The URL can be used to link to this page

Home My WebLink About2004-03-24 pt 2phone: (714) 962-2411 fax: (714) 962-0356 www.ocsd.com mailing address: PO. Box 8127 Fountain Valley. CA 92728-8127 street address: 10844 Ellis Avenue Fountain Valley. CA 92708-7018 Member Agen cies • Cities Anaheim Brea Buena Park Cypress Fountain Valley Fullerton Garden Grove Huntington Beach Irvine La Habra La Palma Los Alamitos Newport Beach Orange Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Linda County of Orange S a nitary Districts Costa Mesa Midway City Water Districts Irvine Ranc h ORAN GE COUNTY SANITATION D ISTRICT Marc h 18 , 2004 NOTICE OF MEETING BOARD OF DIRECTORS ORANGE COUNTY SANITATION D ISTRICT WEDNESDAY, March 24 , 2004 -7:00 P.M. DISTRI CT'S ADMINISTRATIVE OFFICES 10844 El lis Avenue Fountain Va ll ey, California 92708 Th e Reg ul ar Meeti ng of th e Board of Directors of the Oran g e County Sanitation District wi ll be held at the above location , tim e and da te. DIRECTORS CIP WORKSHOP -Wednesday, March 31, 2004 at 5:00 p.m. OMTS COMMITTEE -We dnesday, April 7 , 2004 a t 5:00 p.m . PDC COMMITTEE -Thursday, April 8, 2004 at 3 :30 p .m. JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE -Monday, April 12, 2004 at 5:30 p .m. @OCWD FAHR COMMITTEE -W ednesday, April 14, 2004 at 5 :00 p .m. STEERING COMMITTEE -Wednesday, April 28 , 2004 at 5:0 0 p.m . To maintain world-class leaders hip in wastewater and water resource management BOARD MEETING DATES Board Meeting 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 March 23, 2005 *Meetings are being held on the third Wednesday of the month H:\dept\admin\BS\Agenda\2004 Meeting Notices\MN3.2.doc STATE OF CALIFORNIA) ) SS. COUNTY OF ORANGE ) Pursuant to California Government Code Section 54954.2, I hereby certify that the Notice and the Agenda for the Board of Directors meeting to be held on Wednesday, March 24, 2004, was duly posted for public inspection in the main lobby of the District's offices on Thursday, March 18, 2004. IN WITNESS WHEREOF, I have hereunto set my hand this 24th day of March, 2004. E. Tappan, Actin 8 d of Directors Orange County Sanitation District Posted: TJuuoe/oj /[,/11Q,tcJ1 , 200!/_, l.{I() 12 U/4twlA-~ A.M. (or P.M.) By: H:\DEPl\AGENDA\POSTING\COMMITTEE POSTING CERTIFICATION FORM.DOC March 8, 2004 TO: FROM: SUBJECT: MEMORANDUM Board of Directors Jim Ferryman, Chairman Operations and Maintenance/Technical Services (OMTS) Committee Biosolids Management Options At the March 24, 2004 Board Meeting I would like to take a few minutes during my report to review with you an information item that was presented to the OMTS Committee earlier this month. The item relates to the future direction of the District's biosolids management program and the process that will be used to select contractors and vendors to provide these services to the District. A copy of the OMTS agenda report is attached. The District will soon be going out into the marketplace with Requests for Proposals to solicit proposals from vendors for new biosolids processing technologies and markets. The volatility of the biosolids world will require the board to consider a variety of options for procuring these services. The OMTS Committee had a good discussion of the issues and I'd like to share those thoughts with the full Board before these matters are presented to the board for action at future meetings. JF:rm Biosolids Management Options-J Ferryman Memo to Board 3-8-04 Attachment IN FILED ORANT~E ,?fi~!~~. ~~.THE SECRETARY G . ., ... • "'"'"M Ol~TRICT MA~ 2 4 2004 BY (\Ju-vJ if/~ () - OCSD P.O. Box 8127 Fountain Valley, CA 92728-8127 (714) 962-2411 • The Plan found a limited number of merchant facilities that were in a position to implement new management options within a 2-year window available to OCSD under existing management contracts. The Plan recommends seeking both new contracts through solicitation by a Request for Proposal and an extension of existing contracts where OCSD preferred management options can be accessed. • Synagro's composting facility (SKIC) is a 700-acre site located in Kern County that was created for heavy industrial development. Synagro has amended the site's extensive permits to include the development of a composting facility. Synagro has acquired an option on the site. • An amended Conditional Use Permit (CUP) was recently unanimously approved by the Kern County Board of Supervisors, the Environmental Impact Report was certified, and the Waste Discharge Requirement (WDR) permit and the air quality permits are underway. Synagro anticipated that SKIC will be in operation by October 2005. Unfortunately, unless Synagro obtains commitments from agencies to manage biosolids at SKIC the viability of the CUP will soon lapse. • The advantages of the SKIC are its remote location, a flat grade, proximity to Interstate Highway 5 and State Highway 99, and the very limited adverse comments received during the Environmental Impact Report (EIR) process. The SKIC facility appears to be the most feasible composting facility in Southern California available to OCSD at this time with an existing vendor. Current Biosolids Management Options Contract Est. Tons Management Cost per Estimated Processing Company End Managed Option Probable Date perYear1 Offered Ton Annual Cost Location Synagro 7/2005 81,000 Class B land app. $39.50 $3,200,000 Tribal AZ., CA, NV Class B land app. $39.50 Private, AZ Class A compost $39.50 Tribal AZ, CA, NV Class A compost $39.50 Private, AZ/CA CA Soil 3/2007 26,000 Class B land app. $37.75 $982,000 Yuma County, AZ Products Yakima 1/2012 0 Landfill cover $35.00 $0 La Paz County, AZ Tule Ranch 1/2005 130,000 Class B land app $38.75 $4,680,0002 Arizona Landfill disposal $32.75 Kem County, CA Class A stabilized $35.00 Kern County Class A stabilized $33.00 Kings County l Based on 237,000 tons of b1osollds produced per year. Tonnage allocations are expected to vary due to factors including inclement weather, material management issues, and regulatory developments. 2 Estimated annual cost based on an average cost of $36.00 per ton. ALTERNATIVES Not Applicable. ' .l r, ~ March 8, 2004 TO: FROM: SUBJECT: MEMORANDUM Board of Directors Jim Ferryman, Chairman Operations and Maintenance/Technical Services (OMTS) Committee Biosolids Management Options At the March 24, 2004 Board Meeting I would like to take a few minutes during my report to review with you an information item that was presented to the OMTS Committee earlier this month. The item relates to the future direction of the District's biosolids management program and the process that will be used to select contractors and vendors to provide these services to the District. A copy of the OMTS agenda report is attached. The District will soon be going out into the marketplace with Requests for Proposals to solicit proposals from vendors for new biosolids processing technologies and markets. The volatility of the biosolids world will require the board to consider a variety of options for procuring these services. The OMTS Committee had a good discussion of the issues and I'd like to share those thoughts with the full Board before these matters are presented to the board for action at future meetings. JF:rm Biosolids Management Options-J Ferryman Memo to Board 3-8-04 Attachment I FILED ORN THE,?!,~!~.~. OF TliE SECRETARY ANGr: ,.. ". ·•-•T•"'t.1 Ol~TRICT MAR 2 4 2004 /\ BY t,~Lf!'~A.-(} --y-r-r~ OCSD P.O. Box 8127 Fountain Valley, CA 92728-8127 (714) 962-2411 OMTS COMMITTEE Meeting Date 3/3/04 AGENDA REPORT Item Number OMTS04-10 Orange County Sanitation District FROM: Robert P. Ghirelli, D.Env., Director of Technical Services Originator: Layne Baroldi, Legal & Regulatory Affairs Liaison To Bd. of Dir. Item Number SUBJECT: BIOSOLIDS MANAGEMENT OPTION IMPLEMENTATION PROCESS GENERAL MANAGER'S RECOMMENDATION Staff is seeking the OMTS Committee's direction regarding the process to utilize in the implementation of the Long-Range Biosolids Management Plan recommendations. SUMMARY • The Long Range Biosolids Management Plan (Plan) presented an analysis of potential biosolids treatment technologies and markets for biosolids derived products, an analysis of treatment plant processes to reduce overall biosolids handling and treatment costs, and a long range implementation strategy. • The Plan's implementation strategy recommended the following transition to get to the production of Class A biosolids: 1. Work within existing contracts to develop merchant facilities: • Tula Ranch is producing Class A biosolids (lime-stabilized) in Kern County for $35/ton and $33/ton in Kings County • Synagro is producing a limited amount Class A biosolids composted in Arizona, on Tribal land in San Bernardino County and in Riverside County for $39.50/ton. Synagro has obtained a majority of the necessary permits for a proposed composting facility in Kern County (SKIC). " 2. Pursue interim RFPs for merchant facilities: • RFPs for composting, direct energy (power generation) and heat drying are being developed. • A consultant has been hired to assist staff in developing the RFPs. • The RFPs are anticipated to be released in April. • The RFP responses are expected to be received in July. • Contract recommendations are expected to be made to OMTS in September. • Biosolids processing site permitting, design and construction, pursuant to contracts awarded through the RFP process are expected to take a minimum of three years (if achievable at all) before being ready to process biosolids. 3. Pursue in-county options (future) • Staff is researching the feasibility of developing a compost facility in Orange County. 4. Use low cost Class B options as long as feasible. • Availability of land application of Class 8 biosolids in Arizona and Nevada is estimated to be less than three years. Costs range fro $37. 75 to $39.50/ton. • Limited amount of Tribal land is considered more secure. Cost of $39.50/ton. 5. Pursue landfills as failsafe backup option. Implementation Options • Utilization of the RFPs only. This process would provide staff with the ability to have a competitive process to select OCSD's future biosolids management option(s) in a process that would take a minimum of several months. Since most of the options that are anticipated to be proposed are in the concept phase of development the selected biosolids management option(s) pursuant to a RFP may not be successful in permitting and development. These delays may cause OCSD's existing biosolids management options viability to lapse prior to the implementation of options selected pursuant to the RFPs. An RFP only process would preclude staff from amending existing contracts for opportunities that are immediately available but may lapse due to CUP time restraint requirements for site development. • Utilization of a RFP and amend existing contract(s). This process gives staff both the benefits of the RFP process while allowing staff to avail itself to current biosolids management opportunities that have been firmly established through permitting and design. Staff and consultants have a keen understanding of the marketplace and would demand that a contract amendment be competitive before making a contract amendment recommendation to the OMTS Committee. This process also insures that the existing management option(s) viability will not lapse prior to the implementation of management option(s) selected pursuant to the RFPs. • Amend existing contract(s) only. This process would allow staff to avail itself to current biosolids management opportunities that have firmly established permits and design but would preclude the benefits of the RFP process. The amendment would provide for competitive biosolids management pricing before a recommendation is made to the OMTS Committee. This process would also insure that the existing management option(s) viability will not lapse. This option would preclude OCSD from the benefits of selecting biosolids management option(s) pursuant to the RFPs. • Other option(s) as recommended by the OMTS Committee. PRIOR COMMITTEE/BOARD ACTIONS 1. November 2003 OMTS/PDC: Information only item regarding existing policies and potential future reuse costs outlined in the Plan. ' • ) 2. October 2003 OMTS/PDC: Information only item regarding the various in-plant treatment optimization options evaluated in the Plan. 3. September 2003 OMTS/PDC: Information only item regarding the biosolids product markets and product technologies. 4. August 2003 Board: Approve Addendum No.2 to the Professional Services Agreement with CH2M Hill, Inc. for an additional amount of $785,079.78. 5. July 2003 Board: Receive and file Draft Plan, Job No. J-40-7, dated June 2003, prepared by CH2M Hill, Inc. 6. September 2002 Board: (1) Approve a budget amendment of $100,913; and (2) Approve Professional Services Agreement with CH2M Hill, Inc. for an amount not to exceed $490,913. 7. February 2002 Board: (1) Approve a budget amendment of $157,942.17; and (2) Approve Addendum No.1 to the Professional Services Agreement for an additional amount of $157,942.17. PROJECT/CONTRACT COST SUMMARY No new authorization of expenditures is being requested at this time. BUDGET IMPACT D This item has been budgeted. {Line item: , Page ) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. ~ Not applicable (information item) ADDITIONAL INFORMATION Plan's Merchant Facilities Information • The Plan states that the "merchant facility" alternatives must be pursued to bridge the gap between the imminent phase-out of existing beneficial use alternatives and the implementation of OCSD-owned and OCSD-operated facilities in 8 to 15 years. This is because OCSD-owned facilities could take over eight years to site, permit, design, and construct. • The Plan recommends that OCSD immediately begin the process of contracting for biosolids management under more sustainable merchant facility contracts enabling OCSD's participation in more stable biosolids-based beneficial use markets within the next 1 to 2 years. It is anticipated that new contracts with merchant facilities, with guaranteed tonnage and contract durations, will bridge the gap between the phase-out of existing options and the startup of future District-owned facilities. • The Plan found a limited number of merchant facilities that were in a position to implement new management options within a 2-year window available to OCSD under existing management contracts. The Plan recommends seeking both new contracts through solicitation by a Request for Proposal and an extension of existing contracts where OCSD preferred management options can be accessed. • Synagro's composting facility (SKIC) is a 700-acre site located in Kern County that was created for heavy industrial development. Synagro has amended the site's extensive permits to include the development of a composting facility. Synagro has acquired an option on the site. • An amended Conditional Use Permit (CUP) was recently unanimously approved by the Kern County Board of Supervisors, the Environmental Impact Report was certified, and the Waste Discharge Requirement (WDR) permit and the air quality permits are underway. Synagro anticipated that SKIC will be in operation by October 2005. Unfortunately, unless Synagro obtains commitments from agencies to manage biosolids at SKIC the viability of the CUP will soon lapse. • The advantages of the SKIC are its remote location, a flat grade, proximity to Interstate Highway 5 and State Highway 99, and the very limited adverse comments received during the Environmental Impact Report (EIR) process. The SKIC facility appears to be the most feasible composting facility in Southern California available to OCSD at this time with an existing vendor. Current Biosolids Management Options Contract Est. Tons Management Cost per Estimated Processing Company End Managed Option Probable Date per Year1 Offered Ton Annual Cost Location Synagro 7/2005 81,000 Class B land app. $39.50 $3,200,000 Tribal AZ, CA, NV Class Bland app. $39.50 Private, AZ Class A compost $39.50 Tribal AZ, CA, NV Class A compost $39.50 Private, AZJCA CA Soil 3/2007 26,000 Class B land app. $37.75 $982,000 Yuma County, AZ Products Yakima 1/2012 0 Landfill cover $35.00 $0 La Paz County, AZ Tule Ranch 1/2005 130,000 Class B land app $38.75 $4,680,0002 Arizona Landfill disposal $32.75 Kem County, CA Class A stabilized $35.00 Kern County Class A stabilized $33.00 Kings County 1 Based on 237,000 tons of b1osohds produced per year. Tonnage allocations are expected to vary due to factors including inclement weather, material management issues, and regulatory developments. 2 Estimated annual cost based on an average cost of $36.00 per ton. ALTERNATIVES Not Applicable. •• a LION S.LN3WHO'o' .LL 'o' SONICNl:I 'o'030 March 24, 2004 MEMORANDUM TO: FROM: Board of Directors (J Y . l' ~""~" Bob Ooten -~ - Director of Operations & Maintenance SUBJECT: Level of Secondary Treatment and Disinfection Progress Data on the level of treatment progress and its impacts on the final effluent are attached. Historical trends for final effluent percent of secondary treatment for biochemical oxygen demand (BOD) and total suspended solids (TSS) are shown. In addition, current monthly data for BOD, TSS and disinfection effectiveness are shown on a schematic of the treatment system. 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 67% secondary treatment and 33% 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 February 2004, the final effluent averaged 36 ppm TSS and 62 ppm BOD versus the secondary treatment goal is 30 ppm TSS and BOD. The final effluent TIS and BOD is up slightly due to several construction projects that have taken facilities off line. These projects impacts will end in March 2004. We expect to consistently achieve secondary treatment standards by December 2012 when all of new facilities are constructed and placed into service. Disinfection Update Our final effluent continues to be successfully disinfected using the temporary facility disinfection system, which has now been in operation since August 2002. The disinfection system is significantly reducing the total coliform, fecal coliform, enterococci bacteria and viruses. February 2004 results for total coliform averaged about 3,835 MPN/100 ml, which is substantially below the final effluent goal of 180,000 MPN/1 OOmL. The final effluent had a maximum 0.24 ppm chlorine residual averaged over eight hours on one day, which is well below the 1.45 ppm daily maximum compliance limit. Additional disinfection data is reported on the Web @ www.ocsd.com. OCSD P.O. Box 8127 Fountain Valley, CA 92728-8127 (714) 962-2411 ·-~ Page2 March 24, 2004 These upgraded bleach and dechlorination facilities will be used until the District has determined the long-term technology that will be used for disinfection. RJO:jmf h:\dept\om\810\final\rjo\board of directors\board handouts\3-24-04\board packet cover letter 3-24-04) jf.doc Attachments (2) Orange County Sanitation District Operational Treatment Levels Fiscal Year 2001-02 Ending June 2002 (Prior to July 17, 2002 Board decision) 47% 53% Secondary ..___. ____ __. Ocean Pipeline Final Effluent: BOD= 72 ppm TSS = 51 ppm Ocean Discharge Permit Limit: BOD = 100 ppm TSS = 60 ppm Progress to Secondary Standards Month: February 2004 33% 67% Secondary ..,.._,. ____ __ Chlorine Limit Daily Maximum: 1.45 ppm (Average of 8 Sample s) Disinfection & Dechlorination Online: A119-12, 2002 Ocean Pipeline Bacteria Reduction : 99.999+% Goal : 99.3% Reduction Chlorine Level Daily Maximum: 0 .24 ppm Final Effluent: BOD= 62 ppm TSS = 36 ppm Final Effluent Goal: BOD= 30 ppm TSS = 30 ppm , 100 90 80 70 60 50 37 ... 36 +---_...... ~ .... ...... 40 30 20 10 0 Mar Afl' May 2003 Orange County Sanitation District Operational Treatment Levels Revision 3-24-04 72% Mar Apr 2003 TOTAL SUSPENDED SOLIDS (TSS) IN FINAL EFFLUENT 1998 Permit Limit = 60 ppm ... 32 ;,,2 30 3:Z~9 ~ ...... ... ... ..... .... ... -.... ~econaary ~tanaara Goal = ~u ppm Jun Jul Aug Sep Oct Nov May FINAL EFFLUENT MONTHLY DATA PERCENT SECONDARY TREATMENT Jun Jul Aug Sep Oct Nov 100 90 80 70 60 58 60 .... .... 50 •u 36 36 40 .... ... ... .... .... '"' 30 20 10 0 Dec Jan Feb Mar Af1t 2004 2003 Doc Jan Feb May 2004 BIOCHEMICAL OXYGEN DEMAND (BOD) IN FINAL EFFLUENT 1998 Permit Limit = 100 ppm Secondary Standard Goal = 30 ppm Jun Jul Aug Sep Oct Nov :.• 61 61 Dec Jan Feb 2004 , 1-~ California Regional Water Quality Control Board ~ ~ \;;;} Santa Ana Region \WI Terry Tamminen Secretary for Environmental Protection March 22, 2004 Internet Address: http://www.swrcb.ca.gov/rwqcb8 3737 Main Street, Suite 500, Riverside, California 92501-3348 .M~ Arnold Phone (909) 782-4130 -FAX (909) 781-6288 LL.~ 'f .. ~ Schwarzenegger \ Governor -r'-At.E I f-1 7DNllir-tt-".5 ~~R?U>5£S -C1Jlft€S ~t..'-1 ~~ To: The Attached Mailing List of City Managers and General Managers of • lL"2C: Sewage Collection Agencies in Orange County ~ i.AJa:>t>12--~~ , CNZdt-B~~ RESPONSE TO REQUEST FOR EXTENSION OF THE JULY 30, 2004 DEADLINE TO SUBMIT ORDINANCE TO ESTABLISH LEGAL AUTHORITY -GENERAL WASTE DISCHARGE REQUIREMENTS FOR SEWAGE COLLECTION AGENCIES IN ORANGE COUNTY, ORDER NO. RB-2002-0014 (ORDER) Dear City and General Managers: We have received a January 28, 2004 request from OCSD for an extension of the July 30, 2004 deadline for submitting proof of adequate legal authority to control the discharge of fats, oils, and grease (FOG) to the sanitary sewer system (FOG Control Ordinance). The permittees are also required to develop and submit a FOG Control Program by December 30, 2004. Please note that these deadlines are prescribed in the Order adopted by the Regional Board and it would require a Board action to amend these dates. The Steering Committee organized by OCSD has already developed a draft FOG Control Ordinance and a draft FOG Control Program. These draft documents represent a reasonable model ordinance and FOG control program that, if adopted by each agency, would satisfy the requirements of the Order. The Order does not require each agency to adopt the same requirements, but the model programs put together by the Steering Committee provide a very flexible approach to a very difficult and controversial problem. The Orange County Grand Jury recommended the adoption of a model ordinance so as to avoid one city having an economic advantage over neighboring cities. We believe the deadlines prescribed in the Order provide adequate time for the agencies to adopt these programs. If you do not want to consider the model ordinance and FOG program for your system, please make sure that you develop your own programs in a timely manner to meet the above deadlines. Most of the permittees made a commitment in their schedule for the Sewer System Management Plan to complete the required ordinance and the FOG Control Program by the deadlines indicated above. However, only a few of the cities/sanitation districts 9articipated in the effort to develop the above referenced draft documents. We are very concerned about the large number of agencies that have not participated in the Steering Committee efforts. We are also concerned that some of these agencies may not be making adeguate progress to meet the deadlines for the FOG control programs. Please California Environmental Protection Agency 0 Recycled Paper - SSO, FOG Deadline -2-March 22, 2004 note that we are not proposing to recommend to the Board any amendments to th!3 current deadlines for submittal of these documents. Please be aware that any submittals required under the Order must be complete and fully responsive to the requirements specified in the Order and must be submitted by the specified deadlines. Failure to submit a FOG control program and legal authority by the reqµired deadlines will be considered violations of the Order and will be subject to - ---~-~ ·enforcement action. ctai<J<t_, ~~ By a copy of this letter, we are informing all sewer agencies covered under Order No. RS-2002-0014 that we will consider their respective progress towards the development of a FOG Control Program, together with the required legal authority to implement the program, in determining whether to recommend enforcement actions to the Board. l'JefN In order to get current information on the status of compliance with the requirements of Ll. the Order, each Rermittee is hereby required, pursuant to Monitoring and Reporting lt t~O--, Beguirement No. 1, to submit a status report of its efforts to complet~ the legal authority -. P-' by July 30 and the FOG control program by December 30, 2004. This schedule should ~-'l be submitted to this offlce no later than April 15, 2004. This status report shall include any draft legal authonfy and FOG program documents being considered and a schedule for the actual adoption by your board or city council. We have already received copies of the model ordinance and FOG program from OCSD; if you are planning on using these models for your program, you do not have to resubmit copies of these documents. Your status report should then include the schedule for adoption of the model ordinance and FOG program. If you have any questions, please call me at (909) 782-3284 or Ken Theisen at (909) 320-2028. All legal questions should be directed to our legal counsel, Jorge Leon, at (916) 341-5180. Sincerely, __ ,:J84fuil/ Gerard J. Thibeault Executive Officer Attachment: Mailing List of Permittees under Order No. RB-2002-0014 cc: Jorge Leon, SWRCB Office of Chief Counsel California Environmental Protection Agency 0 Recycled Paper Robert D' Amato, City David Ream, City Manager Administrator City of Santa Ana City of Placentia P.O. Box 1988 401 E. Chapman Avenue Santa Ana, CA 92702 Placentia, CA 92870-6101 John Bahorski, City Manager Jake Wager, City Manager City of Seal Beach City of Stanton 211 8th Street 7800 Katella Ave. Seal Beach, CA 90740 Stanton, CA 90680-3123 George Rodericks, City Manager Terrance Belanger City of Villa Park Interim City Manager 17855 Santiago Blvd. City of Yorba Linda Villa Park, CA 92861-4105 P.O. Box 87014 Yorba Linda, CA 92885 Paul Jones, General Manager William J. Robertson Irvine Ranch Water District General Manager 15600 Sand Canyon Ave. Yorba Linda Water District Irvine ,CA 92619 4622 Plumosa Drive Yorba Linda, CA 92686-0309 Ann Crafton Ron Briles Rossmoor/Los Alamitos Midway City Sanitary District Area Sanitation District 14451 Cedarwood Ave. 3243 Katella Avenue Westminster, CA 92683-5318 Los Alamitos, CA 90720-2336 Tom Dawes Rob Hamers Sunset Beach Sanitary District Costa Mesa Sanitary District P.O. Box 1185 P.O. Box 1200 Sunset Beach, CA 90742-1185 Costa Mesa, CA 92628-1200 Lt. Col. Lisa Haskins Blake Anderson Joint Forces Training Base Orange County Sanitation District Los Alamitos P.O. Box 8127 4522 Saratoga Ave. 10844 Ellis Ave. Los Alamitos, CA 90720 Fountain Valley, CA 92728-8127 , I Jim Ruth, City Manager Tim O'Donnell, City Manager City of Anaheim City of Brea 200 S. Anaheim Blvd. #1 Civic Center Circle Anaheim, CA 92805 Brea, CA 92821-5732 Greg Beaubien, City Manager Patrick lmportuna, City Manager City of Buena Park City of Cypress 6650 Beach Blvd. P.O. Box 609 Buena Park, CA 90622 Cypress, CA 90630 Ray H. Kromer, City Manager Jim Armstrong, City Manager City of Fountain Valley City of Fullerton 10200 Slater Avenue 303 W. Commonwealth Fountain Valley, Ca 92708 Fullerton, CA 92832-1710 George Tindall, City Manager Ray Silver, City Administrator City of Garden Grove City of Huntington Beach P.O. Box 3070 2000 Main St. Garden Grove, CA 92842 Huntington Beach, CA 92648 Thomas G. Mauk, City Manager Daniel E. Keen, City Manager City of La Habra City of La Palma P.O. Box 337 7822 Walker Street La Habra, CA 90633-0337 La Palma, CA 90623-1721 Homer Bludau, City Manager David Rudat, City Manager City of Newport Beach City of Orange 3300 Newport Blvd. P.O. Box449 Newport Beach, CA 92663-3884 Orange, CA 92866 ph one: (7141 962-2411 fax: (7 1 4) 962-0356 www.ocsd .com mailing address: P.O. Box 8127 Fountain Valley. CA 92728-8127 street address: 1 0844 Ellis Avenue Fountain Valley, CA 92708-7018 Mem be r Agenc ies • Cities Anaheim Brea Buena Park Cypress Fountain Valley Fullerton Garden Grove Huntington Beach Irvine La Habra La Palma Los Alamitos Newport Beach Orange Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Unda Co unty of Orange Sanitary Districts Costa Mesa Midway City Water Di s tric ts Irvine Ranch OR AN GE CO UNTY S AN ITATION D IS TRICT March 17 , 2004 T o the C hair and Members of the Board of Directo rs Subject: Board Letter Th e following are items that you may find in terest in g. If yo u need additional info rm ation on any of th e items, p lease call me. Orange County Leadership Symposium, Follow-up Session Please reserve a ll-day, Apri l 30 , for a follow-up session to the OCLS workshop that was held in La ke Arrowhead in January. It will be he ld at the Orange County Fire Autho rity's new offices on Jambo ree . Attendance at the Arrowhead wo rk s h op is not a prerequisite for attending the April 30 sess ion. In fact, we are hoping to attract new faces to this im portant effort. The p urpose of the session wi ll be to explore t he id ea of bringing tangible change to the quality of life in Orange Coun ty by working togeth er. This was the ending theme of Arrowhead. What are the priority needs facing Orange County? What are the options for addressing them? Who do we enl ist within the county to help address th em? Watch for an oversized postcard annou nc ing the session . I urge you to attend this important event. The purpose of the OCLS is provide too ls and a fo rum for elected and appoi nted officia ls in Orange County to face the challenges of the 21 s i century. Keeping an Eye on Sacramento As I have previously reported to yo u , the Legislative Ana lyst Office has s uggested a major s hift of ad valore m tax revenue fr om special districts to the cou nties where the board of s up ervis ors would distribute the fund s. A numb e r of Orange County specia l distri ct s are planning to meet during April to share information and to formu lat e a game plan. Every million dollars of tax revenue we could lose would add about a dollar to the annual user cha rge paid by home owners , and proportionally much more for large industrial and commercial users . Early discussions with Sac ramento lead me to believe t his could amount to $20 million. You do the math. The direction I have recei ved from the Steering Committee is to resist t hat from happening. OCSD Budget News Preparation is underway for ou r operating and capita l budgets for FY 2004-05. Every division of the agency has proposed staffin g a nd materials estimates for the com in g To maintain wo rld-c lass l ead er s hip in wastewater and water resource management. \ Board of Directors Page 2 March 17 , 2004 year. They have met with me and the Director of Fin ance over the last three weeks to go over the proposals . We ha ve gone through one red pencil review. Finance is now rolling-up the corrected drafts. I will review them with all of the EMT present and we will look at the package as a whole . The early numbers are quite dramatic. The capital impro vement program, disinfection , improved treatment , biosolids management costs , chemical costs , and the staffing necessary to manage it all are expensive. I won't go into specifics at this time because everything is under rev ie w. It is our intention to provide a budget review process that is timely and easy to understa nd. We will give you summary tools that will point you clearly to the projects, programs and people that drive our costs upward . As usual , all three committees will see the budgets in considerable detail. While the FAHR committee has jurisdiction over the budgets , it is our intention to document the comments and concerns raised at all of the committee meetings so that all 25 directors have a complete view of the discussions. Final decision and appro va l on the operating and cap ita l budgets is scheduled to occur at the June Board Meeting. 2004 Children's Water Education Festival Save Wednesday, May 12 , betwe en 11 a .m. and 1 p .m. for the 2004 Ch ildren 's Water Education Festi val. Take part in the nation's largest water education festival as more than 7000 Orange County children are empowered to protect and conserve our most precious natural resource-water. This year it will be held at Hidden Valley Park in Irvine . This event is sponsored by the Orange County Water District Groundwater Guardian Team. I will provide you with more detai ls in April. Secondary Treatment Standards Update All operationally available secondary treatment facilities are onl ine . 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 67% secondary treatment and 33% primary treatm ent, wh ich is above our target of 64% secondary treatment. During the 12 months prior to t he Board 's decision of July 17 , 2002, the District's final effluent quality averaged 51 ppm TSS and 72 ppm BOD . During February 2004, the final effluent averaged 36 ppm TSS and 62 ppm BOD versus the secondary treatment standard of 30 ppm fo r both TSS and BOD. The final effluent TTS and BOD is up slightly due to several construction projects that have taken facilities off line. These projects impacts will end in March 2004. We expect to consistently achieve secondary treatment standards by December 2012 when all of new facilities are constructed and placed into service. Board of Directors Page 3 March 17, 2004 Disinfection Update Our final effluent continues to be successfully disinfected using the temporary facility disinfection system , which has now been in operation since August 2002 . The disinfection system is significantly reducing the total coliform , fecal coliform , enterococci bacteria and viruses. January 2004 results for total coliform averaged about 3 ,835 MPN/100 ml, which is substantially below the final effluent goal of 180,000 MPN/1 OOmL. The final effluent had a maximum 0 .24 ppm chlorine residual averaged over eight hours on one day, which is well below the 1 .45 ppm daily maximum compliance lim it. Additional disinfection data is reported on the Web @ www.ocsd.com. These upg raded bleach and d echlorination facilities will be used until the D istrict has determined the long-term technology that will be used for disinfection . Articles of Interest I have also included several additional published articles that you might find interesting . If you would like additional information on any of the above items , please call me. Blake P . Anderson General Manage r BPA:jt H :IDEPl\ADMINIGM\LETTERS TO THE BOARD\041032404 BOARD LTR .DOC Attachments ORANGE COUNTY WORKING TOGETHER -ACHIEVING TOGETHER WILL WE BE ABLE TO SUSTAIN THE QUALITY OF LIFE IN ORANGE COUNTY? CAN WE IMPROVE IT? One day follow-up workshop with Dr. Eric Allenbaugh FRIDAY, APRIL 30 --8:30 AM -4:00 PM It's been three months since OCLS Ill. This one day workshop will be an opportunity to: • Reengage and review • Explore options • Identify tangible results • Draft an action plan The workshop will take place at the new Orange County Fire Authority Regional Fire Operations and Training Center {corner of Jamboree and Tustin Ranch Road, 3 miles north of 1-5 and Jamboree) in Tustin Ranch. OCFA Phone: 714-573-6022 WATCH SIGNS FOR PARKING DIRECTIONS CIUFIUll lllDCllTIDI or llllTITlll IGEICIEI 925 L Street, Suite 1400 Sacramento, CA 95814 PH: (916) 446-0388-FX: (916) 448-4808 www.casaweb.org March 15, 2004 TO: FROM: RE: CASA MEMBER AGENCIES CASA ASSOCIATE MEMBERS CASA ATTORNEYS Mike Dillon, Executive Director and Lobbyist Christina Dillon, Lobbyist NEWS FROM THE CAPITOL $1.3 BILLION SHIFT-GOVERNOR'S PROPOSAL VS. LAO ALTERNATIVE As reported previously, the Governor is proposing to shift $1.3 billion in property taxes from cities, counties and special districts. The shift is supposed to be proportional to the total property taxes of each of the three segments of local government. County governments feel that their shift of approximately $900 million is disproportionate, and counties have faced severe cuts in other areas, including social services, libraries, etc. Recognizing that a straight take-away of property taxes may not be the fairest approach, the Legislative Analyst has offered an alternative. The position of the Analyst is that the State should not view local governments as a piggy bank to turn to whenever funds are needed to balance the State Budget. However, if the Legislature decides to go along with the Governor's doUar amount for the shift and seeks to take $1.3 billion from local government, the Analyst feels her proposal is much more fair in terms of impacts on counties, cities, and special districts. The Analyst's proposal recommends a $216 million reduction in local subventions (Public Safety-$100 million, Juvenile Justice-$100 million, Public Library Funding-$16 million), a $400 million in city and county sales taxes ($200 million dollars each), $320 million redevelopment property tax shift, and a $400 million property tax shift from primarily enterprise special districts (Note: See February 18th memo.). Since language is not available, we have no idea of the specifics of this proposal, including whether or not debt service would be exempted from the tax shift. WHAT ABOUT THE $15 BILLION BOND? The $15 billion "Debt Retirement Bond," passed by the voters on March 2"d, will help alleviate the State's Budget problem, but will not solve it. Almost $11 billion from the bond proceeds will go to pay off last year's debt. The combined debt from last year and this year approaches $26 billion. The Governor has submitted a balanced budget for 2004-05, however a "structural deficit" of $7 billion remains. Additionally, if certain revenue assumptions in the Governor's Budget (receipt of federal funds, funds from Indian gaming, and $400 million in reduced benefits from prison guards' contracts) do not materialize and the State loses several pending lawsuits, an additional $5 billion in debt is created. In light of a general public perception that the $15 billion bond "solved the State's problem," and in light of the sound rejection of Proposition 56, which would have allowed the 55% vote rather than a 2/3 vote of the Legislature to pass a budget and taxes, there will be a reluctance in the Legislature to increase taxes. Without tax increases, the only way the Governor and the Legislature can balance the Budget is through cuts in state and local government programs, reductions in education spending, or shifts, such as the $1.3 billion proposed by the Governor or the LAO alternative. SB 1272-0RTIZ TO BE AMENDED Senator Ortiz of Sacramento has introduced SB 1272 in response to abuses by managers and directors in the Sacramento Suburban Water District, as reported in The Sacramento Bee and abuses by certain other districts in Southern California. As introduced, the bill contains complicated reporting provisions, mostly borrowed from the federal government. This week, the bill will be amended to reflect her concerns about a number of other issues. According to her staff, the essence of the new provisions to SB 1272 are: 1. Many of the accounting requirements in the current version of the bill will be deleted. 2. Provisions will be included to require that the auditor's report be presented to the full board at a public meeting, and that the agency will be required rotate auditors after so many years. 3. Ethics training will be required of all elected officials (and possibly managers). 4. Meeting stipends will be reduced from 10 meetings per month to 6 meetings per month for those agencies currently allowed 1 O meetings (sanitary and sanitation districts currently only allowed 6 meetings). 5. Limit on amount of compensation per meeting?? 6. A definition of what constitutes a "meeting" will be established, i.e. only publicly- noticed meetings under the Brown Act may be compensable. 