prepared. Salaries in the first six months also included MOU increases from July 2002 for many employees. It is anticipated that personnel costs will be slightly above budget at fiscal year-end. • Memberships — Membership expense totaled $236,300, or 100.08 percent of the ,..� $236,200 budget as of December 31 because nearly all of the District's memberships are paid in the first half of each year. These costs are expected to approximate budget at year-end. Operating Expenses— Overall operating expenses totaled $6,514,200, or 42.33 percent of the composite $15,390,750 budget. Chemicals comprise the majority of w these operating expenses. The increase in chemical costs is not as large as was anticipated when the budget was prepared. Based on current processes, chemical costs are anticipated to parallel the budget throughout the remainder of the year and to be at or below budget at year-end. Section 1 - Page 1 L FY 2003-04 Mid-Year Report i J. This Page Intentionally Left Blank Section 1 - Page 6 Overview w Mid-Year Financial Report December 31, 2003 The Finance Department is pleased to present the FY 2003-04 mid-year comprehensive financial report. This report provides the Directors, staff, and the general public with a comprehensive overview of the financial condition of the District and reports on the status of all capital projects in progress. A summary of the sections contained within this report is provided below. Joint Operating Budget Review: At December 31, 2003, 52.19 percent, or$40.19 million of the FY 2003-04 net joint operating budget of$77.01 million has been expended. Net operating expenses increased by$10.33 million from the same period last year, primarily due to 1) increased salaries, wages, and employee benefits as a result of thirty-five additional full-time equivalent employees, 2) increased costs of chemicals as a result of disinfecting the effluent, and 3) increased costs for biosolids - removal due to providing more secondary treatment. The total cost per million gallons at December 31, 2003 is $899.98 based on flows of 44.66 billion gallons, or 242.72 million gallons per day. This is $58.35, or 6.93 percent above the budgeted cost per million gallons of $841.63. This higher cost per million gallons is primarily due to net expenses being 4.38 percent, or$1.69 million higher than the proportionate budget through December 31, 2003. The remaining increase is due to flows being 2.91 percent lower than the budgeted 250 million gallons per day. Some of the significant joint operating results as of December 31, 2003 include: • Salaries, Wages and Benefits—Overall, personnel costs are near to being on target at 51.92 percent of budget through mid-year. Leave payoffs are at 112.72 percent due to annual accrued leave payouts occurring in December. Additionally, regular salaries are at 54.88 percent due to the salary increases implemented as of the latest MOU's being slightly higher than were anticipated when the budget was prepared. Salaries in the first six months also included MOU increases from July 2002 for many employees. It is anticipated that personnel costs will be slightly above budget at fiscal year-end. • Memberships— Membership expense totaled $236,300, or 100.08 percent of the $236,200 budget as of December 31 because nearly all of the District's memberships are paid in the first half of each year. These costs are expected to approximate budget at year-end. .id • Operating Expenses—Overall operating expenses totaled $6,514,200, or 42.33 percent of the composite $15,390,750 budget. Chemicals comprise the majority of „W these operating expenses. The increase in chemical costs is not as large as was anticipated when the budget was prepared. Based on current processes, chemical costs are anticipated to parallel the budget throughout the remainder of the year and to be at or below budget at year-end. Section 1 - Page 1 .d FY 2003-04 Mid-Year. Report • Professional Services — Overall professional services totaled $1,012,800, or 36.56 yam, percent of the composite $2,770,000 budget. Legal, Audit & Accounting, FIS Support, and Labor Negotiation Services are all higher than the proportionate budget through mid-year due to the majority of the services being provided early in i'7► the fiscal year. Other professional services such as Engineering, Software Program Consulting, Energy Consulting, and Industrial Hygiene Services are all proportionately low through mid-year due to being in the planning or request for proposal stages, having gotten started later in the fiscal year, or the need for the service being re-evaluated. It is anticipated that the overall costs for this category will increase in the third and fourth quarters of the fiscal year. • Research & Monitoring — Research & Monitoring costs totaled $864,500, or 52.62 u percent of the composite $1,643,000 budget. Due to the timing of when services are provided, Air Quality Monitoring has very few costs while Research costs are at - 63.98 percent of the budget through mid-year. It is anticipated that the overall costs for this category will continue to parallel the budget throughout the remainder of the year. • Utilities — Utilities costs totaled $2,551,400, or 54.66 percent of the composite $4,667,900 budget. These costs are proportionately high through December 31 due to higher than anticipated costs for electricity as a result of high meter readings. e Staff is working with Southern California Edison (SCE) regarding differences in District meter readings versus SCE meter readings. It is anticipated that the meter reading difference will be resolved and the cost for electricity will be more in line with the budget by the end of the fiscal year. • Insurance — Insurance expense totaled $405,100, or 32.41 percent of the $1,250,000 budget. This expense is lower than the proportionate budget through December 31 due to the budget being prepared prior to the actual premium costs and insurance coverage being known. Insurance expense is anticipated to total W approximately $810,000 at year-end. • Regulatory Operating Fees—At mid-year, regulatory operating fees totaled $210,500, or 102.57 percent of the $205,200 budget. This expense is proportionately higher than budget through mid-year due to the annual NPDES fee being $128,500 when it was budgeted at the FY 02-03 cost of$20,000. As a result, regulatory operating fees are expected to exceed the budget at year-end by approximately$100,000. • Other Non-operating Expense - At mid-year, other non-operating expenses are at $281,300, or 103.53 percent of the $271,700 budget. This expense mainly represents the identification of obsolete inventory items and is proportionately higher than budget through mid-year due to the obsolescence identification being performed during the first half of the fiscal year. This item is expected to approximate budget at year-end. w Section 1 - Page 2 Overview • Net Cost Allocation — Cost allocation totaled $9.76 million, or 42.37 percent of the $23.04 million budget. The allocation of costs to capital projects is expected to increase throughout the rest of the year as the District focuses on the design of •� secondary treatment facilities. • Power Sales Revenue — Power sales revenue is $23,200, or 5.95 percent of the $390,000 budget through December 31. This revenue is proportionately low due to potential problems with SCE's meters and the subsequent remittance of sales revenue. It is anticipated that the meter reading difference will be resolved and the revenue for electricity sales will be more in line with the budget by the end of the fiscal year. The summary of expenses by treatment process shows a 105.42 percent increase in the secondary treatment process from the same time period last year. This increase is a result of the emphasis placed on additional secondary treatment as the District progresses toward full secondary treatment of effluent. The summary of expenses by treatment process also shows a 334.24 percent increase in the utilities process from the same time period last year. This increase is a result of the extra power needed for the additional secondary treatment process. Comparison of Mid-Year Cost per Million Gallon Results With Year-End Actuals (Budget) Last Five Years 950 899.98 ..r 841.63 875 .r 800 730.32 725 682.17 650 575.42 563.09 "'- 575 523.74 51278. 488.57 500.75 500- .r 425 - - 99-00 0000=01 01-02 02_03 03_04 2nd Year 2nd Year 2nd Year 2nd Year 2nd Annual n.+ Qtr end Qv end Qtr end Qtr end Qtr Budget As demonstrated in the preceding graph, the cost per million gallons at mid-year was within 2.5 percent of year-end totals for fiscal years 1999-00, 2000-01 , and 2001-02 while the mid-year cost per million gallons was 6.5 percent below the year-end actual. Section 1 - Page 3 r FY 2003-04 Mid-Year Report Although FY 2003-04 appears to be an anomaly with mid-year costs being 6.93 percent above the annual budget, staff believe that overall joint operating costs will approximate budget by year-end. Section 2 - Page 1 provides a graphical comparison of each Department's actual contribution towards the gallonage charge through mid-year of FY 2003-04 and as budgeted for FY 2003-04. Page 1 also provides a budget to actual graphical comparison of revenues and expenses by major category. More detailed information is provided at the following locations: Section 2 - Page 2 provides for the divisional contributions to the gallonage charge through mid-year for the current and two prior years; Section 2 — Page 3 provides a comparison of expenses by department through December 31 for the current and two prior years; Section 2 — Page 4 provides a summary of expenses by major category through December 31 , 2003 and 2002; Section 2 — Page 5 provides a summary of joint operating revenues by line item through December 31 . 2003 and 2002: Section 2 — pages 6 and 7 provide a summary of expenses by line item through December 31 , 2003 and 2002; Section 2 — Page 8 provides a summary of expenses by treatment process through December 31 , 2003 and 2002; Section 2 — Page 9 provides staffing trends over the last five years including total positions authorized, actual positions filled, and vacant positions. Capital Outlay Review: $250,000.000 .r S200.000,000 $150.000,000 S100,000.000 $50.000,000 s0 12/31/03 Actual Projected 2003-04 2003-04 Capital Outlay Capital Outlay Capital Outlay Cashilow Budget S55,760,339 $145,453.800 $199,952,600 As depicted by the preceding chart, Capital Outlay expenditures totaled S55,760,300 or •-- 27.89 percent of the capital outlay cashflow budget for FY 2003-04 as of December 31 , 2003. Costs are proportionately low through mid-year as many projects are still in the design phase or have experienced various delays. Capital outlay costs are expected to be $145,453,800, or 72.74 percent of budget at year-end. Section 3 - Page 1 provides a graphical presentation on the dollar amount of capital expenditures incurred for each process category and a graphical presentation on the Section 1 - Page 4 Overview �; dollar amount of capital expenditures incurred for each major capital improvement funding source. 40 For more detailed information, Section 3 — Pages 2 through 5 provide a summary of the construction requirements of each project for the current year and Section 3— Pages 6 through 9 provide a summary of the construction requirements of each project over the project life. Budget Review by Revenue Areas: At December 31, 2003, revenues from all Revenue Areas totaled $372,570,400 million, or 77.36 percent of budget. Debt proceeds, the largest revenue source, was issued in August for$280 million and is at 100 percent of the budget. Tax allocation and subvention revenue, budgeted at $41.2 million, is at 60.00 percent of budget and Other User Fees, budgeted at $99.28 million is at 53.69 percent of budget. These revenues are anticipated to approximate budget at year-end. Capacity rights sales, budgeted at $6,195,000, are at 84.78 percent of budget at mid- year. During October, the District sold capacity rights to the Santa Ana Watershed Project Authority for$5.25 million. No additional capacity rights sales are anticipated for the year. The capital assessment to the Irvine Ranch Water District, budgeted at r^ $2,259,000 is at 70.36 percent of the budget at mid-year. This revenue is expected to approximate budget at year-end. '•' Connection fees, budgeted at $9.12 million, are at 35.71 percent of budget, or $3.26 million, due to lower than anticipated building activity within the member cities. Interest earnings are proportionately low through mid-year due to lower than anticipated interest rates. Expenses and outlays of all Revenue Areas totaled $125.48 million, or 38.44 percent of budget through mid-year. The costs incurred related to capital improvement projects are proportionately low at $55.76 million or 27.89 percent of budget, as previously explained in the Capital Outlay Section. All other expenses are near the proportionate budget through mid-year. Self-insurance Budget Reviews: The District is self-insured for portions of workers' compensation, property damage, and general liability. Separate fund accounting is utilized for the recording of revenue and expenses incurred in managing these liability claims. The revenues to these funds represent individual Revenue Area contributions "r based on flows. Expenses to these funds include actual claims paid, claims administration, and excess loss policies. a� The Self-Insurance Fund revenues totaled $1,857,400 or 49.84 percent of the $3,727,000 budget at December 31, while total expenses were $1,365,700 or 46.28 percent of the $2,951,000 budget. Section 1 - Page 5 FY 2003-04 Mid-Year Report - w This Page Intentionally Left Blank tow 4w Section 1 - Page 6 1 �a�na�v►�oC Ciu��eaa60 w -_Joint Operating Budget Review •r Cost per Million Gallons by Department Budget and Actual December 31, 2003 r_ $750 S675 •r $600 S525 S450 S375 5300 $225 $150 75 $$o Executive Finance Human Technical Engineering Operations& Information Management Resources Services Maintenance Technology ■Budget f Actual +� Net Expenses by Major Category Budget and Actual (in thousands) December 31, 2003 w= S55,000 S50,000 �.r $45,000 —--— 540,000 - — — -— $35,000 - --- — — —�-- --- -' $30,000 S25,000 — S20,000 $15.000 -— S10,000 - Woe $5,000 SO ot3 > y ,� a Cn m y y c a L c e6 c m > c C1 y W m f`p C C A C U U O v_ � X a` Ow 0 (n orn �' � ¢ '� mCc 2 m 4 w D_ 4Cr . L G U in O N rw ■Budget ■Actual Section 2 - Page 1 AW FY 2003-04 Mid-Year Report Summary of Expenses by Treatment Process For the Six Months Ended December 31, 2003 Increase Increase Actual Actual (Decrease) (Decrease) I V31103 I V31102 $ % Treatment Process: Preliminary Treatment $ 2,985,629 $ 2,619,686 $ 365,943 13.97% Primary Treatment 2,840,158 2,684,568 155,590 5.80% Secondary Treatment 3,948,671 1,922,239 2,026,432 105.42% Cryogenic Plant(Plant 2) 295,301 311,853 (16,552) -5.31% IJ Effluent Disposal 506,879 270,657 236,222 87.28% Solids Handling 15,618,832 12,239,273 3,379,559 27.61% ` t Cogeneration 4,214,787 3,867,769 347,018 8.97% Utilities 3,919,302 902,573 3,016,729 334.24% Electrical Distribution 478,655 357,713 120,942 33.81% Miscellaneous Buildings 2,616,348 2,163,208 453,140 20.95% Air Quality 799,302 758,846 40,456 5.33% Laboratory 3,419.535 3,014,911 404,624 13.42% Net Joint Operating Requirements 41,643,399 31,113,296 10,530,103 33.84% Less: Revenues (1,450,423) (1,249,515) (200,908) 16.08% Net Joint Operating Expenses $ 40,192,976 $ 29,863,781 $ 10,329,195 34.59% I, i L 1 Section 2-Page 8 U Joint Operating Budget Review Cost per Million Gallons by Department Budget and Actual December 31, 2003 $750 $675 ANN $600 S525 +40 S450 S375 S300 $225 $150 $75 $0 - Executive Finance Human Technical Engineering Operations& Information Management Resources Services Maintenance Technology ■Budget ■Actual oa. ..r Net Expenses by Major Category Budget and Actual (in thousands) December 31, 2003 "ow $55,000 $50,000 $45,000 w S40,000 $35,000 $30,000 $25,000 - -- -- - -- ^r $20,000 - — — - $15,000 -- $10,000 - SO N > y °a O 01 CM C N j y C y L Cp C pa U 0 y U O N A Zi U .2 U 2 O C C V7 U O y N d .0 d .� 67 C a C N d d .0 a d ai3 p m I E x rid � � Ow Urn 2 ) M ¢ ia � � ¢ Cr am ¢ w rL r a ro ■Budget ■Actual �, Section 2 - Page 1 U FY 2003-04 Mid-Year Report Divisional Contributions to Gallonage Charge For the Six Months Ended December 31, 6W 2003-04 12/31/01 12131102 Annual 12131/03 Actual Actual Budget Actual Flow in Million Gallons 43,285.85 43,777.51 91,500.00 44,660.00 Flow in Million Gallons per Day 235.25 237.92 250.00 242.72 I I General Manager's Department General Management Administration $ 14.34 $ 17.39 $ 13.84 $ 19.74 Administrative Services 10.32 9.21 8.59 8.24 t Communications 5.78 6.52 11.64 7.48 Subtotal 30.44 33.12 34.07 35.46 Finance Department Finance Administration 16.38 13.45 16.84 13.32 Accounting 17.49 18.15 20.16 20.31 Purchasing&Warehouse 13.60 15.06 17.56 17.92 Subtotal 47.47 46.66 54.56 51.55 Human Resources Department Human Resources Administration 13.14 5.99 7.13 9.63 Employee Development/Training - 3.09 7.69 5.71 Safety and Health 6.85 9.10 13.06 11.43 1 Human Resources - 5.77 6.09 6.47 4114 Subtotal 19.99 23.95 33.97 33.24 Technical Services Department Technical Services Administration 6.84 8.55 8.68 11.55 Environmental Compliance&Monitoring 43.25 36.30 42.08 42.15 Environmental Sciences Laboratory 42.89 50.17 60.50 56.49 Source Control 35.98 37.19 42.97 46.39 i Subtotal 128.96 132.21 154.23 156.58 Engineering Department Engineering Administration 6.15 6.63 5.25 5.72 Planning 15.14 10.82 15.38 16.72 I A Project Management Office 20.92 12.78 17.52 16.41 V Engineering and Construction 36.74 53.01 56.98 62.71 Subtotal 78.95 83.24 95.13 101.56 - Operations& Maintenance Department L Operations&Maintenance Administration 3.27 5.49 7.31 7.53 O&M Process Engineering 11.86 15.96 20.73 21.25 Plant No. 1 Operations 89.88 113.97 152.14 147.37 y Plant No.2 Operations 125.03 165.52 209.89 212.46 L Mechanical Maintenance&Power Production 100.58 100.84 120.11 135.30 Instrumentation&Electrical Maintenance 63.12 71.71 74.47 76.19 Air Quality&Special Projects 13.42 14.69 18.30 17.38 i Collection Facilities Maintenance 17.08 19.06 25.64 29.10 11.4 Plant Facilities Maintenance 52.67 51.33 54.94 57.21 Subtotal 476.91 558.57 683.53 703.79 Information Technology Department � 3 Information Technology Administration 9.36 6.91 3.34 3.67 Customer&Network Support 18.13 24.36 37.79 31.30 Programing &Database 12.62 13.23 17.15 17.40 Process Ctrl integration 12.53 15.07 17.96 16.52 i Subtotal 52.64 59.57 76.24 68.89 Total Joint Operating Expenses 835.36 937.32 1,131.73 1,151.07 Less: Cost Allocation (229.28) (226.61) (251.85) (218.61) j Net Joint Operating Requirements 606.08 710.71 879.88 932.46 Less:Revenues (30.66) (28.54) (38.25) (32.48) Net Joint Operating Expenses $ 575.42 $ 682.17 $ 841.63 $ 899.98 j Section 2- Page 2 I Joint Operating Budget Review Comparison of Expenses by Department For the Six Months Ended December 31, 2003-04 12/31/01 12/31/02 Year to Date Budget% Department and Division Actual Actual Budget 12/31/03 Realized General Manager's Department ✓ General Management Administration $ 620,800 $ 761,497 $ 1,266,600 $ 881,699 69.61% Administrative Services 446,905 402,993 785,570 368,014 46.85% Communications 250,104 285,404 1,065,130 334,251 31.38% Subtotal 1,317,809 1,449,894 3,117.300 1,583,964 50.81% Finance Department Finance Administration 709,236 588,821 1,541,200 594,915 38.60% Accounting 757,221 794,422 1,845,040 906,908 49.15% r1 Purchasing&Warehouse 588,845 659,106 1,606,650 800,198 49.81% Subtotal 2,055,302 2,042,349 4,992,890 2,302,021 46.11% Human Resources Department Human Resources Administration 568,799 262,066 652,300 429,936 65.91% Employee Development/Training - 135,196 703,920 255,059 36.23% Safety and Health 296,711 398,542 1,194,930 510,520 42.72% Human Resources - 252,496 557,160 289,157 51.90% ,.t Subtotal 865,510 1,048,300 3,108,310 1,484,672 47.76% Technical Services Department Technical Services Administration 296,285 374.316 794,440 515,720 64.92% Environmental Compliance&Monitoring 1,871,957 1,589,262 3,850,660 1,882,405 48.89% Environmental Sciences Laboratory 1,856,353 2,196,360 5,535,740 2,522,750 45.57% Source Control 1,557,599 1,628,141 3,931,900 2,071,690 52.69% Subtotal 5,582,194 5,788,079 14,112,740 6,992,565 49.55% Engineering Department Engineering Administration 266,126 290,137 480,200 255,258 53.16% Planning 655,490 473,536 1.407,070 746,839 53.08% Project Management Office 905,200 559,566 1,602,690 732,704 45.72% Engineering and Construction 1,590,118 2,320,628 5,213,930 2,800,522 53.71% Subtotal 3,416,934 3,643,867 8,703,890 4,535,323 52.11% Operations&Maintenance Department �.