7. Health benefits will not be allowed for officials elected after a certain date. SB 1272 is scheduled to be heard in the Senate Local Government Committee on Wednesday, April 21 51 • A LITILE HISTORY ON ERAF Several of our readers have asked us for a simple explanation of ERAF. A "simple" explanation may be difficult, but we will do our best to explain what led to the eventual establishment of the Educational Revenue Augmentation Fund (ERAF). Back in the late 1970s, when Proposition 13 was on the ballot, then State Treasurer Jess Unruh publicly stated that the state had an "obscene surplus." In fact, at the time, the state had a surplus of about $4 billion, which likely gave some impetus to the passage of Proposition 13, which, as you know, cut property taxes in half. While a few state legislators later questioned their decision, the legislature, at the time, used most of the $4 billion in state surplus to "bail ouf' local governments, by replacing much of the property taxes they had lost with state funds. Since the legislature was prohibited from giving funds directly to cities, counties, and special districts, formulas were devised wherein property taxes were shifted from schools to the local governments, and the state used its surplus to replace the school funds. The legislative vehicle used to accomplish this purpose was AB 8, which became known as the "AB 8 bail-ouf' bill. All was "peaceful" until the early 1990s when the state faced huge deficits. The legislature, in addition to raising some taxes, turned to local government to collectively generate more than $4 billion through what became knoVJn as the "AB 8 reversal." In effect, the legislature reversed what it had done after Proposition 13, by shifting property taxes from local government back to the schools, thereby freeing up a like amount of money in the state General Fund to be used for other purposes. To account for or track the funds shifted to the schools, the so-called "Educational Revenue Augmentation Fund" (ERAF) was established. It was important for the state to establish the ERAF account because, as the property tax value in the ERAF increases each year, it offsets the amount of money the state must pay schools under the Proposition 98 guarantee. Legislative efforts by CASA and local government groups, over the years, to require that the growth in the ERAF be given to local governments rather than the schools, have been defeated or vetoed by the Governor. The Department of Finance argued it would result in a "cosr to the state of at least $150 million in the first year alone, as the state would have to provide an amount to schools equal to the amount shifted to local government from the ERAF account. As we said at the beginning, there is no easy explanation of ERAF, however we hope you will find this article helpful in your understanding of the 1992-93 and 1993-94 property tax shift and its implications. Ensuring Clean Water for California CALIFORN::tA AIR RESOURCE BOARD NEW RULE FOR DIESEL ENGINES March 15, 2004 On February 26th The California Air Resources Board (CARB) adopted a new Rule for reducing air toxic emissions from stationary and portable diesel engines. Diesel particulates have recently been identified as a strong carcinogen and, therefore, diesel emission control recently became a top priority for air quality regulators. The District currently operates 18 stationary diesel engines (emergency stand-by) and 30 portable diesel engines. Based upon initial review of the Rule, staff believes the following impacts will be seen on District's operations. • Our stationary engines must meet stringent diesel particulates emission standards by the year 2009. Control equipment retrofit costs have been estimated at between $5,000,000 and $10,000,000. • If the District can agree to operate these stationary engines less than 20 hours a year for non-emergency use (maintenance and testing), expensive control equipment would not be required. Emergency use of existing emergency standby engines is not limited. • Alternatives to diesel, such as compressed natural gas or propane are being encouraged by the regulators. • After January 1, 2005 only approved diesel fuels can be used. • Beginning January 2005 extensive recordkeeping, testing and reporting of emissions from diesel engines is required. • New engines must meet the new standards beginning 2005. The South Coast Air Quality Management District (SCAQMD) is currently developing a local diesel engine Rule which will likely be more stringent that the State Rule. SCAQMD's Rule is scheduled for adoption in April. We'll inform the Board about the new Rule's provisions as well as about the newly adopted State Rule for portable engines next month. • Press Release Page 1 of 2 10844 Ellis Ave . Orange County Sanitation District Press Release Founta i n Valley, ca 92708 3/15/2004 FOR IMMEDIATE RELEASE PRESS RELEASE #03152004 Subject: Contact: State Agency Awards Funds to OCSD and Government Partners Government Agencies Agree Cutting Out Fat Keeps Pipes Clean Ana Burkhart, Principal Public Information Specialist 714.593.7112 aburkhart@ocsd.com Sonja Wassgren, Principal Public Information Specialist 714.593.7122 swassgren@ocsd.com FOUNTAIN VALLEY, calif. -california's State Water Resources Control Board (SWRCB) and the Orange County Sanitation District (OCSD) agree -cutting out fat keeps pipes clean. The State agency announced an award of $250,000 for OCSD and its government projects partners for a Fats, Oils and Grease (FOG) Control Program. OCSD and government project partners are required by the Santa Ana region of the Control Board to decrease FOG. The award benefits 28 other government entities relating to the FOG Control Study that helps locate new technologies for combating grease. Conducting studies for advancing wastewater technology is very expensive. By partnering with OCSD, entities will share in the latest knowledge on how to reduce sewer overflows which can lead to beach closures. "Proper sewage flow is a collective responsibility among cities and agencies. I am happy to learn about the award and look forward to seeing the outcome of the research on technolog ical advancements to control FOG," says City of Newport Beach Analyst, Terresa Moritz. Clogged sewer arteries (pipes) cause blockages . Blockages are the number one cause of sewer spills in Orange County. Actually, studies show 90 percent of blockages are caused by grease and only 10 percent can be blamed on pesky tree roots. Blockages force the sewage flow from the sewer pipes, up and out the maintenance holes and into the storm drains. Storm drains then dump into the river channels. River channels flow out to the ocean . Sewage in the ocean causes beach closures. The State , SWRCB and OCSD want to keep the lid on grease. The $250,000 dollar grant will directly benefit efforts to "keep the lid on." "A huge part of achieving our objective is seeking out viable methods, and educating the public," said Blake Anderson, General Manager. "The monies will be used to develop new technologies, find the most effectives method for preventing blockages and educate businesses on best management practices." Tasks also include community outreach, and implementation of proven practices like installation of grease traps or interceptors. In add ition, the use of a bio-degradable additive that will break down grease before it enters the sewer will be studied. By "putting a lid on grease," OCSD will protect county's sewer system and keep beaches sunny by he lping to stop grease and sewage from spoiling a day at the beach . For more information please visit the OCSD website at http://www.ocsd.com The Orange County Sanitation District is responsible for safely collecting, treating, and disposing wastewater. It http://www.ocsd.com/ci v ica/press/di sp lay.asp?Layout= l &Entry= l 23&Preview=Y es 3/12/2004 Press Release Page 2 of2 is a special district, separate from the County of Orange or any city government, established under the State I Health and Safety Code, to provide sewerage service to a specific geographic area. The Orange County Sanitation District is governed by a 25-member board of directors comprised of representatives of each local sewering agency or cities within our 470-square-mile service area. For more information, visit the Web site at f1ttp://WWW.PC$d co.m. ### http://www.ocsd.com/civica/press/display .asp?Layout= I &Entry= l 23&Preview=Y es 3/12/2004 Bakersfield Californian Mining its own business Autbor(s): MISTY WILLIAMS, Californian staff writere-mail: mwilliams@bakersfield.com Date: March 7, 2004 Page: B 1 Section: Local For 70 years, H.M. Holloway, a gypsum mine near Lost Hills, has provided millions of tons of minerals from the ground. Roughly 19 million tons have been trucked off, leaving a maze of enormous open pits and mountains of dirt. A little less than a decade ago, the miners began filling those holes back in. They have taken in everything from shredded car parts to fly ash. And now they want to try burying sewage sludge on the site --and with the county's permission. If approved, Holloway could become an altemati ve for sludge producers looking for places to dispose of the sewage byproduct. But not without some work. The company is currently putting together an environmental impact report on the project, which they hope to have done in about three months, said Ken Hersh, a consulting geologist with Holloway. The conditional use permit would allow workers at the 3,200-acre gypsum mine to dump not only sludge but also sandblasting leftovers and chipped construction lumber. A lining of clay and clay-rich silts extending at least 125 feet below the pits prevent waste material from percolating into groundwater below, Hersh said. The depositing of various outside waste materials at the site has been approved by the county for years. It is a good place to put waste, since the groundwater underneath is naturally contaminated with solids and can't be used for drinking water, said Ronald Holcomb, an engineering geologist with the Central Valley Regional Water Quality Control Board. Water studies done by the mine on a quarterly basis are taken from 12 monitoring wells at the site and show no signs of contamination from the waste that is already there, Holcomb said. But even if Holloway does begin accepting biosolids, there's no guarantee that business from sludge producers will follow. Around 90 percent of the sludge produced by the Sanitation Districts of Los Angeles County is either composted or applied to fields, said supervising engineer Mike Sullivan. In comparison, only 3 percent of the waste was disposed of at landfills last year, Sullivan said. "There's not necessarily one method that is head and shoulders above the others," he said. Although composting costs around $10 to $20 more than using a landfill, a combination of government regulation and public sentiment have made it an appealing alternative to sludge disposal. Dumping sludge at a mine isn't as beneficial to the environment as reusing the waste, Sullivan said. For the Orange County Sanitation District, the mine would likely be considered only as a failsafe option, said regulatory specialist Layne Barolcli. But with questions about the effects putting sludge on fields could have on groundwater and other health issues still unanswered, the mine could present a valuable alternative to sludge producers, said Steve McCalley, director of the Kem County Environmental Health Services Department. A county ban on the spreading of all but the most highly treated sludge took effect in January 2003, leaving Southern California sludge producers scrambling for alternatives. "It has the potential of being helpful," McCalley said. Like any landfill, the mine could create problems in the future, such as waste leaking through the soil over many years, said Sierra Club member Arthur Unger. However, dumping sludge that hasn't been highly treated is preferable to spreading it on fields, said Unger, who was on a citizens' advisory committee that worked on the ban. "If it turns out that this dump is as safe as any landfill, that's fine for the moment," he said. If the mine gets approval to accept sludge, a leachate system will be installed on a 15-to 20-acre portion of one of the pits, Hersh said. The gravel and pipe system would allow workers to remove any fluids leaking from the sludge. Employees would also be trained to handle the sludge and be required to use protective gear, such as dust masks and steel-toed rubber boots, said mine superintendent Allen Terry. The process would start slowly with the mine accepting around 100 to 200 tons of sludge a day, Hersh said On average, 313 tons of waste is currently received each day, and the mine could possibly continue accepting waste for the next 60 to 70 years, Hersh said. Although the mine receives about 30 percent of its revenues from reclamation, its main function is still mining gypsum, he said. If the permitting process goes smoothly, the mine could begin accepting sludge early next year. But whether the company will accept sewage on a regular basis will depend on the financial success of the venture, Hersh said. • ~ : Panasonic TAD/FAX Maroh 3, 2004 VIA FACSIMILE. (Hard copy to follow by U.S. mail) Cafifumia Regional Water Quality PHDE NO. John F. Skinner, M.D. I 724 Highland Drive Newport Beach, California 92660 Phone/Fax ('49) 6So-ssaa jskinnttmd@aol.com Control Bo~ Santa Ana Region 3737 Main Street, Suite SOO Riverside, CA 92501~3348 Attention: Gerard J. Thibeault~ Executive Off'ar RE: Order No. RB-2()04.0002, Orange County Water District Wastewater Recycling Requirements l>ta' Mr. Thibcauh: Mar. 03 2004 10:24PM P2 t>J1'10MA'm AMHltlC'AN BOAIU>CJll INntttNAt~ Ml'JllCINI! Thank you for giving consideration to my earlier comments on the above draft Order. I appreciate the cluu1ges you have made. As a long-tune supporter of the GWRS project, I believe the public health will he well protected with the monhoring and treatments requirements in the Order. 1 would also like to thank the Orange C'.ounty Water District, the Orange County Sanitation District, the C'-alifomia Department of Health Services. and the Regional Board for working bard to make this the best project ofits kind in the nation. I would like to highlight some of the features of the OWRS that, I bclicv~ makes this project more protective of public health: l. The early decitrion to treat 100 percent of the reclaimed water with reverse osmosis. 2. The expanidnn of the pretreatment plan to include all pollutants of human health concern identified by the CAiifornia Department ofllealth Services. .r .. ~ROM : Panasonic TAD/FAX PHONE ND. Mar. 03 2004 10:24PM P3 c.a6'mia Regional Water Qua&ty Control Board, Santa Ana Region Attention: Gerard J. Thibeauh, Executive OJBcer March 3, 2004 page two 3. The addition of hydrogen peroxide and ultraviolet light, following reverse osmosis, to a,ruarantee the removal of any possible remaining viruses or small molecuJar .. weight organic compounds. 4. 011going oversight ofthe project by the Califumiu J>epartment ofllealth Services. S. Annual independent review by a panel of experts in virology, toxicology and other disciplines, including the California Department of Health Services. 6. All of the recommendations by the California l>epartmcnt of Health Services have been imbedded in the Regional Board Order as Attachment A. 7. The ambitious monitoring program for pathogen..-; and toxics. 8. Priority pollutants, endocrine disruptors and phannaceuticals wm now be monitored quarterly to validate the efft:ctiveness of the treatment process. Thanks fi>r making the OWRS a better projecl Sincerely, ~~ cc: Mike Weimer, Orange Co'mty Water Distriot Blake Anderson, Orange County Sanitation District Bob Hultquist, Calool'llla Department of Health Services I ww w.anaheim.net City of -Anaheim DEPARTMENT OF PUBLIC WORKS March 8, 2004 Mr. Blake Anderson, General Manager Orange County Sanitation District 10844 Ellis A venue Fountain Valley, CA 92728 Dear Mr¢: I would like to express my appreciation to you and your staff for meeting with various City and County representatives recently to discuss issues surrounding dry weather flow diversions. This topic and other issues related to surface water quality will continue to impact our County, and this region, into the future. Your forward thinking and long term vision will continue to help guide our efforts to implement efficient and equitable programs to address these issues. Cooperative efforts between cities and the Orange County Sanitation Di strict will not only help ensure the protection of both public health and the environment, but will also assist in compliance with new regulato ry requirements. Additionally, it will help protect the regional tourism industry, which relies in large part on our clean ocean waters. Thank you again, and I look forward to continuing to work closely with yo u and your staff on these efforts. KUhs FN:ADMIN\LETIERS\GEJ; KL-B lake Anderson OCSD.doc c: Ana heim Mayor and City Co uncil Members David M. Morgan, C ity Manager Herb Nakasone, NPDES Technical Advisory Commi ttee Chairperso n Doris Roush , Public Works Operations Manager Louie Vecchione, Streets and Sanitation Manager Keith Linker, Surface Water Quality Manager P.O. Box 3222. An ahe i m, Ca li forni a 92803 TE L (7 14 ) 765 -5176 FAX (7 14) 765 -5225 ""'-'' I &.II a -..,...., .. ..,.., Date: To: From: Subject: OFFICE MEMORANDUM March 1, 2004 Board of Directors Virginia Grebbien '\ ~ Groundwater Replenishment System -Metropolitan Water District Local Resources Program The Metropolitan Water District (MWD) staff has selected the Groundwater Replenishment System (GWR System) to receive a Local Resources Program subsidy. The item is on the MWO Board agenda for March 9, 2004. The subsidy is for 31.000 afy at $121/af or $3.75 million annually. The GWR System was one of 27 projects submitted to MWD who recently made 65,000 afy of subsidy available in a competitive process. Attached is the list of the projects being recommended by the MWD staff_ March Q, 2004 Board Meeting 10 .. 2 LRP Recommended Projects Project Tltlr Member Agency -fapo Canyon wf;-----··-·-···· ··---···--·--------------caue&UiSMwo -----·------------ .A. ttachment t • Page I of I Ulthnak Project T)i>e Yield (AFY) ovr--··----i~441---·-- ·"Rw-PiPitiile Reacti .. i 6. ··· · ·· ..... · ···-· ··-·· · ··-.. --···--··---· ···-· ···East.Cm.Mwo· .. ····-·--·--·--·---·-... ··-···-· ·-·······-·-----···---·iw---·--·--··---·-·----820---__ .. __ ··1h~,-oi;1riburioil-iiiiiei!e~on--····--·····-··· ·-········-·--·--·-···I;·v-iilenesMWff-----··-·-··-·······--·--···--·-···-·----Rw··-----·· ····· ·-225·-··--·- Rw 01sm"buiion Line.fxlcnsion_-Maifbu ~Tr cour-s-e--·"L-m v;r8ene5M\vo / ca11e8u&S MWo -·------RW------100--· -"Hansen Area waier Recycling Projeci--·----·-·--·r-m-Angeles oe,iTtinent-ofWaterand Power RW ---·---l.66s __ _ ·-SoUth Vafley-\1later Rec)·ciing Project -·-------···------Los Angeles Deparlmtof WSter and Power _______ RW _____ ·--··1.:oo0- ·sepUiveda-Basin ·wate;· R:ec>:e:·11n8 firoiect' i>hue iv········--· ·-L'os-Anseiesoe·paiiiiieiilor w&.ei--aiicf Po~r····--·-· --··· i\v _____ ------·-----· ·546--· ·· · ··· -iRWD Ii"ccyc[ed-Water SyStem-Upgracte ________________ MWjcipal viater District of Orange COunty ------·-iw ·--······-··s:soo -·· Ground~rReplenishme~i System ____ ·------···--Municipal Water District of Orange Counti _____ RW _________ j 1,000---·· ·-Pomonawcn # 1r-----·-·-·------·-----------Thn;e Valleys MWD----------------·--ow·---·----1~100 ·---- "C:iiy .. ofi~dusuy.iieliionaTRe-cyCieciwarer·PiOjeci ·--···········-··rhree-·vaiieysKiWo··-··-------··-····--· .. ····--·--·-·····--··R.w:ii:f-N ______ ··-· ·sJ61··----· -weiisti7i8.~N"f\\ra"lerrreauiieitt Faciiiii:-··-·-·-·---··--Toitirice--··--------·--·-·-------------ow ·----s:is9 ·-·- ·o'rec' RMe"Ph&se'ff..\--·--·--·-··--·-------·-··---ui>Per smi"Gabrief°Valley-MWD·-·---·-----·-··----RW -------·2.2ss-···-- . · ·--· · ····· ··-···· ····-··-· -··-··-................ _ .. ____ . ·-·· ·-··-··· -· ·· .. -··· --· ····· ·· --· ·--······--·---·-····-·--·-..... -· ·-· ·· ········· -·-------------;:c;ta"f-···-··--·---· ··--·· · -·· ·64~9is ·· ·· · ·-··· ·-R:w·:·--ieciei;rw&ier-··--·--·-··--··-···-·--·-·-----------·--··---·-·--··------·--·-·---------------·------·-····-····-------··-- aw: Groundwater Recovery MWD: Municipal Water Disttict AFY; Acre-feet 2!Uear ~ -~ ~ .1 Cl> I C.> I ~ ... .... .... .. i -.I ,.... .p. i .... J. lfl C> Ca) ~ --~. =It: C.> ........ Cl> , McGraw-Hill Construction I ENR -Inflation's Sneak Attack Page I of 2 ~ Send to Printer 0 Close Window McGraw Hill EN R CONSTRUCTraN Ek(/c~(A./Q ~5 COVlfiL. (-f..U.5 Lv~:!"~ I .. business & labor FIRST QUARTERLY COST REPORT SUMMARY Inflation 's Sneak Attack (3/22/2 004 Issue) B y Tim Grogan Nobody saw it coming . After more than a decade of relative price stability, contractors have been blind-sided by the largest price hikes for materials since the early 1970s. Steel products caused the most damage but prices for lumber, plywood, gypsum wallboard , £2EE.er, stainless steel, £iee and fuel are all joining in to pummel contractors. rices have hit crisis ro ortions, affecting everything from bridge gir ers to inges. In the 1rst quarter, construction aced price hikes for steel products ranging from 20 to 60%. Firms with fixed-price contracts were devastated . Many are being pushed toward bankruptcy, with fabricators particularly vulnerable , observers say. Going forward , virtually ~yervone is abandonjng the fi xed-price approach if they can. Owners who have grown accustomed to shifting risk onto contractors are seeing some of that risk coming back home. "We are quoting just 30 days out and telling clients that prices will be adjusted every month . And we are putting it in bold prin t in the contract," says Jim Mangarella, an estimator with JM Ahle Co . Inc., a mid-sized rebar fabricator in South River, N.J. With pricing uncertainty making hard-dollar contracts risky , industry associations are petitioning government agencies for relief through escalation clauses on new contracts . Sticker Shock "I think project cancelations are right around the corner," say s William Brack, CEO of Barker Steel Co., Miltord, Mass. He believes that higher steel pric es are working their way up the chain of command and soon will create sticker shock for both public and private owners. Industry sources say that state transportation departments, already working with limited budgets, will have to start prioritizing projects. VIEW MORE ARTI CLES FROM FIR ST QUARTERLY COST REPORT Steel: lndustr.y_stunne...9 b_y huge Qrice hlk_e_s !;gyipment: G.a_ught_up in qye.rh e_afui_g st eE11 Labor: Costs hinge on settli ng union d ispute Ind exes : Steel Qrices jolt building_costs Methodology: What drives inflation VIEW RELATED DATA ENR's 20-City Average First Qua rter Pric es Construction Material s Price Mq_vements in 20Q_3-04 Structural Pan el Prices Some fear higher steel prices may stunt the rebound in the commercial building market, which is just now emerging from recession . "The office market is most vulnerable, with steel accounting for 5 to 10% of average cost," say s Robert Murray, vice president of economic affairs for McGraw-Hill Construction Dodge . But if the economy sees some pickup in employment, office construction could still register a slight upturn in 2004, he says. "The runup in steel prices will dampen the emerging recovery for commercial building , but not derail it," Murray predicts . There is concern the explosion in steel prices will push general inflation. "This ty pe of uncertainty starts to drive overall pricing because you don't know what you are getting into and you have to hedge your bets," says Karl Almstead , vice president at Turner Corp ., New York C ity. http://www .e nr.com/print.asp?REF=http://www .enr.com/features/bizLabor/arc hi ves/04032... 3/23/2004 McGraw-Hill Construction I ENR -Inflation's Sneak Attack Almstead believes inflation will pick up this year due to pressure from materials prices. But labor costs remain steady and there is still competitive pressure to keep the selling price of construction low , he adds. "It would be alarmist to say construction inflation is going to take off.• Nevertheless, materials price pressure is widespread. ENR's 20-city average price is tracking annual increases of 41 % for plywood, 15% for lumber, 17% for ductile iron pipe and 16% for copper water tubing. Energy advertisement prices also remain high. How these levels translate into overall inflation is a major question for the industry. "While commodity prices have exploded, core inflation in the overall economy remains low,• says John Mothersole, an economist with Global Insights, Washington, D.C. Anti-inflation forces remain strong, he says. In particular, market fundamentals point to lower energy prices and Global Insights predicts that oil prices w ill fall from today's $36 per bbl to under $30. The company's forecast also calls for stainless steel, copper, scrap and steel prices to begin declining soon. "We are optimistic that moderate core-inflation for the overall economy, which the Federal Reserve Board looks at in setting interest rates, can be maintained,• Mothersole says . Steel 's Tangled Cost Web The surge in steel prices was triggered when mills tied prices directly to volatile scrap prices that had increased 88% during the previous two years. ,tjuqe demand from China is cited as the main culgrit in driving scrap prices up. "China increased its steel capacity by 38 million tons m 2o 3, or about one-third of total U.S. capacity in one year,• says Joe Stratman , general manger of Nucor-Yamato Steel Co., Blytheville , Ark. "That's huge.' While China is driv ing the bus, there are many other passengers, says Joe Rutkowski, Nucor's executive vice president. Besides scrap, virtually all other input costs have risen sharply, with the prices of some alloys tripling , he says. Domestic demand also is up as world supply declines with major suppliers such as Russia and Ukraine restricting exports. "Normally, we would go somewhere else to relieve [cost) pressure but there is nowhere to go,• Rutkowski says. China also disrupted the market by diverting coke expgrts for jts domestjc ~onsumplion at the same lime a major mine fire disrupted U.S. domestic coke supply . he severe shortage in coke forced integrated mills to increase the amount of scrap they use in their melts from 10 to 25%, says John Anton. steel analyst for Global Insights. But Anton predicts that scrap and steel prices will turn back down after peaking in the second quarter. Scrap prices already are starting to ease as rising freight costs choke off scrap exports to China. And domestic coke production should be back on line this summer as growth in China slows, Anton says. By this time next year, these forces will drive down the average price of structurals and rebar 14% to $365 per ton , Anton predicts. Prices then will hold near this level, well above the $307 average of 2002. "Long-term steel prices will be trendi ng upward with each cyclical trough higher than the last,• he says. http://www.en r .com/f ea tu re s/bizlabor/archives/040322.asp Page 2of2 http://www.enr.com/pri n t.asp ?REF=http ://www.enr.com/features/bizLabor/ arc hi ves/04032... 3/23/2004 • ' , McGraw -Hi ll Construction I ENR -Huge Qui c k and Vol atil e Pri ce Hi kes Stun Fabricator... Page 1 ofJ ~ Send to Printer McGraw Hill E N R CONSTRUCTCON business & labor FIRST QUARTERLY COST REPORT STEEL 0 Close Window Huge Quick and Volatile Price Hikes Stun Fabricators and Sting Industry Mills claim increases are t ied to scrap metal unpredictability (3/22/2 0 04 Iss ue) By Tim Grog a n with Pa u l Rosta The most severe cost crisis in living memory has hit fabricators and contractors that work wjth any)hjog made of steel. And nobody saw it coming . Structurals, plate , rebar, mesh, studs, ductwork, guardrails, fences--if it was a product made with steel and you had a fi xed-price contract to deliver it duri ng the f irst quarter, y ou were in trouble . And the contractual ripples are ex pected to be felt for many months to come . Reinforcing bar price s made the first mov e last spring while structural steel prices began movi ng up in the fourth quarter of 2003. But the unprecedented, across-the-board price increases that followed during the first quarter of th is year stunned the industry. "If th is t rend continues , it has the potential of putting the majority of fabricators in the (Ph oto cout~sy of Steel U.S. out of business-and I mean the majority ," says Dynamics In c.) Robert Abramson, president of Interstate Iron Works Corp ., Whitehouse , N.J . Several other fabricators agree that this is not an extreme statement. At the be ginning of 2004, steel mill s started indexing their base price directly to the price of scrap , w hich had in c reased 41 % in 2003 after jumping 47% in 2002 , as China drove demand for global scrap . Scrap is the basic raw material of minimills, which pro duce most c onstruction materials. These mills responded with surcharges that raised prices dollar for dollar to match increases in sc rap prices. The nation 's larg est minimill , Nucor-Yamato Co ., Blytheville, Ark., t acke d a $2 0 -pe r-ton surcharge onto its wide -fla nge products in January, says Joe Stratman , plant ge neral manager. Th is rose to $49 in February and $93 in March . This action followed four increases in Nucor's base pri ce fo r most wide-flange products in the second half of last year, ranging between $10 to $15 per ton each. Nucor just announced another $25-a-ton increase in its base price in Fe bruary, which brings the average price of a ton of steel to around $420 , says Stratman . The $162 in surcharges would boost that price another 39%, and fabricators are bracing for more surcharges in April. VI EW MORE ARTIC LES FROM FIR ST QUARTERLY CO ST R EPO RT Summarv: Inflation's Sn eak Att ac k £guipment : Caug ht up in overheat ing steel Labor: Costs hin gg__on settling un ion d isp ute Indexes: Steel prices jol t bu ilding costs Methodol ogY.: What dri ves infl ation VIEW RELATED DATA Sc raR M etal Pric es Rebar and Stru ct ural S teel Prices For many in t he industry, the surchar es came as a total su ri se . One week b efore Christmas , Frank Williams, partner in The Williams roup, errifield , Va., met with two http ://www.em .com/print.as p ?REF =h ttp://w ww .enr.com/fea tures/bi zLabor/archi ves/04032... 3/23 /2004 McGraw-Hill Construction I ENR -Huge Quick and Volatile Price Hikes Stun Fabricator... Page 2 ofJ suppliers regarding delivery of stee l for a large project over a three-to-six month period . "They said they could not hold prices past April 1, which I felt we could deal with," says Williams. "Then two weeks later, I get a 'dear valued customer' letter with these huge surcharges.• Using surcharges as cover, •we have seen suppliers run in mass from existing quotes in contracts and just not honor them ,• he says. Bridge fabricators may be in a better position to weather th e storm because they tend to be more financially sound after five years of robust markets, says Williams. But commercial building fabricators, still struggling to emerge from recession, are vulnerable to the current situation. 'I think you are going to see a tremendous number of very large and very old fabricators shut their doors in the next six months,· he predicts. Rebar fabricators are in the same boat. For the past 30 years , reinforcing steel prices have been very steady, keeping in a plus or minus 10% bandwidth, says William Brack, CEO of Milford, Mass.-based fabricator Barker Steel Co . So he figured last spring's $35- per-ton price increase was the firm 's hit for the year. "What happened after that, nobody was prepared for," he says. What followed was another $50-perton increase in the fourth quarter of last year. •At that point, people thought that was a record and we had a crisis on our hands,• says Brack. But the real crisis was still coming with another price hike between January and the end of April that will total S170 per ton , if announced increases are included, he adds . To make matters worse , there are increasing concerns in the market about availability and delivery times . Because supply problems are playing a crucial role in price escalation, mills cannot ramp up production to take advertisement advantage of higher prices, as they normally would if demand was the primary concern. "Business is be ing driven now by the abi lity to maintain the availability of supply," says Brack. Ironically, he thinks that this may be fabricators' best hope in escaping the current crisis , since owners tend to fear the cost of project delay more than higher materials prices. "We are talking to our customers, and to keep their jobs running , we need some cooperation in terms of price relief," he says . Perhaps the most damaging aspect of the current steel market crisis is the uncertainty it has sown. Mills are not tipping their hand on what prices will be . "Price quotes for structurals are good for 30 days, at best, and pipe quotes are only good for a few weeks," says John Murphy, chief procurement officer for Black & Veatch, Overland Park, Kan . "No one k.nows how high prices are going or how long this situation will continue." Wire mesh is among the most unpredictable material, says Brack, whose firm also runs a materials warehousing operation. Mesh suppliers are only quoting prices at time of delivery but will not guarantee when that delivery will be, he says . Try putting that into a bid estimate. "It is impossible to put together an estimate in today's environment," says Joseph Majewski, president of JPM Construction Consultants Inc., Spring Lake , N.J. "How do you tell a client that this is the best guess because I don't know what is going to happen 1 O days from now?" Majewski is trying to cope with three announced price hikes total ing 50% for metal studs over the next 45 days, with no guarantee that the actual price increases will not be even higher. 'You include a contingency and hope you 've got it covered ," but in the end a contingency is just a guess, he says. This higher risk factor is changing the way contractors now do business. "Historically in our industry, we've built escalation into our jobs ,• says Eric Benson, president of San Diego-based Pacific Coast Steel Inc. "Now, we 're quoting projects with open escalation tied to the rising price of steel and some owners are getting sticker shock.· Benson says that general contractors "are coming back to an industry that has historically absorbed the price escalation and saying , 'What are we supposed to plug in for our escalation?"' http://www .e nr.c om/print.asp?REF=http ://www.enr.com/features/bizLabor/archives/04032... 3/23/2004 .... McGraw-Hill Construction I ENR -Huge Quick and Volatile Price Hikes Stun Fabricator... Page 3 of) Firms may be "forced to deal with what they may consider non-responsive bids," he adds. This uncertainty is creating a thriving environment for inflation. "The risk is that in trying to guess what is going to happen in the next si x months, firms start factoring in more escalation than actually happens," says Neil Platt, Pittsburgh-based purchasing manager for Turner Corp. "In the fourth quarter, we lost a lot of really large jobs to really low-priced competition and we were forced to survive on smaller jobs,• says Jim Mangarella, estimator for JM Ahle Co., a South River , N.J.-based rebar fabricator. That turned out to be a blessing in disguise, with small jobs' shorter cycle offering some protection against unexpected price hikes. "Now our larger competition is overbidding prices like crazy,• he says. Escalation clauses may help elevate the problem of overbidding , says Williams. "Otherwise, people are going to put in high bids up front to cover the risk factor," he says. Pricing Time Lag Some readers of ENA have expressed concern that the steel component for the February cost indexes was up only 3.8% for the year. However, the published February cost index is computed using the published January steel price, which in turn was collected in mid- December. Readers can find the most up-Io- date prices on the construction economics page in the fourth issue of each month. The current steel price and supply situation is putting "an enormous cash strain on all contractors honoring fixed-price contracts ,' says Bing Drastrup, president of Santee, Calif.-based J .L. Davidson. As a result, "the industry's ability to offer fixed prices at this point is virtually gone,• Drastrup says. "If you have a project that's long range ... we are unable to put a firm price or to guess what the price may be." Exacerbating the problem, credit also is tightening drastically. Only six months ago , 45 to 50-day payment terms "were quite acceptable," says Drastrup. Now, "it's net-30-or-nothing . And , if you're over your credit line, it's cash w ith shipment," he says. Further straining cash-strapped fabricators, a credit line now buys only 60% of what it did six months ago . Between supply shortages, shrinking credit , and a cash drought, "you 're getting it from all sides," Drastrup says. Higher prices are complicating other basic business issues . '...:'T..:.h;;::e~=::.;;.;...:.:,;;...;::.:.;:;..;.:.:;..;,; car in has doubled in cost and that means the financi r that pro uc are a so mcreasmgL says rack. " e can't bankroll a contractor and a contractor can't bankroll an owner.' Firms are now pushing for stability. "We're going back and asking clients to make price adjustments that will hold us harmless for price increases going forward, so we can stop the bleeding at some point and try to recover," Drastrup points out. More seasoned and flexible contractors seem to understand that replacing a fabricator is likely to drive up costs further, Drastrup says. A new vendor will likely seek full market prices rather than the cost adjustments requested by the fabricator already on board. "On existing contracts, there is not enough money in the pipeline ," says Williams . "It is going to be very difficult to get reimbursed on some of these unprecedented cost increases." http://www.enr.com/print.asp?REF=http://www.enr.com/features/bizLabor/archives/04032... 3/23/2004 McGraw-Hill Construction I ENR -Producers Struggle With Steel Prices ~ Send to Printer @ Close Window McGraw Hill EN R CONSTRUCTION business & labor FIRST QUARTERLY COST REPORT EQUIPMENT Producers Struggle With Steel Prices Competition says 'no', slim margins say 'yes' to passing cost on (3/2212004 Issue) By Tudor Ha mpton This year's sharp escalation in steel prices has manufacturers of work trucks and heavy construction equipment keeping a watchful eye on their futures. "Our product prices are directly affected by the price of steel ,• says Margaret A. Tue, purchasing manager for Stellar Industries Inc. The Gamer, Iowa-based producer of truck-mounted implements reports a 30% increase in raw-steel costs since January, with no signs of price relief in the near- term. DOWN THE LINE Fleet owners may see steel's impa ct reflected in higher equipment prices. (Photo courtesy of DaimlerChrysler AG.) whic Caterpillar Inc. says it is watching the steel market "very closely" and has 'a number of efforts under way' to contain prices, s ays Peoria, 111.-base d spokeswoman Lori T . Porter, who would not offer further comments. General Motors-Isuzu Commerc ial Truck, Cerritos, Calif., alread y has established 2005 truck prices, says Todd Bloom , vice president of marketing. "We don't see today's steel pricing having an effect.• But that could change in the future, he adds. Analysts indicate that producers may attack the problem by cutting down on dealer rebates, which now are plentiful, or restructuring operations to offset steel costs . However, consolidation already has forced lean manufacturing on many producers. With margins thin and demand rising , manufacturers may be tempted by the third option of pushing costs toward the buy ers in the form of higher prices for the products. VIEW MORE ARTI CLES FROM FIRST QUARTERLY COST REPO RT Summ qry:Jnflation's Sneak Attack .SJeel : Indus try stunned by huge Rrice hi ke s Lab or: Cos ts hinge on s ettling uni on disp ut e lnd exe_s_;_St~Etl_R rice s jolt buildin g co sts Meth od_ojQgy : What drives inflation VIEW RELATED DATA Metal Cost s in Heavy Egyj pment "The manufacturers may say, 'Let's shake the bushes and find out what we can do to cut costs.' Or say , 'We've eliminated everything to the bone and we're going to pass this along in our price increase,'" says Stephen Haggerty, New York City-based machinery analyst for Merrill Lynch. "It's jus t a question of where in the value chain it gets Page 1of2 http ://w ww .enr.c om/pri n t.as p ?REF=h ttp ://www .e nr.c om/feature s/bizLabor/ arc hi ves/0403 2... 3/23/2004 .