+ Operations&Maintenance Administration 141,573 240,549 668,800 336,380 50.30% O&M Process Engineering 513,155 698,906 1,896,460 949,168 50.05% Plant No. 1 Operations 3,890,704 4,989,506 13,921,130 6,581,389 47.28% Plant No. 2 Operations 5,411,512 7,245,769 19,204,630 9,488,285 49.41% 'r Mechanical Maintenance&Power Production 4.353,886 4,414,692 10,989,900 6,042,646 54.98% Instrumentation&Electrical Maintenance 2,732,144 3,139,346 6,814,140 3,402,470 49.93% Air Quality&Special Projects 580,945 643,080 1,674,170 776,260 46.37% Regional Assets&Services 739,296 834,440 2,346,300 1,299,532 55.39% Facilities Maintenance 2,279,675 2,247,185 5,027,460 2,554,901 50.82% Subtotal 20,642,890 24,453,473 62,542,990 31,431,031 50.26% Information Technology Department ewd Information Technology Administration 405,339 302,613 305,400 163,974 53.69% Customer&Network Support 784,980 1,066,428 3,457,350 1,397,855 40.43% Programing&Database 546,292 579,077 1,569,240 777,169 49.53% Process Ctrl Integration 542,534 659,833 1,642.990 737,789 44.91% Subtotal 2,279,145 2,607,951 6,974,980 3,076,787 44.11% Total Joint Operating Expenses 36,159,784 41,033,913 103,553,100 51,406,363 49.64% Less: Cost Allocation (9,924,797) (9,920,617) (23,043,600) (9,762,964) 42.37% rw Net Joint Operating Requirements 26,234,987 31,113,296 80,509,500 41,643,399 51.72% Less:Revenues (1,327,356) (1,249,515) (3,500,000) (1,450,423) 41.44% Net Joint Operating Expenses $ 24,907,631 $ 29,863,781 $ 77,009,500 $ 40,192,976 52.19% ow Section 2- Page 3 slr FY 2003-04 Mid-Year Report Summary of Expenses by Line Item For the Six Months Ended December 31, 2003 Expense %Expense Expense Increase Increase Budget Through Through Remaining Through (Decrease) (Decrease) Description 2003-04 12131/03 12/31/03 Budget 12/31/02 $ % Salaries,Wages&Benefits Salaries&Wages $ 42,630,100 $ 22,716,800 53.29% $ 19,913,300 $ 19,239,859 $ 3,476,941 18.07% AOL Employee Benefits: Retirement 5,512,000 2,775,082 50.35% 2,736,918 1,759,314 1,015,768 57.74% ( I Group Insurances 5,797,300 2,576,145 44.44% 3,221,155 2,240,199 335,946 15.00% i4L Tuition&Certification Reimb 101,190 29,222 28.88% 71,968 37,219 (7,997) -21.49% Uniform Rental 82,200 33,011 40.16% 49,189 38,382 (5,371) -13.99% Workers'Compensation 1.000,000 500,001 50.00% 499,999 249,997 250,004 100.00% Unemployment Insurance 26,100 3.448 13.21% 22,652 10,393 (6,945) -66.82% Total Benefits 12,518,790 5,916.909 47.26% 6,601,881 4,335,504 1,581,405 36.48% Salaries,Wages&Benefits 55,148,890 28,633,709 51.92% 26,515,181 23,575,363 5,058,346 21.46% I j Matl.Supply,&Services W Administrative Expenses Memberships 236,160 236,341 100.08% (181) 214,561 21,780 10.15% t Office Exp-Supplies 143,500 66,030 46.01% 77,470 53,163 12,867 24.20% c Office Expense-Other 90,100 29,455 32.69% 60,645 40,396 (10,941) -27.08% Small Computer Items 233,700 80,982 34.65% 152,718 124,684 (43,702) -35.05% Minor Furniture&Fixtures 164,930 102,589 62.20% 62,341 16,823 85,766 509.81% Printing&Publication Repro-In-House 299,600 169,170 56.47% 130,430 127,461 41,709 32.72% Printing-Outside 79,500 11,495 14.46% 68,005 15,302 (3,807) -24.88% Notices&Ads 41,900 17,270 41.22% 24,630 14,933 2,337 15.65% `Lw Photo Processing 5,170 2,707 52.36% 2,463 1,238 1,469 118.66% Training&Meetings 1-i Meetings 328,600 115,334 35.10% 213.266 140,585 (25,251) -17,96% Training 880,100 362,079 41,14% 518.021 197,991 164,088 82.88% Operating Expenses _ Chemical Coagulants 2,569,000 1,141,489 44.43% 1,427,511 888,874 252,615 28.42% Sulfide Control 3,598,000 1,280,977 35.60% 2,317,023 1,199,411 81,566 6.80% W Odor Control 1.959,700 620,045 31.64% 1,339,655 751,189 (131,144) -17.46% Disinfection 5.777,000 2.799,745 48.46% 2.977,255 1,966,567 833,178 42.37% Chemicals-Misc&Cogen 27,750 20,607 74.26% 7.143 4,371 16,236 371.45% 1 Gasoline,Diesel&Oil 303.800 106,609 35.09% 197,191 4,225 102.384 2423.29% �•i Tools 134,800 57,002 42.29% 77,798 125,090 (68,088) -54.43% Safety equipment/tools 109,500 75,201 68.68% 34,299 73,133 2,068 2.83% Solv, Paints&Jan.Supplies 48,000 38,186 79.55% 9,814 19,320 18,866 97.65% Lab Chemicals&Supplies 468,200 289,572 61.85% 178,628 194,733 94,839 48.70% Other Operating Supplies 371,000 73,379 19.78% 297,621 155,912 (82,533) -52.94% Property Tax Fees 24,000 11,395 47.48% 12,605 11,172 223 2.00% I I Contractual Services 1� Solids Removal 9,600,000 4,790,868 49.90% 4,809,132 3,133.031 1,657,837 52.91% Other Waste Disposal 631,000 312,991 49.60% 318,009 197,227 115,764 58.70% f Groundskeeping 220,000 87,051 39.57% 132,949 90,535 (3,484) -3.85% Janitorial 430,000 168,689 39.23% 261,311 139,620 29,069 20.82% Outside Lab Services 277,100 53,353 19.25% 223,747 72,534 (19,181) -26.44% Oxygen Plant Oper 340,000 157,764 46.40% 182,236 154,790 2,974 1.92% t I Temporary Services 720,500 308,684 42.84% 411,816 306,596 2,088 0.68% Security Services 250,000 113,740 45.50% 136,260 87,949 25,791 29.32% Other 291,750 84,657 29.02% 207,093 71,937 12,720 17.68% (Continued) Section 2 -Page 6 Joint Operating Budget Review t•+ Comparison of Expenses by Department For the Six Months Ended December 31, 2003-04 00' 12/31/01 12/31/02 Year to Date Budget% Department and Division Actual Actual Budget 12/31/03 Realized General Manager's Department icw General Management Administration $ 620,800 $ 761,497 $ 1,266,600 $ 881,699 69.61% Administrative Services 446,905 402,993 785,570 368,014 46.85% Communications 250,104 285,404 1,065.130 334,251 31.38% Subtotal 1,317,809 1,449,894 3,117,300 1,583,964 50.81% `.' Finance Department Finance Administration 709,236 588,821 1,541,200 594,915 38.60% Accounting 757,221 794,422 1,845,040 906,908 49.15% ,e.,, Purchasing&Warehouse 588,845 659,106 1,606,650 800,198 49.81% Subtotal 2,055,302 2,042,349 4,992,890 2,302,021 46.11% Human Resources Department Human Resources Administration 568,799 262,066 652.300 429,936 65.91% Employee Development/Training - 135,196 703,920 255,059 36.23% Safety and Health 296,711 398,542 1,194,930 510,520 42.72% Human Resources - 252,496 557,160 289,157 51.90% Subtotal 865,510 1,048,300 3,108,310 1,484,672 47.76% Technical Services Department Technical Services Administration 296,285 374,316 794.440 515,720 64.92% Environmental Compliance&Monitoring 1,871,957 1,589,262 3,850,660 1,882,405 48.89% Environmental Sciences Laboratory 1,856,353 2,196,360 5,535,740 2,522,750 45.57% Source Control 1,557,599 1,628,141 3,931.900 2,071,690 52.69% Subtotal 5,582,194 5,788,079 14,112,740 6,992,565 49.55% Engineering Department Engineering Administration 266,126 290,137 480,200 255,258 53.16% Planning 655,490 473,536 1,407,070 746,839 53.08% Project Management Office 905,200 559,566 1,602,690 732,704 45.72% Engineering and Construction 1,590,118 2,320,628 5,213,930 2,800,522 53,71% Subtotal 3,416,934 3,643,867 8,703,890 4,535,323 52.11% Operations&Maintenance Department Operations&Maintenance Administration 141,573 240,549 668,800 336,380 50.30% O&M Process Engineering 513,155 698,906 1,895,460 949,168 50.05% Plant No. 1 Operations 3,890,704 4,989,506 13,921,130 6,581,389 47.28% Plant No.2 Operations 5,411,512 7,245,769 19,204,630 9,488,285 49.41% Mechanical Maintenance&Power Production 4,353,886 4,414,692 10,989,900 6,042.646 54.98% Instrumentation&Electrical Maintenance 2,732,144 3,139,346 6,814,140 3,402,470 49.93% Air Quality&Special Projects 580,945 643,080 1,674,170 776,260 46.37% Regional Assets&Services 739,296 834,440 2,346,300 1,299,532 55.39% Facilities Maintenance 2,279,675 2,247,185 5,027,460 2,554.901 50.82% Subtotal 20,642,890 24,453,473 62,542,990 31,431,031 50.26% Information Technology Department +� Information Technology Administration 405,339 302,613 305,400 163,974 53.69% Customer&Network Support 784,980 1,066,428 3,457,350 1,397,855 40.43% Programing&Database 546,292 579,077 1,569,240 777,169 49.53% Process Ctri Integration 542,534 659,833 1,642,990 737,789 44.91% Subtotal 2,279,145 2,607,951 6,974,980 3,076,787 44.11% Total Joint Operating Expenses 36,159,784 41,033,913 103,553,100 51.405,363 49.64% Less: Cost Allocation (9,924,797) (9,920,617) (23,043,600) (9,762,964) 42.37% Net Joint Operating Requirements 26,234,987 31,113,296 80,509,500 41,643,399 51.72% Less:Revenues (1,327,356) (1,249,515) (3,500,000) (1,450,423) 41.44% Net Joint Operating Expenses $ 24,907,631 $ 29,863,781 $ 77,009,500 $ 40,192,976 52.19% er Section 2- Page 3 ad 1 FY 2003-04 Mid-Year Report W Summary of Expenses by Major Category l.r For the Six Months Ended December 31,2003 Expense Expense Increase Increase Percent Budget Through Through (Decrease) (Decrease) Budget Remaining Description 2003-04 12131/03 12/31/02 $ % Realized Budget Salary,Wages&Benefits $55,148,890 $28,633,709 $23,575,363 $ 5,058,346 21.46% 51.92% $26,515,181 Administrative Expenses 868,390 515,397 449,627 65,770 14.63% 59.35% 352,993 too Printing&Publication 426,170 200,642 158,934 41,708 26.24% 47.08% 225,528 Training&Meetings 1,208,700 477,413 338,576 138,837 41.01% 39.60% 731,287 Operating Expenses 15,390,750 6,514,207 5,393,997 1,120,210 20.77% 42.33% 8,876,543 Contractual Services 12,760,350 6,077,797 4,254,219 1,823,578 42,87% 47.63% 6,682,553 Professional Services 2,770,020 1,012,825 767,599 245,226 31.95% 36.56% 1,757,195 Research&Monitoring 1,643,000 864,544 799,721 64,823 8.11% 52.62% 778,456 Repairs&Maintenance 6,659,660 3,552,929 2,568,185 984,744 38.34% 53.35% 3,106,731 Utilities 4,667,900 2,551,418 2,012,534 538,884 26.78% 54.66% 2,116,482I Other Materials, - Supplies,&Services 2,009,270 1,005,482 715,158 290,324 40.60% 50.04% 1,003,788 Net Cost Allocation (23,043,600) (9,762,964) (9,920,617) 157,653 -1.59% 42.37% (13,280,636) Net J.O. Requirements 80,509,500 41,643,399 31,113,296 10,530,103 33.84% 51.72% 38,866,101 Revenues (3,500,000) (1,450,423) (1,249,515) (200,908) 16.08% 41.44% (2,049,577) Net J.O. Expenses $77,009,500 $40,192,976 $29,863,781 $10,329,195 34.59% 52.19% $36,816,524 Gallonage Flow(MG) 91,500.00 44,660.00 43,777.51 882.49 2.02% Gallonage Flow(MGD) 250.00 242.72 237.92 4.80 2.02% Gallonage Flow(Vs/MG) $841.63 $899.98 $682.17 $217.81 31.93% a� i � 1�1 w Section 2- Page 4 Joint Operating Budget Review Summary of Joint Operating Revenues by Line Item r+ For the Six Months Ended December 31, 2003 % Revenue Revenue Revenue Increase Increase Budget Through Through Remaining Through (Decrease) (Decrease) tow Description 2003-04 12/31/03 12/31/03 Budget 12/31/02 $ % Inter District Sewer Use $ 1,350,000 $ 776,676 57.53% $ 573,324 $ 570,802 $205,874 36.07% Wastehauler 460,000 228,470 49.67% 231.530 223,219 5,251 2.35% Sludge Disposal 850,000 294,391 34.63% 555,609 247,565 46,826 18.91% CNG Sales 300,000 84,241 28.08% 215,759 129,642 (45,401) -35.02% Other Sales - 7,187 N/A (7,187) 8,853 (1,666) -18.82% Rents&Leases 25,000 15,361 61.44% 9,639 14,813 548 3.70% General Non-Operating 125,000 20,906 16.72% 104,094 (3,330) 24,236 -727.81% Power Sales 390,000 23,191 