• McGraw-Hill Construction I ENR -Producers Struggle With Steel Prices absorbed.' Steel is a big issue for manufacturers of trucks and heavy construction equipment because it constitutes a heavy chunk of their overhead costs (see table). Likewise, suppliers of components, such as engines, axles and hydraulic cyli nders , also a re feeling the supply crunch . "Steel is not our biggest purchased material, but we are still fortunate to have negotiated rates with our suppliers ,' says Jim Cartwright, spokesman for Parker Hannifin Corp., a $6.4-billion producer of equipment inst rumentation and hydraulic parts. Smaller firms with limited resources often may have no choice but to pass the buck . "It puts us at a huge [competitive] disadvantage," says K . Erich Rose , owner of truck body upfitter K .E. Rose Co ., Huber Heights, Ohio. For examp le , Rose says the cost of stainless-steel dump bodies has increased by $1 ,500, or 33%, since January. Some industry analysts say that if steel costs continue to rise , buy ers may see 3% to 5% price increases by the year-end on new trucks and equipment. advertisement http://www.enr.com/features/bizlabor/archives/040322b.asp Page 2of2 http://w ww .enr.com/pri n t. as p ?REF=http://www.enr.com/features/bizLab or/ arc hi ves/0403 2... 3/23 /2004 Orange County Sanitation District MINUTES BOARD MEETING FEBRUARY 25, 2004 ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CALIFORNIA 92708-7018 Minutes for Board Meeting Page2 02/25/04 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 x 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 x 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 x Tony Kawashima 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 Tod Ridgeway x Don Webb x Jim Silva Chuck Smith x Paul Walker Larry Herman STAFF MEMBERS PRESENT: Blake P. Anderson, General Manager; Jean Tappan, Acting Board Secretary; Bob Ghirelli; Dave Ludwin; Patrick Miles; Bob Ooten; Gary Streed; Lisa Tomko; Nick Arhontes; Jim Herberg; Norbert Gaia; Paula Zeller; Doug Stewart OTHERS PRESENT: Thomas L. Woodruff, General Counsel; Don Hughes; Oscar Gonzalor; Julia Wu; Greg Woodside; Tony Burke; Ron Linsky; Stan Oftalie; Jim Clark Minutes for Board Meeting Page3 02/25/04 PUBLIC COMMENTS There were no public comments. 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 Fullerton Tustin Board of Supervisors REPORT OF THE CHAIR Active Director Don Bankhead Tony Kawashima Jim Silva Alternate Director Leland Wilson Doug Davert Charles V. Smith Chair Shirley McCracken thanked Vice Chair Steve Anderson for filling in for her during her absence. She reported that we have received many compliments on the February 18 New Directors Orientation meeting and thanked staff for their efforts. Videos of the meeting are available. On March 31 there will be a special CIP Directors Workshop to help explain the planning and construction efforts that are underway that will deliver the $2.4 billion CIP, which includes achieving secondary treatment standards by December 2012. Director Eckenrode thanked Ana Burkhart, Communications staff member, for assisting him with his speaking engagements. Julia Wu and Tony Burke, ASCE Younger Member Forum members, presented Blake Anderson and the District with a plaque of appreciation for hosting the professional engineer review seminars for the past year. REPORTOFTHEGENERALMANAGER Blake Anderson, General Manager, did not make a report. REPORT OF THE GENERAL COUNSEL Thomas Woodruff, General Counsel, announced that the California Supreme Court has denied Petition for Review filed by the Crow-Winthrop Development and this litigation is now closed. This action preserves the District's Capital Facilities Connection Charge. APPROVAL OF MINUTES The Chair ordered that the minutes of the regular meeting held December 17, 2003, be deemed approved, as written. Minutes for Board Meeting Page4 02/25/04 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 01/15/04 01/31/04 Totals $10,000, 129.14 $16,639,786.91 Director Eckenrode abstained. Director Cavecche abstained from discussion and voting on Warrants Nos. 58895, 59143 and 59197. Abstentions were pursuant to California Government Code Section 84308. 9. a. CONSENT CALENDAR MOVED, SECONDED AND DULY CARRIED: (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. MOVED, SECONDED AND DULY CARRIED: (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). COMMITTEE REPORTS AND RECOMMENDED ACTIONS 11. DRAFT STEERING COMMITTEE: A verbal report was presented by Director McCracken, Chair of the Steering Committee, re the February 25, 2004 meeting. Chair McCracken reported that the Legislative Affairs Committee continues to meet. She announced that Director Tod Ridgeway was in Washington, DC, today where he attended the Orange County water community's annual luncheon with our representatives and their staff members representing the Sanitation District. This is an opportunity for Orange County water agencies to talk about the broad water quality and water supply issues that are important to us. The Steering Committee is evaluating the District's existing policies regarding Directors' business expense reimbursement, travel reimbursement and meeting compensation. Directors Anderson and Brian Brady are operating as a sub-committee of the Steering 4 • Minutes for Board Meeting Page5 02/25/04 Committee. The Committee took a preliminary look at the new draft policy and agreed to put consideration on hold awaiting the outcome of the Ortiz bill in Sacramento. The General Manager provided reports on the following: (a) in-county biosolids alternatives (b) the ocean discharge permit negotiations with EPA and the Regional Board (c) negotiations with SAWPA ( d) the possibility that a portion of Special District Property Tax revenues could be transferred to each of the county's Board of Supervisors for distribution to other purposes Additional items discussed included revisions to the Delegation of Authority Resolution and Carbon Canyon Trunk Sewer and Pump Station Abandonment. Staff was directed to include a discussion in the EIR on an alternative to sewer property outside the District's sphere of influence. Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order the Steering Committee Minutes for the meeting held on January 28, 2004 to be filed. Non-Consent Calendar d. MOVED, SECONDED AND DULY CARRIED: Receive and file report from National Water Research Institute (NWRI) on OCSD's Asset Management Strategic Plan. Ron Linsky, Executive Director of NWRI, and Stan Ottalie, President, Orange County Business Council, presented the findings of the Blue Ribbon Panel formed by NWRI at the request of the Directors to review the Asset Management Strategic Plan. The panel recommended going forward with the asset management program, though there was some concern about the estimated costs. However, the panel determined that the benefits could be significant. Staff will be preparing a revised program for staff-driven implementation for the Directors' consideration at a later date. Mr. Linsky offered to sponsor a workshop on asset management that would focus on experiences of other agencies that have implemented the program. 12. OPERATIONS. MAINTENANCE AND TECHNICAL SERVICES COMMITTEE (OMTS) OMTS Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order draft Operations, Maintenance and Technical Services Committee Minutes for the meeting held on February 4, 2004 to be filed. b. MOVED, SECONDED AND DULY CARRIED: Ratify Change Order No. 1 to Treatment Plant No. 2 North and South Scrubber Complex Caustic Tank Minutes for Board Meeting Page6 02/25/04 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: (1) Approve a budget amendment of $150,000 for Phase Ill 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. No items considered. 13. PLANNING. DESIGN AND CONSTRUCTION COMMITTEE (PDC) PDC Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order draft Planning, Design and Construction Committee Minutes for the meeting held on February 5, 2004 to be filed. b. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: Approve Amendment No. 2 to the Professional Services Agreement with Smith Emery GeoServices, to provide for additional Materials Testing, Inspection, and Geotechnical Engineering Services, Minutes for Board Meeting Page7 02/25/04 Specification No. PSA-2002-33BD, for FY2003/04 for an additional amount not to exceed $75,000. f. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: (1) Approve Professional Services Agreement with MWH Americas, Inc. for engineering services for Rehabilitation of Activated Sludge Plant at Plant No. 2, Job No. P2-7 4, for an amount not to exceed $2,139,998; and, (2) Authorize the General Manager to issue Task Authorizations not to exceed $100,000. Director Steve Anderson abstained. k. MOVED, SECONDED AND DULY CARRIED: 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 I. MOVED, SECONDED AND DULY CARRIED: (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; Minutes for Board Meeting Pages 02/25/04 (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. Director Norm Eckenrode abstained. 14. FINANCE. ADMINISTRATION AND HUMAN RESOURCES COMMITTEE (FAHR) FAHR Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order draft Finance, Administration and Human Resources Committee Minutes for the meeting held on February 11, 2004 to be filed. a. MOVED, SECONDED AND DULY CARRIED: Receive and file Treasurer's Report for the month of January 2004. c. MOVED, SECONDED AND DULY CARRIED: Receive and file the Mid-Year Financial Report for the period ending December 31, 2003. d. MOVED, SECONDED AND DULY CARRIED: Receive and file Quarterly Investment Management Program Report for the period October 1, 2003 through December 31, 2003. e. MOVED, SECONDED AND DULY CARRIED: Receive and file the SWAP Report for the quarter ended December 31, 2003. f. MOVED, SECONDED AND DULY CARRIED: Adopt Resolution No. OCSD 04-05, Amending Resolution No. OCSD 98-33~ Amending Human Resources Policies and Procedures Manual. g. MOVED, SECONDED AND DULY CARRIED: 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. MOVED, SECONDED AND DULY CARRIED: 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- 162BD, in an amount not to exceed $50,000. Minutes for Board Meeting Page 9 02/25/04 15. JOINT GROUNDWATER REPLENISHMENT SYSTEM COOPERATIVE COMMITTEE (JCC) JCC Consent Calendar a. MOVED, SECONDED AND DULY CARRIED: Order Joint Groundwater Replenishment System Cooperative Committee Minutes for the meeting held on January 12, 2004 to be filed. b. MOVED, SECONDED AND DULY CARRIED: Authorize changing the name of the "Joint Groundwater Replenishment System Cooperative Committee" to the "GWR System Steering Committee." JCC Non-Consent Calendar No items considered. NON-CONSENT CALENDAR 16. MOVED, SECONDED AND DULY CARRIED: (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. CONVENE IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS 54957 .6 AND 54956.9: The Board convened in closed session at 8:03 p.m., pursuant to Government Code Sections 54957.6 and 54956.9 to discuss Agenda Items 17(a)(1) and (2). Confidential Minutes of the Closed Session held by the Board of Directors 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 Committees Closed Meetings. There was no action taken re Agenda Item 17(a)(2). RECONVENE IN REGULAR SESSION: At 8:55 p.m., the Board reconvened in regular session. MOVED, SECONDED AND DULY CARRIED: 1) Approve proposed Step Program Implementation for the Unrepresented Manager Group; and 2) Approve proposed Step Program Implementation for the Unrepresented Confidential Group. Minutes for Board Meeting Page 10 02/25/04 ADJOURNMENT: The Chair declared the meeting adjourned at 8:55 p.m. H:\dept\agenda\Board Minutes\2004 Board Minutes\022504 draft minutes.doc ' J '· ROLL CALL BOARD OF DIRECTORS ORANGE OUNTY SANITATION DISTRICT TIME:~ ~ $_~ (SIMONIAN) .................... ANDERSON................... v V (WILSON) ........................ BANKHEAD ................... --V = V-= WAN) ................... BORTLE ...................... 7_ _ ~ _ ........................... cs.RADY. ......................... ~ __ V __ ........................... CAMPBELL . . . . . . . . . . . . . . . . . . . ~ v ---~~ (AMBRIZ) .......................... CAVECCHE. .................. a/ _ _&__ 5 7f (GARCIA) ......................... CHRISTY..................... --V __ ~ __ (CRANDALL} .................... COLLINS ...................... _L _ ~ _ (COERPER) .................... GREEN ....................... 4 _ ~ £99¥'1 (BROADWATER) ............. DAL TON ....................... _V'_ __ V __ (SHAWVER) .................... DONAHUE..................... v --L -- (WILSON) ......................... DUVALL...................... ~ _ v _ (UNDERHILL) ................... ECKENRODE ................. 2:::.. __ ~ __ (SCHAFER) ...................... FERRYMAN ................... V. ··_ V _ (POE) ................................ JEMPSA ...................... ~ _ ~ _ (DAVERT) ......................... KAWASHIMA............... v _____ _ (SHEA) ............................. KROM........................ 7 _ V _ (DOW) .............................. MARSHALL.................. ~ _ V _ (HERNANDEZ) ................. MCCRACKEN ............... _L_ __ y __ (BEAUMAN) ..................... MOORE ........................ + _ v _ (EPPERSON) ................... NEUGEBAUER .............. _ _ Y7 _ (KEENAN) ........................ PIERCY ........................ ~ _ V-_ (WEBB) ............................ RIDGEWAY ................... _V_ __ ~ _ (SMITH, CHUCK) ............. SILVA ........................... --7 _ ~ _ (HERMAN) ........................ WALKER. ...................... _ _ _ _ STAFF: /j ht/.~c>~ Anderson Beekman i_l'IV/i t.J..u..~F. Ghirelli ,-~ Woodruff ~ ~l-e.---~~ Nixon 1/28/04 G:\wp.dta\admin\BS\DIRECTOR\Directors Roll Call.doc REQUEST TO ADDRESS THE BOARD OF DIRECTORS All persons wishing to address the Board on specific agenda items or matters of general interest should complete and submit this form to the Board Secretary prior to commencement of the Board meeting. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion. Remarks may be limited to three minutes or less. Any handouts (35 COPIES REQUIRED) must be given to the Board Secretary prior to the meet ing for distribution. DATE: 3 -4 AGENDA ITEM NO. * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * NAME : (please print) HOME ADDRESS : g~ 2 C-~i~:I£ CJRL_ (number/street) it:J& ?>MVCJ !EZ, TELEPHONE: (city/zip code) /14 -fir-ic-4~ REPRESENTING : Sc L'f£{C2g')€/2 ='¥-ev/t fl~ ' (self/name of organization) REQUEST TO ADDRESS THE BOARD OF DIRECTORS All persons wishing to address the Board on specific agenda items or matters of general interest should complete and submit this form to the Board Secretary prior to commencement of the Board meeting . As determined by the Chair, speakers may be deferred until the specific item is taken for discussion. Remarks may be limited to three minutes or less. Any handouts (35 COPIES REQUIRED) must be given to the Board Secretary prior to the meeting for distribution . DATE ~~~ CJL/ AGENDA ITEM NO. * * *]', • : :;re* l* l .. {i , .. -Y!O* *[.r J; * * * * * * * * * NAME: (please print) _ 1 v _ ~ 4 -f I s; l)O B (\ook~v(2J ~ JI~ ;if { lf.fo HOME ADDRESS: (city/zip code) / TELEPHONE : (11~ s) J --o<os~ REPRESENTING : (self/name of organization) SIGN-IN SHEET ORANGE COUNTY SANITATION DIS TRICT BOARD M EETING -------------- NAME ORGANIZATION/FIRM rint H:\WP.OTA\ADMIN\BS\FORMS\SIGN-IN FORM.DOC ~ . • ' AGENDA BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CA 92708 REGULAR MEETING March 24, 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 th an 72 hours prior to the meeting date and time above . All written materia ls relating to each agenda item are available for pub li c inspection in the office of the Board Secretary. Items Not Posted: In th e 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 Bo ard subsequent to the posting of agenda, or as set forth on a supplemental age nda posted in th e manner as above, not less th an 72 hours prior to t he meeting date. Accommodations for the Dis abled: The Board of Directors Meeting Room is wheelch air accessibl e. If yo u require any special disability related accommodations, please contact t he Orange County Sanitation District Bo ard Secretary's office at (714) 593 -7130 at least 72 hours prior to t he schedul ed m eeting. Requests must specif y the n a ture of th e disabili ty and the type of accommodation r eq uested. Items Continued: Items may be continued from th is meeting without furth er notice to a Committee or Board meeting held within fi ve (5) days of this meeting per Government Code Section 54954.2(b)(3). Meetin g Adjournment: Th is meeti ng may be adj o urned to a later time and items of business from this agenda may be considered at the later meeting by Order of Adjournm en t and Notice in accordance with Government Code Section 54955 (posted within 24 hours). 1. In vocation a nd Pledg e of Al legia nce 2. Roll Call 3. Consideration of motion to receive and fil e minute excerpts of member agencies relating to appointment of Dire ctors, if any. (See li sting in Boa rd Meeting folders) City/Agency Active Director Alternate Director None 4. Appo intment of Chair pro tern , if necessa ry 03/24/04 Page 2 5. Pub lic Comments: All persons wishing to add ress the Board on specific agenda items or matters of genera l interest sho ul d do so at t his time. As determined by the Chair, speakers may be deferred u nt il the specific item is taken fo r discussion and rema rks may be limited to three minutes. Matters of i nterest addressed by a member of the pub lic and not listed on t hi s agen da cannot have action taken by the Board of Directors except as authorized by Section 54954 .2(b). 6. The Chair, General Manager a nd Ge nera l Cou nse l present verbal reports on misce ll aneous matters of general interest to the Directors . These reports are fo r information only and require no action by t he Di rectors . a. Report of Chair ; consideration of Resolutions or commendations, p resentations and awards b. Report of General Manager c. Report of General Counse l 7. If no corrections or amendments are made, the minutes for the regular meeting held on February 25, 2004 will be deemed approved as mai led and be so ordered by the Chair. 8. Ratifying payment of claims of the District, by roll call vote , as follows : A LL DISTR ICT S 02/15/04 02/29/04 Totals $9 ,706,410.97 $7 ,074,222.07 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. T his requi res that you identify the contr ibutor 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 Di rector's Handbook or ca ll the office of General Counsel. CONSENT CAL ENDAR A ll matters placed o n t he Consent Ca lendar are considered as no t requ i ring discussion or f u rther 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 i ncluded on the consent calendar. All items removed from the Consent Ca lend ar shall be cons ide red in the regular order of business. Members of the public who wish to remove an item from the Consent Calendar sha ll , upon recognition by the Cha i r, state their name, address and designate by number the it em to be removed from the Consent Calendar. The Cha ir will determine if any items are to be deleted from the Consent Calendar. • . _, • 9. 03/24/04 Page 3 Consideration of motion to approve all agenda items appearing on the Consent Calendar not specifi cally removed from same, as fo ll ows: a . (1) Receive and file peti t ion from Eduardo Bottger requesting annexation of 1.09 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 Reso l ution No. OCS D 04-06, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No. OCSD-41 -Bottger An nexati on). b. Authorize the Orange County Sanitation District General Manager to enter into a license agreement with the County of Orange for the operation of an urban runoff diversion pump stat ion at Orange County Sanitation District's Reclamation Plant No . 1, i n a fo rm approved by General Counsel. END OF CONSE NT CALENDAR 10. Consideration of items deleted from Consent Calendar, if any. COMMITTE E REPORTS AND RECOMMENDED ACTIONS 11. STEE RING COMMITTEE Consent Ca lendar a. Order draft Steering Committee Minutes for the meeting held on February 25 , 2004 to be fi led. Non-Consent Calendar b. Review and conside ration of agenda items considered by the Steering Com mittee re the Ma rch 24 , 2004 meeting. c. Consideration of items deleted from Steering Comm ittee Consent Calendar, if any. 12 . OPERATIONS, MA INTENANCE AND TECHNICAL SERVICES COMMITIEE (OMTS) OMTS Consent Calendar a . Orde r draft Operations, Maintenance and T echn ical Servic es Committee Minutes for t he meeting he ld on Ma rch 3, 2004 to be fi led. OMTS Non-Consent Calendar b. Consideration of items de leted from OM TS Committee Consent Ca lendar, if any 03/24/04 • Page 4 13. PLANNING, DESIGN AND CONSTRUCTION COMMITTEE (PDC) PDC Consent Calendar a. Order draft Planning, Design and Construction Committee Minutes for the meeting held on March 4 , 2004 to be filed. b . PDC04-12 Ratify Change Order No . 13 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing an addition of $784, increasing the total contract amount to $71 ,241,988. c. PDC04-13 Ratify Change Order No. 5 to Bushard Trunk Sewer Rehabilitation, Job No . 1-2-4 , with Steve P. Rados, Inc., authorizing an addition of $409,301 , increasing the total contract amount to $31,094,779. d. PDC04-14 Ratify Change Order No. 6 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 $142,606, increasing the total contract amount to $15,088,916. e . PDC04-15 (1) Approve a budget amendment of $300,000 for Short Term Ocean Outfall Bacteria Reduction , Job No. J-87, for a total budget of $8,067 ,396; and (2) Ratify Change Order No. 3 to Short Term Ocean Outfall Bacteria Reduction , Job No. J-87, with J.F. Shea Construction, Inc., authorizing an addition of $163,607, increasing the total contract amount to $4 ,395 ,349 . f . PDC04-16 (1) Approve a budget amendment of $25,000 for Mod ificat ions to Main Street Pump Station, Contract No, 7-7-2, for a total budget of $994,000 ; and (2) Ratify Change Order No. 1 to Modifications to Main Street Pump Station, Contract No. 7-7-2 , with Cora Constructors, authorizing an addition of $7 4 ,292 and time extension of 33 calendar days , increasing the total contract amount to $812,292. PDC Non-Consent Calendar g. PDC04-21 h. PDC04-22 i. PDC04-23 Approve Professional Services Agreement with Malcolm Pirnie providing for engineering services for Primary Treatment Rehabilitation and Refurbishment at Plant No. 2 , Job No . P2-80, for an amount not to exceed $5 ,778 ,518 . Approve Professional Services Agreement with Tetra Design, Inc . providing for engineering services for Laboratory Rehabilitation in Plant No . 1, Job No. J -88, for an amount not to exceed $65,655. Approve Professional Services Agreement with Spec Services , In c. for engineering services for Gisler-Redhill Trunk Sewer Relocation -Phase 1, Contract No. 7-32-1 , for an amount not to ex ceed $102,591 . 03/24/04 Page 5 j . PDC04-24 Approve Professional Services Agreement with RBF Consulting for engineering services for Lemon Heights Subtrunk Street Rehabilitation, Contract No. 7-22-1, Tustin Trunk Improvements, Contract No. 7-38, and West Trunk Improvements, Contract No. 7 -40 , for an amount not to exceed $253,578. k . PDC04-25 Approve Professional Services Agreement with HOR Engineering, Inc. providing for professional services for Supplemental Secondary Treatment CEQA Documentation , Job No. J-40-1 O, for an amount not to exceed $125 ,840 . I. PDC04-26 Approve Amendment No. 2 to the Professional Services Agreement with CH2M H ill , Inc., providing for eng ineering services for the Effluent Pathogen Reduction Alternatives Plan , Job No. J-40-6, for an additional amount of $59 ,923, increasing the total amount not to exceed $393 ,904 . m . PDC04-27 Approve Amendment No . 4 to the Professional Servic es Agreement with Tran Consulting Engineers for Sunflower Interceptor Manhole Rehabilitat ion , Contract No. 7-21 , providing for additional design and construction support services for an additional amount of $152,093, increasing the total amount not to exceed $518,608. n. PDC04-28 Approve Amendment No . 5 to the Professional Services Agreement with Cathcart Garcia von Langen for Plant Utilities Rehabilitation and Refurbishment, Job No. P2-82, providing for additional design and construction support services for an add itional amount of $125,820, increasing the total amount not to exceed $754,246. o. Consider item deleted from PDC Committee Consent Calendar PDC04-17 (1) Approve time extensions to Cooperative Projects Program contracts with the following cities : Brea (CP-0101 ), Garden Grove (CP-0206), Huntington Beach (CP-0124), Orange (CP-0129 and CP -0130), and Sunset Beach Sanitary District (CP-0213); and (2 ) Approve additional funding for the FY 2003-04 Cooperative Projects Program in the amount of $1 ,365 ,000 , increasing the total FY 2003-04 funding to $1,540,000 and the total program since inception to an amount not to exceed $18 ,751,736. 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 March 10, 2004 to be filed. 03/24/04 Pa ge 6 b. FAH R04-14 Receive an d file Treasurer's Report for the month of Februa ry 2004. The Treasu rer's Report will be distributed at the FAHR Committee meeting in acco rd ance with the Board-approved In ves tm en t Policy, and in conformance to the Government Code requirement to have mo nthly repo rt s reviewed w ithin 30 days of month end. c. FAHR04-19 Adopt Resolution No . OCSD 04-07. Adopting Policies and Procedures for District's Re cords Management Program, Records Retention , and Destru ct ion of Obso lete Records, and Repealing Resolution No . OCSD 03-06. FAHR Non-Conse nt Calendar d. FAHR04-21 1) Approve the use of planned recruitments, on an as needed basis , to fill key positions wi th in the o rgan ization where an individual holding a key position has a specific term ination date previously establis hed and has subm itted a letter of resignation. 2) Approve the use of a "Planned Recruitment Position Pool" administered by the Hum a n Re sources Department within the Division 540 FTE budget. 3) Approve the re v isions to Re cruitment Poli cy 8150.00. e. FAHR04-22 Adopt Resolution No. OCS D 04-08 , Establishing Policies and Procedures for the Award of Purchase Orders and Contracts; Award of Public Works Project Contracts; Award of Professional Services Co ntracts; a nd Dele gat ion of Authority t o Implement Said Policies and Procedures; and Repealing Resolution No. OCSD 99 -23. 15. COOPERATIVE PROJECTS GRANTS AD HO C COMM ITTEE CPG Ad Hoc Consent Ca lendar a. Order Cooperati ve Projects Grants Ad Hoc Comm ittee Minutes for the meeting held on Jan ua ry 2 1, 2004 t o be fil ed . 16. GW R SYSTEM STEERING COMM ITTEE (GW RSSC ) GW RSSC Co nsen t Ca lend ar a. Order Joint Groundwater Replenishment System Cooperati ve Co mmittee Minu t es for the meeting held on February 9, 200 4 to be filed. b. Contract No. GWRS-2003-5, Groundwater Replenishment System Un it I Pipe line Proj ect . I 03/24/04 Page 7 (1) Find that pursuant to California Environmental Quality Act Section 15164 that some minor changes or additions to the Environmental Impact Report/Environmental Impact Statement (EIR/EIS) on the Groundwater Replenishment System certified in March 1999 are necessary, but none of the conditions described in Public Resources Code Section 21166 and/or in Section 15162 have occurred that would require the preparation of a Subsequent Environmental Impact Report or Negative Declaration ; (2) Approve Addendum No . 3 to the EIR/EIS prepared by Environmental Science Associates; and {3) Authorize award of a const ruction contract by the Orange County Water District (OCWD) to Ken Thompson, Inc., for construction of Groundwater Replenishment System Unit I Pipeline Project, Contract No . GWRS-2003-5, for an amount not to exceed $26,673,000, with OCWD and OCSD paying equal shares of $13 ,336,022.50. JCC Non-Consent Calendar c. Consideration of items deleted from JCC Consent Calendar, if any. NON-CONSENT CALENDAR 17. None 18. 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 e state 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 pend ing or potential litigation; (c) employment actions or negotiations with employee representati ves; 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 General Counsel re Orange County Sanitation District, et al. v . County of Kern , et al., Tulare County Superior Court Case No. 189564, pursuant to Government Code Section 54956 .9. 2. Confer with General Counsel re Orange County Sanitation District v. County of Kings , et al., Kings County Superior Court Case No . 02C0835, pursuant to Government Code Section 54956.9 . 3. Consider recommended pay grade adjustments for the Executive Management pursuant to Government Code Section 54957.6. 03/24/04 Page 8 4. Consider General Manager's Annual Performance Evaluation and Compensation pursuant to Government Code Section 54957.6. b. Reconvene in regular session c. Consideration of action, if any, on matters considered in closed session 19 . Matters which a Director may wish to place on a future agenda for action and staff report . 20. Other business and communications or supplemental agenda items, if any 21. Future Meeting Date: The next Board of Directors regular meeting is scheduled for April 28, 2004, at 7:00 p .m. 22. Adjournments ~········••0000 +0 .. 0000000000000000•00 0 00000000000 0 0 00000000000000000000000000000000000 0 000000000oO ooooOO OOOoo oOo oo000•000 0 0000+00000•00000000000••ooo 0 0 0 0 0000 000 00000000 000 000 0000000 00000000 000o o00000000•00••oo.o oooo++OOOOoooOOOo0+0o0000000000000000000000••H000000 0 0 0 00 0 0000000000: j NOTICE TO DIRECTOR S: To place items on th e agenda for the Regular Meeting of the Board of ! ! Directors, items shall be submitted to th e Board Secretary no later than the close of business 14 days 1 tprecedi ng the Board meeting. The Board Sec retary shall include on th e agenda all it ems submitted by i I Directors, the General Manager and General Counsel and all form al communications. I !Gen eral Manager Blake Anders on (714) 593 -7110 banderson @ocsd .com 1 !Acting Boa rd Secretary J ean Tappan (714) 593-7101 jtapp an @oc sd .com j !Director/Engine ering David Ludwin (714) 593-7300 dlu dwin @ocs d.c om ! !Director/Fi nance/Treasurer Gary Streed (714) 593-7550 qstreed @ocsd.com ! !Direc tor/Human Resources Li s a Tomko (714) 593-7145 ltomko @ocsd .com ! !Director/Information T ec hnol ogy Patrick Miles (7 14) 593-7280 pmiles @oc sd.com 1 ! Director/Op e rations & ! j Maintenanc e Bob Ooten (714) 593-7020 rooten @ocsd .c om j l Direc to r/Tec hnical Servi ces Bob Ghirelli (7 14) 593-7400 rqhirelli @ocsd.com l !communications Se rvic es Mgr. Carol Beekman (7 14) 593-7120 cb eekman @ocs d.com j 1.§~0.~r.~!.gg,~n.~~! ............................................. .I~~!!).~.~ .. ~-: .. Y.YPP.9.r.~.~---······· ...... C?.~.~) .. §~~~.?.~.9.~ ...... tl '.'f<i?'WSS·l ~w;,y qC\) ........................................... J H:\dept\agenda\Board Agendas\2004 B oard Agendas\03240 4 draft a gend a.doc }.->,. -J ·.~.· .:...-~~ .. ' ·~( Claims Paid From 01/01/04 to 01115/04 Warrant No. Vendor Amount Descril!tion 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 \Mreless 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 \Mndows 58811 Court Order 597.50 Wage Garnishment 58812 Thomas M. Blanda 274.50 MeetingfTraining 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 fin/210/lc H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -011504.xls Page 1of6 EXHIBIT A 211312004 ---- Warrant No. Vendor 58816 AKM Consulting Engineers 58817 Black & Veatch Corporation 58818 Blue Cross of California 58819 Boyle Engineering Corporation 58820 Brown & Caldwell 58821 California Soil Products 58822 Delta Dental 58823 J R Filanc Construction 58824 Kaiser Foundation Health Plan 58825 Kemiron Pacific, Inc. 58826 Kforce, Inc. 58827 Lee & Ro, Inc. 58828 LECO Corporation 58829 Malcolm Pirnie, Inc. 58830 Orange County Water District 58831 Parsons, Inc. 58832 Pioneer Americas, Inc. 58833 So. Cal. Gas Company 58834 St Croix Sensory, Inc. 58835 Tule Ranch/Magan Farms 58836 U.S. Peroxide, L.L.C. 58837 Villalobos & Associates 58838 ARB, Inc. 58839 Cora Constructors 58840 J F Shea Construction, Inc. 58841 J R Filanc Construction 58842 Margate Construction, Inc. 58843 Morrow-Meadows Corp. 58844 Southern Contracting Company 58845 Orange County Sanitation District 58846 Abatix Environmental Corp. 58847 Agilent Technologies, Inc. 58848 Air & Waste Management Assoc. 58849 Alhambra Foundry Co., Ltd. 58850 American Fildelity Assurance Company 58851 AMEC Earth & Environmental 58852 AMSA 58853 AT&T Wireless Services 58854 Baker Tanks 58855 BioMerieux Vitek, Inc. 58856 Borthwick, Guy, Bettenhausen 58857 Bush & Associates, Inc. 58858 SEC-Building Electronic Controls, Inc. 58859 California Automatic Gate 58860 California Relocation Services, Inc. Claims Paid From 01/01/04 to 01/15/04 Amount 68,319.80 95,353.94 319, 164.37 87,299.16 40,164.00 119,891.00 56,613.06 30,532.53 51,496.41 139,074.45 37,468.44 54,481.06 176,288.70 27,653.48 1,255,809.49 381,977.84 197,998.02 25,426.90 34,356.21 131,562.91 204,924.53 25,660.50 362,732.86 44,730.00 422,896.65 1, 144,312.01 1,351,976.00 26,432.00 36,173.00 38,862.99 227.30 357.41 150.00 4,202.25 66.00 150.00 10.50 2,869.63 560.00 1,078.86 3,455.32 7,294.00 2,400.00 782.19 806.25 Description Professional Services 7-36, 7-39, 7-41 -Trunk Sewer Improvements Engineering Services J-77, J-87 & J-71-3 Medical Insurance Premium Engineering Services 1-2-4 Prof. Serv. -Needs Assessment Study & O&M Standard Oper. Proc. Manual Residuals Removal MO 3-29-95 Dental Insurance Plan Construction -Valve Replacement at Yorba Linda, West Side & Rocky Point Medical Insurance Premium Ferric Chloride MO 9-27-95 Temporary Employment Services Professional Services 5-43-1, 5-51 & 5-52 Gas Chromatograph with Time-of-Flight Mass Spectrometer Professional Services J-79 Joint GWRS Project J-36 Engineering Services J-35-1 Sodium Hypochlorite Natural Gas Olfactory Measurement Equipment, Software, Training & Supplemental Equipment Residuals Removal MO 3-29-95 Odor & Corrosion Control for Coll. Sys.; Hydrogen Peroxide & Ferrous Chloride Prof. Serv. -Corrosion Management & P-2 Digester Gas Line Evaluation Construction 11-22 Construction 7-7-2 Construction J-71-3, J-35-2 & P2-85 Construction P1-76 Construction P1-37 Construction P2-47-3 Construction J-33-1A Worker's Comp. Reimb. Hardware Lab Parts & Supplies Membership Manhole Frames & Covers Voluntary Cancer Insurance Lab Supplies Source Control Meeting Registration Wireless Phone Services Tank Rentals Lab Supplies Professional Services P2-84 Surveying Services, J-77, 11-22 & P1-76 Fire Alarm System Maintenance Program Quarterly Inspection Automatic Gate Maintenance -Both Plants File Moving/Relocation Services · lin/210/lc '·.· )'} ~lept\fln\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-011504.xls 4 Page 2of6 EXHIBIT A 2/13/2004 Warrant No. Vendor 58861 Carl Warren & Co. 58862 Carollo Engineers 58863 Cingular Wireless Equipment 58864 Coast Rubber Stamp Mfg. 58865 Columbia Analytical Seivices, Inc. 58866 Computer Sciences Corp. 58867 Consolidated Elect. Distributors 58868 Consumers Pipe & Supply Co. 58869 Cooper Cameron Corporation 58870 Corporate Express 58871 Corporate Image Maintenance, Inc. 58872 County of Orange 58873 County Wholesale Electric Co. 58874 Culligan of Orange County 58875 CASA 58876 CEPA Company 58877 CWEA 58878 David's Tree Seivice 58879 Dell Direct Sales, L.P. 58880 Dunn-Edwards Corporation 58881 DGA Consultants, Inc. 58882 E. Sam Jones Distributors, Inc. 58883 Employee Benefits Specialists, Inc. 58884 Employers Group 58885 Enchanter, Inc. 58886 Environmental Engineering & Contracting 58887 Environmental Sampling Supply, Inc. 58888 FedEx Corporation 58889 Filarsky & Watt, L.L.P. 58890 First American Real Estate Solutions 58891 Fisher Scientific Company 58892 Foodcraft Coffee & Refreshment Seivices 58893 Franklin Covey 58894 Fry's Electronics 58895 Ganahl Lumber Company 58896 Garratt-Callahan Company 58897 Grainger, Inc. 58898 Graybar Electric Company 58899 Hach c/o Ponton Industries 58900 Hach Company 58901 Hill Brothers 58902 Home Depot 58903 Hopkins Technical Products 58904 Hub Auto Supply 58905 Industrial Distribution Group fin/210/lc Claims Paid From 01/01/04 to 01/15/04 Amount 816.48 23,234.37 2,278.03 153.77 2,315.00 5,687.89 404.28 583.70 196.56 2,202.18 155.00 3,875.55 101.56 453.20 375.00 1,210.00 1,094.00 2,755.00 10,647.86 399.21 8,951.75 803.51 250.00 60.00 2,700.00 5,500.00 488.83 473.50 142.50 647.50 4,401.13 262.05 464.59 325.57 2,419.74 853.38 6,949.25 145.75 436.76 442.09 22,615.93 275.08 546.83 390.44 1,451.12 Description Insurance Claims Administrator Professional Seivices P2-60 & Microfiltration Demonstration Project Tax on Free Telephone Equipment Office Supplies Analysis of Wastewater, Industrial Wastewater & Biosolids Consulting & Lab Seivices-Assay Pilot Project Electrical Supplies Plumbing Supplies Engine Supplies Office Supplies Custodial Seivices Spec. No. 9899-09 Maint. Agreement -Repair/Installation of Base, Handheld & Vehicle Radios Electrical Parts & Supplies Maint. Agreement -Cen Gen Water Softener System Communications Meeting Expense Lab Equipment Maint. Seivice Source Control Training Registration Tree Maint. Seivice (4) Dell Latitude Notebook Computers Paint Supplies Professional Seivices -CClV Data Evaluation Electrical Supplies Reimbursed Prepaid Employee Medical & Dependent Care Safety & Health Meeting Registration Ocean Monitoring & Outfall Inspection & Maintenance Professional Seivices -Fats, Oil & Grease (FOG) Study Lab Parts & Supplies Air Freight Prof. Seivices -SPMT Labor Negotiation Meetings & Special Seivices Orange County Property Information Lab Parts & Supplies Meeting Supplies Office Supplies Computer Supplies Lumber/Hardware Chemicals Mechanical Parts, Supplies & Tools Electrical Parts & Supplies Lab Parts & Supplies Pump Parts & Supplies Chemicals -Odor & Corrosion Control -Newport Trunkline Misc. Repair & Maintenance Material Mechanical Parts & Supplies Vehicle Parts & Supplies Mechanical Parts & Supplies H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -011504.xls Page 3of6 EXHIBIT A 2113/2004 Warrant No. Vendor 58906 Industrial Fabrics Corp. 58907 lnnerline Engineering 58908 Interstate Batteries of Cal Coast 58909 lntratek Computer, Inc. 58910 Ionics Instrument Business Group 58911 Iron Mountain Off-Site Data Protection 58912 IECOC 58913 J F Shea Construction, Inc. 58914 Jamison Engineering Contractors, Inc. 58915 Jay's Catering 58916 Johnstone Supply 58917 JC Penny Co., Inc. 58918 KW Communications 58919 L & N Uniform Supply Co. 58920 League Of CA Cities 58921 Lifecom-Safety, Inc. 58922 Lucci's Gourmet Foods, Inc. 58923 LINJER 58924 Mandie Motors 58925 McMaster-Carr Supply Co. 58926 Mee Analytical System 58927 Medlin Controls Co. 58928 Mission Abrasive & Janitorial Supplies 58929 Mission Uniform Service 58930 MBC Applied Environmental Sciences 58931 National Plant Services, Inc. 58932 NetVersant of Southern California 58933 Nu-Way Laser Engraving 58934 NASSCO/PACP 58935 Office Depot Business Services Div. 58936 OneSource Distributors, Inc. 58937 Orange County Hose Company 58938 Orange Courier 58939 Ortiz Fire Protection 58940 Oxygen Service Company 58941 OCB Reprographics 58942 P.L. Hawn Company, Inc. 58943 Pacific Bell Internet Services 58944 Pacific Investment Management Co. 58945 Pacific Parts & Controls 58946 Parker Hannifin Corporation 58947 Partners Consulting Services 58948 Pixelpushers, Inc. 58949 Ponton Industries, Inc. 58950 Praxair Distribution, Inc. . : . fin/210nc Claims Paid From 01/01/04 to 01/15/04 Amount 7,340.00 2,075.22 938.66 3,000.00 105.00 310.00 50.00 4,471.00 7,751.70 1,897.37 48.61 5,923.09 1,460.00 28.80 120.00 295.00 95.19 10,010.62 91.00 53.87 12,181.00 1,341.65 41.59 157.04 1,420.00 6,900.00 3,217.60 76.80 1,500.00 1,280.50 5.68 127.87 98.50 360.00 1,485.07 689.15 328.94 328.79 19,190.00 4,496.96 178.35 24,840.00 17,000.00 3,521.20 14.95 Description Mechanical Parts & Supplies CCTV Videoing of Trunkline Sewers Batteries for Vehicles & Carts Network & Server Maintenance Lab Supplies Offsite Back-Up Tape Storage for NT Server Membership (Industrial Environmental Coalition of Orange County) Construction -Plant 2 Junction Box #4 Repairs Inspect. & Maint. -Districfs #5 & #6 Gates and Preventative Flap Gate Maint. at Pit. 1 Meeting Expenses Mechanical Supplies Reconciliation User Fee Refund Program Community Outreach Re Bushard Trunkline Replacement Project Uniform Rentals Publication Instrument Calibration Meeting Expense Professional Service -DART MO 9-22-99 Towing Services Tools Toxicity Analysis Instrument Supplies Janitorial Supplies Uniform Rentals Lab Analyses Vacuum Truck Services Security System Maintenance Steel Tags Air Quality Training Registration Office Supplies Electrical Parts & Supplies Hydraulic Hose Supplies & Parts Courier Services Fire System Maintenance & Repair Services Specialty Gases Printing Service -MO 1126/00 Electrical Supplies Internet Service Investment Management Service Res. 95-97 Electrical Parts & Supplies Mechanical Parts & Supplies FIS On-Site Support -One World XE Migration Project Prof. Serv. -Design, Implement, Construct & Install a Corporate Intranet Site Instrument Parts & Supplies Demurrage , .... ~ ~:\dept\fin\EXCEL.dta'\220\APSHARE\Clalms Paid Report'D3-04\Claims Paid Report -011504.xls Page 4of6 EXHIBIT A 2/1312004 Warrant No. Vendor 58951 Pre-Paid Legal Services, Inc. 58952 PrinterGuy 58953 Protech Petroleum Services, Inc. 58954 Putzmeister 58955 PRSA -Orange County Chapter 58956 PVF Sales, Inc. 58957 R. L. Abbott & Associates 58958 R.F. MacDonald Co. 58959 Rainbow Disposal Co. 58960 Regents of Univ. of California 58961 Reliastar 58962 Ricoh Business System 58963 RBF Engineers 58964 RMS Systems, Inc. 58965 RPM Electric Motors 58966 Sancon Engineering, Inc. 58967 Schwing America, Inc. 58968 Schwing America, Inc. -Training 58969 Science Applications Intl., Corp. 58970 Sea-Bird Electronics, Inc. 58971 Self-Insurance Plans 58972 Shamrock Supply Co., Inc. 58973 Society for HR Management 58974 South Coast Air Quality Management Dist. 58975 Southern California Edison 58976 Southern California SETAC 58977 Southwest Air Balance Corp. 58978 Spectrum Video, Inc. 58979 Sunset Ford 58980 Symcas-TSG 58981 Systime Computer Corp 58982 SC Field Technical Services 58983 South Coast Environmental Co. 58984 SETAC 58985 SOCALABPA 58986 Teletrac Inc. 58987 Terminix International Co. #2474 58988 Thompson Industrial Supply, Inc. 58989 ThyssenKrupp Elevator Corporation 58990 Tierra Tractor 58991 Time Warner Communication 58992 The Trane Company 58993 Trojan Technologies, Inc. 58994 Truck & Auto Supply, Inc. 58995 Truesdail Laboratories, Inc. fin/210/lc Claims Paid From 01/01/04 to 01/15/04 Amount 463.45 2,222.57 9,462.50 753.01 75.00 31.05 3,000.00 545.00 2,732.56 4,254.75 9,716.00 1,745.39 10,575.87 824.00 179.04 15,200.00 2,995.81 1,950.00 22,387.40 409.00 2,639.42 364.20 160.00 442.90 5,200.11 20.00 1,415.00 1,163.75 20.18 1,381.60 20,265.00 3,510.75 9,921.43 120.00 160.00 245.00 785.00 8,269.61 115.00 11,525.00 40.47 66.17 23,800.50 44.35 600.00 Description Employee Legal Service Insurance Premium Printer Maintenance Underground Storage Tank Repairs Mechanical Parts & Supplies Membership (Public Relations Society of America) Plumbing Parts & Supplies Kem County Biosolids Consulting Services Analysis Report on Source Testing of Boilers at Pit. 2 Trash Removal Professional Services J-85 Employee Basic Life Insurance Color Copier Lease Engineering Services 2-24-1 Software Maint. Motor Repairs & Maint. -Sandblast & Coating Basins "G" & "O" Scum Plates Pump Supplies Mechanical Maintenance Training Registration Professional Services P-179 Instrument Repairs & Maintenance State Workers' Compensation User Funding & Assessment Work Bench & Tools Membership Annual Emission, Operation & Misc. Fees Power Membership (So. Calif. Society of Environmental Toxicology & Chemistry) Professional Services P1-37 Professional Services -Board Room Audio-Visual Design Auto Parts & Service SCADA System VAX Service Agreement Professional Services -J D Edwards One World XE Support Flame Arrestor Cen Gen Emissions Testing Service Membership (Society of Environmental Toxicology & Chemistry) Mech. Maint. Meeting Registration (So. Calif. American Backftow Prevention Assoc.) Monthly Air-Time Service Fee & Software/Hardware Maint. For Vehicle Tracking Sys. Pest Control Mechanical Parts & Supplies Elevator Maintenance Tree Planting Services Cable Services Electrical Parts & Supplies Professional Services J-40-6 Automotive Supplies Analysis of Biosolids and Wastewater H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -011504.xls Page 5of6 EXHIBIT A 2/1312004 Warrant No. Vendor ~~~~~~~~~~~~~~~ 58996 US Filter Corp. 58997 United Parcel Service 58998 The Vantage Group, L.L.C. 58999 Varian Associates, Inc. 59000 Verizon California 59001 Verne's Plumbing 59002 Vision Service Plan-(CA) 59003 V L Systems, Inc. 59004 VWR Scientific Products 59005 The Wackenhut Corporation 59006 The Wall Street Journal 59007 Wastewater Technology Trainers 59008 Water 3 Engineering, Inc. 59009 WateReuse Association 59010 Wilson Supply, Inc. 59011 WEF 59012 Xerox Corporation 59013 Court Order 59014 Yokogawa Corp. of America 59015 Adams/Mallory Construction Co., Inc. 59016 California Bank & Trust 59017 Hardat S. Khu bl all 59018 Charles D. McGee 59019 Patrick A. Sullivan 59020 Jonathan K. Thomsic 59021 Crawford, George 59022 CAPPO Conference Registration 59023 DMG-Maximus 59024 Court Order Total Accounts Payable -Warrants Payroll Disbursements 32703 -3281 O Employee Paychecks 32811 -32817 Employee Paychecks 32818 -32957 Employee Paychecks 32158 -32674 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments fin121onc JP Morgan Chase Bank JP Morgan Chase Bank Total Wire Transfer Payments Total Claims Paid 01/01/04 -01/15/04 Claims Paid From 01/01/04 to 01/15/04 Amount 60.00 229.25 12,440.00 75.20 2,458.92 365.00 9,240.72 370.00 1,181.32 14,219.60 171.32 2,090.00 14,710.19 275.00 616.90 1,143.00 8,973.60 597.50 5,224.49 19,524.46 4,019.00 159.56 127.00 72.00 154.50 1,362.98 600.00 10,000.00 445.00 $ 8,523,654.48 $ 164,297.07 24,551.84 158,458.34 967,799.71 $ 1,315,106.96 $ 124,045.80 37,321.90 $ 161,367.70 $10,000, 129.14 Description Service Agreement -Lab Purification System Parcel Services Temporary Employment Service Lab Parts & Supplies Telephone Services Service Contract -Testing, Repair & Cert. Backflow Devices Vision Service Premium Software Maintenance Lab Parts & Supplies Security Guards Subscription O & M Training Registration Engineering Service J-67 Lab Meeting Registration Electrical Parts & Supplies Membership -Water Environment Federation Fax & Copier Leases wage Garnishment Instrument Supplies Construction P2-79-1 Construction J-33-1 A, Retention Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Employee Computer Loan Program Purchasing Meeting Registration Professional Services -Cost Allocation Plan Wage Garnishment Biweekly Payroll 01/07/04 Payroll Adjustments & Retiree Payments Vacation & Leave Overaccrual Payouts, EMT Payouts & Adjustments Biweekly Payroll 01 /07 /04 Societe Generale November Swap Payment on 1993 Certificates of Participation December Interest Payment on 1993 Certificates of Participation _ ---.. H,:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -011504.xls Page 6of6 EXHIBIT A--- 2/1312004 Claims Paid From 01/16/04 to 01/31/04 Warrant No. Vendor Accounts Payable -Warrants 59025 City of Seal Beach $ 59026 Orange County Sanitation District 59027 Airgas Safety, Inc. 59028 American Express 59029 American Telephone & Telegraph Corp. 59030 Bell Pipe & Supply Co. 59031 Boutwell.Fay & Fabricant, L.L.P. 59032 City of Tustin 59033 Voided Check 59034 Consolidated Elect. Distributors, Inc. 59035 Consumers Pipe & Supply Co. 59036 Court Trustee 59037 CASA 59038 Employee Benefits Specialists, Inc. 59039 Franchise Tax Board 59040 The Holman Group 59041 City of Huntington Beach 59042 Insight Investments 59043 Internal Revenue Service 59044 Intl. Union of Oper. Eng. AFL-CIO Local 501 59045 Irvine Ranch Water District 59046 James F. McConnell 59047 McMaster-Carr Supply Co. 59048 Midway Mfg & Machining Co. 59049 National Bond & Trust 59050 Oracle Corporation 59051 Orange County Sheriff 59052 Orange Fluid System Technologies, Inc. 59053 OCEA 59054 Pacific BellMbrldCom 59055 Court Order 59056 Court Order 59057 Peace Officers Council of CA 59058 Prudential Insurance Company of America 59059 Court Order 59060 So. Cal. Gas Company 59061 Southern California Edison 59062 Southern California Edison 59063 State Board of Equalization 59064 SBC 59065 United Way 59066 Verizon California 59067 Michael A. Berdis 59068 Ronald C. Cortez 59069 Tyler T. Hoang 59070 Vincent S. Lockyer 59071 Denise M. Martinez 59072 Cynthia A. O'Neil H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03.04\Claims Paid Report· 013104.xls fin121onc Amount 278,218.00 791,042.23 7,792.10 24,982.61 251.78 72.97 1,664.50 1, 157.73 81.43 268.36 69.12 1,500.00 9,488.58 100.00 910.44 20,169.77 750.00 500.00 3,763.87 3.65 1,750.00 179.04 8,925.00 2,108.91 2,914.44 385.11 61.02 589.36 15.18 40.00 296.00 1,575.00 2,490.55 721.50 4,064.48 17,175.16 1,781.21 195.32 33.83 305.00 3,098.54 440.00 440.00 440.00 195.00 215.00 134.71 Description Cooperative Projects -City of Seal Beach Payroll EFT Reimbursement Safety Supplies & Equipment Purchasing Card Program, Misc. Supplies & Services Telephone Service Mechanical Parts & Supplies Legal Services -401 a Plan Water Use Mechanical Parts & Supplies Plumbing Supplies Wage Garnishment General Management Meeting Registration Reimbursed Prepaid Employee Medical & Dependent Care Wage Garnishment Employee Assistance Program Premium Water Use Software Consulting -NetApp Filer Wage Garnishment Dues Deduction Water Use OCSD Share of 2004 O.C. Congressional Water Res. Lunch -2125/04 Wash., D.C. Mechanical Parts & Supplies Mechanical Parts & Supplies U.S. Savings Bonds Payroll Deductions Software Support Wage Garnishment Plumbing Parts & Supplies Dues Deduction Telephone Service Wage Garnishment Wage Garnishment Dues Deduction Employee Long-Term Care Insurance Wage Garnishment Natural Gas Power Power Underground Petroleum Storage Tank Fee Telephone Services Employee Contributions Telephone Services Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Page 1of8 EXHIBIT B 2117/2004 Claims Paid From 01/16/04 to 01/31/04 Warrant No. Vendor 59073 Rodney K. Petersen 59074 Ddaze Phuong 59075 Wlliam F. Pierce 59076 Rita Riccardo 59077 Curt V. Shelp 59078 Patrick A. Sullivan 59079 Mercury Insurance As Subrogee 59080 Wlcox, Robyn 59081 Court Order 59082 Court Order 59083 Court Order 59084 Air Products & Chemicals, Inc. 59085 ADS Environmental Services, Inc. 59086 Black & Veatch Corporation 59087 Boyle Engineering Corporation 59088 Brown & Caldwell 59089 California Soil Products 59090 Carollo Engineers 59091 City of Fountain Valley 59092 Coral Energy Resources, LP. 59093 CH2MHill 59094 Environmental Science Associate 59095 Insight Investments 59096 Irvine Technology Corporation 59097 IPMC c/o Parsons 59098 Jamison Engineering Contractors, Inc. 59099 Kemiron Pacific, Inc. 59100 Lee & Ro, Inc. 59101 Malcolm Pirnie, Inc. 59102 Mellon Trust 59103 Orange County Water District 59104 OCB Reprographics 59105 Pioneer Americas, Inc. 59106 Polydyne, Inc. 59107 Sancen Engineering, Inc. 59108 Science Applications Intl., Corp. 59109 SoftChoice 59110 Southern California Edison 59111 Synagro Technologies, Inc. 59112 Tetra Tech, Inc. 59113 Trusecure Corporation 59114 Tule Ranch/Magan Farms 59115 Woodruff, Spradlin & Smart 59116 ARB, Inc. 59117 Steve P Rados, Inc. 59118 Union Bank of California 59119 eSysTek 59120 Aanderaa Instruments 59121 Airborne Express H:\dept\fin\EXCEL.dta\220\APSHARBClaims Paid Report\03-04\Claims Paid Report -013104.xls 11n121onc Amount 230.00 170.00 152.00 130.00 195.00 72.00 3,928.73 1,500.00 150.00 602.50 445.00 26,294.06 169,774.53 99,285.95 96,571.47 41,171.40 27,660.93 570,441.90 29,597.98 127,289.29 143,800.74 32,710.94 28,590.39 31,419.00 832,534.00 61,952.46 137,479.58 52,875.72 58,035.42 25,489.38 134,818.16 39,035.62 151,260.82 94,095.92 34,730.00 62,598.79 101,664.17 71,119.69 559,070.38 108,587.10 33,995.00 235,466.33 86,717.57 235,928.77 238,233.60 26,470.40 720.00 3,811.08 30.50 Description Meeting!Training Expense Reimbursement Meeting!Training Expense Reimbursement Meeting!Training Expense Reimbursement Meeting!Training Expense Reimbursement Meeting!Training Expense Reimbursement Meeting!Training Expense Reimbursement Claim Settlement -Vehicle Accident Employee Computer Loan Program Wage Garnishment Wage Garnishment Wage Garnishment 0 & M Agreement Oxy Gen Sys MO 8-8-89 Professional Services -J-73-2 Eng. Svrs. P1-76, J-71-3, P2-85 & Pit. 2 Hydrogen Peroxide Facility Modifications Engineering Services 1-2-4 Professional Services P1-37 Residuals Removal MO 3-29-95 Professional Services P2-66 Water Use Natural Gas Professional Services J-40-7 Professional Services J-40-5 Computer Hardware -Network Appliance File Sharing Device Temporary Employment Services Professional Services -Integrated Program Management & Temporary Staffing Install (2) Storage Tanks; Leak Repair; Excavate & Repair Subsidence at Basin 5 Ferric Chloride MO 9-27-95 Professional Services 5-50, 5-54 & P2-47-3 Professional Services J-79 Investment Custodian Bank GAP Water Use Printing Service -MO 1 /26/00 Sodium Hypochlorite Cationic Polymer MO 3-11-92 Construction -Manhole Rehabilitation Program Ocean Monitoring MO 6-8-94 Microsoft Enterprise License Renewal Power Residuals Removal MO 3-29-95 Professional Services 11-22, 7-37 & J-90 Website Security Residuals Removal MO 3-29-95 Legal Services MO 7-26-95 Construction 11-22 Construction 1-2-4 Construction 1-2-4, Retention Software Program Consulting -SMS Implementation Coastal Monitoring Buoy Data Storage Units Air Freight Page 2 of 8 EXHIBITS ~ 2111120-r. ' ... Claims Paid From 01116/04 to 01/31/04 Warrant No. Vendor 59122 Airgas -West 59123 Airgas Safety, Inc. 59124 American Seal & Packing 59125 American Seals West 59126 Appleone Employment Service 59127 Applied Ocean Sciences 59128 Aquarium Doctor 59129 Arch Wreless 59130 Ashbrook Corporation 59131 AMEC Earth & Environmental 59132 ARK Technologies 59133 ASAE 59134 American Telephone & Telegraph Corp. 59135 Baker Tanks 59136 Bar Tech Telecom, Incorporated 59137 Basic Chemical Solutions, L.L.C. 59138 Battery Specialties 59139 Brenner-Fiedler & Assoc, Inc. 59140 Bush & Associates, Inc. 59141 Caltrol, Inc. 59142 Cameron Environmental, Inc. 59143 Cardlock Fuel Systems, Inc. 59144 Cell2Cell 59145 Center for Creative Growth 59146 Charles P. Crowley Co. 59147 Charts, Inc. 59148 Coastal Training Technologies 59149 Conex International 59150 Consolidated Elect. Distributors, Inc. 59151 Consumers Pipe & Supply Co. 59152 Corporate Express 59153 Cost Containment Solutions 59154 County of Orange 59155 County of Orange -Auditor Controller 59156 County of Orange -Auditor Controller 59157 County Wholesale Electric Co. 59158 Culligan of Orange County 59159 CASA 59160 CEM Corporation 59161 CISCO Systems 59162 CR&R, Inc. 59163 County Sanitation District No. 70 59164 CWEA Membership 59165 David's Tree Service 59166 Del Mar Analytical 59167 Delta Packaging Products, Inc. 59168 DigiPhoto 59169 Duhig & Company, Inc. 59170 Dunn-Edwards Corporation H:\deptVin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-013104.xls fin/210i1c Amount 6.82 5,865.89 71.72 1,634.26 2,254.48 15,360.00 105.44 1,358.68 601.94 150.00 4,216.00 395.00 417.19 571.20 2,155.23 10,035.06 1,369.68 1,078.69 3,212.00 400.00 3,250.75 1,861.85 16.15 4,600.00 1,917.53 200.89 732.44 55.00 3,255.02 1,948.68 3,459.49 1,502.90 1,702.35 70.00 10,433.00 1,584.24 37.50 275.00 1,098.64 800.00 1,890.00 3,230.00 194.00 3,600.00 1,562.00 149.64 6.10 991.73 84.30 Description Demurrage Safety Supplies & Equipment Packing Materials & Supplies Mechanical Parts & Supplies Temporary Employment Services Professional Services J-85 -Naval Post Graduate School Human Resources Aquarium Service Airtime, Service & Equipment Mechanical Parts & Supplies Toxicity Analyses Data Processing Compliance Training Registration Telephone Service Tank Rentals Telephone Equipment Sodium Hydroxide & Sodium Bisulfite Batteries Compressor Surveying Services MO 6-25-97 Repairs & Maintenance Service Maintenance Service -Scrubber Activated Carbon Replacement Fueling District Vehicles at Local Gas Stations Phones & Accessories Professional Services -0 & M Management Coaching Mechanical Parts & Supplies Office Supplies Videos Professional Services P2-60 Electrical Supplies Plumbing Supplies Office Supplies V\lorker's Comp. Services Maint. Agreement -Repair/1nstallation of Base, Handheld & Vehicle Radios Encroachment Permit Underground Storage Tank, Hazardous Material, & State Fees Electrical Parts & Supplies Maint. Agreement -Cen Gen Water Softener System Compliance Training Registration Lab Parts & Supplies Software Maint Agreement Container Rentals Olfactometry Lab Expense Membership -Calif. Water Environment Assoc. Tree Maint. Service Analysis of Biosolids and Wastewater Lab Supplies Photographic Services Instrument Supplies Paint Supplies Page 3 of 8 EXHIBITS 211712004 Claims Paid From 01/16/04 to 01/31/04 Warrant No. ....;V;...;;e;.;..;n;.;;;d;.;;.o,;_r ____________ _ 59171 DIRECTV 59172 E. Sam Jones Distributors, Inc. 59173 Eberhard Equipment 59174 Electra-Bond, Inc. 59175 Elsevier Science 59176 Emilio Ariston & Law Offices of 59177 Enchanter, Inc. 59178 Enecon Corporation 59179 Entech Instruments, Inc. 59180 Environmental Microbiology Consulting 59181 Environmental Resource Association 59182 Environmental Sampling Supply, Inc. 59183 Eurotherm Group Companies 59184 Ewing Irrigation Industrial 59185 F H Pumps, Inc. 59186 FedEx Corporation 59187 First American Real Estate Solutions 59188 Fisher Scientific Company, L.L.C. 59189 Fluor Enterprises, Inc. 59190 Foodcraft Coffee & Refreshment Services 59191 Fortis Benefits Insurance Company 59192 Fountain Valley Paints, Inc. 59193 Fountain Valley Rancho Hand Wash 59194 Franklin Covey 59195 Fry's Electronics 59196 Full Spectrum Analytics 59197 Ganahl Lumber Company 59198 Garland Manufacturing Co. 59199 Garratt-Callahan Company 59200 George T. Hall 59201 George Yardley Co. 59202 Gerhardt's, Inc. 59203 Getinge Castle 59204 Gierlich-Mitchell, Inc. 59205 Golden State Controls 59206 Grainger, Inc. 59207 Graybar Electric Company 59208 Great Western Sanitary Supplies 59209 Guarantee Records Management 5921 O Hach clo Ponton Industries 59211 Harold Primrose Ice 59212 Harrington Industrial Plastics, Inc. 59213 Herb's Blackforest Bakery & Deli 59214 Hill Brothers 59215 Home Depot 59216 Horizon Technology 59217 HydraBaths 59218 Hydrotex 59219 ldexx H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-013104.xls fin/210Ac Amount 364.00 927.40 582.71 1,212.19 1,149.00 12,500.00 7,200.00 7,500.00 2,980.10 6,630.00 1,432.90 487.63 1,607.25 829.96 1,297.57 91.70 647.50 5,139.67 11,273.62 493.43 4,579.90 463.65 1,269.43 192.83 694.92 1,664.00 443.39 1,536.00 105.00 538.75 334.03 7,840.75 1,009.10 20,392.81 379.80 6,300.17 281.91 1,106.89 173.17 4,801.80 129.50 589.08 54.20 17,877.31 569.94 1,436.46 4,388.06 1,002.41 2,672.20 Description Subscription Electrical Supplies Mechanical Parts & Supplies Fusion Bond & Epoxy Coating Services Subscription Claim Settlement -District Personnel Ocean Monitoring & Outfall Inspection & Maintenance Repair & Maintenance Service -(3) Hole/Leaks at Gas Compressor Bldg. Lab Parts & Supplies Professional Services J-40-6 Lab Supplies Lab Supplies Inst. Parts & Supplies Plumbing Parts & Supplies Pump Supplies Air Freight Orange County Property Information Lab Supplies Professional Services -Electrical Equipment Refurbishment Meeting Supplies Long-Term & Short-Term Disability Ins. Premium Paint Supplies Truck Wash Tickets & Unleaded Gasoline Office Supplies Computer Supplies Maintenance & Repairs -Vacuum Pumps Lumber/Hardware Mechanical Parts & Supplies Chemicals Electrical Supplies Mechanical Parts & Supplies Engine Supplies Lab Supplies Mechanical Parts & Supplies Instrument Parts & Supplies Instrument Parts & Supplies Electrical Parts & Supplies Janitorial Supplies Off-Site Records Storage Lab Parts & Supplies Ice For Samples Plumbing Supplies Meeting Expenses Chemicals -Odor & Corrosion Control -Newport Trunkline Misc. Repair & Maintenance Material Lab Supplies Reconciliation User Fee Refund Program Gasoline & Lubricants Lab Supplies Page 4 of 8 EXHIBITS ... 2117/2004 Claims Paid From 01/16/04 to 01/31/04 Warrant No. Vendor 59220 Industrial Distribution Group 59221 Information Resources 59222 Inorganic Ventures, Inc. 59223 Invensys Systems, Inc. 59224 Iron Mountain 59225 Iron Mountain Off-Site Data Protection 59226 Irvine Pipe & Supply 59227 Irvine Ranch Water District 59228 ICBO -International Council of Building 59229 J & B Auto Parts 59230 J.G. Tucker and Son, Inc. 59231 Jay's Catering 59232 Joe Rhodes Maintenance Services, Inc. 59233 Johnstone Supply 59234 K.P. Lindstrom, Inc. 59235 Kforce Professional Staffing 59236 Kienow Associates, Inc. 59237 KNF Neuberger, Inc. 59238 Lab Support 59239 Labware, Inc. 59240 Law Journal Press 59241 Lexis-Nexis 59242 Lifecom-Safety, Inc. 59243 Lucci's Gourmet Foods, Inc. 59244 David A. Ludwin 59245 LINJER 59246 Julie A. Matsumoto 59247 McGarry Central 59248 McMaster-Carr Supply Co. 59249 Measurement Control Systems, Inc. 59250 Mechanical Seal Repair, Inc. 59251 Mini Mailers, Inc. 59252 Mission Abrasive & Janitorial Supplies 59253 Mission Uniform Service 59254 Morton Salt 59255 MotorTech USA, Inc. 59256 MCR Technologies, Inc. 59257 National Plant Services, Inc. 59258 Neal Supply Co. 59259 New Horizons CLC of Santa Ana 59260 The Norco Companies 59261 Nu-Way Laser Engraving 59262 NACE International 59263 0. C. \Mndustrial Co. 59264 Office Depot Business Services Div. 59265 OneSource Distributors, Inc. 59266 Optic Software, Inc. 59267 Orange County Hose Company 59268 Orange County Vector Control District H:\clept\fin\EXCEL.dla\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-013104.xls fin/210/lc Amount Descrl~tlon 3,310.64 Mechanical Parts & Supplies 905.00 Human Resources Service -Background Checks 725.04 Lab Parts & Supplies 3,018.64 Instrument Supplies 86.06 Bid Document Storage Fees P1-37 & J-39 272.50 Offsite Back-Up Tape Storage for NT Server 1,212.04 Mechanical Parts & Supplies 43.13 Water Use 540.00 Publication 216.10 Auto Parts & Supplies 283.60 Tool Chests 399.37 Meeting Expenses 122.50 Maint. Agreement -OCSD Fuel Management System 725.09 Electrical Supplies 3,720.00 Environmental Consulting Services MO 12-9-90 1,069.20 Temporary Employment Services 8,760.67 Legal Services 1-2-4 2,083.52 Lab Parts & Supplies 18,944.79 Temporary Employment Services 1,600.00 Lab Meeting Registration 281.05 Publication 85.99 Books & Publications 80.00 Instrument Calibration Services 175.50 Meeting Expense 200.00 Engineering Meeting Registration 9,870.03 Professional Service -DART MO 9-22-99 371.63 Meetingrrraining Expense Reimbursement 144.52 Office Equipment Maintenance Agreement 2,068.15 Mechanical Parts & Supplies 1,975.45 Repair & Calibration Services 37.71 Mechanical Seal 3,844.21 Mailing Services 41.59 Janitorial Supplies 4,194.68 Uniform Rentals 598.73 Salt 2,160.29 Mechanical Parts & Supplies 1,760.87 Instrument Parts & Supplies 440.00 Vacuum Truck Services 753.97 Plumbing Supplies 480.00 Information Technology & Lab Training Registration 178.78 Mail Delivery Service 396.35 Steel Tags 560.00 Air Quality Meeting Registration 78.23 Mechanical Parts & Supplies 809.25 Office Supplies 606.79 Electrical Parts & Supplies 4,945.73 Software Maintenance Agreement 42.02 Hydraulic Hose Supplies & Parts 28.66 Pest Control Page 5 of 8 ~· EXHIBIT B 2/17/2004 . ' ~ ,. Claims Paid From 01116/04 to 01/31/04 Warrant No. _V...;;e_n_d_o_r -------------__ A_m_o_u_nt __ 59269 Oxygen Service Company 59270 OCDM Marketing 59271 P.L. Hawn Company, Inc. 59272 Pacific Bell Internet Services 59273 Pacific Coast Tools 5927 4 Pacific Institute 59275 Pacific Mechanical Supply 59276 Parker Hannifin Corporation 59277 Parker Supply Company 59278 Parts Unlimited 59279 Paul Cockrell Photography 59280 PenValve 59281 Petroleum Engineering, Inc. 59282 Plumbers Depot, Inc. 59283 Port Supply 59284 Power Design 59285 Praxair, Inc. 59286 Primary Source Office Furnishings, Inc. 59287 Process Equipment Company 59288 Project Management Institute 59289 Public Resources Advisory Group 59290 Pumping Solutions, Inc. 59291 PARMA 59292 PCS Express, Inc. 59293 PVF Sales, Inc. 59294 Rainbow Disposal Co. 59295 Reliastar Bankers Security Life Ins. 59296 RemedyTemp, Inc. 59297 Robicon Corporation 59298 Rosemount Analytical, Inc. 59299 Ryan Herco Products Corp. 59300 RCL & Associates, Inc. 59301 RPM Electric Motors 59302 S. P. Kinney Engineers, Inc. 59303 Sanmina Corporation 59304 Scott Specialty Gases, Inc. 59305 Scottel Voice & Data, Inc. 59306 City of Seal Beach Finance Depl 59307 Seton Name Plate Corp 59308 Sewer Equipment Company of America 59309 Shamrock Supply Co., Inc. 5931 O Shureluck Sales & Engineering 59311 Sigma-Aldrich, Inc. 59312 Smith-Emery Company 59313 Southern California Edison 59314 Southern California Material Handling 59315 Southern Counties Lubricants 59316 Sparkletts 59317 Stanley Steamer International, Inc. 2,986.53 403.05 385.90 324.00 183.99 50.00 1,091.36 762.15 2,630.16 95.81 499.88 443.27 1,610.00 614.95 95.51 861.07 160.01 1,084.88 24,550.84 295.00 7,500.00 1,611.33 475.00 298.02 1,772.40 361.28 9,892.46 561.13 1,257.35 10,645.23 32.28 8,937.86 636.10 217.19 597.87 111.18 2,284.80 190.16 740.72 293.41 668.59 1,045.96 1,296.72 2,191.00 25.86 16,928.24 1,588.97 1,635.80 388.65 Description Courier Service to Contract Labs & Specialty Gases Processing Fees -Public Notice Mailing & Postage Electrical Supplies Internet Service Tools Membership Plumbing Supplies Mechanical Parts & Supplies Mechanical Parts & Supplies Truck Supplies Photographic Services -Construction Projects Mechanical Parts & Supplies Repair & Maintenance Services -Spill Bucket Plumbing Supplies Pump Electrical Supplies Lab Parts & Supplies Office Furniture Goulds Pump Publication on CD Financial Advisory Services Pump & Pump Supplies Accounting Meeting Registration Courier Service Plumbing Parts & Supplies Trash Removal Employee Life Ins. Premium, Short-Term Disability & Cancer Ins. Payroll Deductions Temporary Employment Services Repair & Maintenance Services for Robicon Drives Instrument -Oxygen Analyzer Pump Supplies Instrument -Nox Analyzer Motor Mechanical Parts & Supplies Reconciliation User Fee Refund Program Carrying Cases for Calibration Gas Bottles Telephone System Maintenance Water Use Traffic Safety Signs Mechanical Parts & Supplies Tool Box Mechanical Parts & Supplies Lab Parts & Supplies Soils, Concrete & Other Materials Testing Power Caterpillar Forklift Truck & Accessories Industrial Oil Drinking Water/Cooler Rentals Carpet Cleaning Services H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-013104.xls fin121onc Page 6 of 8 EXHIBIT e 211112064 • -, •) Claims Paid From 01 /16/04 to 01 /31 /04 Warrant No. Vendor 59318 State Water Resources Control Board 59319 Summit Steel 59320 Sunset Industrial Parts 59321 Systime Computer Corp 59322 SBC 59323 South Coast Environmental Co. 59324 SKC-West, Inc. 59325 SPEC Services, Inc. 59326 SPX Valves & Control 59327 Taylor-Dunn 59328 Team Scopellite Co. 59329 Teletrac Inc. 59330 Terminix International 59331 The Walking Man, Inc. 59332 Thompson Industrial Supply, Inc. 59333 Times Community News 59334 Todd Painting, Inc. 59335 Townsend Public Affairs 59336 Tropical Plaza Nursery, Inc. 59337 Troy Systems, Inc. 59338 Truck & Auto Supply, Inc. 59339 Truesdail Laboratories, Inc. 59340 Teksystems 59341 US Filter Corporation 59342 US Bank 59343 U.S Postal Service(AMS-TMS) 59344 U.S. Peroxide, L.L.C. 59345 Ultra Scientific 59346 Union Bank of California 59347 United Parcel Service 59348 United States Treasury 59349 Universal Specialties, Inc. 59350 The Vantage Group, L.L.C. 59351 Verizon California 59352 Verne's Plumbing 59353 Vossler & Company 59354 VWR Scientific Products 59355 The Wackenhut Corporation 59356 Wastewater Technology Trainers 59357 West Coast Safety Supply Co. 59358 VVEF 59359 V\QI 59360 Xerox Corporation 59361 XESystems, Inc. 59362 Chandra R. Johannessen 59363 Rachel J. Parker 59364 Ddaze Phuong 59365 Juanita M. Skillman 59366 Matthew P. Smith H:\dept\fln\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-013104.xls fin/210Jlc Amount 593.00 735.22 961.49 16,800.00 968.00 19,264.14 280.15 12,637.88 7,152.75 156.10 12,592.80 245.00 305.00 750.00 4,820.11 100.00 3,720.00 5,000.00 11,861.91 865.68 95.13 1,920.00 16,910.00 280.00 4,494.05 5,000.00 20, 187.18 591.83 1,330.05 819.92 18,602.65 4,690.41 8,708.00 3,417.90 375.00 1,585.10 4,931.71 2,115.92 495.00 2,073.44 354.00 450.00 7,877.32 825.00 112.66 160.00 115.00 395.00 128.46 Description Annual NPDES Permit Fee -7-36 Metal Mechanical Supplies Professional Services -J D Edwards One V\brld XE Support Telephone Services Cen Gen Emissions Testing Service Lab Parts & Supplies Engineering Services J-33-1 Mechanical Parts & Supplies Electric Cart Parts Professional Services -Relocation of Liquid Gas In Lab Monthly Air-Time Service Fee & Software/Hardware Maint. For Vehicle Tracking Sys. Pest Control Construction Notice Distribution -Bushard Trunk Sewer Replacement Mechanical Parts & Supplies Notices &Ads Painting Services -Building A Doors Legislative & Executive Advocate for Grant Funding Contract Groundskeeping MO 5-11-94 Office Supplies Automotive Supplies Analysis of Biosolids and Wastewater Temporary Employment Services Service Agreement -Lab Purification System Annual Administration Fee -1992 Refunding Certificates of Participation Postage Hydrogen Peroxide Lab Parts & Supplies Banking Services Parcel Services Professional Services J-85-Naval Post Graduate School Plumbing Parts & Supplies Temporary Employment Service Telephone Services Service Contract-Testing & Cert. Backflow Devices at Pits. 1 & 2 & Pump Sta. Mechanical Supplies Lab Parts & Supplies Security Guards 0 & M Training Registration Mechanical Parts, Supplies & Tools Membership -Water Environment Federation 0 & M Training Registration -Water Quality, Inc. Copier & Fax Leases & Supplies Maintenance Agreement -Xerox Synegix Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Page 7of8 EXHIBITS 211712004 -' Warrant No. Vendor 59367 Walter W. Wiiiams 59368 County of Orange -Auditor Controller 59369 County of Orange -Auditor Controller 59370 Hughes Associates, Inc. 59371 Orange County Sanitation District Total Accounts Payable -Warrants Payroll Disbursements 32958 -33053 Employee Paychecks 33054 -33056 Employee Paychecks 93565 -94073 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments Union Bank of California U.S. Bank U.S. Bank Total Wire Transfer Payments Total Claims Paid 01/16/04-01/31104 Claims Paid From 01116/04 to 01/31/04 Amount 164.00 975.00 1,140.00 7,649.72 2,568.66 $ 6,681, 112.67 $ 155,535.99 2,990.94 983,069.94 $ 1,141,596.87 $ 6,079,551.09 2,560,958.66 $ 176,567.62 $ 8,817,077.37 $ 16,639, 786.91 Description MeetingfTraining Expense Reimbursement Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Professional Services J-33-1A Petty Cash Reimb. Biweekly Payroll 01121/04 Payroll Adjustments Biweekly Payroll 01/21/04 January Interest Payment on Series 2003A Certificates of Participation January P&I Payment on 1990-92 Advance Refund Certificates of Participation January Interest Payment on 2000 Series A & B Certificates of Participation - H:'.dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -013104.xls fin/210Ac Page 8 of 8 EXHIBIT .B...-----· 2/17/2004 BOARD OF DIRECTORS Meeting Date To Bd. of Dir. 03/24/04 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 contrib ution 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 02/01/04 -02/15/04 and 02/16/04 -02/29/04 H:\dept\agenda\Board Agenda Repo rts\2004 Board Agenda Reports\0304\ltem 8 ClaimsPaid .doc Re vised: 06/04/03 Warrant No. _V_e_n_do_r ____________ _ Accounts Payable -Warrants 59372 Mark Castillo 59373 Dell Direct Sales, L.P. 59374 Orange County Sanitation District 59375 Airgas Safety, Inc. 59376 Allied Packing & Rubber, Inc. 59377 Alltek Circuit, Inc. 59378 AAA Powerhouse Container, Inc. 59379 American Telephone & Telegraph Corp. 59380 B. Braun Medical, Inc. 59381 Court Order 59382 Consumers Pipe & Supply Co. 59383 County of Orange -Auditor Controller 59384 Court Trustee 59385 Delphi Connection Systems 59386 Norman Eckenrode 59387 Electra-Bond, Inc. 59388 Employee Benefits Specialists, Inc. 59389 Court Order 59390 Farm Pump & Irrigation 59391 Franchise Tax Board 59392 Franchise Tax Board 59393 City of Fullerton 59394 Guy L. Warden & Sons 59395 City of Huntington Beach 59396 Industrial Metal Supply 59397 Internal Revenue Service 59398 Intl. Union of Oper. Eng. AFL-CIO Local 501 59399 Irvine Ranch Water District 59400 ITT Cannon Electric 59401 J.J. Keller & Associates 59402 Liebert Cassidy Whitmore 59403 Maruchan, Inc. 59404 McMaster-Carr Supply Co. 59405 Midway Mfg. & Machining Co. 59406 National Bond & Trust 59407 OCEA 59408 Court Order 59409 Parker Motion & Controls Sales 59410 Court Order 59411 Peace Officers Council of CA 59412 PenValve 59413 Printronix, Inc. 59414 Prudential Overall Supply 59415 Rayne of Orange County 59416 Ricoh Electronics Claims Paid From 02/01/04 to 02/15/04 $ Amount 30,000.00 43,107.99 655,621.69 103.90 73.92 91.78 343.00 107.07 7,576.36 150.00 372.16 11,700.00 69.12 2,148.41 579.06 9,859.12 9,768.97 445.00 20,996.00 100.00 109.00 179.24 153.44 20,878.19 580.73 500.00 3,808.75 3.65 18,557.09 695.00 890.00 8,119.28 3,576.60 668.05 2,108.91 589.36 40.00 483.66 296.00 1,566.00 27.98 51.16 1,432.82 1,630.18 604.07 Description Claim Settlement (26) Computers & Hardware Payroll EFT Reimbursement Safety Supplies Mechanical Supplies Reconciliation User Fee Refund Program Automotive Parts & Supphes Telephone Service Reconciliation User Fee Refund Program Wage Garnishment Plumbing Supplies Construction -Raising of (39) Manholes to Grade Wage Garnishment Reconciliation User Fee Refund Program Meeting/Training Expense Reimbursement Bonding Services -Auger Assembly Parts Reimbursed Prepaid Employee Medical & Dependent Care Wage Garnishment Construction -Repair of (3) Wells at Kings County Property Wage Garnishment Wage Garnishment Water Use Mechanical Parts & Supplies Water Use Metal Wage Garnishment Dues Deduction Water Use Reconciliation User Fee R.efund Program On-Line Safety Management Service Human Resources Meeting Registration Reconciliation User Fee Refund Program Mechanical Parts & Supplies Mechanical Parts & SupplJes U.S. Savings Bonds Payroll Deductions Dues Deduction Wage Garnishment Mechanical Parts & Suppbes Wage Garnishment Dues Deduction Mechanical Parts & Suppt;es Reconciliation User Fee Refund Program Reconciliation User Fee R.efund Program Reconciliation User Fee R.efund Program Reconciliation User Fee R.efund Program '·Jn/210/lc H~dept\fln\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-021504.xls Page 1of9 EXHIBIT A 3/12/2004 Warrant No. Vendor 59417 RS Hughes Co, Inc. 59418 Science Applications Intl., Corp. 59419 City of Seal Beach 59420 Shureluck Sales & Engineering 59421 Smardan Supply Company -Fountain Valley 59422 Smith-Emery Company 59423 Court Order 59424 Summit Steel 59425 Sunset Environmental 59426 Sunset Environmental 59427 SBC 59428 Thompson Industrial Supply, Inc. 59429 ThyssenKrupp Elevator 59430 Todds Enterprise 59431 United Way 59432 Valley Splicing Co. 59433 Verizon California 59434 Wintec, L.L.C. 59435 Court Order 59436 Carol T. Beekman 59437 Robert P. Ghirelli 59438 Randy E. Harris 59439 Michael D. Moore 59440 Christopher M. Pelletier 59441 Southern California Edison 59442 Acroburr, Inc. #2 59443 Automotive Wheels, Inc. 59444 Boeing Company, The 59445 Brea Community Hospital 59446 Classic Plating, Inc. 59447 South Coast Circuits 59448 James C. Mullins 59449 American Express 59450 Antek Instruments, LP. 59451 Basic Chemical Solutions, L.L.C. 59452 Black & Veatch Corporation 59453 Blue Cross of California 59454 Boyle Engineering Corporation 59455 Brown & Caldwell 59456 California Soil Products 59457 Camp Dresser & McKee, Inc. 59458 Carollo Engineers 59459 Communications Performance Group, Inc. 59460 Computer Protection Technology, Inc. 59461 Delta Dental 59462 E.I. Du Pont De Nemours and Company fin/210/lc Claims Paid From 02/01/04 to 02/15/04 Amount 58.76 12,515.95 250.00 54.28 88.91 5,288.50 721.50 131.41 72.83 1, 149.49 96.02 3,924.61 115.00 8,520.71 305.00 1,200.00 821.22 25.21 597.50 316.88 494.00 725.27 391.30 150.00 55,118.68 83.74 3,000.00 5,151.66 3,888.93 97.91 3,000.00 508.06 37,295.71 44,721.56 27,839.64 38,984.25 328,319.09 53,425.22 64,496.75 55,834.14 95,037.26 28,526.00 39,866.60 39,457.71 57,105.14 127,226.00 Description Paint Supplies Ocean Monitoring MO S.8-94 Permit Fees -J-73-2 Mechanical Parts & Supplies Plumbing Parts & Supplies Soils, Concrete & Other Materials Testing Wage Garnishment Metal Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program Telephone Services Mechanical Supplies Elevator Maintenan·ce Reconciliation User Fee Refund Program Employee Contributions Equipment Repair Telephone Services Reconciliation User Fee Refund Program Wage Garnishment MeetingfTraining Expense Reimbursement MeetingfTraining Expense Reimbursement MeetingfTraining Expense Reimbursement MeetingfTraining Expense Reimbursement Meetingff raining Expense Reimbursement Power Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program Reconciliation User Fee Refund Program MeetingfTraining Expense Reimbursement Purchasing Card Program, Misc. Supplies & Services Lab Instrument -Gas Chemiluminescent Detector Sodium Bisulfite & Caustic Soda Engineering Services J-71-3, J-77, J-87 & P2-85 Medical Insurance Premium Engineering Services 7-23-1, 1-2-4 & 6-13 Professional Services 1-98 Residuals Removal MO 3-29-95 Engineering Services J-71-8 Prof. Servs. -Microfiltration Demo. Proj. & Coordinated Comm'I. Enterprise Study Prof. Servs. -Emergency Response Plan & Hazardous Energy Control Procedures Computer Maint. Agreement Dental Insurance P Ian Painting Maint. Services MO 4-22-98 H:\dept\fin\EXCEL.dla\220\APSHARE\Claims Paid Report\03-04\Clalms Paid Report. 021504.xls Page 2of9 EXHIBIT A 3/1212004 Warrant No. _V...;.e..;..n..;..d..;..or;,..._ ___________ _ Jin/210/lc 59463 Hach c/o Ponton Industries 59464 J.D. Edwards 59465 Kaiser Foundation Health Plan 59466 Kemiron Pacific, Inc. 59467 Municipal Water Dist. of Orange County 59468 Orange County Water District 59469 Pacific Investment Management Co. 594 70 Pioneer Americas, Inc. 59471 Propipe 594 72 So. Cal. Gas Company 59473 Tule Ranch/Magan Farms 59474 U.S. Metro Group, Inc. 59475 U.S. Peroxide, L.L.C. 59476 Waste Markets 59477 Water 3 Engineering, Inc. 59478 DenBoer Engineering & Construction 59479 J F Shea Construction, Inc. 59480 J R Filanc Construction 59481 Margate Construction, Inc. 59482 Morrow-Meadows Corp. 59483 S. S. Mechanical Corp. 59484 Southern Contracting Company 59485 Orange County Sanitation District 59486 Absolute Standards, Inc. 59487 Acroprint Time Recorder Company 59488 Advanced Engine Technology Corporation 59489 Advanced Sealing & Supply Co., Inc. 59490 Agilent Technologies, Inc. 59491 Airborne Express 59492 Airco Filter Service 59493 Airgas Safety, Inc. 59494 Alhambra Foundry Co., Ltd. 59495 American Chemical Society 59496 American Fildelity Assurance Company 59497 American Training Resources, Inc. 59498 Applied Industrial Technology 59499 Archie Ivy, Inc. 59500 Arizona Instrument 59501 Automatic Timing & Controls 59502 AIHce American Industrial Hygiene Confer 59503 API Fund For Payroll Education, Inc. 59504 ASSE American Soc. of Safety Engineers 59505 American Telephone & Telegraph Corp. 59506 American Telephone & Telegraph Corp. 59507 AT & T Wireless Services -Airtime 59508 AT&T Wireless Services Claims Paid From 02101/04 to 02115/04 Amount 32,969.18 47,410.00 51,531.45 80,648.76 88,770.93 966,070.30 206,630.00 180,663.02 39,187.05 33,999.00 142,632.92 26,235.00 26,792.79 34,011.54 30,873.27 169,011.00 576,863.34 1 ,018,578.26 1,505, 180.00 128,812.00 58,013.01 30,520.00 30,514.07 330.00 47.26 1,261.16 1,082.40 840.95 65.46 1, 199.25 1,437.33 1,901.79 144.00 66.00 1,074.62 27.57 3,877.00 745.00 370.74 555.00 989.00 140.00 511.17 71.55 3,978.66 2,773.55 Description Lab & Instrument Parts & Supplies Software License Fees MO 7-24-96 Medical Insurance Premium Ferric Chloride MO 9-27-95 Water Use Efficiency Program MO 9-22-99 Joint GWRS Project J-36 Investment Management Service Res. 95-97 Sodium Hypochlorite CClV Sewerline Inspection Natural Gas Residuals Removal MO 3-29-95 Janitorial & Floor Maintenance at Plants 1 & 2 Hydrogen Peroxide Maint. Agreement -Grit & Screenings Removal & Digester Bed Mat'I. Removal Engineering Service J-67 Construction SP-7 4 Construction P2-85, J-71-3, J-35-2 & J-87 Construction P1-76 Construction P 1-37 Construction P2-47-3 Construction J-40-6 Construction J-33-1 A Worker's Comp. Reimb. Lab Parts & Supplies Stationery & Office Supplies Engine Parts & Supplies Packing Materials Lab Parts & Supplies Air Freight Air Filters & Oil Filters Safety Supplies & Equipment Manhole Frames & Covers Membership Employee Cancer losuran.ce Safety Videos Mechanical Parts & Supplies Construction -Road Repairs Instrument Parts & Supplies Printer Repairs Human Resources Meeting Registration Accounting Training Registration Membership Telephone Confere-nce Services Telephone Service Cellular Airtime Wireless Phone Services H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03·04\Claims Paid Report. 