5.95% 366,809 57,951 (34,760) -59.98% Total $ 3,500,000 $ 1,450,423 41.44% $2,049,577 $ 1,249,515 $200,908 16.08% r� +sd r.a r* u+� r�l Section 2 - Page 5 FY 2003-04 Mid-Year Report Summary of Expenses by Line Item For the Six Months Ended December 31,2003 Expense %Expense Expense Increase Increase Budget Through Through Remaining Through (Decrease) (Decrease) Description 2003-04 12/31103 12/31/03 Budget 12/31102 $ % Salaries,Wages&Benefits Salaries&Wages $ 42,630,100 $ 22,716,800 53,29% $ 19,913,300 $ 19.239,859 $ 3,476,941 18.07% Employee Benefits: Retirement 5,512,000 2,775,082 50.35% 2,736,918 1,759,314 1,015,768 57.74% Group Insurances 5,797.300 2,576,145 44.44% 3,221.155 2,240,199 335,946 15.00% Tuition&Certification Reimb 101,190 29,222 28.88% 71.968 37,219 (7,997) -21.49% Uniform Rental 82,200 33,011 40.16% 49,189 38,382 (5,371) -13.99% " Workers'Compensation 1.000,000 500.001 50.00% 499,999 249,997 250,004 100.OD% Unemployment Insurance 26,100 3.448 13.21% 22,652 10,393 (6,945) -66.82% S.d Total Benefits 12.518,790 5,916.909 47.26% 6,601,881 4,335,5D4 1,681,405 36.48% Salaries,Wages&Benefits 55,148,890 28,633.709 51.92% 26,515,181 23,575,363 5,058,346 21.46% W Matt,Supply,&Services Administrative Expenses Memberships 236,160 236,341 100.08% (181) 214,561 21,780 10.15% Office Exp-Supplies 143,500 66,030 46.01% 77,470 53,163 12,867 24.20% Office Expense-Other 90,100 29,455 32.69% 60,645 40,396 (10,941) -27.08% Small Computer Items 233,700 80,982 34.65% 152,718 124,684 (43,702) -35.05% Minor Furniture&Fixtures 164,930 102,589 62.20% 62,341 16,823 85,766 509.81% Printing&Publication Repro-In-House 299,600 169,170 56.47% 130,430 127,461 41,709 32.72% Printing-Outside 79,500 11,495 14.46% 68,005 15,302 (3,807) -24.88% Notices&Ads 41,900 17,270 41.22% 24,630 14,933 2,337 15.65% Photo Processing 5,170 2,707 52.36% 2,463 1,238 1,469 118.66% Training&Meetings Meetings 328,600 115,334 35.10% 213,266 140,585 (25,251) -17.96% Training 880,100 362,079 41.14% 518,021 197,991 164,088 82.88% Operating Expenses Chemical Coagulants 2,569,000 1,141,489 44.43% 1,427,511 888,874 252,615 28.42% Sulfide Control 3,598,000 1,280,977 35.60% 2,317,023 1,199,411 81,566 6.80% Odor Control 1,959,700 620,045 31.64% 1,339,655 751,189 (131,144) -17.469/6 Disinfection 5,777,000 2,799,745 48.46% 2,977,255 1,966,567 833,178 42.37% Chemicals-Misc&Cogen 27,750 20,607 74.26% 7,143 4,371 16,236 371.45% Gasoline,Diesel&Oil 303,800 106.609 35.09% 197,191 4,225 102,384 2423.29% Tools 134.800 57,002 42.29% 77,798 125,090 (68,088) -54.43% Safety equipment/tools 109,500 75,201 68.68% 34,299 73,133 2,068 2.83% Solv,Paints&Jan.Supplies 48,000 38,186 79.55% 9,814 19,320 18,866 97.65% Lab Chemicals&Supplies 468,200 289,572 61.85% 178,628 194,733 94,839 48.70% Other Operating Supplies 371,000 73,379 19.78% 297,621 155,912 (82,533) -52.94% Property Tax Fees 24,000 11,395 47.48% 12,605 11,172 223 2.00% Contractual Services 'aw Solids Removal 9,600,000 4,790,868 49.90% 4,809,132 3,133.031 1,657,837 52.91% Other Waste Disposal 631,000 312,991 49.60% 318,009 197,227 115,764 58.70% Groundskeeping 220,000 87,051 39.57% 132,949 90,535 (3,484) -3.85% Janitorial 430,000 168,689 39.23% 261,311 139,620 29,069 20.82% Outside Lab Services 277,100 53,353 19.25% 223,747 72,534 (19,181) -26.44% Oxygen Plant Oper 340,000 157,764 46.40% 182,236 154,790 2,974 1.92% Temporary Services 720,500 308,684 42.84% 411,816 306,596 2,088 0.68% 6J Security Services 250,000 113,740 45.50% 136,260 87,949 25,791 29.32% Other 291,750 84,657 29.02% 207,093 71,937 12,720 17.68% (Continued) 1.d Section 2 - Page 6 Im Joint Operating Budget Review two Summary of Expenses by Line Item For the Six Months Ended December 31, 2003 ,o Expense %Expense Expense Increase Increase Budget Through Through Remaining Through (Decrease) (Decrease) Description 2003-04 12/31/03 12/31/03 Budget 12/31/02 $ % Continued: �tl Professional Services Legal 457,000 254,626 55.72% 202,374 239,144 15,482 6.47% Audit&Accounting 75,000 47,800 63.73% 27,200 49,000 (1,200) -2.45% Engineering 280,400 75,412 26.89% 204,988 43,629 31,783 72.85% '~ Enviro Scientific Consulting 195,000 88,744 45.51% 106,256 96,912 (8,168) -8.43% FIS Support 237,540 160,360 67.51% 77,180 31,080 129,280 415.96% Software Prgm Consulting 155,000 15,906 10.26% 139,094 87,364 (71,458) -81.79% Energy Consulting 40,000 - 0.00% 40,000 - - WA Advocacy Efforts 328,000 161,247 49.16% 166,753 35,000 126,247 360.71% Industrial Hygiene Services 48,900 900 1.84% 48,000 1,818 (918) -50.50% Labor Negotiation Services 43,790 27,948 63,82% 15,842 25,201 2,747 10.90% �+ Other 909,390 179,882 19.78% 729,508 158,451 21,431 13.53% Research&Monitoring Environmental Monitoring 980,000 500,019 51.02% 479,981 465,021 34,998 7.53% Air Quality Monitoring 120,000 17,114 14.26% 102,886 2,381 14,733 618.77% Research 543,000 347,411 63.98% 195,589 332,319 15,092 4.54% Repairs&Maintenance !� Materials&Services 5,201,520 2,995,266 57.58% 2,206,254 1,978,432 1,016,834 51.40% Svc.Mtc.Agreements 1,458,140 557.663 38.24% 900,477 589,753 (32,090) -5.44% Utilities Telephone 198,600 112,572 56.68% 86,028 81,339 31,233 38.40% Diesel For Generators 12,000 9,395 78.29% 2,605 6,681 2,714 40.62% Natural Gas 1,889,100 883,357 46.76% 1,005,743 677,720 205,637 30.34% Power 1,356,200 951,281 70.14% 404,919 716,628 234,653 32.74% Water 1,212,000 594,813 49.08% 617,187 530,166 64,647 12.19% Other Operating Supplies Outside Equip Rental 50,700 23,544 46.44% 27,156 13,416 10,128 75.49% `y Insurance 1,250,000 405,144 32.41% 844,856 458,912 (53,768) -11.72% Freight 67,600 45,127 66.76% 22,473 32,647 12,480 38.23% Misc.Operating Expense 164,100 39,920 24.33% 124,180 106,756 (66,836) -62.61% too Regulatory Operating Fees 205,170 210,450 102.57% (5,280) 86,135 124,315 144.33% General Manager Contingency - - N/A - - - NIA Prior year reappropriation - - N/A - - - WA Other Non-Oper Expense 271,700 281,297 103.53% (9,597) 17,292 264,005 1526.75% Matls,Supp,&Serv. 48,404,210 22,772,654 47.05% 25,631,556 17,458,550 5,314,104 30.44% w+ Total Expenditures 103,553,100 51,406,363 49.64% 52,146,737 41,033,913 10,372,450 25.28% Less:Cost Allocation (23,043,600) (9,762,964) 42.37% (13,280,636) (9,920,617) 157,653 -1.59% NetJ.O.Requirements 80,509,500 41,643,399 51.72% 38,866,101 31,113,296 10,530,103 33.84% Less: Revenues (3,500,000) (1,450.423) 41.44% (2,049,577) (1,249,515) (200,908) 16.08% pt NetJ.O.Expenses $ 77,009,500 $ 40,192,976 52.19% $ 36,816,524 $ 29,863,781 $ 10,329,195 34.59% ad Section 2-Page 7 � r FY 2003-04 Mid-Year Report Summary of Expenses by Treatment Process For the Six Months Ended December 31,2003 Increase Increase Actual Actual (Decrease) (Decrease) 12131/03 12/31102 $ % � Treatment Process: Preliminary Treatment $ 2,985,629 $ 2.619,686 $ 365,943 13.97% Primary Treatment 2,840,158 2,684,568 155,590 5.80% Secondary Treatment 3,948,671 1,922,239 2,026,432 105.42% W Cryogenic Plant(Plant 2) 295,301 311,853 (16,552) -5.31% i Effluent Disposal 506,879 270,657 236,222 87.28% lw Solids Handling 15,618,832 12,239,273 3,379,559 27.61% �aJ Cogeneration 4,214,787 3,867,769 347,018 8.97% Utilities 3,919,302 902,573 3,016,729 334.24% Electrical Distribution 478,655 357,713 120,942 33.81% Miscellaneous Buildings 2,616,348 2,163,208 453,140 20.95% Air Quality 799,302 758,846 40,456 5.33% Laboratory 3,419,535 3,014,911 404.624 13.42% Net Joint Operating Requirements 41,643,399 31,113,296 10,530.103 33.84% Less: Revenues (1,450,423) (1,249,515) (200,908) 16.08% Net Joint Operating Expenses $ 40,192,976 $ 29,863,781 $ 10,329,195 34.59% 1w+ Ird Section 2-Page 8 ui Joint Operating Budget Review Staffing Trends Full Time Equivalents December 31, 2003 625 596 574 567 37 519 63 525 510 559 541 425 6/30/2000 6/30/2001 6/30/2002 6/30/2003 12/31/2003 ■Actual 13 Vacant At December 31 , 2003, the total head count was 568 employees, or a full time equivalency of 558.75. Section 2 - Page 9 FY 2003-04 Mid-Year Rep od 1 � i jf �..il 1 � Il This Page Intentionally Left Blank ILt ti f 1r,1 I Section 2-Page 10 I li i may, CIP Review Capital Improvement Program By Type and Funding Source For the Six Months Ended December 31, 2003 Miscellaneous Utility Support Systems Prior Year Old Projects 2°6 Treatment Projects 3°6 121,6 Solids Handling Collections 8 Digestion-196 Facilities Headworks-5°0 Odor Control - - Projects-1*6 Equipment 2% Ilk Primary Treatment 25% Water Management Projects-11°e Plant Automation Ocean 3,o Process Secondary Outjall Related Treatment Systems Special 6% 7% Projects-1% Total Capital Improvement Expenditure - $55,760,339 ... $17,583,525 Replacement/ Rehabilitation 32% S14,517,742 Improved Treatment 26% S3.419,607 Support 6*6 rwr S20.239,465 Additional Capacity — 369. Total Capital Improvement Expenditure - $55,760,339 Section 3 - Page 1 7 FY 2003-04 Mid-Year Report Summary of Capital Improvement Construction Requirements -Current Year For the Six Months Ended December 31, 2003 2003-04 2003-04 2003-04 Cashflow Actual at Projected Budget 12/31/03 Outlay Collection System Improvement Projects Collections Greenville Sullivan/Raitt STreet Manhole Rehab $ 5 5 tid Santa Ana Trunk Sewer Rehab. 165 200 Lower Main-Broadway MH Rehabilitation - - - Continuous Feed Chemical Treatment Facility 312.000 56,677 70,200 Trunk Sewer Mapping Project 900,000 238,897 485,200 Carbon Cnyn Sewer and Pump Stn.Abandonment 1,983,000 91,283 251,100 Santa Ana River Interceptor Relief Sewer - - - Santa Ana River Interceptor Realignment and Prot. 40183,000 205,615 311,400 Abandonment of the Existing SARI in SA River - - Abandonment of Yorba Linda Pump Station i Taft Branch Improvements Atwood Subtrunk Improvements Lower Santa Ana River Interceptor Improvements Euclid Relief Improvements-Reach"A" ' r Euclid Relief Improvements-Reach"B" W Santa Ana River Relief Sewer,Reach B Newhope-Placentia&Cypress Trunk Replacements - Upper&Lower Newhope-Placentia MH Rehabilitation SARI and South Anaheim Interceptor MH Rehabilitaiton Rehabilitation of the Magnolia Trunk Sewer Trask Branch of the Hoover-Western Subtrunk Rehabilitation of the Westside Pump Station 236,000 43,909 99,700 1 Westside Relief Interceptor/Los Alamitos MH Rehab - - - Rehabilitaiton of the Seal Beach and Edinger PS - - - Lining of 36"NPTB FM(Junc Box to 2nd Angle Pt.) 517,000 493,492 493,500 Replacement of Back Bay Trunk Sewer 357,000 (44,942) (44,900) 1 Balboa Trunk Sewer Rehabilitaiton - - - M•� Replacement of the Bitter Point Pump Station 1.515.000 38,699 238,700 _ Replacement of the Rocky Point Pump Station 1,000,000 150,925 2,971,800 Rehabilitation of the 14th Street Pump Station 190,000 45,206 269,200 V� Rehabilitation of the"A"Street Pump Station 281,000 295,632 473,000 Rehabilitation of the Bay Bridge Pump Station - 4,036 17,800 Rehabilitation of the Crystal Cove Pump Station 248,000 28,072 231.000 PCH FM Bitter Pt PS to Coast Trunk @ Bhurst&PCH 260,000 155,057 323,500 Big Canyon Trunk Sewer Rehab&Replacement 804.000 - - Abandonment of AB Trunk,Watson and Cal.Sewers 55,000 27,757 27,800 -- Abandonment of Airbase Trunk Sewer-California St 948,000 15,355 140,400 Abandonment of Airbase Trunk(Watson St)&College 3,110,000 - - Covey Lane Pump Station Abandonment 60.000 32,841 32.900 Sunflower interceptor Manhole Rehab 447.000 3,881 282.200 Gisler Redhill Trunk Sewer Relocation-Phase 1 145,000 475 54,700 Gisler-Redhill System Improvements,Reach B 337.000 48,469 269,100 Replacement of the College Ave Pump Station 212,000 61,801 116,000 - Rehabilitaiton of the MacArthur Pump Station 84,000 30,697 68,000 Tustin West/Lemon Heights Trunk Improvements 48,000 - - W Lower Gisler-Redhill Trunk Relocation and MH Rehab - Gisler Redhill Trunk Improv&Orange Trunk Improv 2,163,000 - -- i Upper Gisler-Redhill MH Rehabilitaiton&Campus Dr - - - Modifications to the Main Street Pump Station(28%) 236,040 194,419 252,900 Newland Street Intereptor Sewer Protection 112,000 365 54,500 Warner Avenue Relief Sewer 2,222,000 2,980,267 5,078.900 1 (Continued) Section 3 - Page 2 Wo CIP Review .r Summary of Capital Improvement Construction Requirements -Current Year For the Six Months Ended December 31,2003 2003-04 2003-04 2003-04 Cashflow Actual at Projected Budget 12/31/03 Outlay (Collections continued) Edinger/Bosla Chica Trunk Improvements _ - - Coast Trunk Sewer Rehabilitaiton 56,000 29,635 124,500 Facilities Engineering Projects-Collections 317,000 431,811 584,500 Bushard Trunk Sewer Rehabilitation 11.999,000 4,853,367 14,502,500 ,.� Pump Station P&IDS and Equipment Tagging 720,000 - 45,000 Additional Charges to CIP Closed at 6130/03 - 611,955 3,045,200 Subtotal-Collections 36,057,040 11,125,818 30,870,500 Revenue Area 14 Modifications to the Main Street Pump Station(72%) 606,960 499,933 650,300 Additional Charges to CIP Closed at 6/30/03 - Subtotal-Revenue Area 14 606,960 499,933 650,300 Total Collection System Improvement Projects 36,664,000 11,625,751 31,520,800 Treatment&Disposal Projects Collections Facilities Rehabilitate District Siphons By Adding Air Jumper 106,000 7,515 114,700 Replacement of the Ellis Ave Pump Station 1,999,000 277,403 642,100 Subtotal-Collections Facilities 2,105.000 284,918 756,800 Headworks PLC Programming and Integration 393,000 12,776 32,000 Sunflower Drive Replacement 87,000 26,432 155,000 Headworks Rehabilitation/Refurbishment - 1,176 1,200 Headworks Improvements at Plant No.2 4,561,000 2,585,886 6,859,400 Subtotal-Headworks 5,041,000 2,626,270 7,047,600 Primary Treatment Pri.Clarifiers 16-31&Related Facilities 14,660,000 13,368,302 21,991.900 Primary Treatment Rehab/Refurb 53,000 115.230 517,100 d Circular Clarifier Drive Replacement/Upgrade 1,142,000 1,172,487 1,823,700 Sludge Density Meter Upgrades 780,000 586 400,000 Subtotal-Primary Treatment 16,635,000 14,656,605 24,732,700 Secondary Treatment New Secondary Treatment System at Plant No.1 451,000 214,291 1,403,100 Trickling Filter Rehabilitation and New Clarifiers 12,000,000 2,862,256 10,255,900 Activated Sludge Plant Rehabilitation 350,000 139,836 1,801,600 Sec Treat Monitoring&Cntrl Sys Upgrad 5,560,000 116.913 1,456.100 Secondary Plant Rehabilitation 243,000 247.019 501,500 New Trickling Filters 100,000 - 739,600 Oxygen Plant Replacement/Rehabilitation Assess 40,000 13,016 306,900 Activated Sludge Aeration Basin Selector Study 788,000 20,438 60,000 Computer Modeling of Activated Sludge System 120,000 - 20,000 Subtotal-Secondary Treatment 19,652,000 3,613,769 16,544,700 Solids Handling&Digestion Sludge Digester Rehabilitation at Plant 1 519,000 42,385 232,400 Sludge Dewatering and Odor control at Plant 1 317,000 43,054 195,200 Ammonia Side Stream Treatment 557,000 - - Digesters,Centrifuge/Press&Cake Storage Hopper - - - Solids Storage and Truck Loading Facility 1,077,000 159,796 710,800 (Continued) Section 3- Page 3 ..1 FY 2003-04 Mid-Year Report Summary of Capital Improvement Construction Requirements-Project Life For the Six Months Ended December 31, 2003 Current Total Approved June 30,2003 Year Projected Remaining Project Accumulated Projected Cost at Future Budget Cost Cost June 30,2004 Budget Collection System Improvement Protects Colloctions Greenville Sullivan/Raitt STreet Manhole Rehab $ 3,269,000 $ - $ - $ - $ 3,269,000 Santa Ana Trunk Sewer Rehab. 14,638.000 403,673 200 403,873 14,234,127 Lower Main-Broadway MH Rehabilitation 1,467,000 - - - 1,467,000 Continuous Feed Chemical Treatment Facility 451,000 40 70,200 70,240 380,760 Trunk Sewer Mapping Project 2,013,000 1,620,747 485,200 2,105,947 (92,947) Carbon Cnyn Sewer and Pump Stn.Abandonment 3,467.000 356,375 251,100 607,475 2,859,525 j Santa Ana River Interceptor Relief Sewer 17,272,000 - - - 17,272,000 U Santa Ana River Interceptor Realignment and Prot. 63,620,000 2,334,141 311,400 2,645,541 60,974,459 Abandonment of the Existing SARI in SA River 8,456,000 151 - 151 8,455,849 Abandonment of Yorba Linda Pump Station 955,000 - - - 955.000 t Taft Branch Improvements 3,508,000 9,386 - 9,386 3,498,614 b.d Atwood Subtrunk Improvements 3,187,000 110,352 - 110,352 3,076,648 Lower Santa Ana River Interceptor Improvements 35,012,000 - - - 35,012,000 Euclid Relief Improvements-Reach"A" 20,856.000 13,510 - 13,510 20,842,490 Euclid Relief Improvements-Reach"B" 10,319,000 - - 10,319,000 Santa Ana River Relief Sewer,Reach B 32,702,000 - - - 32,702,000 Newhope-Placentia&Cypress Trunk Replacements 28,785,000 - - - 28,785,000 I Upper&Lower Newhope-Placentia MH Rehabilitation 4,351,000 - - - 4,351,000 L SARI and South Anaheim Interceptor MH Rehabilitaiton 3,087,000 - - - 3,087,000 Rehabilitation of the Magnolia Trunk Sewer 48,868,000 - - - 48,868,000 Trask Branch of the Hoover-Westem Subtrunk 1,410,000 - - - 1,410,000 Rehabilitation of the Westside Pump Station 2,991,000 199,375 99,700 299,075 2,691,925 (" Westside Relief Interceptor/Los Alamitos MH Rehab 17,136,000 - - - 17,136,000 Rehabilitaiton of the Seal Beach and Edinger PS 8,574,000 - - - 8,574,000 Lining of 36"NPTB FM(Junc Box to 2nd Angle Pt.) 1,996,000 1,348,522 493,500 1,842,022 153,978 Replacement of Back Bay Trunk Sewer 7,189,000 6,781,547 (44,900) 6.736,647 452,353 Balboa Trunk Sewer Rehabilitaiton 5,759,000 - - - 5,759,000 Replacement of the Bitter Point Pump Station 8,159,000 402,722 238,700 641,422 7,517,578 Replacement of the Rocky Point Pump Station 9,362,000 190,663 2,971,800 3.162.463 6.199,537 Rehabilitation of the 14th Street Pump Station 4,617,000 900,058 269,200 1,169,258 3.447,742 Rehabilitation of the"A"Street Pump Station 5,013,000 1,279,892 473,000 1,752,892 3,260,108 Rehabilitation of the Bay Bridge Pump Station 2,612,000 146,204 17,800 164,004 2,447.996 Rehabilitation of the Crystal Cove Pump Station 1,512,000 184,169 231,000 415,169 1,096,831 PCH FM Bitter Pt PS to Coast Trunk @ Bhurst&PCH 13,927,000 47,196 323,500 370,696 13,556,304 Big Canyon Trunk Sewer Rehab&Replacement 2,534.000 - - - 2,534,000 Abandonment of AB Trunk,Watson and Cal-Sewers 351,000 303,603 27,800 331,403 19,597 Abandonment of Airbase Trunk Sewer-California St 975.000 4,885 140,400 145,285 829,715 Abandonment of Airbase Trunk(Watson St)&College 3,276.000 - - - 3,276,000 Covey Lane Pump Station Abandonment 153,000 156,690 32.900 189,590 (36,590) ! Sunflower interceptor Manhole Rehab 3,991,000 566,134 282,200 848,334 3,142,666 Gisler Redhill Trunk Sewer Relocation-Phase 1 936,000 - 54,700 54,700 881,300 Gisler-Redhill System Improvements,Reach B 6,893.000 189,220 269,100 458,320 6,434,680 Replacement of the College Ave Pump Station 6,021,000 7,023 116,000 123,023 5,897,977 I Rehabilitaiton of the MacArthur Pump Station 2,355,000 25,691 68,000 93,691 2,261,309 Tustin West/Lemon Heights Trunk Improvements 5,926,000 - - - 5,926,000 Lower Gisler-Redhill Trunk Relocation and MH Rehab 6,615,000 - - - 6,615,000 - Gisler Redhill Trunk Improv&Orange Trunk Improv 23,561,000 - - - 23,561,000 ` 1 Upper Gisler-Redhill MH Rehabilitaiton&Campus Dr 2,121,000 - - - 2,121,000 1.1 Modifications to the Main Street Pump Station(28%) 271,320 18,455 252,900 271,355 (35) Newland Street Intereptor Sewer Protection 127,000 38,541 54,500 93,041 33,959 Warner Avenue Relief Sewer 7,480,000 692,136 5,078,900 5,771,036 1,708,964 LrJ (Continued) Section 3-Page 6 L Wo CIP Review ow Summary of Capital Improvement Construction Requirements -Current Year For the Six Months Ended December 31,2003 2003-04 2003-04 2003-04 rd Cashfiow Actual at Projected Budget 12131/03 Outlay (Collections continued) Edinger/Bosla Chica Trunk Improvements - - - k* Coast Trunk Sewer Rehabilitaiton 56,000 29,635 124,500 Facilities Engineering Projects-Collections 317,000 431,811 584,500 Bushard Trunk Sewer Rehabilitation 11,999,000 4,853,367 14,502,500 .M. Pump Station P&IDs and Equipment Tagging 720,000 - 45,000 Additional Charges to CIP Closed at 6/30103 - 611,955 3,045,200 Subtotal-Collections 36,057,040 11,125,818 30,870,500 low Revenue Area 14 Modifications to the Main Street Pump Station(72%) 606,960 499,933 650,300 Additional Charges to CIP Closed at 6/30/03 - Subtotal-Revenue Area 14 606,960 499,933 650,300 ow Total Collection System Improvement Projects 36,664,000 11,625,751 31,520,800 Treatment&Disposal Protects Collections Facilities Rehabilitate District Siphons By Adding Air Jumper 106,000 7,515 114,700 Replacement of the Ellis Ave Pump Station 1,999,000 277,403 642,100 Subtotal-Collections Facilities 2,105.000 284,918 756,800 Headworks PLC Programming and Integration 393,000 12,776 32,000 Sunflower Drive Replacement 87,000 26,432 155.000 Headworks Rehabilitation/Refurbishment - 1,176 1,200 Headworks Improvements at Plant No.2 4,561,000 2,585,886 6,859,400 Subtotal-Headworks 5,041,000 2,626,270 7,047,600 Primary Treatment Pri.Clarifiers 16-31 &Related Facilities 14,660,000 13,368,302 21,991.900 Primary Treatment Rehab/Refurb 53,000 115,230 517,100 ow Circular Clarifier Drive Replacement/Upgrade 1.142,000 1,172,487 1,823,700 Sludge Density Meter Upgrades 780,000 586 400,000 Subtotal-Primary Treatment 16,635,000 14,656,605 24,732,700 �..r Secondary Treatment New Secondary Treatment System at Plant No.1 451,000 214,291 1,403,100 Trickling Filter Rehabilitation and New Clarifiers 12,000,000 2,862,256 10,255,900 Activated Sludge Plant Rehabilitation 