021504.xls Page 3of9 EXHIBIT A 3/12/2004 Warrant No. Vendor 59509 AWSI 59510 Baker Tanks 59511 Battery Specialties 59512 BioMerieux Vitek, Inc. 59513 Boutwell.Fay & Fabricant, L.L.P. 59514 Brenntag West, Inc. 59515 Bush & Associates, Inc. 59516 BC Wire Rope & Rigging 59517 BEAC -Board of Environmental, Health 59518 C.S.U.F. Foundation 59519 California Auto Collision 59520 Martin Boyer Co., Inc. c/o Cambridge 59521 Career Track 59522 Carlton-Bates Company 59523 Charles P. Crowley Co. 59524 City of Buena Park 59525 City of Tustin 59526 City of Westminster 59527 Coast Appliance Parts 59528 Computational Systems, Inc. 59529 Computer Sciences Corp. 59530 Consolidated Elect. Distributors 59531 Consolidated Reprographics 59532 Consumers Pipe & Supply Co. 59533 Control Factors -Seattle, Inc. 59534 Conveyor Components Co. 59535 Cooper Energy Services 59536 Corporate Express 59537 Corporate Image Maintenance, Inc. 59538 Counterpart Enterprises, Inc. 59539 County of Orange -Auditor Controller 59540 County Wholesale Electric Co. 59541 Crane Veyor Corp. 59542 Culligan of Orange County 59543 CASA 59544 CCP Industries 59545 CGvL Engineers 59546 CPI International 59547 CWEA 59548 CWEA 2002 Annual Conference 59549 CWEA Membership 59550 Dapper Tire Co. 59551 David's Tree Service 59552 Del Mar Analytical 59553 Don Johnston, Inc. 59554 Dunn-Edwards Corporation fin/210/lc Claims Paid From 02/01/04 to 02/15/04 Amount 348.00 560.00 1, 125.43 1,078.55 525.00 1,238.44 3,268.00 600.41 150.00 10,818.25 2,593.99 6,250.00 63.00 398.03 1,433.26 1,095.00 150.00 1,095.00 72.35 22,150.44 1,080.80 2,083.65 1,069.42 15.10 982.80 598.00 153.19 9,375.79 160.00 2,994.63 814.00 313.78 19,617.39 392.98 1,100.00 8,966.96 10,510.55 56.32 2.007.00 450.00 97.00 938.77 675.00 1,548.00 382.18 530.00 Description Department of Transportation Training Program Tank Rentals Batteries Lab Supplies Legal Services -401 a Plan Janitorial Supplies Surveying Services MO 6-25-97 Mechanical Parts & Supplies Membership Membership -Center for Demographic Research Vehicle Repairs -V455 Professional Services -Workers' Compensation Claims Purchasing Meeting Registration Mechanical Parts & Supplies Mechanical Parts & Supplies Permit Fees -Hazardous Materials & Chemicals Meeting Expenses -Community Meeting Room Rental Permit Fees -Hazardous Materials & Chemicals Appliance Parts & Supplies Instrument -Machinery Vibration Analyzer Consulting & Lab Services-Assay Pilot Project Electrical Supplies Printing Services Plumbing Supplies Instrument Parts & Supplies Electrical Parts & Supplies Engine Supplies Stationery & Office Supplies Custodial Services Spec. No. 9899-09 Mechanical Parts & Suppl~es Underground Storage Tank, Hazardous Material, & State Fees Electrical Parts & Supplies Overhead Crane Repairs Maint. Agreement -Cen Gen Water Softener System Technical Services & Compliance Training Registration Janitorial Supplies Engineering Services P2-82 Lab Supplies Source Control, Instrumentation & Elec. Maint. Meeting Registration Mech. Maintenance Meeting Registration -Calif. Water Environment Assoc. Membership -Calif. Water Environment Assoc. Truck Tires Tree Maint. Service Analysis of Biosolids and Wastewater Software Paint Supplies H:\dept\fin\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Claims Paid Report-021504.xls Page4 of9 EXHIBIT A 3/1212004 Warrant No. _V...;.e_n_do_r;..._ ___________ _ fln/210/lc 59555 DGA Consultants, Inc. 59556 E. Sam Jones Distributors, Inc. 59557 Edinger Medical Group, Inc. 59558 BOC Edwards 59559 Edwin M. Perkins 59560 Enchanter, Inc. 59561 Equapac 59562 ENS Resources, Inc. 59563 FedEx Corporation 59564 Fiber Dynamics, Inc. 59565 Fisher Scientific Company, L.L.C. 59566 Forensic Analytical 59567 Fortis Benefits Insurance Company 59568 Franklin Covey 59569 Full Spectrum Analytics, Inc. 59570 FST Sand and Gravel, Inc. 59571 FTI, Inc. 59572 G. E. Supply Company 59573 Garratt-Callahan Company 59574 Gates Fiberglass Installers 59575 George T. Hall 59576 Getinge Castle 59577 Robert P. Ghirelli 59578 Golden Bell Products 59579 Grainger, Inc. 59580 Graybar Electric Company 59581 Haaker Equipment Company 59582 Harold Primrose Ice 59583 Harrington Industrial Plastics, Inc. 59584 Henry Company -Sealants Division 59585 Herb's Blackforest Bakery & Deli 59586 High Purity Standards 59587 Home Depot 59588 Hopkins Technical Products 59589 Horizon Technology 59590 Hub Auto Supply 59591 City of Huntington Beach 59592 HI Standard Automotive 59593 I. D. Industries, Inc. 59594 Industrial Distribution Group 59595 Inland Concrete Enterprises, Inc. 59596 Inorganic Ventures, Inc. 59597 IBM Corporation 59598 Interstate Batteries of Cal Coast 59599 Invensys Systems, Inc. 59600 Iron Mountain Claims Paid From 02/01/04 to 02/15/04 Amount 5,654.50 95.15 1,345.00 1,548.49 4,646.42 4,500.00 4,236.63 15,000.00 630.95 573.00 12,404.99 30.00 24,205.08 1.21 600.00 414.78 237.25 6,099.50 1,706.76 1,700.00 341.50 750.28 2,900.97 7,218.00 4,482.00 22,816.07 1,566.57 129.50 40.78 170.96 59.00 133.99 929.17 1,327.34 771.16 707.27 3.64 1,197.32 269.67 1,271.19 19,235.00 637.23 3,896.55 566.49 4,409.35 86.06 Description Professional Services CCTV Data Evaluation Electrical Supplies Medical Screening Lab Parts & Supplies Professional Service -Water Quality Compliance Ocean Monitoring & Outfall Inspection & Maintenance Hydrochloric Acid Professional Services -Legislative Advocate Air Freight Repairs & Maint. Services Lab Parts & Supplies Asbestos Analyses & Microscopy Long-Term & Short-Term Disability Ins. Premium Office Supplies Lab Instrument SeNice Road Base Materials Forms -W-2's & Envelopes for 2003 Reporting Electrical/Instrument Repairs & Maint. Services -Analog Boards Chemicals Fiberglass Repairs, Maint. & Installation Services Electrical Supplies Lab Supplies Meetingrrraining Expense Reimbursement Contractual Services -Insecticide Coating of Manholes Electrical Parts & Supplies Upgrade of (7) Mod icom Programmable Logic Controllers Misc.Vehicle, Parts. Repairs & Service Ice For Samples Plumbing Supplies Sealant Supplies Meeting Expenses Lab Parts & Supplies Misc. Repair & Maintenance Material Mechanical Parts & Supplies Lab Parts & Supplies Vehicle Parts & Supplies Water Use Automotive Parts & Supplies Mechanical Parts & Supplies Mechanical Parts & Supplies Construction -Manhole Repairs Lab Parts & Supplies Maintenance Agreement AS-400 Batteries for Vehicles & Carts Instrument Supplies Bid Document Storage Fees P1-37 & J-39 ·ri:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -021504.xls Page 5of 9 EXHIBIT A 3/12/2004 Warrant No. _V_e_n_d_or ____________ _ fin/210/lc 59601 Irvine Pipe & Supply 59602 IOMA, Inc. 59603 J.G. Tucker and Son, Inc. 59604 Jamison Engineering Contractors, Inc. 59605 Jay's Catering 59606 Johnstone Supply 59607 Keith Boger 59608 Keltech, Inc. 59609 Kforce, Inc. 59610 Kienow Associates, Inc. 59611 Kings County Farm Bureau 59612 Kleen Tec/Kleer Flo, Inc. 59613 Kennie K. Gallery 59614 Kray, L.L.C. 59615 League of California Cities 59616 Lucci's Gourmet Foods, Inc. 59617 Lynde-Ordway Company, Inc. 59618 M. J. Schiff & Associates, Inc. 59619 Maintenance Technology Corp. 59620 Mandie Motors 59621 Mayer, Brown, Rowe & Maw, L.L.P. 59622 McJunkin Corporation 59623 McMaster-Carr Supply Co. 59624 McRay Industries, Inc. 59625 Mee Analytical System 59626 Medlin Controls Co. 59627 Michael Turnipseed & Associates 59628 Mid-West Associates 59629 Miller Equipment Co. 59630 Mission Uniform Service 59631 MGD Technologies, Inc. 59632 MJK Construction 59633 N. Glantz & Son 59634 National Plant Services, Inc. 59635 Neal Supply Co. 59636 New Hermes, Inc. 59637 New Horizons CLC of Santa Ana 59638 Newark Electronics 59639 Nextel Communications 59640 Ninyo & Moore Corporate Accounting 59641 Nu-Way Laser Engraving 59642 Office Depot Business Services Div. 59643 OhmarWEGA Corp. 59644 OneSource Distributors, Inc. 59645 Orange County Fire Authority 59646 The Orange County Register Claims Paid From 02/01/04 to 02115/04 Amount 756.44 238.95 5,231.16 4,771.87 1,009.50 261.78 795.00 47.00 10,202.88 3,771.59 250.00 588.63 1,275.76 42.96 133.00 104.45 493.65 1,053.55 600.39 109.50 10,000.00 2,898.75 1,286.00 4,188.24 1,465.00 450.71 5,012.50 17,208.97 383.43 1,917.05 10,700.00 5,244.22 586.08 3,060.00 149.52 230.47 960.00 746.15 3,392.18 10,965.34 350.06 1,804.47 495.00 407.63 2,190.00 2,536.80 Description Iron Piping Subscription Instrument Parts & Supplies Construction -Leak Repairs & Valve Installation Meeting Expenses Electrical Supplies Plant 2 Operations Trainin.g Registration Mechanical Parts & Supplies Temporary Employment Services Legal Services 1-2-4 Membership Pump & Oil Skimmer Picture Framing Services Stationery & Office Supplies Publication Meeting Expense Equipment Maintenance & Repair Services Construction -Soil Samples Drilling Mechanical Parts & Supplies Towing Services Strategic Planning Advocacy Mechanical Parts & Supplies Mechanical Parts & Supplies Mechanical Parts & Supplies Toxicity Analysis Instrument Supplies Professional Service-Tule Ranch & Yakima Sites Study Pump Supplies Repairs & Maint. Services Uniform Rentals Temporary Flow Monitoring Underground Tank Cleaning Reflective Vinyl Film Vacuum Truck Services Plumbing Supplies Repairs & Maint. Materials & Supplies Human Resources Training Registration Electrical Parts & Supplies Cellular Phones & Air Time Professional Services -Materials Testing, Inspection & Geotechnical Engrg. Steel Tags Office Supplies Safety & Health Meeting Registration Electrical Parts & Supplies Permit Fees -Hazardous Materials & Chemicals Notices & Ads H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-021504.xls Page 6of9 EXHIBIT A 3/12/2004 Warrant No. Vendor fin/210/lc ~~~~~~~~~~~~~~~ 59647 Orange Fluid System Technologies, Inc. 59648 Oxygen Service Company 59649 OCB Reprographics 59650 P.L. Hawn Company. Inc. 59651 Pacific Bell/WorldCom 59652 Pacific Mechanical Supply 59653 Parker Supply Company 59654 Parkhouse Tire, Inc. 59655 Roy Parrino 59656 PenValve 59657 Perkin Elmer Corporation 59658 Perma Pure, Inc. 59659 Permaseal 59660 Petroleum Engineering, Inc. 59661 Power Electro Supply Co .• Inc. 59662 Praxair, Inc. 59663 Pre-Paid Legal Services. Inc. 59664 PFE International, Inc. 59665 PR Week 59666 PVF Sales. Inc. 59667 R. L. Abbott & Associates 59668 R.T. Engineering 59669 Rainbow Disposal Co. 59670 Reliastar 59671 Ricoh Business System 59672 Rockwell Engineering & Equipment Co. 59673 Rota Rooter-N.O.C.#11 59674 Ryan Herco Products Corp. 59675 RPM Electric Motors 59676 RS Hughes Co, Inc. 59677 Sancon Engineering, Inc. 59678 Schwing America, Inc. 59679 Science Applications Intl. Corp. 59680 Shamrock Supply Co., Inc. 59681 Shimadzu Scientific Instruments, Inc. 59682 Shortridge Instruments, Inc. 59683 Shureluck Sales & Engineering 59684 Sierra Club 59685 Sigma-Aldrich, Inc. 59686 James W. Silva 59687 SkillPath On-Site 59688 Smardan Supply Company 59689 Smith Pipe & Supply, Inc. 59690 Smith-Emery Company 59691 Society of Env.Toxicology & Chemistry 59692 Solar Biologicals. Inc. Claims Paid From 02101/04 to 02/15/04 Amount 118.84 1,923.29 1,333.00 294.04 15.28 384.59 478.00 1,647.18 51.00 257.27 393.23 217.72 800.79 11,045.00 339.51 24.68 448.50 1,048.00 178.00 50.21 3,000.00 519.08 2.550.29 9,733.35 3,578.51 1,009.09 370.73 64.71 1,410.75 137.36 10,350.00 3,264.77 13,765.59 1,302.92 224.40 1,331.52 275.45 39.00 259.40 120.00 3,300.00 22.84 367.02 15,356.00 295.00 2,234.03 Description Mechanical Parts & Supplies Specialty Gases Printing Service-MO 1/26/00 Electrical Supplies Telephone Service Plumbing Supplies Mechanical Parts & Supplies Tires Meeting/Training Expense Reimbursement Mechanical Parts & Supplies Lab Parts & Supplies Filters Lube Oil Const. -Install Manhole at Cen Gen Site and Replace & Inspect Spill Bucket Electrical Supplies Office Supplies Employee Legal Service Insurance Premium Equipment Service Agreement Subscription Plumbing Parts & Supplies Kern County Bioso~ids Consulting Services Meters Trash Removal Employee Basic Life Insurance Color Copier Lease Mechanical Parts & Supplies Sewer Line Cleaning Mechanical Parts & SuppUes Repair & Maintenance Se·rvice Paint Supplies Construction -Sewer Pipe Repairs -Tustin Pump Supplies Ocean Monitoring P-179 Tools & Concrete Mix Lab Parts & Supplies Instrument Recalibration, Repairs & Parts Plumbing Parts & Supplies Subscription Lab Parts & Supplies Meeting/Training Expense Reimbursement On-Site Training -MS Word XP Plumbing Parts & Supplies Plumbing Supplies Soils. Concrete & Other Materials Testing Membership Lab Parts & Supplies 'H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Clalms Paid Report-021504.xls Page 7of9 EXHIBIT A 3/12/2004 Warrant No. Vendor fin/210/lc ~~~~~~~~~~~~~~~ 59693 South Coast Air Quality Management Dist. 59694 South Coast Systems, Inc. 59695 Southern California Edison 59696 Stanley Steamer International, Inc. 59697 Summit Steel 59698 Sunset Ford 59699 Sunset Industrial Parts 59700 Super Power Products 59701 Symcas-TSG 59702 SAWPA 59703 South Coast Environmental Co. 59704 SKC-West, Inc. 59705 SPEC Services, Inc. 59706 SPX Valves & Control 59707 Terminix International 59708 Tetra Tech, Inc. 59709 Textile Engineering Associates 59710 The Lewis Group 59711 Thomas V. Gerlinger 59712 Thompson Industrial Supply, Inc. 59713 ThyssenKrupp Elevator 59714 Time Warner Communication 59715 Times Community News 59716 Tony's Lock & Safe Service & Sales 59717 Training 59718 So. California Trane Service 59719 Truck & Auto Supply, Inc. 59720 Truesdail Laboratories, Inc. 59721 Tustin Unified School District 59722 Ultra Scientific 59723 The Unisource Corporation 59724 United States Treasury 59725 Urban Alternatives 59726 UC Regents 59727 The Vantage Group, L.L.C. 59728 Varian, Inc. 59729 Verizon California 59730 Verne's Plumbing 59731 Vision Service Plan-(CA) 59732 VWR Scientific Products 59733 The Wackenhut Corporation 59734 Waters Corporation 59735 Waxie Sanitary Supply 59736 Westport Aparatus OBA Breaker Supply 59737 WEF -Registration Dept. 59738 WEF Claims Paid From 02/01/04 to 02/15/04 Amount 93.75 1,530.00 7,663.57 294.00 3,276.19 31.43 761.49 1, 163.70 1,381.60 15,000.00 522.50 129.30 8,325.00 8,918.25 960.00 12,595.22 603.62 1,846.49 1,050.00 753.18 556.00 45.22 218.75 9.43 78.00 3,314.00 453.48 50.00 544.00 530.86 857.41 5,075.12 19,369.00 575.00 11,756.00 66.10 549.14 75.00 9,257.40 7,015.30 22,187.12 553.99 872.05 115.72 1,535.00 695.00 Description Annual Emission, Operation & Misc. Fees Repairs & Maint. Services -AGF Pilot Plant Electrical System Power Carpet Cleaning Services Metal Auto Parts & Service Motor & Mechanical Parts & Supplies Janitorial Supplies SCADA System VAX Service Agreement District Share of Tri-County 2003-04 Watershed Agreement & Conservation Program Cen Gen Emissions Testing Service Lab Parts & Supplies Engineering Services P1-89 & Pit. 1 VFD Replacement at Waste Side Stream Pump Mechanical Parts & Supphes Pest Control Professional Services 11-22 Mechanical Parts & Supplies Consulting Service -Capital Project Management Process Lab Analyses Mechanical Supplies Elevator Maintenance Cable Services Notices & Ads Locks & Keys Subscription Electrical Equipment Service Contract Truck & Auto Parts Analysis of Biosolids and Wastewater Meeting Expenses -Community Meeting Room Rental Lab Supplies Stationery & Office Supplies Professional Services J-85 -Naval Post Graduate School Professional Services 1-1 O Safety & Health Training Registration Temporary Employment Service Lab Parts & Supplies Telephone Services Service Contract-Testing & Cert. Backflow Devices at Pits. 1 & 2 & Pump Sta. Vision Service Premium Lab Supplies Security Guards Lab Parts & Supplies Janitorial Supplies Electrical Supplies Instrumentation & Electrical Maint. and Air Quality Meeting Registration Membership -Water Environment Federation H:\dept\fln\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report-021504.xls Page 8of9 EXHIBIT A 3112/2004 Warrant No. Vendor ~~~~~~~~~~~~~~~ 59739 WQI 59740 Xerox Corp-OMNI 597 41 Xerox Corporation 597 42 Xpedex Paper & Graphics 597 43 Adams/Mallory Construction Co., Inc. 59744 California Bank & Trust 59745 Paulus Engineering, Inc. 597 46 Jeffrey L. Armstrong 597 47 Peter Cheffs 597 48 Donald R. Cleveland 597 49 Deirdre E. Hunter 59750 Vladimir A. Kogan 59751 Ludolph T. Lorrimer 59752 James W. Matte 59753 Joseph W. Park, Jr. 59754 George L. Robertson 59755 David M. Yager 59756 Orange County Flood Control District 59757 Orange County Sanitation District Total Accounts Payable -Warrants Payroll Disbursements 33057 -33148 Employee Paychecks 33149 -33150 Employee Paychecks 9407 4 -94582 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments Lloyds TBS Bank pie Chase Manhattan Bank JP Morgan Chase Bank JP Morgan Chase Bank Societe Generale, New York Branch Total Wire Transfer Payments Total Claims Paid 02/01/04 -02/15/04 Claims Paid From 02/01/04 to 02115/04 Amount 450.00 21.00 7,146.99 85.29 12,665.72 3,392.00 18,697.00 202.75 46.00 41.00 273.18 300.35 535.96 419.80 56.00 202.75 46.00 2,500.00 2,262.77 $ 8,239,535.20 $ 147,102.03 1,444.39 956,204.85 $ 1,104,751.27 $ 72,485.42 73,766.34 31,371.14 129,984.97 $ 54,516.63 $ 362, 124.50 $ 9,706,410.97 Description Pit. 2 Operations Training Registration Fax Machine Maintenance Fax & Copier Leases & Supplies Specialty Paper Construction P2-79-1 Construction J-33-1 A, Retention Construction 5-22-R1 Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Permit Fees -J-77 Petty Cash Reimb. Biweekly Payroll 02./04/04 Termination Payouts Biweekly Payroll 02.104/04 Letter of Credit Fee for Standby Certificate Purchase Agreement (11/01/03-02/01/04) Letter of Credit Fee for 2000 Refunding COPs (11/01/03 -01/31/04) January Interest Payment on 1993 Certificates of Participation Societe Generale January Swap Payment on 1993 Certificates of Participation Letter of Credit Fee for 1993 Refunding Certificates of Participation fln/,il1onc H:\dept\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report -021504.xls Page9of9 EXHIBIT A 3/12/2004 .,, Claims Paid From 02/16/04 to 02129/04 Warrant No. Vendor Accounts Pavable -Warrants 59758 Orange County Sanitation District 59759 Parsons, Inc. 59760 Airgas Safety, Inc. 59761 American Airlines 59762 Carollo Engineers 59763 Court Order 59764 Consumers Pipe & Supply Co. 59765 County of Orange 59766 Court Trustee 59767 CMAA 59768 Employee Benefits Specialists, Inc. 59769 Court Order 59770 FedEx Corporation 59771 Franchise Tax Board 59772 Fry's Electronics 59773 Industrial Threaded Products, Inc. 59774 Internal Revenue Service 59775 Intl. Union of Oper. Eng. AFL-CIO Local 501 59776 Kleen Tee I Kleer Flo, Inc. 59777 Mayer, Brown, Rowe & Maw, L.L.P. 59778 McMaster-Carr Supply Co. 59779 Midway Mfg. & Machining Co. 59780 National Bond & Trust 59781 OCEA 59782 Court Order 59783 Court Order 59784 Peace Officers Council of CA 59785 PenValve 59786 Court Order 59787 United Parcel Service 59788 United Way 59789 Verizon California 59790 WEF -Registration Dept. 59791 Court Order 59792 Alexander Aldaco 59793 Local Agency Formation Commission 59794 State of California 59795 Air Products & Chemicals, Inc. 59796 Black & Veatch Corporation 59797 Boyle Engineering Corporation 59798 Brown & Caldwell 59799 California Soil Products 59800 Camp Dresser & McKee, Inc. 59801 Environmental Engineering & Contracting 59802 Flo -Systems, Inc. 59803 G E Modular Space 59804 Hampton Tedder Technical Services 59805 Irvine Technology Corporation 59806 Kemiron Pacific, Inc. $ H:~dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -022904.xls fln121onc Amount 677,367.36 381,977.84 2, 175.41 3,122.80 1,732.50 150.00 10.05 182.14 69.12 85.00 9,649.35 445.00 81.99 100.00 285.52 67.91 500.00 3,849.75 70.96 5,000.30 1,804.83 5,619.00 2,162.75 589.36 40.00 296.00 1,557.00 37.08 721.50 250.53 305.00 28.24 475.00 597.50 1,318.23 1,150.00 200.00 26,294.06 37,562.38 25,711.18 40,255.47 62,855.65 144,714.86 33,928.00 84,438.29 32,188.00 56,167.43 28,507.00 118,894.92 Description Payroll EFT Reimbursement Engineering Services J-35-1 Safety Supplies Travel Services Professional Services -Gas Leak at Pit. 1, Digester 9 Wage Garnishment Plumbing Supplies Wage Garnishment Wage Garnishment Safety & Health Meeting Registration Reimbursed Prepaid Employee Medical & Dependent Care Wage Garnishment Air Freight Wage Garnishment Computer Supplies Mechanical Parts & Supplies Wage Garnishmenit Dues Deduction Instrument Parts & Suppli.es Professional Services -Strategic Planning & Advocacy Mechanical Parts, Supplies & Tools Repairs & Maintenance Service U.S. Savings Bonds Payroll Deductions Dues Deduction Wage Garnishment Wage Garnishment Dues Deduction Mechanical Parts & Supplies Wage Garnishment Parcel Services Employee Contributions Telephone Service-s Air Quality & Speci.al Projects Meeting Registration Wage Garnishmen.t User Fee Refund Regarding Septic Tanks Annexation Fee State Beach Permit Fee 0 & M Agreement Oxy Gen Sys MO 8-8-89 Engineering Services P1-76 Professional Services 1-2-4 Professional Services P1-37 Residuals Removal MO 3-29-95 Engineering Services J-71-8 Professional Services -FOG Control Study WEMCO Immersible Pump Modular Space Trailer Repairs to 12V Feeder at Pit. 2 Temporary Employment Services Ferric Chloride MO 9-27-95 Page 1of7 EXHIBITS 3112/2004 Claims Paid From 02116104 to 02129/04 Warrant No. Vendor ~~~~~~~~~~~~~~~ 59807 Lee & Ro, Inc. 59808 M. J. Schiff & Associates, Inc. 59809 Malcolm Pirnie, Inc. 5981 O McMahan Business Interiors 59811 Motorola, Inc. 59812 Municipal Water Dist. of Orange County 59813 Parsons Water & Infrastructure, Inc. 59814 Pioneer Americas, Inc. 59815 Polydyne, Inc. 59816 Quinn Shepherd Machinery 59817 South Coast Air Quality Management Dist. 59818 Southern California Edison 59819 Systime Computer Corp 59820 Thompson Industrial Supply, Inc. 59821 Tule Ranch/Magan Farms 59822 U.S. Peroxide, L.L.C. 59823 UBS Financial Services, Inc. 59824 Woodruff, Spradlin & Smart 59825 WS Atkins Water 59826 ARB, Inc. 59827 Margate Construction, Inc. 59828 Mike Prlich & Sons 59829 Paulus Engineering, Inc. 59830 Steve P Rados, Inc. 59831 A&S Company 59832 Absolute Standards, Inc. 59833 AccuStandard 59834 Air Liquide America Corporation 59835 Airgas -West 59836 Airgas Safety, Inc. 59837 American Red Cross 59838 American Water Works Assoc.IWater Qualty 59839 Aquarium Doctor 59840 Aquatic Bioassay And Consulting Labs, Inc. 59841 Arch Wireless 59842 ASAP Software Express 59843 American Telephone & Telegraph Corp. 59844 Basic Chemical Solutions, L.L.C. 59845 Battery Specialties 59846 Bentley Systems, Inc. 59847 Boot Barn 59848 Cal-Glass, Inc. 59849 California Auto Collision 59850 California Municipal Treasurers Assoc. 59851 California Relocation Services, Inc. 59852 Callan Associates, Inc. 59853 Cambridge Isotope Labs 59854 Cameron Welding Supply 59855 Cardlock Fuel Systems, Inc. 59856 Center for Creative Growth H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -022904.xls fin121onc Amount 26,919.82 51,583.09 145,274.75 33,422.19 91,207.16 27,298.69 181,812.59 158,515.68 92,697.42 79,926.88 43,062.68 92,682.35 63,354.00 27,656.72 167,702.26 326,909.11 30,149.69 114,591.98 34,607.12 240,718.76 1,505,180.00 378,844.20 77,850.00 204,275.70 808.13 405.00 3,106.83 1,081.85 1,517.31 297.19 2,024.00 835.00 105.44 1,820.00 1,542.48 3,404.56 202.04 18,373.10 516.43 4,301.55 213.10 72.20 774.60 240.00 225.00 3,550.00 3,103.20 196.70 9,756.66 2,300.00 Description Professional Services 5-22-1, 5-51 & 5-52 Construction -lnterplant Gas Line Repair Professional Services 1-10 Construction -Modification to Safety Division Trailer at Pit. 1 Radios & Accessories Water Use Efficiency Program MO 9-22-99 Professional Services J-35-2 Sodium Hypochlorite Cationic Polymer MO 3-11-92 (1) Caterpillar Backhoe Loader Annual Emission. Operation & Misc. Fees Power Professional Services -J 0 Edwards One World XE Support Pump & Mechanical Supplies Residuals Removal MO 3-29-95 Ferrous Chloride & Hydr09en Peroxide for Miller Holder & Air Base Coll. Systems Remarketing Fee -1992 Series Advanced Refunding COPs Legal Services MO 7-26-95 Professional Services J-40-6 Construction 11-22 Construction P1-3i7 Construction 6-13-1 & 7-23-1 Construction 5-22-R1 Construction 1-2-4 Metal Detectors & Cases Lab Parts & Supplies Lab Parts & Supplies Specialty Gases Lab Parts & Supplies Safety Supplies CPR Training & Miscellaneous Supplies Source Control Training Registration Human Resources Aquarium Service Toxicity Testing Airtime, Service & Equipment Software License -Microsoft Enterprise Telephone Service Sodium Bisulfite Batteries Software Subscription Reimbursable Safety Shoes Glass Repair Vehicle Repairs -V-438 Membership File Moving/Relocation Services Investment Advisor Lab Parts & Supplies Welding Supplies Fueling District Vehicles at Local Gas Stations Professional Services -O & M Management Coaching Page 2 of 7 EXHIBITS 3/12/2004 'fl Claims Paid From 02/16/04 to 02/29/04 Warrant No. _V...;.e.;..n.;..d_or ____________ _ 59857 Cingular Wireless Airtime 59858 City ofTustin 59859 Cole-Parmer Instrument Company 59860 Condenser & Chiller Services, Inc. 59861 Consolidated Elect. Distributors, Inc. 59862 Consumers Pipe & Supply Co. 59863 Cooper Cameron Corporation 59864 Corporate Express 59865 Cost Containment Solutions 59866 Counterpart Enterprises, Inc. 59867 County of Orange 59868 County Wholesale Electric Co. 59869 Cummins Gal Pacific, Inc. 59870 Cytec Industries, Inc. 59871 CEPA Company 59872 CR&R, Inc. 59873 CWEA 2002 Annual Conference 5987 4 CWEA Membership 59875 CWEA Specialty Conference 59876 Dapper Tire Co. 59877 David's Tree Service 59878 Del Mar Analytical 59879 Dillingham Software Engineering, Inc. 59880 Dunn-Edwards Corporation 59881 Dynamic Details, Inc. 59882 DGA Consultants, Inc. 59883 DMARK Corporation 59884 E. Sam Jones Distributors, Inc. 59885 Eastcom Corporation 59886 Eastech Badger 59887 Electrolurgy 59888 Employee Benefits Specialists, Inc. 59889 Employers Group 59890 Enchanter, Inc. 59891 Entech Instruments, Inc. 59892 Enthone, Inc. 59893 Environmental Resource Associates 59894 Equapac 59895 FedEx Corporation 59896 Ferguson Enterprises, Inc. 59897 First American Real Estate Solutions 59898 Fisher Scientific 59899 Fleet Research, Inc. 59900 Fluor Enterprises, Inc. 59901 Foodcraft Coffee & Refreshment Services 59902 Fortis Benefits Insurance Company 59903 Fountain Valley Paints, Inc. 59904 Franklin Covey 59905 Fry's Electronics 59906 Garg-Oil Production, L.L.C. H:\dept\fin\EXCEL.dta\220\APSHARE\Oaims Paid Report\03-04\0aims Paid Report • 022904.xls fir\1210/lc Amount 3,919.10 118.74 122.33 2,187.43 3,623.53 1,434.54 175.51 2,811.41 2,539.68 130.90 773.22 346.60 600.10 18,478.77 125.00 2,835.00 2,095.00 194.00 250.00 587.95 1,000.00 1,658.00 499.00 200.96 1,854.21 2,392.00 1,057.21 505.89 4,105.50 2,040.50 822.12 644.00 250.00 4,500.00 3,369.15 598.37 2,711.70 2,030.13 232.11 151.69 647.50 13,431.03 335.00 24,308.79 713.35 19,780.69 231.55 14.38 439.42 460.00 Description Cellular Air Time Water Lab Parts & Suppliles Condenser Parts & Repairs Electrical Parts & Supplie-s Plumbing Supplies Engine Supplies Office Supplies Worker's Comp. Services Mechanical Parts & Supplies Maint. Agreement -Repair/Installation of Base, Handheld & Vehicle Radios Electrical Parts & Supplie-s Electrical Parts & Supplies Anionic Polymer Spec. No. 9798-18 Lab Equipment Testing & Certification Container Rentals O & M Training Registration -California Water Environment Association Membership -Calif. Water Environment Assoc. Source Control Training Registration Truck Tires Tree Maint. Service Analysis of Biosolids and Wastewater Information Technology Training Registration Paint Supplies Reconciliation Use-r Fee Refund Program Professional Services -CCTV Data Evaluation Mechanical Parts & Supplies Electrical Supplies Reconciliation User Fee Refund Program Instrument Parts & Suppli.es Reconciliation Use-r Fee Refund Program Reimbursed Prepaid Employee Medical & Dependent Care Human Resource Training Registration Ocean Monitoring & Outfall Inspection & Maintenance Lab Parts & Suppli·es Reconciliation Use-r Fee Refund Program Lab Supplies Hydrochloric Acid Air Freight Mechanical Parts & Supplies Orange County Property Information Lab Parts & Suppli·es Publication Engineering Services J-84 Meeting Supplies Long-Term & Short-Term Disability Ins. Premium Paint Supplies Office Supplies Computer Supplies Reconciliation User Fee Refund Program Page 3of7 EXHIBIT B 3/12/2004 Claims Paid From 02116/04 to 02129/04 WarrantNo. _v_e_n_d_o_r ______________________________ Am ___ o_u_n_t __ _ 59907 Garratt-Callahan Company 4,984.62 59908 Grainger, Inc. 2,927.09 59909 Guarantee Records Management 255.34 59910 Hach c/o Ponton Industries 115.62 59911 Hach Company 3,941.67 59912 Harrington Industrial Plastics, Inc. 2,695.16 59913 Harrison French Architecture 6,427 .32 59914 Herman Miller Workplace Resource 264.76 59915 Hewlett-Packard Company 17,196.40 59916 Hill Brothers 19,531.09 59917 The Holman Group 915.30 59918 Home Depot 336.43 59919 Hub Auto Supply 155.00 59920 ldexx 7,370.1 O 59921 Industrial Distribution Group 435. 72 59922 Industrial Threaded Products, Inc. 5,931.51 59923 Information Resources 600.00 59924 Inland Concrete Enterprises, Inc. 4,872.00 59925 Insight Investments 126.18 59926 Interstate Batteries of Cal Coast 652.26 59927 lntratek Computer, Inc. 720.00 59928 Invensys Systems, Inc. 1,817.04 59929 Iron Mountain Off-Site Data Protection 310.00 59930 Irvine Ranch Water District 34.85 59931 ISEC, Inc. 3,383.00 59932 J & L Industrial Supply 420.20 59933 Jamison Engineering Contractors, Inc. 7 ,465.00 59934 Jay's Catering 611. 77 59935 Johnstone Supply 169.56 59936 JWC Environmental 1,571.96 59937 K.P. Lindstrom, Inc. 5, 192.50 59938 Keith Boger 1,095.00 59939 Kelly Paper 214.64 59940 Kforce, Inc. 22,905.51 59941 League Of California Cities 2,347 .50 59942 Lexis Nexis Matthew Bender 288.58 59943 Lorman Education Services 618.00 59944 Magnolia School District 15.90 59945 Mainline Information Systems 20,258.00 59946 Management Technologies 5,400.00 59947 Mandie Motors 88.50 59948 MassMutual Michel Financial Group 1,339.11 59949 McCrometer, Inc. 457.96 59950 McMaster-Carr Supply Co. 6,006. 77 59951 McPeek's Dodge of Anaheim 11,227.55 59952 Media Resurfacing Systems, Inc. 2,500.00 59953 Medlin Controls Co. 460.72 59954 Megger 279.05 59955 Mid-West Associates 13,953.12 59956 Midway Mfg & Machining Co. 21,016.81 Description Chemicals Electrical Parts & Supplies Off-Site Records Storage Lab Parts & Supplfies Instrument Parts & Supplies Plumbing Supplies Reconciliation User Fee Refund Program Office Fixtures Computers -(6) Printers & Accessories Chemicals -Odor & Corrosion Control -Newport Trunkline Employee Assistance Program Premium Misc. Repair & Maintenance Material Vehicle Parts & Supplies Lab Parts & Supplies Electrical Parts, Paint Supplies & Tools Mechanical Parts & Supplies Human Resources Service -Background Checks Construction -Manhole Raising Freight Batteries for Vehicles & Carts Network Support Electrical Supplies Offsite Back-Up Tape Storage for NT Server Water Use Instrument Parts & Suppl•es Mechanical Parts & Suppfies Repairs & Mainten.ance Service -Install Piping & (2) Carbon Canisters on Digester T Meeting Expenses Electrical Supplies Mechanical Parts & Suppfies Environmental Consulting Services MO 12-9-90 Plant 1 Operations Training Registration Paper Temporary Employment Services General Management Admin. Meeting Registration Books & Publications Planning Training Registration Reconciliation User Fee Refund Program Software Subscription & Support -AS/400 Professional Services -Project Management Process Towing Services Executive Disability Plan Premium Instrument Repairs Mechanical Parts, Supplies & Repair Materials (1) 2004 GEM, 4-Passenger NEV Repairs & Mainten.ance Services Instrument Supplies Software Pump Supplies Refurbishment of (2) Swing Pump Piston Rods & Rotation of Auger Assembly H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Ctaims Paid Report • 022904.xls fin121onc Page4of7 EXHIBIT B 3/12/2004 Claims Paid From 02/16/04 to 02/29/04 Warrant No. Vendor ~~~~~~~~~~~~~~~~ 59957 Mission Abrasive & Janitorial Supplies 59958 Mission Uniform Service 59959 Business Training & Development Services 59960 Neal Supply Co. 59961 NetVersant of Southern California 59962 New Horizons CLC of Santa Ana 59963 City of Newport Beach 59964 Ninyo & Moore Corporate Accounting 59965 NAS Associates, Inc. 59966 0 C Tanner Recognition Company 59967 Office Depot Business Services Div. 59968 OneSource Distributors, Inc. 59969 Orange Fluid System Technologies, Inc. 59970 Ortiz Fire Protection 59971 Oxygen Service Company 59972 OCB Reprographics 59973 Pacific Bell Internet Services 5997 4 Pacific Mechanical Supply 59975 Pacific Process Equipment, Inc. 59976 Parker Hannifin Corporation 59977 Pixelpushers, Inc. 59978 Power Electro Supply Co., Inc. 59979 PrinterGuy 59980 Psomas 59981 Pump Engineering 59982 PCS Express, Inc. 59983 PSI 59984 Radius Maps 59985 Rainin Instrument, L.L.C. 59986 RemedyTemp, Inc. 59987 Ryan Herco Products Corp. 59988 RAE Systems, Inc. 59989 RBF Engineers 59990 RS Hughes Co, Inc. 59991 Safety-Kleen 59992 Safetycare, Inc. 59993 Seaventures 59994 Shamrock Supply Co., Inc. 59995 Shimadzu Scientific Instruments, Inc. 59996 Shureluck Sales & Engineering 59997 Siemens Building Technologies 59998 Sigma-Aldrich, Inc. 59999 Skalar, Inc. 60000 SkillPath On-Site 60001 Smardan Supply Company 60002 Smith-Emery Company 60003 Snap On Industrial 60004 Southern California Edison 60005 Southern Counties Lubricants 60006 Sparkletts Jt:ldept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -022904.xls hil/210/lc Amount 127.36 2,009.16 257.46 326.48 1,776.66 480.00 53.05 755.36 1,555.00 99.05 4,539.21 77.97 706.58 327.00 1,749.72 23,671.70 333.72 35.79 6,465.00 113.77 19,100.00 31.76 4,604.24 13,770.00 1,551.60 110.00 70.00 1,915.00 285.66 8,607.41 2,046.32 561.50 940.50 41.78 539.26 253.21 3,500.00 107.10 77.89 556.54 1,209.50 136.41 215.78 3,300.00 280.77 1,131.25 181.70 26.02 2,009.00 1,475.68 Description Janitorial Supplies Uniform Rentals Training Supplies Plumbing Supplies Magic Card Badging System Ribbon Mechanical Maintenance & Power Production Training Registration Water Use Professional Services -Materials Testing, Inspection & Geotechnical Engrg. Lab Services Employee Service Awards Program Office Supplies Electrical Parts & Supplies Plumbing & Lab Parts & Supplies Fire Sprinkler System Repairs -Admin Bldg. Specialty Gases Printing Service -MO 1/26/00 Internet Service Plumbing Supplies Valves Instrument Parts & Supplies Prof. Serv. -Desigin, Implement, Construct & Install a Corporate Intranet Site Electrical Supplies Printer Maintenance Professional Services SP-15-Geographic Information System Pump Supplies Courier Service Repair Services -Rebuild Shop Steam Cleaner Radius Map & Ownership Listings Lab Instrument Re-pair & Calibration Services Temporary Employment Services Plumbing Parts & Supplies Instrument Repair & Calibration Services -Gas Detector Engineering Services 2-24-1 Paint Supplies Parts Washer Lease & Service Safety Video Ocean Monitoring Vessel Tools Lab Supplies Mechanical Parts & Supplies Automation System Repairs, Maintenance & Support Services Lab Supplies Lab Supplies On-Site Training -MS Excel, Level 3 Valve Soils, Concrete & Other Materials Testing Tools Power Engine Oil Drinking Water/Cooler Rentals Page 5of7 EXHIBITS 3/1212004 Warrant No. Vendor ~~~~~~~~~~~~~~~~ 60007 Spectrum Video, Inc. 60008 Spex Certiprep, Inc. 60009 Sunset Industrial Parts 60010 Super Chem Corporation 60011 SARBS-CWEA 60012 SBC 60013 South Coast Environmental Co. 60014 SETAC 60015 SPEC Services, Inc. 60016 Taylor-Dunn 60017 Team Scopellite Co. 60018 Tekdraulics, Inc. 60019 Teletrac, Inc. 60020 The Walking Man, Inc. 60021 Times Community News 60022 Todd Painting, Inc. 60023 Tony's Lock & Safe Service & Sales 60024 Toshiba International Corporation 60025 Townsend Public Affairs 60026 Tropical Plaza Nursery, Inc. 60027 Truck & Auto Supply, Inc. 60028 Truesdail Laboratories, Inc. 60029 Tuthill Energy SystemsNentilation 60030 Type Gallery Printers 60031 US Filter/Polymetrics, Inc. 60032 Ultra Scientific 60033 United Parcel Service 60034 US Equipment Co., Inc. 60035 Valley Splicing Co. 60036 Valverde Construction, Inc. 60037 The Vantage Group, L.L.C. 60038 Varian, Inc. 60039 Verizon 60040 Verizon California 60041 Vocam USA, L.L.C. 60042 VWR Scientific Products Corporation 60043 W. Born & Associates, Inc. 60044 The Wackenhut Corporation 60045 Waste Markets 60046 Waxie Sanitary Supply 60047 Wilson Supply, Inc. 60048 WEF Publications 60049 Xerox Corporation 60050 Yokogawa Corp. of America 60051 Union Bank of California 60052 Thomas M. Blanda 60053 Patrick B. Carnahan 60054 Chris A. Cervellone 60055 Robert Geggie 60056 Tod E. Haynes H:\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -022904.xls fin/210Rc Claims Paid From 02/16/04 to 02/29/04 Amount 1,662.50 84.15 2,085.02 358.33 40.00 967.42 14,192.17 400.40 19,949.27 1,601.84 2,070.00 239.21 245.00 1,050.00 175.00 2,465.00 427.10 61.78 5,000.00 9,771.91 459.05 1,100.00 4,141.32 1,733.16 4,516.00 1,549.20 1,499.03 71.40 1,200.00 19,505.24 12,440.00 4,177.97 122.36 5,877.91 403.19 7,553.17 9,451.58 7,242.15 14,747.43 207.02 2,463.05 75.75 918.03 386.46 22,697.30 950.88 249.29 300.00 719.53 150.00 Description Professional Services -Board Room Audio-Visual Design Lab Supplies Mechanical Supplies Chemicals O & M Training Registration Telephone Services Cen Gen Emissions Testing Service Publication Engineering Services J-33-1 Electric Cart Parts Construction -Relocation of Liquid Gas Containers at Lab Building Mechanical Supplies Monthly Air-Time Service Fee & Software/Hardware Maint. For Vehicle Tracking Sys. Construction Notice Distribution -Bushard Trunk Sewer Replacement Notices & Ads Painting Services Locks & Keys Freight Legislative & ExeCtJtive Advocate for Grant Funding Contract Groundskeeping MO 5-11-94 Automotive Supplies Analysis of Biosolicls and Wastewater Ventilation System Parts & Supplies Printing -"FOG" Posters Service Agreement -Lab Purification System Lab Supplies Parcel Services Mechanical Parts & Supplies Equipment Repair Construction -8" Sewertine Replacement -Tustin Temporary Employment Service Lab Parts & Suppliies Telephone Service Telephone Services Safety Video Lab Parts & Suppli·es Safety Supplies Security Guards Maint. Agreement -Grit & Screenings Removal & Digester Bed Mat'I. Removal Janitorial Supplies Mechanical Parts & Supplies Publication Fax/Copier Supplies Instrument Supplies Construction 1-2-4, Retention Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Page 6 of 7 EXHIBIT 8 3/12/2004 Warrant No. Vendor 60057 Larry E. Lazorek 60058 Kathleen T. Millea 60059 Robert Ooten 60060 Roy J. Reynolds 60061 Robert J. Taylor 60062 Sonja A. Wassgren 60063 Charles F. Winsor 60064 Paula A. Zeller 60065 City of Buena Park 60066 City of Fountain Valley 60067 County of Orange -Auditor Controller 60068 County of Orange -Auditor Controller 60069 Dell & Emilio Ariston Total Accounts Payable -Warrants Pavroll Disbursements 33151 -33266 Employee Paychecks 33267 -33267 Employee Paycheck 84583 -95097 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments U.S. Bank Total Wire Transfer Payments Total Claims Paid 02116/04-02129/04 Claims Paid From 02116/04 to 02129/04 Amount 41.00 405.00 425.56 148.00 567.16 266.40 453.12 722.37 109.50 869.70 810.00 1,545.00 3,000.00 $ 6,712,057.00 $ 166,277.30 172.98 993,382.81 $ 1, 159,833.09 $ 102,331.98 $ 102,331.98 $ 7,974,222.07 Description Meetingffraining Expense Reimbursement Meetingffraining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Meetingff raining Expense Reimbursement Permit Fees Plan Check Fees -J-84 Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Employee Computer Loan Program Biweekly Payroll 02/18/04 Reissued Check Biweekly Payroll 02118/04 February Interest Payment on 2000 Series A & B Certificates of Participation H~\dept\fin\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Claims Paid Report -022904.xls tln121onc Page 7 of 7 EXHIBITS 3/12/2004 BOARD OF DIRECTORS Meet ing Date To Bel. of Dir. 3/24/04 AGENDA REPORT Item Number Item Nu mber 9.a. Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Bob Chenowith , Senior Engineering Associate SUBJECT: PROPOSED ANNEXATION NO . OCSD-41 -BOTTGER ANNEXATION GENERAL MANAGER'S RECOMMENDATION (1) Receive and file petition requesting annexation of 1.09 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 04-06, authorizing initiation of proceedings to annex said territory to OCSD (Proposed Annexation No . OCSD-41 -Bottger Annexation). SUMMARY • OCSD received a request from Eduardo Bottger to annex 1.09 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 lot has an existing four bedroom home on the property. • The City of Orange will collect the sewer inspection and sewer capacity fees for this property. 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 $6,659.15 includes the following: LAFCO Processing Fee OCSD Processing Fee State Board of Equalization Processing Fee CA Environmental Quality Act Filing Fee OCSD Annexation Acreage Fee TOTAL ANNEXATION FEE $1 ,150.00 500 .00 350 .00 43.00 $ 4,616.15 $ 6,659.15 PRIOR COMMITTEE/BOARD ACTIONS N/A BUDGET IMPACT D This item has been budgeted . (Line item : ) D This item has been budgeted , but there are insufficient funds. D This item has not been budgeted . 1:8] Not applicable (information item) ADDITIONAL INFORMATION N/A ALTERNATIVES N/A CEQA FINDINGS Notice of Exemption will be filed . ATTACHMENTS Map and Legal Description RLC :sa H:ldepllagenda\Board Agenda Aeports\2004 Board Agenda Aeports\0304\llem 9(a) BottgerAnnexa1ion .doc Revised: 6120/01 Page 2 EXHIBIT "A" OCSD-xx Bottger Annexation No. DA 04-xx 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 Lot 43, and a portion of Lot B (Meads Avenue) of Tract No. 918, as shown 6 on a map thereof filed in Book 28, Pages 41through43, inclusive, of Miscellaneous Maps, in the Office 7 of the County Recorder of said County, more particularly described as follows: 8 Commencing at the Orange County Horizontal Control Station GPS No. 3224Rl, having a 9 coordinate value (U.S. Survey foot) ofNorth 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. 32244Rl is shown on the Monument Record for GPS No. 32244Rl 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, 50.00 feet wide, as shown on said Tract No. 918; 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 26 -1- 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19 20 21 EXHIBIT "A" OCSD-xx Bottger Annexation No. DA 04-xx to the Orange County Sanitation District Thence, tangent from said curve North 59°12'26" West, 97.04 feet to the beginning of a tangent curve concave southwesterly and having a radius of 800.00 feet; thence, northwesterly 278.18 feet along said curve through a central angle of 19°55'24"; Thence, tangent from said curve North 79°08'1l"West,239.50 feet to a point on the northerly prolongation of the easterly line of the land described in a deed to Eduardo Bottger and Peggy A. Bottger, recorded April 8, 2003 as Instrument No. 2003000384346 of Official Records of said County, said line also being the northerly prolongation of the easterly line of Lot 43 of said Tract No. 918, said point being the True Point of Beginning; Thence, leaving the centerline of Meads Avenue and continuing along said northerly prolongation and the boundary lines of said land the following courses; South 11°12'02" West, 454.50 feet; Thence, North 75°09'26" West 102.00 feet; Thence, North 10°45'59" East, 447.42' along the westerly line of said deed land and its northerly prolongation to a point on said centerline of Meads A venue, distant North 79°08' 11" West, 105 .19 feet from the southeasterly terminus of that certain course shown as "N79"25'15"W 239.45"' on said Tract No. 918; Thence, continuing along the centerline of Meads A venue~ South 79°08' 11" East! 105 .19 feet to the True Point of Beginning. The above-described parcel of land contains 1.072 acres, more or less. 22 All as shown on Exhibit "B" attached hereto and by this reference, made a part thereof. 23 24 Unless otherwise noted, all distances are ground and are based upon the California Coordinate System 25 (CCS 83), Zone VI, 1983 NAD (1991.35 EPOCH OCS OPS Adjustment). To obtain grid distances, 26 multiply the ground distances by 0.99996999. -2- IL EXHIBIT "A" OCSD-xx Bottger Annexation No. DA 04-xx 2 to the Orange County Sanitation District 3 4 5 6 7 11 This document was prepared by me or 8 11 under my direction and supervision. 9 1 o 11 Dated this _ day of , 2004 11 12 13 II Wanda Fae Bale L.S. 7695 14 II My license expires 12-31-04 15 16 11 This document does meet the approval of 17 11 the Orange County Surveyor's Office. 18 11 John Canas, County Surveyor 19 20 11 Dated this _day of , 2004 21 22 23 11 Per: Michael K. Sullivan, Deputy County Surveyor 24 11 L.S. 6254, My license expires 6-30-06 -3- EXHIBIT "B" OCSD-XX BOTTGER ANNEXATION No. DA 04-XX TO THE ORANGE COUNTY SANITATION DISTRICT POC OPS NO, 322'4RI N 2238922. 284 E 59qs13q,547 SHEET t OF 1 A TRACT No. 918 t.t4.ESS OTHERWISE NOTED• ALL DISTANCES ON THIS HAP ARE GRO\JNO ANO ARE 9ASED uPON THE CALIFORNIA C~DJNATE SYSTEH CCCS83J. ZONE VI. 1q93 NAO C 1qq1,35 EPOCH CCS OPS ADJUSTMENT f. ~ 100· 0' 50' 100· H -.-d I I GRAPHIC SCALE 1· ·100' NOTES: ~.P.N, 09J-<IC2-14 ~.- TMIS Pt.RCtt or l.t.HO CONTI.INS ...: ~ t.07 .t.C~£5. MO~E OR LESS. : ,.; ~ .w ... ~.'" . .,, .,, ..., ... • co 0"' i~ II) .... li15.0g•26 .. ,, to2.oo· SURVEYOR'S STATEMENT 1HIS ~ROPOS~l WAS PREPA1i£0 SY ME OR UNDER MY DIRECTION. 1''J.1~0.A rAE e.t..LE· t.S. 7695 Vt LICCN5C EXPl~ES 12/l\12004 s19·oa·, 1 ·c ros. r9• UNINCORPORATED TO OBTAIN GRID DISTANCE. MULTIPLY OROUNO DISTANCE BY e,qqqqsqqq 56 42 M.M 28/41-43 LE GENO 41 f+~ ~bJ' c I RECORIO PER AOJOl~llNG Afof.lEXATICN -f J,:. TERRITORY ~~ CC » REtOf.bO PER INST. tlO, 2993900384346 O.R. ANNEXATION BOUNDARY \ \ \ \ \ \ ElCJSTIN•G ORANGE COUNTY SANITATION <llSlRICT CO.c.S.O. > BOUNDARY. • IHOJCATES OCS HORIZONTAi. CONTROL STATION AS FILED IN THE OFFICE OF THE OAAHGE COUNTY SURVEYOR. COUNlY SURVEYOR'S STATEMENT THIS P!qOPOSAL DOES MEET THE APROVAL Of' THE onAkG£ COUNTY SURVEYORS OFFICE. DATED THIS ---OAY OF 2004. JOHN C~NAS. COUNTY SUR~EYOR BY: ~JCHAEL K. SULllVAN. DEPUTY COUNTY SURVEYOR L.S. 6254, MY LICF.N5E EXPIRES 6/30/2006 ~ I- Q > . -J •MI co I~" ~ .Cl), ~ ~=~' ~ ,., 1.:1 • ' z.: ~-~ .. a: ~= 0 &~,, """' fX I, "' " 1".f· ~l .... ~ Jt'~ !ct ~~ i'.'~'q' ~:t ,.,..s'.o!- ~J tG • 66 ~ z < a: 0 u.. 0 ~,----- 40' . .... " • ~o· s~ ,~~ ~~ • ~~ t .:_sv. s. jk ~ I /! ~~ ~ ~ ~~ ~ ~~? t. A. >-) f ~~;~ !:: I d°~"f u ~~.o!-.1.t~J "-~CJ .... ~ ., RESOLUTION NO. OCSD 04-06 AUTHORIZING INITIATION OF PROCEEDINGS AND FILING OF APPLICATION TO LAFCO RE ANNEXATION OF TERRITORY TO ORANGE COUNTY SANITATION DISTRICT (ANNEXATION NO. OCSD-41 -BOTTGER ANNEXATION) A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT, AUTHORIZING INITIATION OF PROCEEDINGS AND REQUESTING THE ORANGE COUNTY LOCAL AGENCY FORMATION COMMISSION TO TAKE PROCEEDINGS FOR ANNEXATION TO THE DISTRICT OF TERRITORY KNOWN AS ANNEXATION NO. OCSD-41 - BOTTGER ANNEXATION The Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. That proceedings are hereby authorized to be initiated by Orange County Sanitation District, and the Orange County Local Agency Formation Commission is hereby requested to take proceedings for the annexation of territory designated as "Annexation No. OCSD-41 -Bottger Annexation to Orange County Sanitation District", the boundaries of which are more particularly described and delineated on Exhibits "A" and "B", attached hereto and by reference made a part of this Resolution, according to the terms and conditions hereinafter set forth in this Resolution in the manner provided by the Cortese-Knox Local Government Reorganization Act of 1985; and, Section 2. That this proposal is made pursuant to the Cortese-Knox Local Government Reorganization Act of 1985, Division 3, commencing with Section 56000 of the California Government Code; and, Section 3. That this application is for the purpose of annexing approximately 1.09 acres of territory to the District in the vicinity of Meads Avenue and Orange Park Boulevard, in an unincorporated area of Orange County, to provide sanitary sewer service to said territory, as requested by Eduardo Bottger, owner of said property, which said service is not now provided by any public agency; and, 1 Section 4. That the territory to be annexed is uninhabited; and, Section 5. That this proposal is consistent with the adopted sphere of influence of the District; and, Section 6. That proposed Annexation No. OCSD-41 shall be subject to the condition that all fees required to be paid to the District must be satisfied prior to completion of the annexation proceedings; and, Section 7. That the District hereby agrees, pursuant to Section 99.1 of the Revenue and Taxation Code, to waive its ad valorem property tax allocation exchange with other affected taxing agencies. PASSED AND ADOPTED at a regular meeting held March 24, 2004. Chair ATTEST: Board Secretary 2 ·. BOARD OF DIRECTORS Meeting Date To Bel. of Dir. 03/24/04 AGENDA REPORT Item Number Item Number Orang e County Sanitation D1stnct FROM: David Ludwin , Director of Engineering Originator: Adam Nazaroff, Associate Engineer Ill SUBJECT: LICENSE AGREEMENT FOR THE COUNTY OF ORANGE TO MAINTAIN AND OPERATE AN URBAN RUNOFF DIVERSION PUMP STATION AT RECLAMATION PLANT NO. 1 GENERAL MANAGER'S RECOMMENDATION 9.b. Authorize the Orange County San itation District General Manager to enter into an agreement with the County of Orange for the operation of an urban runoff diversion pump station at Orange County Sanitation District's Reclamation Plant No . 1 , in a form approved by General Counsel. SUMMARY • Due to the summer of 1999 Huntington Beach closures , a series of phased investigations were conducted . It was concluded that the evidence showed that urban runoff flowing onto the Huntington State and City Beaches, through the Talbert Channel and the Santa Ana River, contributed to the shoreline contamination. • As part of a regional solution to reduce the public health and economic impacts associated w it h urban runoff, the Orange County Sanitation District (OCSD) agreed to treat urban runoff from existing stormwater/urban runoff conveyance systems owned and operated by the following agencies: City of Huntington Beach , City of Newport Beach , Irvine Ranch Water District , and the County of Orange (County). Located within the lower Santa Ana River Watershed , these conveyance systems were retrofitted with equipment designed to convey urban runoff into OCSD's sanitary sewer system for treatment , but only during non-storm events (dry weather). Currently , OCSD receives a flow range of 0 .7 MGD to 2 .6 MGD of urban runoff from 16 diversion systems . • The County owns and operates four diversion systems. One of them is a newly constructed diversion system and pump station located at the northern end of Reclamation Plant No . 1 treatment facility . This particular diversion system is designed to capture dry weather urban runoff from the Santa Ana River and discharge it into OCSD's Sunflower Trunk line . H:ldepllagenda\Board Agenda Reports\2004 Board Agenda Reports\0304\llem 9(b) PFRD Pump Sl alion license agreementdoc Revised: 06/04/03 Page 1 • The proposed license agreement contains the following provisions: To allow the County to maintain and operate the urban runoff diversion (Project) within OCSD's property. The County shall indemnify OCSD from any and all claims , damages , demands , and penalties arising out of the County's construction, operation, and maintenance of the Project. The County shall reimburse OCSD for all costs or expenses incurred by OCSD in responding to any situations in which the discharge from the pump station to OCSD's system should be terminated or otherwise limited. The County shall be responsible for all operation and maintenance costs of any kind associated with the Project. The County and any of its contractors working on the Project or at the Project site shall maintain policies of public liability insurance. The County shall ensure that all discharges of any kind from the pump station and related facilities to OCSD facilities shall occur in compliance with OCSD's urban runoff policy and the dry weather urban runoff wastewater discharge permit issued by OCSD to the County. The County will further agree to the terms and conditions of the Agreement for Dry Weather Urban Runoff Discharge e xe cuted September 25 , 2001. PRIOR COMMITTEE/BOARD ACTIONS Resolution number OCSD 01-07 : A resolution of the Board of Directors of OCSD, establishing dry weather urban runoff policy. On September 25 , 2001 : Agree ment for Dry Weather Urban Runoff Discharge D01-105 executed PROJECT/CONTRACT COST SUMMARY There are no costs to OCSD. The pump station will be maintained and operated by the County. BUDGET IMPACT D This item has been budgeted. (Line item: ) D This item has been budgeted , but there are insufficient funds. D This item has not been budgeted . IZ! Not applicable (information item) H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0304\ltem 9(b) PFRD Pump Station license agreement.doc Revised: 06/04/03 Page 2 1 ADDITIONAL INFORMATION None ALTERNATIVES None CEQA FINDINGS Per the License Agreement, the County will be responsible for compliance with CEQA and all applicable environmental laws. ATTACHMENTS None AN:sa H:\ntglobal\Agenda Draft Reports\Joint Boards\Agenda Report for PFRD Pump Station at P1 .doc H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0304\ltem 9(b) PFRD Pump Station license agreement.doc Revised: 06/04/03 Page3 DRAFT MINUTES OF STEERING COMMITTEE MEETING Wednesday, February 25, 2004 A meeting of the Steering Committee of the Orange County Sanitation District was held on Wednesday, February 25, 2004 at 5 p.m., in the Districfs Administrative Office. (1) The roll was called and a quorum declared present, as follows: STEERING COMMITTEE MEMBERS: Directors Present: Shirley McCracken, Chair Steve Anderson, Vice Chair Jim Ferryman, Chairman, OMTS Committee Brian Donahue, Chairman, PDC Committee Brian Brady, Chairman, FAHR Committee Jim Silva, County Supervisor Norm Eckenrode, Past Board Chair John Collins, Guest Roy Moore, Guest Directors Absent: None (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. OTHERS PRESENT: Thomas L. Woodruff, General Counsel Don Hughes Ana Burkhart Doug Stack John Hogan STAFF PRESENT: Blake Anderson, General Manager Bob Ghirelli, Director of Technical Services David Ludwin, Director of Engineering Gary Streed, Director of Finance/Treasurer Lisa Tomko, Director of Human Resources Jean Tappan, Committee Secretary (4) RECEIVE, FILE AND APPROVE MINUTES OF PREVIOUS MEETING The minutes of the January 28, 2003 Steering Committee meeting were approved as drafted. \ .-.. Minutes of the Steering Committee Page2 February 25, 2004 (5) REPORT OF THE COMMITTEE CHAIR Committee Chair Shirley McCracken reported that she was happy to be back and thanked Steve Anderson for acting as Chair pro tern in her absence. Chair McCracken reported that the Legislative Affairs Committee continues to meet. She announced that Director Tod Ridgeway was in Washington, DC, where he attended the Orange County water community's annual luncheon with our representatives and their staff members today representing the Sanitation District. This is an opportunity for Orange County water agencies to talk about the broad water quality and water supply issues that are important to us. The Steering Committee is evaluating our existing policies regarding Directors' business expense reimbursement, travel reimbursement and meeting compensation. Directors Anderson and Brian Brady are operating as a sub-committee of the Steering Committee. The Committee took a preliminary look at the new draft policy and agreed to put consideration on hold awaiting the outcome of the Ortiz bill in Sacramento. (6) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson reported that a complaint has been filed against our biosolids operation in Nevada. Staff is meeting with Senator Reid's office on this issue. He also provided an update on in-county biosolids alternatives and the ocean discharge permit process. Bob Ghirelli, David Ludwin, Bob Ooten, General Counsel and several other staff members met with EPA and the Regional Board in San Francisco Tuesday, February 24. They reported that things went well and that we expect terms and conditions that will meet our needs. A draft permit is expected in March. Mr. Anderson also reported on the on-going negotiations with SAWPA. While there has been some forward progress, there are still disagreements about how much capacity SAWPA currently owns in our outfall and four other issues. It appears that the Legislative Analysts Office in Sacramento is recommending that a portion of special district property tax revenues be transferred to each of the County Board of Supervisors for discretionary distribution. Gary Streed, Director of Finance, reported that debt service is pledged against revenue and may be protected. The Steering Committee directed staff to wait and see what develops after the election, review our options and report back to the Committee. (7) REPORT OF GENERAL COUNSEL General Counsel Tom Woodruff reported that the CA Supreme Court denied Crow-Winthrop's petition and the case is closed. \ Minutes of the Steering Committee Page3 February 25, 2004 (8) DISCUSSION ITEMS (Items A-D) A. Revisions to Delegation of Authority Resolution Gary Streed reviewed the proposed changes and said that these would be taken to the OMTS and PDC Committees as information items. The FAHR Committee and Board will be asked to approve them in March. B. Carbon Canyon Trunk Sewer and Pump Station Abandonment Jim Herberg provided a report on the proposed development north of Brea in both Los Angeles and Orange Counties and outlined the alternatives for sewering them. Staff brought this issue to the attention of the Steering Committee because of the controversial nature of the project related to the development in the Brea and La Habra Hills. Directors Roy Moore and John Collins were asked to attend the meeting because the project has expanded service area implications that are important to their cities. City of Brea representatives Doug Stack and John Hogan provided background information. The Rowland Water District would be the local sewering agency. The main issue is whether to include in the EIR the alternative to size the new Carbon Canyon Trunk Sewer larger than needed to serve the entire area. Staff was given information direction to move the EIR forward, including an evaluation of pipe sizing that will and will not accommodate future development. Chair McCracken assigned Roy Moore, Brian Donahue and Steve Anderson to an ad hoc committee to advise staff on the overall issues and to provide input to the Steering Committee. C. The Agenda Items scheduled to be reviewed by the Board's working committees in March were reviewed. D. The agenda items scheduled to be presented to the Board at tonight's meeting were reviewed. Additional information was provided on Agenda Item 13.(1), a non-consent PDC Committee item regarding the PSA with Black and Veatch and the procedures for issuing task orders. (9) OTHER BUSINESS, COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY Chair McCracken announced that a supplemental agenda item has been added to tonight's agenda. This is the report from the NWRI Blue Ribbon Panel on their findings on the asset management strategic plan, which the Steering Committee considered at it's January meeting. (10) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. Minutes of the Steering Committee Page4 February 25, 2004 (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, March 24, 2004 at 5 p.m. The next Board Meeting is scheduled for Wednesday, March 24, 2004 at 7 p.m. There will also be a special Directors Workshop on the CIP on March 31 at 5 p.m. (13} CLOSED SESSION The Committee convened at 6:38 p.m. in Closed Session, pursuant to Sections 54956.9 and 54957.6, to discuss two issues. 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 6:55 p.m., the Committee reconvened in regular session. (14) ADJOURNMENT The Chair declared the meeting adjourned at 6:55 p.m. H:\dept\agenda\Sleering Committee\04\Feb\022504 SC Minutes.doc MINUTES OF THE OPERATIONS, MAINTENANCE AND TECHNICAL SERVICES COMMITTEE Orange County Sanitation District Wednesday, March 3, 2004 -5:00 P.M. A meeting of the Operations, Maintenance and Technical Services Committee of the Orange County Sanitation District (OCSD) was held on March 3, 2004, in the District's Administrative Office. (1) ROLL CALL The roll was called and a quorum declared present, as follows: OMTS Directors Present: James M. Ferryman, Chair Anna Piercy, Vice Chair Don Bankhead Carolyn Cavecche Cathy Green Tony Kawashima Tod Ridgeway Paul Walker Shirley McCracken, Board Chair Steve Anderson, Board Vice Chair OMTS Directors Absent: Staff Present: Blake Anderson, General Manager Bob Ghirelli, Director of Technical Services Bob Ooten, Director of Operations & Maintenance Patrick Miles, Director of Information Technology Pinky Lopez, Acting Committee Secretary Layne Baroldi, Legal & Regulatory Affairs Liaison Marc Dubois, Contracts/Purchasing Manager Mike Moore, ECM Manager Jim Burror, Senior Engineer Others: Doug Peterson Don Greek Liz Ostoich Charles Egigian-Nichols (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were none. (4) REPORT OF THE COMMITTEE CHAIR The Committee Chair reported the outcome of his trip to Washington, D.C. with Director Jim Silva on February 3-5 to meet with the Orange County Congressional delegation. Director Tod Ridgeway represented OCSD at a meeting of water and sanitation officials and the delegation on February 25 in Washington, D.C. During these trips, the directors met with the delegation to push for $10 million in federal aid to help pay for the secondary treatment facilities. Minutes of the Operations, Maintenance and Technical Services Committee Page2 March 3, 2004 (5) REPORT OF THE GENERAL MANAGER The General Manager attended the 3rc1 Orange County Leadership Symposium in Arrowhead, CA on January 30, 2004. The discussion included issues on water, wastewater, education, transportation, etc., facing Orange County. An all day meeting will be held on April 30, 2004. The idea is to meet on a regular/quarterly basis to further discuss these issues and develop methods/arrangements between various cities on dealing with such issues. Several OCSD Directors also attended the symposium. (6) CONSENT CALENDAR ITEMS a. The minutes of the February 4, 2003 Operations, Maintenance and Technical Services Committee meeting were approved as drafted and ordered filed. b. OMTS04-08 Receive and file Technical Services Monthly Report, which focuses on regulatory, biosolids and performance, measures for the Technical Services Department. c. OMTS04-09 Receive and file Operations & Maintenance Monthly Report, which Motion: focuses on compliance, financial data and performance measures for the Operations and Maintenance Department. Moved, seconded and duly carried to approve the recommended actions for items specified as 6(a) through (c) under Consent Calendar. (7) ACTION ITEMS There are no action items. (8) INFORMATIONAL ITEMS a. OMTS04-10 Biosolids Management Option Implementation Plan Bob Ghirelli gave a brief introduction on what prompted the Biosolids Management Option Implementation Plan. Staff is seeking the OMTS Committee's direction regarding the process to utilize in the implementation of the Long-Range Biosolids Management Plan recommendations. Layne Baroldi presented the options and analysis of potential biosolids treatment technologies and markets for biosolids derived products, an analysis of treatment plant processes to reduce overall biosolids handling and treatment costs, and a long range implementation strategy. Staff responded to the Directors' concerns regarding current regulations ·1 .,, Minutes of the Operations, Maintenance and Technical Services Committee Page3 March 3, 2004 as well as future potential problems and issues in sourcing process. The Directors requested itemized projected costs of biosolids handling for each site. Staff will present the proposal on this subject at the April OMTS meeting. b) OMTS04-11 Purchasing Resolution and Delegation of Authority Marc Dubois presented the major changes proposed in the Purchasing Resolution and Delegation of Authority. The major changes proposed are summarized in the four-page table entitled, "Comparison of Current and Proposed Purchasing Resolution", pages 3 and 4. An updated copy of this document was distributed at the meeting. Changes in authority levels are restricted to the capital improvement process. These changes will streamline the approval process and will bring the authority levels into line with other procurements. (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 reported that the recent storm brought in high flows especially during the night but it was not significant enough to affect the peak flow level. Corrections were made to the published O&M Department Monthly Report -February 2004. The titles of charts and graphs were labeled incorrectly. A list of the correct titles was presented and made available at the meeting. (11) REPORT OF DIRECTOR OF TECHNICAL SERVICES The Director of Technical Services reported that OCSD just received a $250,000 grant from the State Water Board for the Fats, Oil and Grease (FOG) program. Use of this grant will be coordinated with the Steering Committee. The Director also reported that the negotiations on the Consent Decree related to the Ocean Discharge Permit are underway with the EPA and the State. A meeting was held last week in San Francisco to redo a draft of the Consent Decree. Meantime, the EPA is drafting the permits which should be ready by the end of March. The Ground Water Replenishment System (GWRS) permit issued by the State is scheduled to go before the Regional Water Quality Control Board on March 12, 2004 during their regular monthly meeting. Minutes of the Operations, Maintenance and Technical Services Committee Page4 March 3, 2004 (12) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY 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 MEETING DATES The next Operations, Maintenance and Technical Services Committee meeting is scheduled for April 7, 2004 at 5 p.m. (15) CLOSED SESSION There was no closed session. (16) ADJOURNMENT The Chair declared the meeting adjourned at 6:37 p.m. Submitted by: Pinky E. Lopez Operations, Maintenance and Technical Services Acting Committee Secretary H:\dept\agenda\OMTS\2004\0304\030304 OMTS Minutes.doc -· "! DRAFT MINUTES OF PLANNING. DESIGN. AND CONSTRUCTION COMMITTEE MEETING Orange County Sanitation District Thursday, March 4, 2004, at 5 p.m. A meeting of the Planning, Design, and Construction Committee of the Orange County Sanitation District was held on Thursday, March 4, 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: Directors Present: Brian Donahue, Chair Alice Jempsa, Vice Chair Patty Campbell John Collins Norm Eckenrode Patsy Marshall Shirley McCracken, Board Chair Steve Anderson, Board Vice Chair Directors Absent: Alberta Christy Beth Krom (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR STAFF PRESENT: David Ludwin, Director of Engineering John Linder, Construction Manager Jim Herberg, Engineering Manager Matt Smith, Engineering Manager Marc Dubois, Purchasing Manager Chris Cervellone, Construction Supervisor Olga Cervantes, Principal Contracts Administrator Jennifer Cabral, Public Information Specialist Gail Cain, Acting Committee Secretary OTHERS PRESENT: Jag Salgaonkar, CH2M Hill Jim Clark, Black & Veatch Jeff Lauria, Malcolm Pirnie Jeff Heden, Dudek & Associates Committee Chair, Brian Donahue, acknowledged the Engineering Capital Improvement Program, 2"d Quarter (Oct-Dec 2003) Progress Reports handed out at the meeting. David Ludwin, Director of Engineering, advised these will be provided quarterly. PDC Committee Minutes Page2 March 4, 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 PDC Committee meeting would be held on Thursday, April 8, rather than April 1 . He introduced Jennifer Cabral, Public Information Specialist, who reported on the Community Outreach activities on some of the construction projects. She reported on the following three items: a. Tustin Community Meeting This meeting was held on February 26 and was the first of three community meetings in the City of Tustin. The 26 attendees had the opportunity to ask questions. Those questions included the length of time we would be in their area, traffic impacts, where equipment would be left overnight, and if they could connect to the sewer at this time. b. Connection Fee Letter The Communications and Engineering Departments are in the process of developing a letter that will be mailed to Tustin residents along the construction alignment that will announce that the connection fees are increasing April 1. c. Bushard Ms. Cabral advised that they had recently met with Mayor Cathy Green and Council member Connie Boardman regarding some complaints on the Bushard project. They are currently in the process of developing procedures to respond to damage complaints in a timely and responsive manner. (7) REPORT OF GENERAL COUNSEL General Counsel was not present. (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: '' PDC Committee Minutes Pages March 4, 2004 I. PDC04-17 Recommend to the Board of Directors to (1) Approve time extensions to Cooperative Projects Program contracts with the following cities: Brea (CP-0101 ), Garden Grove (CP-0206), Huntington Beach (CP-0124 ), Orange (CP-0129 and CP-0130), and Sunset Beach Sanitary District (CP-0213); and (2) Approve additional funding for the FY 2003-04 Cooperative Projects Program in the amount $1,365,000, increasing the total FY 2003-04 funding to $1,540,000 and the total program since inception to an amount notto exceed $18,751,736. Motion: Director Collins expressed his concern that these proposals were not solicited by OCSD, and that there may have been better projects than the four selected. It was indicated that these projects were recommended for approval based on their own merit and that staff would solicit for additional projects this fall. John Collins abstained from voting on this item. MOVED, SECONDED, AND DULY CARRIED to approve the recommended action. (9) INFORMATIONAL ITEM (Item a) a. PDC04-18 Purchasing Resolution and Delegation of Authority Marc Dubois, Purchasing Manager, reported on the proposed Delegation of Authority and handed out a comparison document demonstrating the proposed changes to the new Purchasing Resolution. Director Marshall proposed some improvements to the new document. Those items were reviewed and discussed. The revised document will be presented to the March FAHR Committee for action. (10) ACTION ITEMS (Items a-j) a. PDC04-19 MOVED, SECONDED, AND DULY CARRIED TO: (1) Approve plans and specifications for Tenant Improvements to Rebuild Shop at Plant No. 1, Job No. J-89; (2) Approve Addendum Nos. 1 and 2 to the plans and specifications; (3) Receive and file bid tabulation; and (4) Award a construction contract to Dalke and Sons Construction, Inc., for an amount not to exceed $112,890. This is for PDC approval per Delegation of Authority by Board Resolution No. OCSD 99-23. b. PDC04-20 MOVED, SECONDED, AND DULY CARRIED TO: (1) Approve plans and specifications for EOC Control Center and Central Lab Office Modifications, Job No. SP2001-08; (2) Receive and file bid tabulation; and (3) Award a construction contract to Akraa Construction for EOC Control Center and Central Lab Office Modifications, Job No. SP2001-08, for an amount not to exceed $110,000. This is for PDC approval per Delegation of Authority by Board Resolution No. OCSD 99-23. PDC Committee Minutes Page6 March 4, 2004 c. PDC04-21 Director Collins asked that it be clarified the EOC Control Center and Central Lab Office Modifications are at Plant No. 1. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Professional Services Agreement with Malcolm Pirnie providing for engineering services for Primary Treatment Rehabilitation and Refurbishment at Plant No. 2, Job No. P2-80, for an amount not to exceed $5,778,518. Director Eckenrode asked if the odor control projects would be coordinated. Jim Herberg indicated that the Odor Controls Master Plan called for different odor control technologies for different parts of the plant. The different odor control projects are being coordinated in the CIP. d. PDC04-22 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Professional Services Agreement with Tetra Design, Inc. providing for engineering services for Laboratory Rehabilitation in Plant No. 1, Job No. J-88, for an amount not to exceed $65,655. e. PDC04-23 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Professional Services Agreement with Spec Services, Inc. for engineering services for Gisler-Redhill Trunk Sewer Relocation -Phase 1, Contract No. 7-32-1, for an amount not to exceed $102,591. f. PDC04-24 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Professional Services Agreement with RBF Consulting for engineering services for Lemon Heights Subtrunk Street Rehabilitation, Contract No. 7-22-1, Tustin Trunk Improvements, Contract No. 7-38, and West Trunk Improvements, Contract No. 7-40, for an amount not to exceed $253,578. g. h. The staff evaluation of proposals, attachment 3 to the Agenda Report, was inadvertently left out of the PDC package and was handed out for information. PDC04-25 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Professional Services Agreement with HOR Engineering, Inc. providing for professional services for Supplemental Secondary Treatment CEQA Documentation, Job No. J-40-10, for an amount not to exceed $125,840. PDC04-26 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Amendment No. 2 to the Professional Services Agreement with CH2M Hill, Inc., providing for engineering services for the Effluent Pathogen Reduction Alternatives Plan, Job No. J-40-6, for an additional amount of $59,923, increasing the total amount not to exceed $393,904. \.- \"' PDC Committee Minutes Page? March 4, 2004 Jim Herberg advised that the work will be completed in April and a presentation will be made to the PDC Committee in June on the findings of the study. i. PDC04-27 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Amendment No. 4 to the Professional Services Agreement with Tran Consulting Engineers for Sunflower Interceptor Manhole Rehabilitation, Contract No. 7-21, providing for additional design and construction support services for an additional amount of $152,093, increasing the total amount not to exceed $518,608. j. PDC04-28 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to approve Amendment No. 5 to the Professional Services Agreement with Cathcart Garcia von Langen for Plant Utilities Rehabilitation and Refurbishment, Job No. P2-82, providing for additional design and construction support services for an additional amount of $125,820, increasing the total amount not to exceed $754,246. (11) CLOSED SESSION There was no closed session. (12) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY It was reported that the Metropolitan Water District has selected the Groundwater Replenishment System to receive the local resources program subsidy. The item is on the MWD Board Agenda for March 9th. The subsidy amounts to $3.75M annually. (13) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. (14) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. (15) FUTURE MEETINGS DATES The next Planning, Design, and Construction Committee Meeting is scheduled for Thursday, April 8, 2004, at 3:30 p.m. Dinner will not be provided. PDC Committee Minutes Page8 March 4, 2004 (16) ADJOURNMENT The Chair declared the meeting adjourned at 7 p.m. Submitted by: ail Cain Acting PDC Committee Secretary H:\depl\agenda\PDC\2004\Minutes\030404 Draft POC Minutes.doc / ~I , I r· I / PDC COMMITIEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Dean Fisher, Senior Engineer Meeting Date 03/04/04 Item Number PDC04-12 SUBJECT: PRIMARY CLARIFIERS 16-31 AND RELATED FACILITIES , JOB NO . P1-37 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 03/24/04 Item Nu mber 13.b. Ratify Change Order No. 13 to Primary Clarifiers 16-31 and Related Facilities , Job No. P1-37 , with Margate Construction, authorizing an addition of $784 , increasing the total contract amount to $71,241 ,988. 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 Caldw el l prepared the plans and specifications and the contract was awarded to Margate Construction on October 24, 2001. • This change order includes s ix items of add itional work, and one item of deleted work. There is one error and three omissions associated with this change order. There is no time extension associated with this change order. Liql1idated damnges on this project are $3,000 per day and there are no bonus provisions. Contract Schedule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date Actual Completion Date Days Subject to Liquidated Damages January 7 , 2002 November 7, 2005 13 April 8, 2006 N/A 0 Page 1 Change Order Content Item No. Description Amount Days Type 1 Grade Beam Demolition 3,186 0 Changed Condition 2 Mechanical Piping Modifications 2,969 0 Om i ssion 3 Launder Support Modifications 12,717 0 Omission 4 Gate Frame Modifications 1,000 0 Change Condition 5 Waterproof Coating Deletion (48 ,000) 0 Design Change 6 Scum Air Sprayer Supports 15,487 0 Error/Design Change 7 Pilot Coagulant Facility Power 13,425 0 Omission Total Change Order $784 0 A portion of Item 6 involves a design error and the District will be seeking compensation from the design consultant. Modifications to 128 scum skimmer air sprayer supports were required after their fabrication which involved re-work . Also included in this item is added work involving a design change to provide additiona l couplings and modify other supports not yet fabricated . Job Completion The project is 69% 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 . PROJECTICONTRACTCOSTSUMMARY Orig i nal Contract Price Previously Authorized Changes This Change Change Orders to Date Percentage Increase to Date Amended Contract Price BUDGET IMPACT $ 70 ,366 ,000 $ 875 ,204 $ 784 $ 875,988 1.24 % $ 71 ,241 ,988 r;gJ This item has been budgeted . (Line it em: Section 8 , CIP , P1-37 ) 0 This item has been budgeted , but there are insufficient funds . 0 This item has not been budgeted . 0 Not applicable (information item) Page 2 .. 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 H:\ntglobal\Agenda Draft Reports\PDC\P1-37 AR C0#13 030404.doc Page 3 PROJECT/PHASE Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Design Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Closeout Phase 7 -Contingency PROJECT TOTAL !Reimbursable Costs PROJECT NET Design PSA Construction Contract ORIGINAL AUTHORIZED BUDGET $ $ $ $ $ $ $ $ -$ CURRENT BUDGET INFORMATION TABLE Primary Clarifiers No. 16-31 and Related Facilities Job No. P1-37 PROPOSED PROPOSED FUNDS THIS. PROJECT BUDGET REVISED AUTHORIZED AUTHORIZATION BUDGET INCREASE BUDGET TO DATE REQUEST 77,000 $ 77,000 $ 77,000 315,000 $ 315,000 $ 315,000 4,542,000 $ 4,542,000 $ 4,542,000 77,587,046 $ 784 $ 77,587,830 $ 77,587,046 * $ 784 281,880 $ 281,880 50,000 $ 50,000 5,708,074 $ (784) $ 5,707,290 88,561,000 $ -$ 88,561,000 $ 82,521,046 $ 784 11 $ -$ 88,561,000 $ 88,561,000 $ 82,521,046 $ PSA/Contract $ 5,205,904 $ 5,205,904 $ 5,205,904 $ 71,241,204 $ 784 $ 71,241,988 $ 71,241,204 $ 784 PROPOSED ESTIMATED TOTAL ExPENDITURE TO AUTHORIZATION DATE $ 77,000 $ 76,974 $ 315,000 $ 315,552 $ 4,542,000 $ 4,546,501 $ 77,587,830 $ 52,415, 100 * $ - $ - $ - $ 82,521,830 $ 57,354,127 82,521,830 $ 57,354,127 $ 5,205,904 $ 4,801,300 $ 71,241,988 $ 48,118,000 * Note: Authorized Funds and Expenditures to Date in Phase 4 include Construction Administration and Inspection costs from previous phasing prior to 7/1/03. EDMS\003763074 ESTIMATED EXPENDED TO DATE(%) 100% 100% 100% 68% 70% 70% 92% 68% CHANGE ORDER STATUS REPORT PRIMARY CLARIFIERS 16-31 AND RELATED FACILITIES JOB NO. P1 -37 APPROVAL CONTRACT CONTRACT COST PERCENTAGE ITEM DATE COST TO DATE INCREASE CONTRACT 6/23/1999 $ 70,366,000.00 $ 70,366,000.00 0.00 CO N0.1 12/19/2001 $ -$ 70,366,000.00 0.00 *CO NO. 2 8/1/2002 $ 75,214.00 $ 70,441,214.00 0.11 **CO NO. 3 10/21/2002 $ 48,736.00 $ 70,489,950.00 0.18 CON0.4 12/18/2002 $ 356,059.00 $ 70,846,009.00 0.68 CO NO. 5 2/26/2003 $ 33,527.00 $ 70,879,536.00 0.73 CON0.6 4/23/2003 $ 54,992.00 $ 70,934,528.00 0.81 CO NO. 7 6/25/2003 $ 14,750.00 $ 70,949,278.00 0.83 CO NO. 8 8/27/2003 $ 5,363.00 $ 70,954,641.00 0.84 CON0.9 10/22/2003 $ 187,452.00 $ 71, 142,093.00 1.10 CO N0.10 11/19/2003 $ 56,041.00 $ 71, 198, 134.00 1.18 CO NO. 11 12/4/2003 $ 20,680.00 $ 71,218,814.00 1.21 CO NO. 12 2/25/2004 $ 22,390.00 $ 71,241,204.00 1.24 co·No.:13:·· · :_ · Pending $ '_:734~00 $ 71,241~988.00. .'