350,000 139,836 1,801,600 Sec Treat Monitoring&Cntrl Sys Upgrad 5,560,000 116,913 1,456,100 Secondary Plant Rehabilitation 243,000 247,019 501,500 New Trickling Filters 100,000 - 739.600 *d Oxygen Plant Replacement/Rehabilitation Assess 40,000 13,016 306.900 Activated Sludge Aeration Basin Selector Study 788,000 20.438 60,000 Computer Modeling of Activated Sludge System 120,000 - 20,000 Subtotal-Secondary Treatment 19,652,000 3,613,769 16,544,700_ +mod Solids Handling&Digestion Sludge Digester Rehabilitation at Plant 1 519,000 42,385 232,400 ar Sludge Dewatering and Odor control at Plant 1 317,000 43,054 195,200 Ammonia Side Stream Treatment 557,000 - - Digesters,Centrifuge/Press&Cake Storage Hopper - - - Solids Storage and Truck Loading Facility 1,077,000 159.796 710,800 (Continued) Section 3- Page 3 FY 2003-04 Mid-Year Report Summary of Capital Improvement Construction Requirements -Current Year tow For the Six Months Ended December 31, 2003 2003-04 2003-04 2003-04 Cashflow Actual at Projected tao Budget 12/31/03 Outlay (Solids Handling&Digestion continued) Digesters and Sludge Cake Hoppers at Plant 2 86,000 - 1,100 Digester Rehabilitation at Plant 2 264,000 207 142,200 Sludge Dewatering and Odor Control at Plant 2 - - - High Rate Digester Mix Pumps Mach.Seals 32,000 35,066 35,100 16� Sludge Grinder Replacement 20,000 - 20,000 Tule Ranch MaintBiosolids Management Needs 100,000 - 121,000 Subtotal-Solids Handling&Digestion 2,972,000 280,508 1,457,800 W Ocean Outfall Systems Peak Flow Management 1,500,000 169,778 1,060,400 Effluent Pumping Station Annex 8,001,000 432,927 2,203,900 Short Term Outfall Bacteria Reduction 3,651,000 2,987,854 3,018,200 NPDES Permit Renewal 355,000 38,934 114,000 Subtotal-Ocean Outfall Systems 13,507,000 3,629,493 6,396,500 Utility Systems Electrical Power System Single-line Diagrams 911,000 455 87,800 Standby Power and Reliability Modifications 5,045,000 653,087 2,434,400 Cable Tray Improvements at Plants 1 &2 1,116,000 12,020 228,800 Central Generation Automation 2,002,000 196,854 822,300 Area Classification Studies Implementation Plan 5,062,000 66,702 6,955,900 Plant 1 66kV Substation 102,000 77 39,500 Gas Compressor Addition at Plant No.2 193,000 54,983 123,200 Utilities Rehabilitation and Refurbishment 1,478,000 62,333 339,000 Fuel Station Replacement at Plant No.2 433,000 22,467 22,500 Electrical Equipment Refurbishment and Protection 197,000 13,875 339,800 Rehabilitation of Low Pressure Gas Holder 422,000 - 50,000 Indoor/Outdoor Lighting Study 127,000 2,037 90.000 - Plant 1 Plant water VFD Replacement 107,000 6,374 298,300 Subtotal-Utility Systems 17,195.000 1.091,264 11,831.500 Odor Control Related Projects Facilities Modifications for Odor Control 1,500,000 250,283 1,922,000 W Rehabilitation of Odor Control Facilities 711,000 150,955 1,411,000 Subtotal-Odor Control Related Projects 2,211,000 401,238 3,333,000 Plant Automation&Computerization Power Monitoring and Control Systems 169,000 210 288,500 Plant Reinvention/Automation Project 903,000 430,980 721,200 Document Management - 24,425 30.000 Data Integration 569,000 194,407 500,000 Strategic Information Architecture(SIA) 50,000 152 50,000 Intemet/intranet Development 235,000 13,677 235,000 CMMS System Replacement 250,000 - 200,000 Source Control Programming 600,000 192,470 430,000 Geographic Information System 423.000 34,332 400,000 _ SCADA System Replacement Study 300,000 - 150,000 SCADA Graphics Tagging Update 255,000 - - Lod Financial Information System Upgrade 880,000 637,462 880,000 Information Technology Disaster Recovery 304,000 - 10.000 - Network Equipment Upgrade 604,000 30,954 57,000 Subtotal Plant Automation&Computerization 5,542,000 1,559,069 3,951,700 Section 3- Page 4 ow CIP Review ,ow Summary of Capital Improvement Construction Requirements-Current Year For the Six Months Ended December 31, 2003 2003-04 2003-04 2003-04 wd Cashflow Actual at Projected Budget 12/31/03 Outlay Process Related Special Projects Standard Specifications Revisions and Updates 14.000 39 8,500 Effluent Pathogen Reduction Alternatives Plan 930,000 - 518,900 Plant O&M Manual and SOP Project-Phase 1 150,000 50,161 450,000 Hazardous Energy Control Procedures 296,000 114,074 250,000 Corrosion Management 3,761,000 48,655 75,000 Special Projects: Anoxic Gas Flotation(AGF) 268,000 42.283 50,000 Special Projects: Anaerobic Baffled Reactor(ABR) 469,000 12,033 22,000 Special Projects: Primary Effluent Filtration 110,000 519 1,000 use Special Projects: Oxygen Ionization/Odor Control 210,000 - - Special Projects: Microfiltralion/Primary Effluent 595,000 249,442 290,000 Special Projects: Dewatering Options Comparison 99,000 - - Special Projects: Biotrickling Filter(BTF) 48,000 90,438 161,000 Special Projects: Ammonia Reduction Options 277,000 Subtotal-Process Related Special Projects 7.227,000 607,644 1,826,400 Miscellaneous&Support Projects Facilities Engineering Projects-Joint 1,145,000 18,335 579,000 Facilities Engineering Projects-Plant 1 1,145,000 140,912 697,700 Facilities Engineering Projects-Plant 2 1,145,000 174,775 730,400 *r Interim Fac Record&Eng Data Syst Maint Services 234,000 - 244,500 Supplemental Full Secondary Treatment CEQA Doc 153,000 - 215,100 Supplement No.1 to the 1999 Strategic Plan EIR 567,000 114.716 506,800 Long Range Biosolids Management Plan 2,669,000 362,165 905,700 Strategic Plan Update 1,420,000 113,089 712,000 Modifications to Existing Mach Systems 150,000 - - Building Rehabilitation/Refurbishment 929,000 - 282,300 Space Allocation and Interior Renovation 2,615,000 119,472 325,800 Laboratory Rehabilitation 169,000 20,445 110,900 Tenant Improvements to Rebuild Shop 89,000 37,484 59,400 Engineering Trailer Complex 166,000 215,407 228,900 Support Building Power System Modifications 205.000 - 59,200 Security System Improvements 569,000 19,916 40,000 Small Cap.Equip.Replacement Project 500,000 330,748 500,000 Asset Management Program 4,226,000 - 100.000 Warehouse Reinvention Project 190,000 23,150 75,000 Plume Modeling 128,000 30,000 90,000 Plant 2 Maintenance Building Modifications 300,000 - �,�,� Subtotal-Miscellaneous&Support Projects 18,714,000 1,720,614 6,462,700 Water Management Projects Groundwater Replenishment System 43.125,000 5,522,711 17,622,800 Water Conservation 506,000 380,661 491,900 Co-op Projects,Inflow/infilt.Reduction 4,000,000 - 402,000 Long Term Permanent Monitoring Program 713,000 322,884 324,100 Subtotal-Water Management Projects 48,344,000 6,226,256 18,840,800 sad Additional Charges to CIP Completed at 6130103 6,607,156 6,607,200 Total Treatment and Disposal Projects 159,145,000 43,304,804 109,789,400 Capital Equipment Purchases 4,143,600 829.784 4,143,600 Total Collections and Treatment&Disposal Projects and Capital Equipment Purchases $199,952,600 $55,760,339 $145,453,800 u.r Section 3- Page 5 FY 2003-04 Mid-Year Report Summary of Capital Improvement Construction Requirements-Project Life For the Six Months Ended December 31, 2003 Current Total Approved June 30,2003 Year Projected Remaining Project Accumulated Projected Cost at Future Budget Cost Cost June 30,2004 Budget Collection System Improvement Protects Collections Greenville Sullivan/Raitt STreet Manhole Rehab $ 3,269,000 $ - $ - $ - $ 3,269,000 Santa Ana Trunk Sewer Rehab. 14,638,000 403,673 200 403,873 14,234.127 Lower Main-Broadway MH Rehabilitation 1,467,000 - - - 1,467,000 { Continuous Feed Chemical Treatment Facility 451.000 40 70,200 70,240 380.760 Trunk Sewer Mapping Project 2,013,000 1,620,747 485,200 2,105,947 (92,947) - Carbon Cnyn Sewer and Pump Stn.Abandonment 3,467,000 356,375 251,100 607,475 2.859,525 Santa Ana River Interceptor Relief Sewer 17,272,000 - - - 17.272,000 6W Santa Ana River Interceptor Realignment and Prot. 63,620,000 2,334,141 311,400 2.645,541 60,974,459 Abandonment of the Existing SARI in SA River 8,456,000 151 - 151 8,455,849 Abandonment of Yorba Linda Pump Station 955,000 - - - 955,000 Taft Branch Improvements 3,508,000 9,386 - 9,386 3,498,614 w Atwood Subtrunk Improvements 3.187,000 110,352 - 110,352 3,076,648 Lower Santa Ana River Interceptor Improvements 35,012,000 - - - 35.012,000 Euclid Relief Improvements-Reach"A" 20,856,000 13,510 - 13,510 20.842,490 y� Euclid Relief Improvements-Reach"B" 10,319,000 - - 10,319,000 Santa Ana River Relief Sewer,Reach B 32,702,000 - - - 32,702,000 - Newhope-Placentia&Cypress Trunk Replacements 28,785,000 - - - 28,785,000 Upper&Lower Newhope-Placentia MH Rehabilitation 4,351,000 - - 4,351,000 I.d SARI and South Anaheim Interceptor MH Rehabilitaiton 3,087,000 - - 3,087,000 Rehabilitation of the Magnolia Trunk Sewer 48,868,000 - - 48,868,000 Trask Branch of the Hoover-Westem Subtrunk 1,410,000 - - - 1.410,000 Rehabilitation of the Westside Pump Station 2,991,000 199,375 99,700 299,075 2.691,925 Westside Relief Interceptor/Los Alamitos MH Rehab 17,135,000 - - - 17,136,000 Rehabilitaiton of the Seal Beach and Edinger PS 8,574,000 - - - 8,574,000 Lining of 36"NPTB FM(Junc Box to 2nd Angle Pt.) 1,996,000 1,348,522 493,500 1,842,022 153.978 Replacement of Back Bay Trunk Sewer 7,189,000 6,781,547 (44,900) 6,736,647 452,353 Balboa Trunk Sewer Rehabilitaiton 5,759,000 - - - 5,759,000 Replacement of the Bitter Point Pump Station 8,159,000 402.722 238,700 641,422 7,517,578 Replacement of the Rocky Point Pump Station 9.362,000 190,663 2,971,800 3,162,463 6,199,537 1.1 Rehabilitation of the 14th Street Pump Station 4,617,000 900,058 269,200 1,169,258 3,447,742 Rehabilitation of the"A"Street Pump Station 5,013,000 1,279,892 473,000 1,752,892 3,260,108 Rehabilitation of the Bay Bridge Pump Station 2,612,000 146,204 17,800 164,004 2,447,996 Rehabilitation of the Crystal Cove Pump Station 1,512,000 184,169 231.000 415,169 1,096,831 1.s1 PCH FM Bitter Pt PS to Coast Trunk @ Bhurst&PCH 13,927,000 47,196 323,500 370,696 13,556,304 Big Canyon Trunk Sewer Rehab&Replacement 2,534,000 - - - 2,534.000 Abandonment of AB Trunk,Watson and Cal.Sewers 351,000 303,603 27,800 331,403 19,597 IMd Abandonment of Airbase Trunk Sewer-Califomia St 975,000 4,885 140,400 145,285 829,715 Abandonment of Airbase Trunk(Watson St)&College 3,276,000 - - - 3,276,000 Covey Lane Pump Station Abandonment 153,000 156,690 32,900 189,590 (36,590) Sunflower interceptor Manhole Rehab 3,991,000 566,134 282,200 848,334 3,142,666 Gisler Redhill Trunk Sewer Relocation-Phase 1 936.000 - 54,700 54,700 881,300 Gisler-Redhill System Improvements,Reach B 6,893.000 189,220 269,100 458,320 6,434,680 Replacement of the College Ave Pump Station 6,021,000 7,023 116,000 123,023 5,897,977 Rehabilitaiton of the MacArthur Pump Station 2,355,000 25,691 68,000 93,691 2,261,309 %401 Tustin West/Lemon Heights Trunk Improvements 5,926,000 - - - 5,926,000 Lower Gisler-Redhill Trunk Relocation and MH Rehab 6,615,000 - - 6,615,000 -- Gisler Redhill Trunk Improv&Orange Trunk Improv 23,561,000 - - - 23,561,000 Upper Gisler-Redhill MH Rehabilitaiton&Campus Dr 2,121,000 - - - 2,121,000 I"'I Modifications to the Main Street Pump Station(28%) 271,320 18,455 252,900 271,355 (35) Newland Street Intereptor Sewer Protection 127,000 38,541 54,500 93,041 33,959 Warner Avenue Relief Sewer 7,480,000 692,136 5,078,900 5,771,036 1,708,964 W (Continued) Section 3-Page 6 l� CIP Review Summary of Capital Improvement Construction Requirements -Project Life For the Six Months Ended December 31,2003 Current Total Approved June 30,2003 Year Projected Remaining Project Accumulated Projected Cost at Future Budget Cost Cost June 30,2004 Budget (Collections continued) Edinger/Bosla Chica Trunk Improvements 2,126,000 - - - 2,126,000 Coast Trunk Sewer Rehabilitaiton 16,635,000 8,411 124,500 132,911 16,502,089 Facilities Engineering Projects-Collections 5,400.000 190,468 584,500 774,968 4.625,032 cur Bushard Trunk Sewer Rehabilitation 39,393,000 9,085,557 14,502,500 23,588,057 15.804,943 Pump Station P&IDs and Equipment Tagging 720,000 - 45,000 45,000 675,000 Additional Charges to CIP Closed at 6/30/03 69,541,725 8.798,331 3,045,200 11,843,531 57,698,194 Subtotal-Collections 603.942,045 36,413,868 30,870,500 67,284,368 536,657,677 Revenue Area 14 Modifications to the Main Street Pump Station(72%) 697,680 47,455 650,300 697,755 (75) Additional Charges to CIP Closed at 6/30/03 w.d Subtotal-Revenue Area 14 697,680 47,455 650,300 697,755 (75) Total Collection System Improvement Projects 604,639,725 36,461,323 31,520,800 67,982,123 536,657,602 Treatment&Disposal Proiects Collections Facilities Rehabilitate District Siphons By Adding Air Jumper 5,731,000 - 114,700 114,700 5,616,300 Replacement of the Ellis Ave Pump Station 33.837,000 678.122 642,100 1,320,222 32,516,778 Subtotal-Collection Facilities 39,568,000 678,122 756,800 1,434,922 38,133,078 Headworks PLC Programming and Integration 515,000 44,921 32,000 76,921 438,079 a.d Sunflower Drive Replacement 815,000 660,034 155,000 815,034 (34) Headworks Rehabilitation/Refurbishment 37,510,000 69,746 1,200 70,946 37,439,054 Headworks Improvements at Plant No.2 226.130,000 9,149,698 6,859,400 16,009,098 210,120,902 Subtotal-Headworks 264,970,000 9,924,399 7,047,600 16,971,999 247,998,001 Primary Treatment Pri.Clarifiers 16-31 &Related Facilities 88,561,000 43,987,660 21,991,900 65,979,560 22,681,440 Primary Treatment Rehab/Refurb 55,093,000 24,625 517,100 541,725 54,551,275 Circular Clarifier Drive Replacement/Upgrade 3,467,000 304,870 1,823,700 2,128,570 1,338,430 Sludge Density Meter Upgrades 800,000 21,126 400,000 421,126 378,874 Subtotal-Primary Treatment 147,921,000 44,338,281 24,732.700 69,070,981 78,850,019 Secondary Treatment New Secondary Treatment System at Plant No.1 251,100,000 - 1,403,100 1,403,100 249,696,900 Trickling Filter Rehabilitation and New Clarifiers 46,210,000 4,375,107 10,255,900 14,631,007 31,578,993 i..d Activated Sludge Plant Rehabilitation 23,870,000 15,716 1,801,600 1,817,316 22,052,684 Sec Treat Monitoring&Cntrl Sys Upgrad 8,703,000 569,267 1,456,100 2,025,367 6,677,633 Secondary Plant Rehabilitation 20,474,000 112,812 501,500 614,312 19,859,688 New Trickling Filters 128,727,000 - 739,600 739,600 127,987,400 "e Oxygen Plant ReplacemenURehabilitation Assess 2,145,000 109,901 306,900 416,801 1,728,199 Activated Sludge Aeration Basin Selector Study 945,000 97,459 60,000 157,459 787,541 Computer Modeling of Activated Sludge System 120.000 - 20,000 20,000 100,000 Subtotal-Secondary Treatment 482,294,000 5,280,262 16,544,700 21,824,962 460,469,038 Solids Handling&Digestion Sludge Digester Rehabilitation at Plant 1 30,223,000 - 232,400 232,400 29,990.600 r.r Sludge Dewatering and Odor control at Plant 1 62,905,000 - 195,200 195,200 62,709,800 Ammonia Side Stream Treatment 18,600,000 - - - 18,600,000 Digesters,Centrifuge/Press&Cake Storage Hopper 61,605,000 - - - 61,605,000 Solids Storage and Truck Loading Facility 14,582,000 13,561,758 710,800 14,272,558 309,442 am (Continued) Section 3- Page 7 ow FY 2003-04 Mid-Year Report Summary of Capital Improvement Construction Requirements-Project Life For the Six Months Ended December 31,2003 Current Total Approved June 30,2003 Year Projected Remaining w Project Accumulated Projected Cost at Future Budget Cost Cost June 30,2004 Budget (Solids Handling&Digestion continued) W Digesters and Sludge Cake Hoppers at Plant 2 42,325,000 1,100 1,100 42.323,900 Digester Rehabilitation at Plant 2 25,621,000 - 142,200 142,200 25,478,800 Sludge Dewatering and Odor Control at Plant 2 79,082,000 - - - 79,082,000 High Rate Digester Mix Pumps Mech.Seals 517,000 507,904 35,100 543,004 (26,004) Sludge Grinder Replacement 224,000 - 20,000 20,000 204,000 Tule Ranch Maint/Biosolids Management Needs 200,000 - 121,000 121,000 79,000 - Subtotal-Solids Handling&Digestion 335,884,000 14,069,662 1,457,800 15,527,462 320,356,538 Ocean Outfall Systems Peak Flow Management 11,257,000 1,026,649 1,060,400 2,087,049 9,169,951 Effluent Pumping Station Annex 50.757,000 4,256,790 2,203,900 6,460,690 44,296,310 Short Term Outfall Bacteria Reduction 7,578,000 4,760,267 3,018,200 7,778,467 (200,467) NPDES Permit Renewal 1,512,000_ 991,811 114,000 1,105,811 406,189 Subtotal-Ocean Outfall Systems 71,104,000 11,035,517 6,396.500 17,432,017 53,671,983 LJ Utility Systems Electrical Power System Single-line Diagrams 3,368,000 286 87,800 88.086 3,279,914 - Standby Power and Reliability Modifications 17,643,000 13,047,161 2,434,400 15.481,561 2,161,439 Cable Tray Improvements at Plants 1 &2 29,526,000 1,099,287 228,800 1,328,087 28,197.913 Central Generation Automation 8,038,000 627,390 822,300 1,449,690 6,588,310 Area Classification Studies Implementation Plan 21.283,000 338 6,955,900 6,956,238 14,326,762 Plant 1 66kV Substation 4,645,000 - 39,500 39,500 4,605,500 Gas Compressor Addition at Plant No.2 4,326,000 92,792 123,200 215,992 4,110,008 Utilities Rehabilitation and Refurbishment 4,929,000 818,037 339,000 1,157,037 3,771.963 Fuel Station Replacement at Plant No.2 3,231,000 4,411 22,500 26,911 3,204,089 Electrical Equipment Refurbishment and Protection 3,312,000 458 339,800 340,258 2,971,742 Rehabilitation of Low Pressure Gas Holder 422,000 - 50,000 50,000 372,000 Indoor/Outdoor Lighting Study 132,000 - 90,000 90,000 42,000 Plant 1 Plant Water VFD Replacement 2,334,000 - 298,300 298,300 2,035,700 Subtotal-Utility Systems 103,189,000 15,690,160 11,831,500 27,521,660 75,667,340 W Odor Control Related Projects Facilities Modifications for Odor Control 4,127,000 644,339 1,922,000 2,566,339 1,560,661 Rehabilitation of Odor Control Facilities 33,224,000 231,664 1,411,000 1,642,664 31,581,336 Subtotal-Odor Control Related Projects 37,351,000 876,003 3,333,000 4,209,003 33,141,997 Plant Automation&Computerization Power Monitoring and Control Systems 3,790,000 24,177 288,500 312,677 3,477,323 Plant Reinvention/Automation Project 21,915,000 13,536,780 721,200 14,257,980 7.657,020 _ Document Management 864,000 668,668 30,000 698,668 165,332 Data Integration 4,334,000 3,193,482 500,000 3,693,482 640,518 Strategic Information Architecture(SIA) 724,000 440,513 50.000 490,513 233,487 Intemet/Intranet Development 650,000 279,653 235,000 514,653 135,347 CMMS System Replacement 3,789,000 - 200,000 200,000 3,589,000 Source Control Programming 2,956,000 1,357,105 430,000 1,787.105 1.168,895 dal Geographic Information System 4,157,000 408,397 400,000 808,397 3,348,603 SCADA System Replacement Study 300,000 - 150,000 150,000 150,000 -- SCADA Graphics Tagging Update 425,000 49,169 - 49.169 375,831 Financial Information System Upgrade 3,213,000 1.591,361 880.000 2,471,361 741,639 (Rai Information Technology Disaster Recovery 332,000 34,075 10,000 44,075 287,925 Network Equipment Upgrade 2,901,000 1,145,146 57,000 1,202,146 1,698,854 Subtotal-Plant Automation&Computerization 50,350,000 22,728,526 3,951,700 26.680,226 23,669,774 Section 3- Page 8 lr� r CIP Review boo Summary of Capital Improvement Construction Requirements -Project Life For the Six Months Ended December 31,2003 Current Total "d Approved June 30,2003 Year Projected Remaining Project Accumulated Projected Cost at Future Budget Cost Cost June 30,2004 Budget Process Related Special Projects Standard Specifications Revisions and Updates 657,000 478,837 8,500 487,337 169,663 Effluent Pathogen Reduction Altematives Plan 1,549,000 - 518,900 518,900 1,030,100 Plant O&M Manual and SOP Project-Phase 1 4,000,000 329,004 450,000 779,004 3,220,996 Hazardous Energy Control Procedures 1,190,000 623.778 250,000 873,778 316,222 Corrosion Management 7,548,000 136,039 75,000 211,039 7,336,961 Special Projects: Anoxic Gas Flotation(AGF) 798,000 524,679 50,000 574,679 223.321 Special Projects: Anaerobic Baffled Reactor(ABR) 514,000 51,878 22,000 73,878 440,122 r Special Projects: Primary Effluent Filtration 470,000 419,428 1,000 420,428 49,572 Special Projects: Oxygen Ionization/Odor Control 210,000 - - - 210.000 Special Projects: Microfiltration/Primary Effluent 4,095,000 2,838,554 290,000 3,128,554 966,446 Special Projects: Dewatering Options Comparison 99,000 - - - 99,000 odd Special Projects: Biotrickling Filter(BTF) 328,000 399,605 161,000 560,606 (232,606) Special Projects: Ammonia Reduction Options 277,000 - - - 277,000 Subtotal-Process Related Special Projects 21,735.000 5,801,803 1,826,400 7,628,203 14,106,797 Miscellaneous&Support Projects Facilities Engineering Projects-Joint 18,200,000 254.903 579,000 833,903 17,366,097 Facilities Engineering Projects-Plant 1 18,200,000 242,999 697,700 940,699 17,259,301 .r Facilities Engineering Projects-Plant 2 18.200,000 293,995 730,400 1.024,395 17,175,605 Interim Fac Record&Eng Data Syst Maint Services 628,000 383,568 244,500 628,068 (68) Supplemental Full Secondary Treatment CEQA Doc 425,000 - 215,100 215,100 209,900 Supplement No.1 to the 1999 Strategic Plan EIR 832,000 316,272 506,800 823,072 8.928 for Long Range Biosolids Management Plan 2,833,000 584,297 905,700 1,489,997 1,343,003 Strategic Plan Update 3,419,000 360,033 712,000 1,072,033 2,346,967 Modifications to Existing Mech Systems 3,007,000 272,215 - 272,215 2,734,785 Building Rehabilitation/Refurbishment 1,455,000 169 282,300 282,469 1,172,531 "'r Space Allocation and Interior Renovation 16,388,000 648.491 325,800 974,291 15,413,709 Laboratory