. ·1.24 * Approved by PDC Committee per delegated authority by Board Resolution 99-23 ** Approved by General Manager per delagated authority by Board Resolution 99-23 EDMS\003763152 . AUTHORIZED AUTHORIZED TIME TIME TO DATE (DAYS) (DAYS) 1400 1400 0 1400 49 1449 0 1449 82 1531 0 1531 21 1552 0 1552 0 1552 0 1552 0 1552 0 1552 0 1552 .. ~.:o .. .. ' . 1552'" . ·'.• _, . ' ~ ( • •,. ' ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page ·1 of 5 Contractor: Margate Construction. Inc. C.O. No.: Thirteen (13) Date: March 24. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell Amount of this Change Order (Add)(Deauct) $784.00 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 -GRADE BEAM DEMOLITION This item provides for the demolition of existing reinforced concrete grade beams below the floor of Primary Clarifiers 6-15 at the intersection of the main gallery and the scum gallery. The plans provided for removal of the concrete floor in this area, but did not show the existence of the grade beams. The demolition in this area is associated with the connection of the new and existing main galleries. The work was accomplished on contractor's force account pursuant to Section 48 (B) 2 of the General Requirements (Reference FCO-P137-036). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 2 -MECHANICAL PIPING MODIFICATIONS $3,186.00 0 Calendar Days This item modifies specified HVAC duct work and moves (2) light fixture locations to avoid conflicts between HVAC duct and piping in the Primary Clarifiers 16-31 Main Gallery. The work adds (6) 24"x24" duct transition pieces. Changes to the light fixture locations occurred prior to installation and did not result in additional costs. This item also provides (4) pipe penetrations in the concrete wall between primary clarifiers 16A and 168, and 17 A and 178 for (2) 2" PVC plant water lines and (2) 3" PVC plant water lines, to eliminate conflict with specified electrical conduits. The costs associated with this Change Order item were negotiated with the Contractor pursuant to Section 48 (8) 1 of the General Requirements (Reference FCO-P137-123, FCO-P137-154). ADDED COST THIS CHANGE ORDER ITEM: $2,969.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2 of 5 Contractor: Margate Construction. Inc. C.O. No.: Thirteen (13) Date: March 24. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell ITEM 3-LAUNDER SUPPORT MODIFICATIONS This item increases the amount of welding on the Primary Clarifiers 16-31 launder support angles at the scum trough connections. The plans did not provide adequate space for the installation of launder support angles. As a result, the angles were moved to a location which required (6) inches more welding for each of the 32 launders than was originally specified. This work is needed for structural support of the launders. The work was accomplished on contractor's force account pursuant to Section 48 (B) 2 of the General Requirements (Reference FCO-P137-129). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 4 -GATE FRAME MODIFICATIONS $12,717.00 0 Calendar Days This item removes a sliver of concrete interfering with the installation of a gate in the existing Primary Clarifiers 16-31 west influent channel. The existing concrete channel is slightly more narrow than shown on the plans. Connecting to the existing channel required an unplanned 16 foot slight transition to the new channel section. Portions of concrete transition interfered with the new slide gate installation. The work was accomplished on contractor's force account pursuant to Section 48 (8) 2 of the General Requirements (Reference FCO-P137-135). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 5-WATERPROOF COATING DELETION $1,000.00 O Calendar Days This item provides credit to delete 51, 115 square feet of waterproof coating specified in Section 07100 3.01.A. These coatings were specified on the interior of concrete walls of the clarifiers which separate process water from operational areas. The coatings were originally specified by the designer in order to prevent water leakage. However, the District has not commonly used coatings for these applications, and has not experienced leakage. It was determined that the expense was not warranted, and the coatings were deleted. 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-P137-153). CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $(48,000.00) O Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page.3 of 5 Contractor: Margate Construction. Inc. C.O. No.: Thirteen (13) Date: March 24. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell ITEM 6 -SCUM AIR SPRAYER SUPPORTS This item modifies the specified scum skimmer air sprayer supports of Primary Clarifiers 1-31. The distance between the supports and sf udge removal flights was increased to avoid a conflict between the flights and the supports. Also, 2-inch couplings were added to allow for adjustment of the air spray nozzle angle. This change involves the modification of 224 supports, and the addition of 112 couplings. Many of the modifications to the air sprayer supports involve work after their initial installation. This required disassembly and reassembly not shown on the contract documents. 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-P137-155). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 7 -PILOT COAGULANT FACILITY POWER $15,487.00 0 Calendar Days This item adds a Cutler-Hammer Mini-Power Center at the Pilot Coagulant Facility, a breaker in panel board 11 CDPN002, and 500 feet of power cable from the breaker to the Mini-Power Center. In order to provide the lowest total cost for this facility, the design provided a performance based specification. This allows for the least expensive equipment which satisfies the design requirements. Due to variations in power requirements between the various systems available, the exact electrical requirements for the pilot coagulant facility could not be determined prior to approval of the Contractor's equipment submittal. The plans provided tor a conduit, but it was anticipated that the wiring and control equipment could be more cost effectively specified in construction, after final selection of the pilot coagulant facility equipment. 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-P137-157). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COST THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $13,425.00 0 Calendar Days $784.00 0 Calendar Days Page.4 of 5 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Margate Construction. Inc. C.O. No.: Thirteen {13) Date: March 24. 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: Original Contract Time: Original Completion Date: Time Extension this C.O.: Total Contract Time Extension: Revised Contract Time: Revised Final Completion Due Date: Time Subject to Liquidated Damages: Actual Final Completion Date: January 7, 2002 1,400 Days November 7,2005 O Days 152 Days 1,552 Days April8,2006 N/A NIA Original Contract Price Prev. Authorized Changes This Change (Add) (DedbJct) Amended Contract Price $ 70,366.000.00 $ 875.204.00 $ 784.00 $ 71,241,988.00 .. u ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page·s of 5 Contractor: Margate Construction. Inc. C.O. No.: Thirteen (13) Date: March 24. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell Board Authorization Date: March 24, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Construction Manager Approved by: David A. Ludwin, P.E. Director of Engineering Accepted by: MARGATE CONSTRUCTION Contractor EDMS/003763145 Date Date Date Job No. P1-37 Change Order No . 13 March 2004 I Job No. P1-37 CHANGE ORDER NO . 13 March 2004 Item 1 -Demo Ex isting Grade Beams ,\.. ~ ~ft ,~ 11 ' ~!¢~~,,. ,~, . ~ H~ ~· -----=--., ,,, :i, y I' • I I ........ .J..l' V4 "' L----. -_, 1" I S lu dge Spra ye r Header I • Item 6 -Skum Air Sprayer Supports Coll ection Flight s ~~· ~- i'.J Item 3 -Launder Supports Item 7 -Pilot Coagulant Facility EDMS/003763155 - l PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM : David Lu dwin, Director of Engineering Originator: Larry Rein , Project Manager Me eting Date 03/04/04 I tem Number PDC04 -13 SUBJECT: BUSHARD TRUNK SEWER REHABILITATION , JOB NO. 1-2-4 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 03/24/04 Item Nu mbe r 13.c. Ratify Change Order No. 5 to Bushard Trun k Sewer Rehabilitation , Job t':'.Jo. 1-2-4, with Steve P. Rados , Inc., authorizing an addition of $409,301 , increasing the total contract amount to $31 ,094,779 . SUMMARY Background • Job No. 1-2-4 , Bushard Trunk Sewer Rehabilitation , includes the installation of 21 ,600 linear feet Uust over four miles) of 108-inch reinforced concrete p ipe , 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 O rder No . 5 includes eleven items of add itional wo rk to Job No. 1-2-4 . There are no errors and omissions associated with this change order. There is no time extension associated with this change order. Liquidated damages on th is con t ract are $2 ,000 per calendar day and the bonu s provi sions arc $750 per calendar da y. Cont rac t Sch ed ule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date Actual Completion Date Days Subject to Liquidated Damages September 16, 2002 March 18 , 2004 5 March 21 , 2004 N/A N/A Page 1 Change Order No. 5 Content Item No. Description Amount Days Type 1 21-lnch and 27-l nch City $113 ,853 0 Changed Sewers Alignment Chanqe Condition 2 Handling of Ex isting Utilities $ 30 ,343 0 Changed Condition 3 Fountain Valley Channel $ 30,474 0 Changed Modifications Condition 4 27-lnch Sewer Siphon $ 79 ,012 0 Changed Connection to 78-lnch Condition Miller-Holder 5 48-lnch Storm Drain in $ 20 ,888 0 Changed Indianapolis-Bushard Cond ition Intersection 6 Guard Shack Improvements $ 4,465 0 Des ign Change 7 Installation of 16-lnch and $ 41 ,010 0 Des ign Change 12-lnch Water Valves 8 Resolution to Delay Issues $ 36 ,504 0 Other 9 Phone Lines at Indianapolis-$ 1,649 0 Changed Bushard Condition 10 Corinq of 108-lnch Pipe $ 5 ,871 0 Other 11 Miscellaneous Traffic Devices $ 45 ,232 0 Design Change Total -Change Order No. 5 $409,301 0 Items 1, 2 , 3 , 4 , 5, 7 , 8 , 9 , and 11 involve potential time e xtensi ons to the contract. The impact to t he p roject could not be determ i ned at this t i me. If j ustifi ed , contra ct ti me exte ns ions fo r t hese items wil l be includ e d in a future change order. Item 1 is a realignment of 4200 feet of City sewer pipe to mitigate interference issues. Item 4 involves the connection of a City sewer to the District's 78-inch Miller-Holder Trunk S ewer in a different location than shown on th e drawings to avoi d interfere nce wi th existing ut iliti es. Item 7 cove rs th e installation of three new wate rl in e va lve s pe r C ity directi on for add ed safety during construction around waterlines . Item 11 compensates the Co ntractor for extra cost associated with add iti onal City-requ ired traffi c control work. Job Completi on The contract is now 32% complete . PRIOR COMMITTEE/BOARD ACTIONS The contract was awa rded 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 . Pa ge 2 r t i:>_ PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change Order (CO No. 5, Add) Change Orders to Date Percent Increase to Date Amended Contract Price BUDGET IMPACT $ 30,003,210 $ 682,268 $ 409,301 $ 1,091,569 3.64% $ 31,094,779 ~ 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) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) ADDITIONAL INFORMATION Item 8 represents a negotiated settlement regarding costs associated with two delays. One delay was caused by a major waterline shut-down by the Metropolitan Water District. The other delay originated with a City of Huntington Beach request to postpone the implementation of a new traffic stage until after a holiday. Both items emerged during construction and were not part of the contract. The District and the Contractor negotiated this cost settlement considering additional Contractor expenses only. A potential time extension for this item will be analyzed at a later time after the project's re-sequencing time impact analysis has been approved. 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 H:\ntglobal\Agenda Draft Reports\PDC\1-2-4 AR C0#5 030404.doc Page3 PROJECT/PHASE Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Design Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contingency PROJECT TOTAL !Reimbursable Costs PROJECT NET Design PSA Construction Contract EDMS 003763085 ORIGINAL CURRENT AUTHORIZED PROJECT BUDGET BUDGET $ 7,800 $ 74,000 $ 15,002 $ 9,200 $ 1,051,724 $ 2,690.400 $ 24, 180,051 $ 34,221,668 $ 50,000 $ 30,000 $ 7,548,924 $ 2,317,732 $ 32,803,501 $ 39,393,000 BUDGET INFORMATION TABLE BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4, CO #5 PROPOSED PROPOSED FUNDS THIS BUDGET INCREASE REVISED AUTHORIZED TO AUTHORIZATION /DECREASE BUDGET DATE REQUEST $ 74,000 $ 74,000 $ 9,200 $ 9,200 $ - $ 2,690,400 $ 2,690,400 s 409,301 $ 34,630,969 $ 34,221,668 s 409,301 $ 50,000 $ 30.000 s (409,301) $ 1,908,431 $ -$ 39,393,000 $ 36,995,268 $ 409,301 11 PROPOSED ESTIMATED TOTAL EXPENDITURE AUTHORIZATION TO DATE $ 74,000 $ 73,763 $ 9,200 $ 9,147 $ 2,690,400 $ 2,550,653 $ 34,630,969 $ 11,305,363 $ -$ - $ -$ - $ - $ 37,404,569 $ 13,938,926 $ 32,803,501 $ 39,393,000 $ 39,393,000 $ 36,995,268 s 409,301 $ 37,404,569 $ 13,938,926 PSA/Contract $ 269,900 $ 2,019,411 s -$ 2,019,411 $ 2,019,411 s -$ 2,019,411 $ 1,689,397 $ 21,011,000 $ 30,685,478 $ 409,301 $ 31,094,779 $ 30,685,478 $ 409,301 $ 31,094,779 $ 10,037,178 ESTIMATED EXPENDED TO DATE(%) 100% 99% 95% 33% 37% 37% 84% 32% APPROVAL ITEM DATE CONTRACT Sept. 16, 02 CO N0.1* April 23, 03 CO NO. 2 June 25, 03 CO NO. 3 October 22,03 CONO. 4 February 25,04 CON0.5 Pending CHANGE ORDER STATUS REPORT BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4 -CO #5 CONTRACT CONTRACT COST PERCENTAGE COST TO DATE INCREASE $30,003,210 $30,003,210 $150,000 $30, 153,21 o 0.50% $107,724 $30,260,934 0.86% $44,293 $30,305,227 1.01 o/o $380,251 $30,685,478 2.27% $409,301 $31,094,ne 3.84% *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS:003763084 AUTHORIZED AUTHORIZED TIME TIME TO DATE (DAYS) (DAYS) 550 550 o 550 2 552 1 553 o 553 0 553 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of10 Contractor: Steve P. Rados. Inc. C.0. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Amount of this Change Order (Add)(Deduct) $ 409.301.00 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 -21-INCH AND 27-INCH CITY SEWERS ALIGNMENT CHANGE This item is for additional labor, material and equipment required to modify the alignments of the following proposed City sewers: • 27-inch sewer between sewer stations 42+00 and 69+50 • 21-inch sewer between sewer stations 81+31 and 95+21 The proposed sewers replaced existing City sewer lines that were conflicting with the location of the new Bushard Trunk Sewer (BTS). Per contract, the existing lines had to be removed and replaced with new sewers in a parallel location a distance of approximately six feet to the east. It was found that this distance had to be increased by two feet to mitigate interference issues. Specifically, the 27-inch line interfered with the shoring required to install the BTS, and the 21-inch sewer interfered with an existing oil line. This alignment change moved the trenching operation for the proposed sewers closer to existing sidewalks, curb and gutter, trees and utility poles. This caused damage to the sidewalk, curb and gutter, and impacted Contractor production due to increased proximity of its excavator to the trees and utility poles. Additionally, undisclosed abandoned steel pipes were found in the trench which interfered with the installation of the proposed sewers. The extra work consisted of additional shoring and use of special shields to increase sidewalk, curb and gutter protection, repair and replacement of sidewalk, curb and gutter where required, and removal and disposal of steel pipes. This item pays for the extra cost incurred by the Contractor from March 10, 2003 through October 22, 2003. While the sewer installation is completed, more sidewalk, curb and gutter restoration work has to be done, and the costs associated with this work will be included in a future change order. 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 124-14) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 113, 853.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 2 -HANDLING OF EXISTING UTILITIES This item is for additional labor, material, and equipment required to handle existing utilities that were either undisclosed or incorrectly shown on the drawings. The undisclosed utilities consisted of a 4-inch steel line at station 46+50, phone cables between stations 60+20 and 61+40, a storm drain manhole at station 94+60, and a concrete thrust block on a 36-inch waterline at station 41+70. The incorrectly shown utility was a 12-inch waterline at station 94+67. The actual location of the 12-inch line did not match the City record drawings used for the design of this project. The extra work consisted of additional exploratory excavations for utility locating, additional trench excavating, special shoring, utility and concrete removal and replacement, and repair. 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 124-25) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 30,343.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 3 -FOUNTAIN VALLEY CHANNEL MODIFICATIONS This item is for labor, material, and equipment required for the installation of a bulkhead in the Fountain Valley Flood Control Channel at sewer station 189+00. A county project coordinated the installation of a rubber dam nuisance-flow diversion station in the flood control channel just downstream of the proposed channel/sewer crossing. This diversion station was built after the design for this project was completed, and was therefore not disclosed in the contract. Water backed up from this diversion dam to the proposed sewer/channel crossing. The Contractor had to install and maintain a bulkhead to keep water out of the work area. Additionally, the Contractor was directed to add reinforcement to the concrete encasement of proposed sewer air lines at the sewer/channel crossing. The contract does not require reinforcement, but the protective soil cover over the air lines was less than anticipated due to interfering utilities. With this minimal cover, use of reinforcement became necessary. The extra work consisted of the construction, maintenance, and removal of an impervious concrete-sandbag bulkhead, and the installation of concrete reinforcement. 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 124-29 and 124-34) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 30,474.00 O Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 4of10 Contractor: Steve P. Rados. Inc. C.0. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 4 -27-INCH SEWER SIPHON CONNECTION TO 78-INCH MILLER-HOLDER This item is for labor, material, and equipment required to provide a new manhole to connect a proposed 27-inch City sewer siphon to the existing 78-inch Miller-Holder Trunk Sewer in the Banning- Bushard intersection. The contract required a connection of the 27-inch sewer to the 78-inch Miller- Holder at an existing manhole. During excavation it was found that existing storm drains interfered with this proposed connection because they were found in different locations than shown on the drawings. The 27-inch sewer connection had to be relocated approximately 40 feet to connect to the 78-inch line with no interference. This connection required the construction of a new manhole on the 78-inch Miller- Holder Sewer. The extra work consisted of additional exploratory utility excavations, trench and manhole excavations, installation and removal of a dewatering well system and a beam and plate shoring system, construction of a reinforced manhole structure, sewer bypassing, core-drilling, backfill, compaction, and asphalt replacement. The cost for this item includes credits taken for the portions of the associated contract work that were eliminated. 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 124-30) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 5 -48-INCH STORM DRAIN IN INDIANAPOLIS-BUSHARD INTERSECTION $ 79,012.00 0 Calendar Days This item is for labor, material, and equipment required to remove and replace an existing 48-inch storm drain in the Indianapolis-Bushard intersection at approximate sewer station 120+85. The existing storm drain interfered with the proposed triple 60-inch sewers. The interference was caused by a sag in the existing storm drain that was not shown on the drawings. To provide adequate clearance, about 25 feet of the storm drain had to be removed and replaced at a higher elevation. The extra work consisted of control of nuisance flow in the storm drain by installation of a bypass pipe section, additional lagging and shoring, removal and replacement of the existing storm drain, and additional backfill and compaction. 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 124-32) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 20,888.00 O Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 5of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five {5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 6 -GUARD SHACK IMPROVEMENTS This item is for labor, material, and equipment required to improve the temporary guard shack located at the Plant No. 2 Banning Entrance. The guard shack was provided by the District per contract requirements. The structure had no windows or furniture. District Management required improvements to provide adequate work conditions for the security staff to properly perform plant entrance security services. The extra work consisted of removal of interior shelves, HVAC equipment, and electrical conduits, and the installation of three aluminum slider windows with awnings, a table, and some exterior painting. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-36) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 7 -INSTALLATION OF 16-INCH AND 12-INCH WATER VALVES $4,465.00 0 Calendar Day This item is for labor, material, and equipment required for the installation of an isolation valve on an existing 16-inch waterline in the Banning-Brookhurst intersection about 100 feet north of sewer station 26+30 l and for the installation of two new 12-inch water vatves in the Bushard-Adams intersection west of the proposed sewer alignment. The Contractor had to traverse existing waterlines with the proposed main-line sewer pipe. The contract requires protection in place of these lines, which the Contractor was prepared to provide. For purposes of added safety, the City of Huntington Beach required installation of isolation valves on the lines. The extra work consisted of excavating and shoring, installation of a 16-inch and two 12-inch water valves, line disinfection, slurry and sand backfill, and pavement replacement. 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 124-37 and 124-43) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 41,010.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 6of10 0 Contractor: Steve P. Rados. Inc. C.O. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 8-RESOLUTION TO DELAY ISSUES: METROPOLITAN WATER DISTRICT SHUTDOWN AND TRAFFIC CONTROL IMPLEMENTATION DELAY This item provides a negotiated settlement to cover costs incurred by the Contractor associated with the following work interruptions: • The Contractor was directed to suspend mainline sewer installation work for one week in the Banning-Brookhurst intersection. During a planned major waterline network shut-down by the Metropolitan Water District (MWD), the Contractor was preparing to traverse a 16-inch City of Huntington Beach waterline at sewer station 26+35. The City found that it was crucial to keep this 16-inch line in service at all times during the MWD shut-down to provide adequate flows in its water distribution network. To mitigate risk, the City disallowed any type of construction activities in the vicinity of this line for the duration of the MWD shut-down. The extra costs are comprised of mobilization and some standby cost for selected 108-inch sewer mainline equipment for one week. • The City of Huntington Beach required a postponement of the implementation of the North Adams-Bushard intersection traffic closure, Traffic Stage 23A. The Contractor planned to implement this traffic stage on Monday, November 10, 2003. The City did not approve the implementation on that day because the following day was the Veterans' Holiday, and the City did not feel comfortable with changes in traffic control patterns the day before a holiday with no City staff available for inspection the day after set-up. The Contractor re-scheduled its traffic subcontractors for the next available date, which was one week later. The equipment planned for use at Stage 23A was to be moved from a downstream heading which had just been completed. Since set-up of this stage was not approved at that time, the Contractor had to temporarily store this equipment on Bushard Street with use of temporary striping. The extra cost consisted of striping cost and standby cost for selected Stage 23A equipment. 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 124-39, 45) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 36,504.00 0 Calendar Days ' ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 7of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five (5) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 9-PHONE LINES AT INDIANAPOLIS-BUSHARD This item is for labor, material, and equipment required to locate and protect in place six telecommunication conduits at sewer station 120+67. The contract drawings show only two instead of six conduits in this location. In addition, the actual location of the conduits was five feet further north than shown on the drawings. The extra work consisted of additional exploratory excavating and some special shoring to protect the conduits. 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 124-41) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 10 -CORING OF 108-INCH PIPE $1,649.00 0 Calendar Days This item is for labor, material, and equipment costs associated with core-drilling the pipe invert walls of installed 108-inch mainline sections #1152 and #1172 at approximate stations 15+35 and 17 +95. Two locations were cored in each pipe section for a total of four cored holes. The District requested the coring to inspect bedding support and material properties of the pipe. The work consisted of drilling and grout injection prior to coring, the actual coring, and repair of the cored holes. This item was negotiated with the Contractor pursuant to Section 46 of the General Requirements. (Reference FCO 124-46) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 5,871.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 8of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five CS) Date: March 24. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation ITEM 11 -MISCELLANEOUS TRAFFIC DEVICES This item is for labor, material, and equipment required for revisions to the contract traffic control plans between August 4, 2003 and December 8, 2003 as required by the City of Huntington Beach. The contract documents contain traffic control drawings for all phases of main line sewer installation along the four-mile sewer alignment. When the traffic control was implemented, the City of Huntington Beach required modifications to the traffic control devices around the construction sites. The contract included traffic control drawings had been reviewed and approved by the City of Huntington Beach prior to construction. The modifications include additional traffic signs, crash cushions, striping, and 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 124-31) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $ 45,232.00 0 Calendar Days $ 409,301.00 0 Calendar Day • Page 9of10 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.: Five (5) Date: March 24, 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corooration 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 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: Original Contract Time: Original Completion Date: Time Extension this C.O.: Total Contract Time Extension: Revised Contract Time: Revised Final Completion Due Date: Time Subject to Liquidated Damages: Actual Final Completion Date: September 16, 2002 550 Calendar Days March 18, 2004 O Calendar Day 3 Calendar Days 553 Calendar Days March 21, 2004 NIA N/A Original Contract Price Prev. Authorized Changes This Change (Add) (Deduct) Amended Contract Price $ 30.003.210.00 $ 682.268. 00 $ 409.301.00 $ 31 .094.779.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 10of10 Contractor: Steve P. Rados. Inc. C.O. No.: Five (5) Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Board Authorization Date: March 24, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P .E. Construction Manager Approved by: David A. Ludwin, P.E. Director of Engineering Accepted by: Steve P. Rados, Inc. Contractor EDMS 003763083 Date Date Date Date: March 24. 2004 •• 0 -. ;jii . }. f. ';..-. -. . . .,,.. -~ -....... , ...... , .... . . _ .. -:........· ... . :.-:..-: ·--· l .•. ~ . .. • .r-. ~ .... ... -.: .. ---·-.... ---·· :-.... ...... ·· . -... -·-----~--.:-· -. .. l ,~ .. . • .. .,:.. -. . • • ... ~,, ... · -.. "': -.. . . ... . -....... ·'-''--!:.,.' .-.. . . •. -·--· __ -_._ -~"· ,: . ..;". . . . .. , ... . ..... -4 .. . .. ·" • ,, .•• , ¥ .. .. ...... •:·-:, ,. .... ·-.: .. ::.. . . _~, :" -'I!.-•• ~ • ; ~ I• : ... • : •-,. -;._ ... .. = -~.. :·. '·• ·....:. l • ... ··~· '· •. !' .. . .. . ~ .. f_'!".~ .. l ... • ..... ~.l ... ~-·--~:·.·.: .~:· "'t 4 ... 1. '· > .. ·::... . . . .. , -••• I>-•' ' -. ;. ~-. .. £ wai1 · .. .... .. I ·:: ..... • .-.... ·-~· :;-,::{=/.~-:.~··} .. -~ .. \ ·' ._._, " ! ~ -·--t:' ... 7' . . :~ •• 5 =~ •. : . ~. . -r 'f" ... ,. •••• 9Z:t>09L£00 SV\103 POOG '4~JeV\I 9 ·oN JepJQ e5ue48 v-G-1 ·oN qor Job No. 1-2-4 Change Order No. 5 March, 2004 EDMS 003760426 I Bushard South I # Job No. 1-2-4 CHANGE ORDER NO. 5 March, 2004 \ t i :'"( •• ". . . .. ., f. .. \~~~·~t . !J g I '· J ;'i 27" --~·ity•S•eew!!lll~hJI · .,. : ; ' ' ~ ' ~~ .... !:-: ., -· r·'v•· :J._A"'¥ ~~. ~~ ~ ... , .. ;~b.~~ ~ t '·rA-IC . ; ~~ · ti e Item 1 -21 " and 27" City Sewers Alignment Change ... ; .. -- :r .... -... -t'",. ...... ' ~-~ . Item 3 -Fountain Valley Channel I EDMS 003760427 I Job No. 1-2-4 CHANGE ORDER NO . 5 March, 2004 J Tie-In Point -- -. \. -:.~ '".. 0 l ;I I.. .• ::;.;i '. t . . :...-... ·-· 4 4811 Storm Drain Removal , .. :;:;,:~ 48" Ste ~~ ~rain Re~%~e;,~~~ "'f ~~ . f;' •. ·-.. • . • T •. -. ;,\,. .. '~"l:" fd.~J. I EDMS 00 376 0427 I Item 5 -48" Storm Drain in Indianapolis-Bushard .. , .. Job No. 1-2-4 CHANGE ORDER NO. 5 March, 2004 Coring Machine I · ................ mm,~~ru Item 10 -Coring of 108" BTS I EoMs 00 3760~2 7] PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM : David Ludw in , Director of Engineering Originator: Julian Sabri , Project Manager Meeting Date To Bd. of Dir. 03/04/04 03/24/04 · Item Number I tem Number PDC04-14 13.d . SUBJECT: AREA CLASSIFICATION STUDY IMPLEMENTATION PLA N PLANT NOS. 1 AND 2 , JOB NO . J-35 -2 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No. 6 for Area Classification Study Implementation Plan , Plant Nos. 1 and 2, Job No. J-35-2 , with J .F. Shea Construction , Inc., autho rizing an additi on of $142,606 , increasing the total contract amount to $15 ,088 ,916. SUMMARY Background • This project implements a study of Plant Nos . 1 and 2 to comply w ith the Nat ional 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 tunne ls , and replacement/relocation of digester and natura l gas piping. • The plans and specifications were prepared by P arsons/Lee & Ro , and the contract was aw arded to J.F. Shea Construction , Inc ., on June 2 6, 2002 . • Change Order No. 6 in c ludes five items of added work. There are no errors, two omissions, and three design changes associated with th is change order. Liquidated damages on this contract are $3 ,000 per day and there are no b onus provi s io n s . Contract Schedule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date Actual Completi on Date Days Subject to Liqu idated Damages Page 1 Septem b er 16 , 2002 June 17, 2005 6 June 17, 2005 N/A N/A Change Order No. 6 Content Item Description Amount Type No. Days 1 Electrical Additions at Plant No. 2 $ 5,620 0 Design Changes 2 Electrical Modifications at Plant Nos. 1 $ 82,924 0 Omission and 2 3 Mechanical Additions at Plant Nos . 1 $ 4 ,807 0 Design Changes and 2 4 Mechanical Modifications at Plant Nos. $ 24,149 0 Omission 1and2 5 Structural Modifications at Plant No . 1 $ 25 ,106 0 Design Changes Total -Change Order No. 6 $142,606 0 Item 2 includes costs associated with supplying auxiliary power supply units which were not shown on the contract documents but were required for proper operation of the specified smoke detection system . 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 previ ous change orders . PROJECT/CONTRACT COST SUMMARY Original Contract Price Previousl y Authorized Changes T hi s Change Change Orders to Date Percentage Increase to Date Final Contract Price BUDGET IMPACT $ 14 ,066,442 $ 879,868 $ 142,606 $ 1,022 ,474 7 .3% $ 15,088 ,916 ~ This item has been budgeted. D This item has been budgeted, but there are insufficient f unds. D This item has not been budgeted . D Not applicable (information item) Pag e 2 ADDITIONAL INFORMATION r · This project includes extensive rehabilitation of existing electrical and ventilation systems within both Plants. The areas involving work include all of the digesters, many of the underground tunnels, and several electrical and support buildings. There were over 800 contract drawings and two volumes of specifications included in the contract documents. The design consultant was diligent in completing the project tasks but with all rehabilitation jobs many unknowns are encountered. This typically results in a higher project change order percentage. This project's change order percentage is currently 7.3% and the project is 68% complete. Staff estimates the total change order percentage on this job to be approximately 12%. ALTERNATIVES None 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 GLH:dm:lc H:\ntglobal\Agenda Draft Reports\PDC\J-35-2 AR C0#6 030404.doc Page3 PROJECT/PHASE Phase 1 -Project Development Phase 2 -Preliminary Desicin Phase 3 -Desiqn Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Ph ase 7 -Conti ngency PROJECT TOTAL !Reimbursable Costs PROJECT NET Desicin PSA Construction Contract EDMS 00 37 63103 ORIGINAL BUDGET INFORMATION TABLE AREA CLASSIFICATION STUDY IMPLEMENTATION PLAN PLANT NOS. 1 & 2 JOB NO. J -35 -2 ~ ... :.~ ''·""-"·-~"" Ir ,~ .,....,..; '!'.:-·· W"•'ll'. '~ ,.,.. ·~ ....... ,a; CURRENT PROPOSED PROPOSED FUNDS THIS PROPOSED BUDGET AUTHORIZED PROJECT INCREASE REVISED AUTHORIZED TO AUTHORIZATION TOTAL BUDGET BUDGET /DECREASE BUDGET DATE REQUEST AUTHORIZATION •I .. t, . ;;; -.;.~,l' . . ·~··..-,~~. . ...... ,, .. $ 106,000 $ -$ 106,000 $ 106,000 $ 682.000 $ -s 682,000 s -$ 682,000 $ 3 ,745 ,000 $ 2 ,305 ,000 $ 2.305.000 $ 2 ,305.000 s 2,305,000 $ 21,307,170 $ 18,061 ,904 s 14 2 ,606 $ 18,204 ,510 $ 18 061,904 $ 142 606 $ 18,204,510 $ 281 ,328 $ 281,328 s -$ 281,328 $ - $ 70,332 $ 70.000 s -$ 70,000 $ - $ 3,153,170 $ 565,096 s (142 .606) $ 422.490 $ - $ 29,34 5,000 $ 21,283,328 $ -$ 2 1,283,328 $ 21, 154,904 $ 142 ,606 $ 2 1,297,510 . ESTIMATED EXPENDITURE TO DATE ...... "'·· $ 106,000 $ 682,000 $ 2,286,508 $ 9,194,112 $ - $ - $ - $ 12,268,620 $ 29,345,000 $ 21 ,283,328 s 4,000 ,000 $ 21,283,328 $ 21,154 ,904 $ 142,606 $ 21,297,510 $ 12,268,620 PSA/Contract $ 3,411,411 $ 3,951 ,021 $ 3,951,021 $ 3,951 ,021 s -$ 3,951 ,021 $ 2,286,508 s 14,066,442 $ 14,946,310 s 14 2 ,606 s 15,088,916 $ 14,946,310 s 142,606 $ 15,088,916 $ 9,194 ,112 .•. ESTIMATED EXPENDED TO DATE(%) . . - 100% 100% 99% 51% 0% 0 % 0% 58% 58% 58% 61% APPROVAL ITEM DATE CONTRACT Sept16,02 CO N0.1* May 01, 03 CO NO. 2 Sept04,03 CO NO. 3 Oct 22, 03 CO NO. 4 Nov 19, 03 CO NO. 5 Feb 25, 04 CON0.6 Pending CHANGE ORDER STATUS REPORT Area Classification Study Implementation Plan, Plants 1 and 2 JOB NO. J-35-2 CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED TIME COST TO DATE INCREASE (DAYS) $14,066,442. 00 $14,066,442.00 0.00% 1006 $115,280.00 $14, 181,722.00 0.82% 0 $83, 195.00 $14,264,917.00 1.41% 0 $269,345. 00 $14,534,262.00 3.33% 0 $197,094.00 $14, 731,356.00 4.73% 0 $214,954.00 $14,946,310.00 6.26% 0 $142,606.00 $15,088,916.00 7.27% 0 *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS:003763102 AUTHORIZED TIME TO DATE (DAYS) 1006 1006 1006 1006 1006 1006 1006 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of5 Contractor: J.F. Shea Construction. Inc. C.O. No.: Six (6) Date: March 24. 2004 Job: Area Classification Study Implementation Plan. Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parson/Lee & Ro Amount of this Change Order (Add) (Deduot) $142.606.00 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 ELECTRICAL ADDITIONS AT PLANT NO. 2 This item relocates an existing lighting panel from inside Plant No. 2 digesters N and O electrical room to outside the electrical room. This relocation was required because of a conflict with the installation of a contract specified RIO panel. The lighting panel was installed under the P2-39 project which was still in the construction phase at the time of the design of the J-35-2 project. The P2-39 as-built drawings were completed after the J-35-2 project was bid. This additional work was negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements, Division 01. (Reference FCO No. 85) ADDED COST THIS CHANGE ORDER ITEM: $ 5,620.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM -2 ELECTRICAL MODIFICATIONS AT PLANT NOS. 1ANO2 Quantity Cost Reference a) Add 4 auxiliary power supply units, 570 feet of %-inch and 1-inch conduit, and 2,300 feet of #12 wire for smoke detectors in Plant No. 1 tunnels. 4 $32, 105 FCONo.44 b) Add 6 auxiliary power supply units, 220 feet of %-inch conduits, and 1,950 feet of #12 tray rated wiring for smoke detectors in Plant No. 2 tunnels. 6 39,081 FCO No. 45 c) Replace two existing emergency light fixtures in Plant No. 1 Gas Compressor Building Basement not shown on drawings with 2 Class 1 Div. units. 2 11,738 FCO No.60 Items a and b are required in order operate the smoke detection system in the tunnels and were not shown on the drawings. The new units in Item c are required to meet code requirements for the Gas Compressor Building Basement. 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: TIME EXTENSION THIS CHANGE ORDER ITEM: $82,924.00 O Calendar Days -~ . ! Page 2of5 ~ 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.: Six (6) Date: March 24. 2004 Job: Area Classification Study Implementation Plan. Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parson/Lee & Ro ITEM -3 MECHANICAL ADDITIONS AT PLANT NOS. 1 AND 2 Quantity Cost Reference a) Make emergency repair on existing 20-inch gas line in Plant No. 2 Gas Compressor Building Basement. b) Install District furnished digester gas isolation valves at 18 Plant No. 2 digesters. 1 18 1,440 FCO No. 250 3,367 FCO No. 58 This work was requested by District Staff and was not included in the contract drawings. This additional work was negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements, Division 01 ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM -4 MECHANICAL MODIFICATIONS AT PLANT NOS. 1 AND 2 $4,807.00 0 Calendar Days Quantitv Cost Reference a) Furnish and install 8-inch stainless steel spool pieces and relocate gas withdrawal line on Plant No. 2 digesters E and H. 2 969 FCO No.3 b) Relocate instrument air piping associated with relocation of Plant No. 1 Gas Compressor Building Sump Pump. 1 2, 190 FCO No.37 c) Replace 121 threaded connections on stainless steel 1-1/2 inch HPDG drain lines in Plant Nos. 1 and 2 tunnels with 121 socket welded fittings. 121 15,965 FCO No.95 d) Furnish and install 8-inch cross and 2 new 90 degree elbows on Plant No. 2 digester 8. varied items 5,07 4 FCO No. 141 e) Delete installation of 12-inch stainless steel condensate drain inserts. Install 1-1/2 inch carbon steel drain line connections. varied items (49) FCO No. 263 Item b, contract drawings did not include relocation of instrument air lines associated with relocated sump pump control panel. Item c, threaded connections called for in contract specifications do not meet code requirements for tunnels. Item d, the cross and elbows are required but not shown on drawings. 