Rehabilitation 1,829,000 - 110,900 110,900 1.718,100 Tenant Improvements to Rebuild Shop 321,000 8,653 59,400 68,053 252,947 and Engineering Trailer Complex 2,006,000 1,978,444 228,900 2,207,344 (201,344) Support Building Power System Modifications 2,751,000 - 59,200 59,200 2,691,800 Security System Improvements 1,100,000 1,054,414 40,000 1,094,414 5,586 Small Cap.Equip.Replacement Project 3,000,000 1,638,532 500,000 2,138,532 861.468 y,d Asset Management Program 16,555,000 - 100.000 100,000 16,455,000 Warehouse Reinvention Project 600.000 83,290 75,000 158.290 441,710 Plume Modeling 377,000 134,764 90,000 224,764 152,236 Plant 2 Maintenance Building Modifications 300,000 - - 300,000 Subtotal-Miscellaneous&Support Projects 112,426,000 8,255,039 6.462,700 14,717,739 97,708,261 Water Management Projects Groundwater Replenishment System 236,206,000 15,447,736 17,622,800 33,070,536 203,135,464 Wd Water Conservation 4,644,000 2,886,237 491,900 3,378,137 1,265,863 Co-op Projects,Inflow/Infilt.Reduction 72,000,000 - 402,000 402,000 71,598,000 Long Term Permanent Monitoring Program 2,852,000 4,350,529 324,100 4,674,629 (1,822,629) Subtotal-Water Management Projects 315,702,000 22,684,502 18,840.800 41,525,302 274,176,698 Additional Charges to CIP Completed at 6/30103 142.178,333 83,124,031 6,607,200 89,731,231 52,447,102 Total Treatment and Disposal Projects 2,124,672,333 244,486,307_ 109,789,400 354,275,707 1,770,396,626 r.r Capital Equipment Purchases 4,143,600 - 4,143,600 4,143,600 - Total Collections and Treatment&Disposal Projects and Capital Equipment Purchases $2.733.455,658 $280,947,630 $145,453,800 $426.401,430 $2,307,054,228 00 Section 3-Page 9 +w FY 2003-04 Mid-Year Report 6w This Page Intentionally Left Blank L Section 3-Page 10 1.r � , L Marna?! �aad anuana� �� �� � � �-, �� � �. �� �, �=- �". �_ �— Budget Review by Revenue Area All Revenue Areas Operating and Capital Facilities Budget Review For the Six Months Ended December 31, 2003 Operating Budget Review �r 2003-04 Year-To- Remaining Year-To-Date Budget Date Budget %of Budget CASH RECEIPTS: �a Tax Allocations/Subventions(Share of 1%) $ 41,200,000 $ 24,719,256 $ 16,480,744 60.00% Other User Fees 99,277,000 53,304,791 45,972,209 53.69% Connection Fees 9,120,000 3,257,088 5,862,912 35.71% Sale of Capacity Rights 6,195,000 5,252,015 942,985 84.78% mob Capital Assessment(IRWD) 2,259,000 1,589,364 669,636 70.36% Debt Proceeds 280,000,000 280,000,000 - 100.00% Interest&Miscellaneous Revenue 43,534,000 4,447,846 39,086,154 10.22% ho Total Receipts $ 481,585,000 $372,570,360 $109,014,640 77.36% ,o CASH DISBURSEMENTS: Share of Joint Works Capital Improvements $ 161,184,000 $ 44,134,588 $117,049,412 27.38% Collection Activity Capital Improvements 38,769,000 11,625,751 27,143,249 29.99% 00 COP Retirement and Interest Expense 36,950,000 21,596,622 15,353,378 58.45% Share of Joint Works Operating Expenses 77,010,000 40,192,976 36,817,024 52.19% Revenue Area Operating &Other Expenses 12,500,000 7,929,479 4,570,521 63.44% ism Total Disbursements $ 326,413,000 $125,479,416 $200,933,584 38.44% Capital Facilities Budget Review Balance Adjustments Transfer to Balance 07/01/03 &Additions Fixed Assets 12/31/03 CONSTRUCTION IN PROGRESS: Collection Activity Construction in Progress $ 33,884,895 $ 11,625,751 $ - $ 45,510,646 ..r Share of Joint Works Treatment Plant CIP 210,329,344 44,134,588 - 254,463,932 Subtotal 244,214,239 55,760,339 - 299,974,578 PROPERTY, PLANT& EQUIPMENT(at cost): Land and Property Rights 10,398,595 - - 10,398,595 Collection Lines and Pump Stations 396,426,189 - - 396,426,189 �+ Treatment Facilities 650,908,862 - - 650,908,862 Disposal Facilities 90.161,860 - - 90,161,860 General Plant and Administrative Facilities 124,120,780 - - 124,120,780 Subtotal 1,272,016,286 - - 1,272,016,286 r Total Property, Plant&Equipment&CIP $1,516,230,525 $ 55,760,339 $ - $1,571,990,864 m Section 4- Page 1 FY 2003-04 Mid-Year Report Consolidated Revenue Area Operating and Capital Facilities Budget Review 'U' For the Six Months Ended December 31,2003 Operating Budget Review 2003-04 Year-To- Remaining Year-to-Date Budget Date Budget %of Budget CASH RECEIPTS: Tax Allocations/Subventions (Share of 1%) $ 41,200,000 $ 24,719,256 $ 16,480,744 60.00% Other User Fees 96,277,000 51,248,253 45,028,747 53.23% Connection Fees 9,120,000 3,257,088 5,862,912 35.71% Sale of Capacity Rights 6.004,000 5,252,015 751,985 - Capital Assessment(IRWD) - - - - �' Debt Proceeds 280,000,000 280,000,000 - 100.00% Interest&Miscellaneous Revenue 42,079,000 4,409,256 37,669,744 1d.48% Total Receipts $ 474,680,000 $368,885,868 $105,794,132 77.71% CASH DISBURSEMENTS: Share of Joint Works Capital Improvements $ 154,269,000 $ 42,779,656 $111,489,344 27.73% Collection Activity Capital Improvements 38,698,000 11,125,818 27,572,182 28.75% COP Retirement and Interest Expense 36,950,000 21,596,622 15,353,378 58.45% Share of Joint Works Operating Expenses 74,633,000 38,231,926 36,401,074 51.23% Revenue Area Operating&Other Expenses 12,193,000 7,754,418 4,438,582 63.60% Total Disbursements $ 316,743,000 $121,488,440 $195,254,560 38.36% ti Capital Facilities Budget Review Balance Adjustments Transfer to Balance 07/01/03 &Additions Fixed Assets 12/31/03 CONSTRUCTION IN PROGRESS: Collection Activity Construction in Progress $ 33,696,471 $ 11,125,818 $ - $ 44,822,289 Share of Joint Works Treatment Plant CIP 203,872,231 42,779,656 - 246,651,887 W Subtotal 237,568,702 53,905,474 - 291,474,176 PROPERTY, PLANT& EQUIPMENT(at cost): Land and Property Rights 9,891,731 - - 9,891,731 Collection Lines and Pump Stations 367,023,515 - - 367,023,515 Treatment Facilities 630,926,572 - - 630,926,572 Disposal Facilities 87,397,008 - - 87,397,008 General Plant and Administrative Facilities 120,330,717 - - 120.330,717 W Subtotal 1,215,569,543 - - 1,215,569,543 Total Property, Plant& Equipment&CIP $1,453,138,245 $ 53,905,474 $ - $1,507,043,719 � 1W Section 4- Page 2 ,l.r Budget Review by Revenue Area Revenue Area No. 14 Operating and Capital Facilities Budget Review For the Six Months Ended December 31, 2003 Operating Budget Review 2003-04 Year-To- Remaining Year-To-Date Budget Date Budget %of Budget CASH RECEIPTS: Tax Allocations/Subventions(Share of I%) $ - $ - $ - N/A Other User Fees 3,000,000 2,056,538 943,462 68.55% Connection Fees - - - N/A Sale of Capacity Rights 191,000 - 191,000 0.00% Capital Assessment(IRWD) 2,259,000 1,589,364 669,636 70.36% Debt Proceeds - - - N/A Interest&Miscellaneous Revenue 1,455,000 38,590 1,416,410 2.65% two Total Receipts $ 6,905.000 $ 3.684,492 $ 3,220,508 53.36% CASH DISBURSEMENTS: MW Share of Joint Works Capital Improvements $ 6,915,000 $ 1,354,932 $ 5,560,068 19.59% Collection Activity Capital Improvements 71,000 499,933 (428,933) 704,13% COP Retirement and Interest Expense - - - N/A Share of Joint Works Operating Expenses 2,377,000 1,961,050 415,950 82.50% Revenue Area Operating&Other Expenses 307,000 175,061 131,939 57.02% ,.0 Total Disbursements $ 9,670,000 $ 3,990,976 $ 5,679,024 41.27% ,o, Capital Facilities Budget Review Balance Adjustments Transfer to Balance 07/01/03 &Additions Fixed Assets 12/31/03 VAW CONSTRUCTION IN PROGRESS: Collection Activity.Construction in Progress $ 188,424 $ 499,933 $ - $ 688,357 Share of Joint Works Treatment Plant CIP 6,457,113 1,354,932 - 7,812,045 Subtotal 6,645,537 1,854,865 - 8,500,402 PROPERTY, PLANT&EQUIPMENT(at cost): Land and Property Rights 506,864 - - 506,864 Collection Lines and Pump Stations 29,402,674 - - 29,402,674 ua Treatment Facilities 19,982,290 - - 19,982,290 Disposal Facilities 2,764,852 - - 2,764,852 General Plant and Administrative Facilities 3,790,063 - - 3,790,063 "d Subtotal 56,446,743 - - 56,446,743 Total Property, Plant&Equipment&CIP $ 63,092,280 $ 1,854,865 $ - $ 64,947,145 Section 4- Page 3 INWO FY 2003-04 Mid-Year Report W bw 6w This Page Intentionally Left Blank W Li 61 W lrl wj Irl Section 4- Page 4 moixe l VMN Self Insurance Review General Liability Fund Budget Review For the Six Months Ended December 31,2003 tow Percent Actual of Budget Remaining Actual 2003-04 Through Through 2003-04 Through Increase Budget 12/31/03 12/31103 Budget 12/31/02 (Decrease) Revenues: In-Lieu Premiums $2,200,000 $1,350,000 61.36% $ 850,000 $950,000 $400,000 Interest&Miscellaneous 20,000 810 4.05% 19,190 19,558 (18,748) Allocation from Other Funds 500,000 6,468 1.29% 493,532 4,322 2,146 Total Revenues 2,720,000 1,357,278 49.90% 1,362,722 973,880 383,398 Expenses: be Benefits/Claims 300,000 66,298 22.10% 233,702 9,731 56,567 Contractual Services 1,000 600 60.00% 400 300 300 wi Legal Services 325,000 95,524 29.39% 229,476 156,369 (60,845) Professional Services 5,000 520 10.40% 4,480 1,475 (955) tow Service Department Allocation 1,550,000 708,996 45.74% 841,004 778,428 (69,432) Subtotal 2,181,000 871,938 39.98% 1,309,062 946,303 (74.365) Insurance premium 190,000 193,230 101.70% (3,230) 94,928 98,302 Total Expenses 2,371,000 1,065,168 44.92% 1,305,832 1,041,231 23,937 Excess Revenue(Expenses) 349,000 292,110 83.70% $ 56,890 (67,351) 359,461 Beginning Reserves 183,800 94,372 301,883 (207,511) Ending Reserves $ 532,800 $ 386,482 $234,532 $ 151.950 Section 5-Page 1 tnr FY 2003-04 Mid-Year Report Workers' Compensation Fund Budget Review lWJ For the Six Months Ended December 31, 2003 Percent Actual of Budget Remaining Actual 2003-04 Through Through 2003-04 Through Increase Budget 12/31/03 12/31/03 Budget 12/31/02 Decrease Revenues: t,d In-Lieu Premiums $1,000.000 $500,000 50.00% $500,000 $250,000 $250,000 Interest& Miscellaneous 7,000 154 2.20% 6,846 3,725 (3,571) Total Revenues 1,007,000 500,154 49.67% 506,846 253,725 246,429 Expenses: Benefits/Claims 350,000 183,944 52.56% 166,056 147,963 35,981 i.d Contractual Services 25,000 12,500 50.00% 12,500 10,417 2,083 Legal Services 25,000 7,155 28.62% 17,845 7,701 (546) Professional Services 25,000 7,885 31.54% 17,115 7,921 (36) Service Department Allocations 50,000 7,824 15.65% 42,176 11,928 (4,104) i.d Subtotal 475,000 219,308 46.17% 255,692 185,930 33,378 Insurance premium 105,000 81,194 77.33% 23,806 35,352 45,842 6mJ Total Expenses 580,000 300,502 51.81% 279,498 221,282 79,220 Excess Revenue(Expenses) 427,000 199,652 46.76% $227,348 32,443 167,209 LEE, Beginning Reserves 22,900 (32,841) (79,645) 46,804 Ending Reserves $ 449.900 $166,811 $ (47,202) $214,013 rrd iW Section 5- Page 2 ORANGE COUNTY SANITATION DISTRICT (714) 962-2411 www.ocsd.com Mailing Address: P.O. Box 8127 Fountain Valley, California 92728-8127 Street Address: 10844 Ellis Avenue Fountain Valley, California 92708-7018 OCSD 12/31/03