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: TIME EXTENSION THIS CHANGE ORDER ITEM: $24,149.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of5 Contractor: J.F. Shea Construction. Inc. C.O. No.: Six (6) Date: March 24. 2004 Job: Area Classification Study Implementation Plan. Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parson/Lee & Ro ITEM -5 STRUCTURAL MODIFICATIONS AT PLANT NO. 1 This item involves the relocation of 4 doorways, installation of 1 vestibule and the relocation of 4 warning lights and 1 paging panel in digesters 11-14 control and electrical rooms. The contract requirements remove and relocate several access points to the digester electrical/control rooms to satisfy the code requirements of NFP 820. District 0 & M staff requested these modifications to improve access to and from the near by pump room and the electrical/control rooms. This additional work was negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements, Division 01. (Reference FCO No. 46) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $25,106.00 0 Calendar Days $142,606.00 O Calendar Days -' \ 'i Page4 of5 ~ 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.: Six (6) Date: March 24. 2004 Job: Area Classification Study Implementation Plan. Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parson/Lee & Ro 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: Original Contract Time: Original Completion Date: Time Extension this C.O.: Total Contract Time Extension: Revised Contract Time: Revised Final Completion Due Date: Time Subject to Liquidated Damages: Actual Final Completion Date'. September 16, 2002 1006 Calendar Days June 17, 2005 O Calendar Days O Calendar Days 0 Calendar Days Not Applicable Not Applicable Not Applicable Original Contract Price $14.066.442.00 Prev. Authorized Changes $ 879.868.00 This Change {Add) (Deduct) $ 142.606.00 Amended Contract Price $15.088.916.00 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.: Six (6) Page 5of5 Date: March 24. 2004 Job: Area Classification Study Implementation Plan. Plant Nos. 1 and 2. Job No. J-35-2 Consultant: Parson/Lee & Ro Board Authorization Date: March 24, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Construction Manager Approved by: David A. Ludwin P.E. Director of Engineering Accepted by: J.F. SHEA CONSTRUCTION, INC. Contractor EDMS 003763100 Date Date Date LZ~£9L£00 SV'l03 . : ;-: ~ ... -. . .. ' . u • 1·' • .... ~· .. .. --;-, _.......,.--~ I./ '--' ._, "' <\ 6· ., .L.:' i ' .. .; 1,, ........ BZ~£9L£00 SIN03 " • .. '·' vooz '4~:uell'J g ·oN JapJQ a6ue48 z-g£-r ·oN qor • I Job No. J-35-2 CHANGE ORDER NO. 6 March, 2004 Item -1 Electrical Additions -Pit 2 Item 2 -Electrical Modifications -Pit 1 7 ·1 rr· 1 •, I . t" I .. I j I • Item -3 Mechanical Additions -Pit 2 Item 4 -Mechanical Modifications -Pit 2 EDMS 003763126 ~ -, : J.t ' PDC COMMilTEE AGENDA REPORT Ora ng e County Sanitation D1stnct FROM: David Ludwin, Director of Engineering Originator: Umesh Murthy, Engineer Meeting Date 03/04/04 Item Number PDC04-15 SUBJECT: SHORT TERM OCEAN OUTFALL BACTERIA REDUCTION JOB NO. J-87 GENERAL MANAGER'S RECOMMENDATION To Bel. of Dir. 03/24/04 Item Number 13.e. (1) Approve a budget amendment of $300,000 for Short Term Ocean Outfall Bacteria Reduction , Job No. J-87, for a total budget of $8 ,067,396; and (2) Ratify Change Order No. 3 to Short Term Ocean Outfall Bacteria Reduction, Job No. J-87, with J .F. Shea Construction , Inc., authorizing an addition of $163,607 , increasing the total contract amount to $4 ,395 ,349 . SUMMARY Background • Job No. J-87 provides for new Chemical Feed Facilities necessary to provide disinfection of the plant effluent at Plant Nos. 1 and 2 . This project is required to comply wi th the D istrict's National Pollution Discharge Elim ination System (NPDES) Ocean Discharge Perm it. • Black & Veatc h prepared the plans and specifications and the contract was awarded to J.F. Sh ea Constructi on In c. on Decembe r 18 , 2002 . • Change Order N o . 3 i ncludes t we lv e ite m s of a cided wo rk and o n e ite m req ue stin g a reduction of retention to Job No. J-87. There are four omissions and no errors associated with this Change Order. The contract includes liquidated damages at $2,000 per day a n d no bonus provisions. Contract Schedule Contract S t art Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date Actual Completion Date ·Days Subject to Liquidated Damages February 24, 2003 October 31 , 2003 3 November 20 , 2003 N/A N/A Pag e 1 Change Order No. 3 Content Item Description Amount Days Type No. 1 Fiber Optic Modifications $17 ,336 0 Design Change 2 Additional Demo Work/Rebuild $18,609 0 Omission Work/Pipe Relocation 3 Heat Trace Additions $7 ,528 0 Omission 4 Additional Lightinq $13 ,895 0 Design Change 5 Removal of Abandoned Sludge Line $1 ,725 0 Design Chanae 6 Analyzer Modifications $17 ,399 0 Omission 7 Pump Jog Switches $31 ,965 0 Design Chanqe 8 Relocate Plant Water Line $2,372 0 Omission 9 Relocate VFD's/Pumps/Motors $14,900 0 Design Change 10 Sample Analyzer Strainer $32 ,304 0 Design Change Modifications 11 Control Panel Enclosure Rating $7,254 0 Design Change Chanqes 12 Deletion of Sunshades ($1,680) 0 Design Change 13 Reduction in Retention $0 0 Other Total Change Order No. 3 $163,607 0 Regarding Item 13 , the District took beneficial occupancy of all portions of this project on November 20 , 2003 . Since all work has been completed in accordance with the contract requirements , District staff recommends reducing the currently retained f unds from the ten percent to five percent. Job Completion The project is now essentially complete . PRI OR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on December 18 , 2002 . Please refer to the attac hed Change Order Status Report for information on a ll previous Change Orders . PROJECTICONTRACTCOSTSUMMARY Original Contract Price Previously Authorized Changes This Change (add)(deduct ) Change Orders to Date Percentage Increase to Date Amended Contract Price $ 4,298 ,247 $ (66 ,505) $ 163,607 $ 97 ,102 2 .26 % $ 4 ,395 ,349 Page 2 ' \ ('/, BUDGET IMPACT D ~ D D This item has been budgeted. (Line item: Section a -Page 74) This item has been budgeted, but there are insufficient funds. This item has not been budgeted. Not applicable (information item) A budget increase of $300,000 is being requested. Additional funds are being requested to cover costs for this change order and staff labor costs required to complete this project. Please see attached Budget Information Table. The proposed source of funding is from the Orange County Sanitation District Capital Improvement Reserves. ADDITIONAL INFORMATION None ALTERNATIVES None 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 CH:dm:lc G:\ntglobal\Agenda Draft Reports\PDC\J-87 AR CO #3 030404.doc Page 3 ORIGINAL PROJECT/PHASE AUTHORIZED BUDGET Phase 1 -Project Development Phase 2 -Preliminarv Design $ 116,000 $ Phase 3 -Design $ 1,630,000 $ Phase 4 -Construdion $ 5,246,000 $ Phase 5 -Commissionina $ 141,000 $ Phase 6 -Close-Out $ 35,000 $ Phase 7 -Contingency $ 410,000 $ PROJECT TOTAL $ 7,578,000 $ !Reimbursable Costs PROJECT NET $ 7,578,000 $ Design PSA $ 447,920 $ Construction Contract $ 4,298,247 $ EDMS 003763076 BUDGET INFORMATION TABLE SHORT TERM OCEAN OUTFALL BACTERIA REDUCTION JOB NO. J-87 CURRENT PROPOSED PROPOSED FUNDS THIS PROJECT BUDGET REViSED AUTHORIZED TO AUTHORIZATION INCREASE BUDGET /DECREASE BUDGET DATE REQUEST 126,084 s $ 126,084 $ 126,084 $ - 1,739, 116 s $ 1,739,116 $ 1,739,116 s 5,607,045 s 260,000 $ 5,867,045 $ 5,607,045 $ 260,000 180,895 s -$ 180,895 $ 180,895 s . 114,256 s 40,000 $ 154,256 $ 114,256 s 40,000 -s . $ - 7,767,396 $ 300,000 $ 8,067,396 $ 7,767,396 $ 300,000 11 PROPOSED ESTIMATED TOTAL EXPENDITURE AUTHORIZATION TO DATE $ 126,084 $ 126,084 $ 1,739, 116 $ 1,739,116 $ 5,867,045 $ 5,590,000 $ 180,895 $ 180,895 $ 154,256 $ 114,256 $ 8,067,396 $ 7,750,351 7,767,396 $ 8,067,396 $ 7,767,396 s 300,000 $ 8,067,396 $ 7,750,351 PSA/Contract 909,128 $ 909,128 $ 909,128 $ 909,128 $ 855,000 4,231,742 $ 163,607 $ 4,395,349 $ 4,231,742 s 163,607 $ 4,395,349 $ 4,231,742 ESTIMATED EXPENDED TO DATE(%) 100% 100% 95% 100% 74% 96% 96% 94% 96% APPROVAL ITEM DATE CONTRACT 12/18/2002 CO N0.1* 10/2/2003 CO NO. 2 12/17/2003 CO NO. 3 Pending CHANGE ORDER STATUS REPORT SHORT TERM OCEAN OUTFALL BACTERIA REDUCTION JOB NO. J-87 CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED INCREASE TIME COST TO DATE (Cumulative) (DAYS) $4,298,247 $4,298,247 0.00 250 ($98,061) $4,200,186 (2.30) 20 $31,556 $4,231,742 (1.55) 0 $163,607 $4,395,349 2.26 0 *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS 003763077 AUTHORIZED TIME TO DATE (DAYS) 250 270 270 270 - ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch Date: March 24. 2004 Amount of this Change Order (Add)(Deduct) $163.607.00 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 -FIBER OPTIC MODIFICATIONS This item modifies the fiber optic cable and conduit runs at Plant No 1. The additional work included; an additional run (700 feet of 4-tube fiber optic bundle) from the Effluent Junction Box to the 12kV Substation, an additional run (900 feet of 18-strand cable) from the 12kV Substation to the Plant Water Pump Station, two additional NEMA 12 J-Boxes (2' x 2' x 1 ') enclosures. The proposed modifications were not part of the original contract work. The change was requested by staff to accommodate the spare conduit and fiber optic cable for future use in the Peak Flow Management Project (Job No. J-67). District staff determined that it would be more cost effective to add the additional spare conduit and fiber optic cable now, rather than adding them later under a separate contract. This item was accomplished by the Contractor's force account in accordance with Division 1 1 Section 43.B.2 of the General Requirements (Reference FCO J-87-11 ). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $17,336.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch Date: March 24. 2004 ITEM 2 -ADDITIONAL DEMO WORK/REBUILD WORK/PIPE RELOCATION This item includes extra demolition work required at Plant No. 2. This item also relocates 200 feet of an existing 1-inch Plant Air Line and rebuilds two District supplied Chlorine Residual Analyzers. The extra demolition work included removal of two variable frequency drives from the existing Plant No. 2 Bleach Facility and miscellaneous electrical conduit from the Bleach Station to the Sodium Bisulfite Station. The required changes were needed for ease of maintenance and improved housekeeping. Under this contract, the Contractor was required to tie the new Sodium Bisulfite Station Plant Air Feed into an existing Plant Air Line. The existing Sodium Bisulfite Station Plant Air Feed currently resides above grade and under temporary ramps provided for vehicular traffic. This line can be used for the new permanent Sodium Bisufite Station provided it is relocated underground and protected from traffic loads. In accordance with this contract, the Contractor was required to install two District furnished Chlorine Residual Analyzers at the Plant No. 2 Ocean Outfall Booster Station Wet Well. District staff determined that it would be prudent to rebuild, calibrate, adjust, and test the two Chlorine Residual Analyzers prior to installation. in order to obtain accurate analytical results required to comply with the District's Ocean Discharge Permit requirements. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-28). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $18,609.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 3 -HEAT TRACE ADDITIONS Date: March 24. 2004 This item is for additional electrical equipment needed to complete the installation of the Sodium Bisulfite Heat Trace System located at Plant No. 2. The Contract drawings did not show the two required Heat Trace panels or their power sources. The required changes include addition of two 2-pole, 30 amp breakers; 30 feet of %-inch conduit, struts, and anchors necessary to complete the installation and provide a fully operational Sodium Bisulfite Heat Trace System. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-29). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 4 -ADDITIONAL LIGHTING $7,528.00 0 Calendar Days This item adds lighting to the new Bleach Facility located at Plant No. 1 and the new Sodium Bisulfite Facility located at Plant No. 2. Following installation of the metal canopies at both locations, District staff requested additional lighting around the containment stairs, controls panels, and pumps. The Contractor was directed to install four 70 watt, 120 volt, high pressure sodium lighting fixtures and one 1000 watt photo cell at each facility to provide adequate lighting to remedy safety hazards associated with unlighted areas. The extra work included approximately 150 feet of %-inch red aluminum ocal conduit and approximately 450 feet of #12 copper wire. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-30). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $13,895.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 4of11 Contractor. J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 5 -REMOVAL OF ABANDONED SLUDGE LINE Date: March 24. 2004 This item removes an abandoned sludge line (approximately 100 feet of 6-inch pipe) from the Billings Tunnel located at Plant No. 2. The abandoned sludge line was to be demolished in the future as part of the Peak Flow Management Project, Job No. J-67. District staff has determined that it would be better to remove the existing 6-inch abandoned sludge line now in order to run the new bleach lines at a lower elevation, thereby reducing the need to run the lines overhead which resulted in a safer installation. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-31). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 6 -ANALYZER MODIFICATIONS $1,725.00 O Calendar Days This item modifies the chlorine/dechlorination analyzer systems installed at both Plants under this contract. Following installation of the chlorine/dechlorination analyzer systems. it was discovered that recommended pressure limitations set by the manufacturer of the chlorine/dechlorination analyzer systems were exceeded. The following summarizes the majority of the modifications necessary to rectify the problem. All locations (eight total) -Install a 2-inch CPVC overflow line (approximately 20 feet of pipe is needed at each location) 120-inch Pipeline -Add one ~ hp sample pump, and two 1-inch ball valves Surge Tower #2 -Add one 1 Y2-inch pressure reducing valve This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-32). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $17,399.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 5of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 7 -PUMP JOG SWITCHES Date: March 24. 2004 This item adds two jog switches (forward and reverse) for each pump located at the Plant No. 1 Bleach Facility, the Plant No. 2 Bleach Facility, and the Plant No. 2 Sodium Bisulfite Facility. The extra work applies to a total of 16 pumps, 32 jog switches, and associated wiring. The District's Maintenance staff requested the jog switches to facilitate removal and replacement of the pump hoses on a routine basis, thereby saving future maintenance labor costs. District staff has determined, over the life of the facilities, that it will be cost effective to add the jog switches at this time. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-33). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 8-RELOCATE PLANT WATER LINE $31,965.00 0 Calendar Days This item requires the Contractor to route the 1 %-inch CPVC plant water line for the new Sodium Bisulfite Facility to an existing plant water connection (above grade plant water manifold) located south of the existing temporary Sodium Bisulfite Facility. District staff requested plant water at the Chemical Facilities for general housekeeping purposes, as such the Contractor was requested to route the plant water line to the nearest plant water connection (above grade plant water manifold). This item was accomplished by the Contractor's force account in accordance with Division 1, Section 43.B.2 of the General Requirements (Reference FCO J-87-34). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $2,372.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 6of11 ' Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 9 -RELOCATE VFD'S/PUMPS/MOTORS Date: March 24. 2004 This item requires the Contractor to temporarily relocate two variable frequency drives (VFD's), two motors, and two pumps from the existing Plant No. 1 temporary Bleach Facility to the existing Plant No. 1 Bleach Facility. The District's National Pollution Discharge Elimination Permit (Ocean Discharge Permit) requires continuous disinfection of the District's final effluent. In addition, demolition of the District's Trickling Filter Clarifier under a separate project (Trickling Filter Rehabilitation Project, Job No. P1-76) eliminates the District's temporary bleach feed discharge location. As a result, District staff required the Contractor under this project (J-87) to relocate two variable frequency drives (VFD's), two motors, and two pumps needed to feed a new location (Activated Sludge Treatment Process Secondary Clarifiers). This work was not included in the contract documents. This work was necessary to avoid conflict and prevent delay to the other Contractor's work under P1-76. It was also required to avoid violating the District's Ocean Discharge Permit. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1, Section 43.B.1 of the General Requirements. (Reference FCO J-87-35). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $14,900.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 7of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 10-SAMPLE ANAYZER STRAINER MODIFICIATIONS Date: March 24. 2004 This item requires the Contractor to add flushing systems to three chlorine residual analyzer sampler systems located at Plant No. 2. This item includes (15) 1-inch ball valves, (3) pressure relief valves, (3) wye strainers, (3) 1-inch actuated ball valves, (3) %-inch solenoid valves, (3) NEMA 4X rated timers, and miscellaneous wiring and materials. This item also requires the Contractor to lengthen the chlorine residual analyzer sample system sampler suction line located at the Plant No. 1 Effluent Junction Box approximately seven feet. Upon start-up of the sampler analyzer systems, it was discovered that the strainers were clogging with process material within a 24-hour period, such that the system could not obtain a sample. District staff decided to retrofit three of the chlorine residual analyzer sampler systems in an effort to reduce the extensive amount of maintenance that would be required to keep the systems operational. Keeping the residual sample analyzer functional will also result in optimal feeding of bleach and sodium bisulfite to process flows. Recently, the District has diverted more of incoming wastewater flows to Plant No. 2. This has resulted in much lower water surface elevations prevalent in the Plant No. 1 Effluent Junction Box. As such, the sample pipe length needs to be extended in order to obtain a sample from the Effluent Junction Box during all flow conditions. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1, Section 43.B.1 of the General Requirements. (Reference FCO J-87-36). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $32,304.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 8of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch Date: March 24. 2004 ITEM 11 -CONTROL PANEL ENCLOSURE RATING CHANGES This item changes the Control Panel ratings from NEMA 12 to NEMA 4X at four locations. The contract documents specify the installation of 72" x 60" x 24" Stainless Steel (Type 304) NEMA 12 Panel Enclosures at two locations at Plant No. 1 (Effluent Junction Box and the Bleach Station) and at two locations at Plant No. 2 (Bleach Station and Sodium Bisufite Facility). All four of these enclosures are located outside, and are therefore subject to exposure from the ocean corrosive environment. NEMA 4X enclosures are made of type 316L Stainless Steel, and as such are better suited to withstand corrosive environments. This change was found prior to the purchase and installation of the specified NEMA 12 enclosures. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1, Section 43.B.1 of the General Requirements. (Reference FCO J-87-37). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 12 -DELETION OF SUNSHADES $7,254.00 0 Calendar Days This item deletes three of the four small sunshades specified for the Control Panels located at both plants. The existing contract documents require installation of sunshades for the RIO Control Panels located at the Plant No. 1 Bleach Station, the Effluent Junction Box, the Plant No. 2 Bleach Station, and the Plant No. 2 Sodium Bisulfite Station. Under this project (Job No. J-87), the District has installed a metal canopy over the entire Plant No. 1 Bleach Station and the Plant No. 2 Sodium Bisulfite Station. The metal canopy acts as a sunshade to the Control Panels at Plant No. 1 Bleach Station and Plant No. 2 Sodium Bisulfite Station. A metal canopy (also acting as a sunshade to control panels) will be designed and built over the entire Plant No. 2 Bleach Station under a separate project. The purpose of a sunshade is to prevent glare and provide ease of reading digital readouts during sunlight hours. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1, Section 43.B.1 of the General Requirements. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ($1,680.00) 0 Calendar Days .. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 9of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch ITEM 13 -REDUCTION IN RETENTION Date: March 24. 2004 The District took beneficial occupancy of all portions of this project on November 20, 2003. The project is essentially complete and all work to date has been completed in accordance with the contract requirements. The Contractor has requested a reduction in retained funds from ten percent to five percent. District staff agrees to this reduction of currently retained funds. Reference J.F. Shea Construction, lnc.'s, letter dated January 20, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL COST THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $0.00 0 Calendar Days $163,607.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 10of11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three {3) Date: March 24. 2004 Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 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 this and all previously issued change orders. It is therefore mutually agreed that no extension of time 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: Original Contract Time: Original Completion Date: Time Extension this C.O.: Total Contract Time Extension: Revised Contract Time: Revised Final Completion Due Date: Time Subject to Liquidated Damages: Actual Final Completion Date: February 24, 2003 250 Calendar Days October 31, 2003 0 Calendar Days 20 Calendar Days 270 Calendar Days November 20, 2003 NIA NIA Original Contract Price Prev. Authorized Changes This Change (Add) (Deduct) Amended Contract Price $4.298.247 $ (66.505) $ 163.607 $4.395.349 t ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 11 of 11 Contractor: J.F. Shea Construction. Inc. C.O. No.: Three (3) Job: Short Term Ocean Outfall Bacteria Reduction Job No. J-87 Consultant: Black & Veatch Board Authorization Date: March 24, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Construction Manager Approved by: David A. Ludwin. P.E. Director of Engineering Accepted by: J.F. SHEA CORPORATION, INC. Contractor EDMS 003763075 Date Date Date Date: March 24. 2004 Job No . J-87 Change Order No. 3 March 2004 EDMS 003763078 Job No. J-87 Change Order No. 3 March 2004 Items 6 , 7 and 10 located throughout Plant No. 2 •\ : . \",.. ·~: ... , •'t ... , .. '\ -... ' . •:O\; ................ ·. 0··1" . ~ ...... , EDMS 0 037 63079 I • ~ •• ~j ,,. ,. ,~ f .~ r ' ,. Ir • ,; Job No. J-87 CHANGE ORDER NO. 3 ~-.......... ~L Item 3 -Heat Trace Panel ·-- . ' ..... -~~-·'. i· :·. :.1 'fi1:~· .· · ~:; · , • Nt1 ~,,,.:,' .... .: " , .,,,,~ ~ '"'·r ;· • : -:-jnr>' -., ~1 r'.'} , • ~-rw ..() "-•. . .. ~-~-·,/- Item 9 -Relocate VFD's/Pumps/Motors Item 12 -Deletion of Sunshades 1 EDMS 003763584 Job No. J-87 . -· -1 I EDMS 003763080 i CHANGE ORDER NO. 3 . ,.. -~·:::.. _::!. .• -· ' ' • March 2004 _ .. __ ,, f ~: ' PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin, Di rector of Engineering Originators : Bud Palmquist , Senior Engineer SUBJECT: MODIFICATIONS TO MAIN STREET PUMP STATION, CONTRACT NO. 7-7-2 GENERAL MANAGER'S RECOMMENDATION Meeting Da te To Bd . of Dir . 03/04/04 03/24/04 · Item Number Item Number PDC04-16 13.f. (1) Approve a budget amendment of $25,000 for Modifications to Main Street Pump Station, Contract No, 7-7-2 , for a total budget of $994 ,000 ; and (2) Ratify Change Order No. 1 to Modifications to Main Street Pump Station, Contract No . 7-7-2, with Cora Constructors , authorizing an addition of $74,292 and time extension of 33 calendar days, increasing the total contract amount to $812 ,292. SUMMARY Background • Improvements to the Main Street Pump Station, Contract No. 7-7-1, installed five 200-horsepower (hp) sewage pumps on the station 's easterly bay in November of 1998. The pumps would cavitate , causing rapid wear and excessive vibration. Staff artificially restricted the pumps' capacity by partially closing a 36-inch discharge valve as an intermittent fix for the cavitation . Staff also had the pumps braced to address vibration problems . • Boyle Engineering Corporation (Boyle), design consultant for Contract No. 7-7-1 , and Staff investigated the cause of and reviewed numerous remedies to minim ize and /or elimin ate the cavitation. Staff determined that the pumps had to be replaced to meet the needed capacity and permanently eliminate cavitation . • Boyle and Staff agreed to enter into an agreement to replace the pumps. In general , Boyle would prepare plans and specifications and Orange County Sanitation District (District) would execute the project. Boyle would reimburse the District for project costs associated with work that would be a repeat of work done under the previous project, Contract No . 7-7-1 , including Staff's time. Cost of new work would be borne by the District. The District would also bear the difference in costs between the new equipment and the equipment being replaced . • The District established Modifications to the Main Street Pump Station, Contract No. 7-7-2 , in March of 2001 to replace the pumps and track costs. Boyle prepared plans and specifications. A construction contract to replace the pumps was awarded to Cora Constructors in December, 2002 and executed March 3 , 2003 . Revised: 06/04/03 Page 1 I • Change Order No . 1 includes seven items of added work to Contract No . 7 -7-2 and . one item to reduce the retention . There are no errors and one omission associate9 1 i I with this Change Order. The contract includes liquidated damages of $300 per day and no bonus provisions . Co ntra ct Sc hedu le Contract start date Original contract completion date Total number of change orders to date Current contract completion date Revised completion date Days subject to liquated damages Liquidated damages assessment Change Order Content Item No. Description 1 Procurement of 36-inch AEP gate valve 2 Realignment of the pumps ' discharge pip ing 3 Removal of additional concrete from pump room floor 4 Installation of base plates 5 Delivery of exi sting pumps 6 Installation of drive shaft support braci ng I March 3, 2003 December 17 , 2003 1 December 17 , 2003 January 19, 2004 N/A N/A Amount Days* $2, 181 0 $12,559 8 $10 ,815 8 $9,759 8 $1,642 0 $30,3 24 9 Type Design Change Changed Condition Changed Condition Omission Design Change I Design Cha ng e I-7 Installation of pump access I $7,012 0 Des ig n Change platforms and ra iling 8 R eduction of retenti on I $0 0 , Other I I I Total Change Order No . 1 I $74,292 1 33 I * Includes holidays Items 1 through 3, and 5 fall within work that is a repeat of work done under the previous project , Contract No . 7-7-1. Thus , Orange County San itation District will be reimbursed by Boyle Engineering for those items. Items 4 , 6 , and 7 are new work not done under the previous contract. Therefore , the District bears the cost for these items. Item 8, a reduction in retained funds from ten percent to five percent, has been requested by the contractor . The project is now 100% complete and all work to date has been completed in accordance with the contract requirements . This item contains no additional costs . Job Completion Thi s contract is 100% complete. ReVlsed: 06/04/03 Page 2 -, / "" q , PRIOR COMMITTEE/BOARD ACTIONS . • The Board of Directors established a project and budget for Modifications to Main Street Pump Station, Contract No. 7-7-2, on March 28, 2001. • The Board of Directors approved a budget amendment for the project on September 25, 2002. • The Board of Directors approved a Cooperation and Reimbursement Agreement with Boyle Engineering Corporation for the project on December 18, 2002. The construction contract was also awarded on this day. PROJECT/CONTRACT COST SUMMARY Original contract price Previously authorized changes This change(add) Change orders to date Percentage increase to date Amended contract price BUDGET IMPACT $738,000 0 $74,292 $74,292 10.07 $812,292 D ~ D D This item has been budgeted. (Line item: 2003/2004 Budget Section 8, pages 7 & 38, Modifications to the Main Street Pump Station, Contract No. 7-7-2) This item has been budgeted, but there are insufficient funds. This item has not been budgeted. Not applicable (information item) A fund authorization increase of $113,000 and a budget increase of $25,000 are being requested. The additional funds are requested to cover Change Order No. 1 costs, labor, materials, and equipment necessary to complete the projects' commissioning and closeout. The proposed source of funding is from the District's Capital Improvement Reserves. The District is to be reimbursed by Boyle Engineering Corporation. A budget breakdown is included in the attached Budget Information Table for the project. ADDITIONAL INFORMATION None ALTERNATIVES None Revised: 06/04/03 Page 3 CEQA FINDINGS This project is a continuation of the Improvements to the Main Street Pump Station, Contract No. 7-7-1. The project replaced pumps to correct a design error by the design consultant. Contract No. 7-7-1 was included in the Programmatic Environmental Impact Report (EIR) for the 1989 Master Plan. The final EIR was approved on July 19, 1989, and Notice of Determination was filed on July 30, 1989 ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order 4. Location and Photo Descriptions WC:lc:jo:lc H:\ntglobal\Agenda Draft Reports\PDC\7-7-2 Main St PS CO #1 AR 030404.doc Revised: 06/04/03 Page4 ORIGINAL PROJECT/PHASE AUTHORIZED BUOOET Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Design Phase ~ -Construction $ 445,000 $ Phase 5 -Commissioning Phase 6 -Close-Out $ Phase 7 -Contingency $ PROJECT TOTAL $ 445,000 $ Reimbursable Costs $ 445,000 I$ PROJECT NET $ Design PSA Construction Contract $ 285,000 $ EDMS/003763592 BUDGET INFORMATION TABLE MODIFICATIONS TO THE MAIN STREET PUMP STATION CONTRACT NO. 7-7-2 CURRENT PROPOSED PROPOSED FUNDS THIS BUDGET PROJECT REVISED AUTHORIZED TO AUTHORIZATION PROPOSED ESTIMATED TOTAL EXPENDITURE INCREASE BUDGET /DECREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE $ -$ - $ -$ -$ - $ -$ - 881,000 $ 98,000 $ 979000 $ 881,000 $ 98,000 $ 979,000 $ 965,000 $ 10,000 $ 10,000 $ -$ 10,000 $ 10,000 $ - -$ 5,000 $ 5,000 $ -$ 5,000 $ 5,000 $ - 88,000 $ l88,000) $ -$ - 969,000 $ 25,000 $ 994,000 $ 881,000 $ 113,000 $ 994,000 $ 965,000 748,009 I$ 129,991 I$ 878,ooo I I$ 748,009 I$ 129,991 I$ 878,ooo I$ 83,624 220,991 I$ (104,991)1 $ 116,000 I I$ 132,991 I$ (16,991)1 $ 110,000 I$ 881,376 PSA/Contract 738,000 $ 74,292 $ 812,292 $ 738,000 $ 74,292 $ 812,292 $ 812,292 .,ct)...· .- ESTIMATED EXPENDED TO DATE(%) 99% 0% 0% 97% 10% 760% 100% APPROVAL ITEM DATE CONTRACT 3/3/2003 CON0.1 PENDING EDMS:003763589 CHANGE ORDER STATUS REPORT MODIFICATIONS TO THE MAIN STREET PUMP STATION CONTRACT NO. 7-7-2 CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED TIME COST TO DATE INCREASE (DAYS) $738,000 $738,000 290 $74,292 $812,292 10.07% 33 AUTHORIZED TIME TO DATE (DAYS) 290 323 -="\ •1 ' ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CAl..IFORNIA 92728-8127 CHANGE ORDER Page 1of6 Contractor: Cora Constructors C.O. No.: One (1) Date: March 24. 2004 Job: Modifications to the Main Street Pump Station. Contract No. 7-7-2 Consultant: Bovie Engineering Amount of this Change Order (Add) $7 4.292.00 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-PROCUREMENT OF 36-INCH AEP GATE VALVE This item is for the additional cost to provide an identical make and model, 36-inch gate valve to that originally installed under Contract No. 7-7-1. This change was initiated by Staff to address discrepancies in the valve specifications. The specifications outlined the valve's configuration, materials of construction, and acceptable valve makes and models. Staff determined during the submittal process that neither the material specifications nor acceptable product listing adequately represented the valve being replaced. Thus, Staff negotiated with the Contractor to provide an identical valve to that being replaced. The negotiation was pursuant to Section 46 (B) 1 of the General Requirements. This item falls within work that is a repeat of work done under the previous project, Contract No. 7-7-1. Thus, the District will be reimbursed by Boyle for this item. (Reference FCO 1) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 2 -REALIGNMENT OF PUMPS' DISCHARGE PIPING $ 2,181.00 o Calendar Days This item is for the extra labor, materials, and equipment that was required to field redesign and realign the pumps' discharge piping from that shown on the contract plans. This change was initiated by Staff to address discrepancies between field conditions and the plans. The discharge piping was redesigned for the new pumps due to their larger volute diameter. However, the Contractor determined that the piping could not be assembled as designed during field fabrication and fit up of the first pump to be replaced; the first pump served as a template for the remaining four. The eventual solution was to rotate the pump's discharge seven and one-half degrees and reroute the piping to align with manifold at a different angle. This work was accomplished on Contractor's force account pursuant to Section 46 (B) 2 of the General Requirements. (Reference FCO 2) This item falls within work that is a repeat of work done under the previous project, Contract No. 7-7-1. Thus, the District will be reimbursed by Boyle for this item. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $12,559.00 8 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page·2of6 Contractor: Cora Constructors C.O. No.: One (1) Date: March 24. 2004 Job: Modifications to the Main Street Pump Station. Contract No. 7-7-2 Consultant: Boyle Engineering ITEM 3 -REMOVAL OF ADDITIONAL CONCRETE FROM PUMP ROOM FLOOR This item is for the extra labor, materials, and equipment that was required to remove more concrete from the pump room floor than was shown on the contract plans. This change was initiated by Staff to address discrepancies between field conditions and the plans. The plans specified three inches of concrete flooring was to be removed for the pumps' new equipment pads. The depth was to expose the floor's upper mat of rebar to allow each pad's rebar to be interlocked with the mat. However, the mat was found to be imbedded five to seven inches instead of the expected one to three inches. Thus, the Contractor had to remove more than twice the concrete from the floor than specified. This work was accomplished on Contractor's force account pursuant to Section 46 (B) 2 of the General Requirements. (Reference FCO 3) This item falls within work that is a repeat of work done under the previous project, Contract No. 7-7-1. Thus, the District will be reimbursed by Boyle for this item. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM ITEM 4 -INSTALLATION OF BASE PLATES $10,815.00 8 Calendar Days This item is for the extra labor, materials, and equipment that was required to install base plates beneath each pump. The plans specified 1-inch of grout to be placed beneath all equipment and pipe support bases. This standard practice provides flexibility for minor adjustment of equipment, pipe supports, etc. during installation. Typically, a pump's base is sized to distribute its weight over a relatively large area, as with the pumps being replaced. However, the new pump base is relatively too small for grout to directly support the pump's weight. Thus, base plates were added to distribute the weight over a larger area. This work was accomplished on Contractor's force account pursuant to Section 46 (B) 2 of the General Requirements. (Reference FCO 4) This item is new work not done under the previous project, Contract No. 7-7-1. Thus, the District bears the cost for this item. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $9,759.00 8 Calendar Days ; ,,-. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728·8127 CHANGE ORDER Contractor: Cora Constructors C.O. No.: One (1) Page5of6 Date: March 24. 2004 Job: Modifications to the Main Street Pump Station. Contract No. 7-7-2 Consultant: Bovie Engineering 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 a 33 calendar day extension of time 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: Original Contract Time: Original Completion Date: Time Extension this C.O.: Total Contract Time Extension: Revised Contract Time: Revised Final Completion Due Date: Time Subject to Liquidated Damages: Actual Final Completion Date: March 3, 2003 290 Calendar Days December 17, 2003 33 Calendar Days 33 Calendar Days 323 Calendar Days January 19, 2004 NIA December 31, 2003 Original Contract Price Prev. Authorized Changes This Change (add) Amended Contract Price $738,000.00 $ 0.00 $ 74.292.00 $812.292.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Cora Constructors C.O. No.: One C1l Page.6 of 6 Date: March 24. 2004 Job: Modifications to the Main Street Pump Station. Contract No. 7-7-2 Consultant: Bovie Engineering Board Authorization Date: March 24, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John Linder, P.E. Construction Manager Approved by: David Ludwin, P.E. Director of Engineering Accepted by: CORA CONTRACTORS Contractor EDMS/003763583 Date Date Date q EDMS : 00 MODIFICATIONS TO TH E MAIN STREET PUMP STATION, CHANGE ORDER N O.I VICINITY MAP NTS Contract No. 7-7 -2 March , 2004 Item 2 : Realignment of Pump Discharge Piping . , ,,; :... ..!J c Item 1: Procw-ement of36-inch AEP Gate \'alve Item 3 : Removal of Additional Concrete from Pump Room Floor MODIFICATIONS TO THE MAIN STREET PUMP STATION, CHANGE ORDER NO. 1 EDMS : 00 •1 Contract No . 7-7-2 Item 6 : Installation of Drive Shaft Suppo rt Br ac ing Item 7 : Installation of Pump Access Platforms and Railing MODIFICATIONS TO THE i\1AI N STREET PUMP STATION, CHANGE ORDER NO. 1 EDMS: 00 PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Bob Schirripa, Project Manager Meeting Da te To Bd. of Dir. 03/04/04 03/24/04 Item Num ber Item Nu mber PDC04 -21 13 .o. SUBJECT: PRIMARY TREATMENT REHABILITATION AND REFURBISHMENT AT PLANT NO. 2 , JOB NO . P2-80 GENERAL MANAGER'S RECOMMENDATION Approve Professional Services Agreement with Malcolm Pirnie providing for engineering services for Primary Treatment Rehabilitation and Refurbishment at Plant No. 2 , Job No. P2-80 , for an amount not to exceed $5 ,778 ,518. SUMMARY • This project is the result of the District's plan to reduce odors from the two treatment facilities . Specifically, this project addresses the primary treatment at Plant No. 2. There are other projects either underway or planned to address the odor control issues in the other areas of the facility at Plant Nos. 1 and 2. This project also includes rehabilitating and refurbishing the process equ ipment and infrastructure, including rehabilitation of corroded primary process pi p el ines, sludge collection equipment , and the modification and/or replacem e nt o f the 14 p rimary clarifier domed covers. • The Professional Services Agree ment (PSA) inclu d es the fo ll ow in g: 1. Preparation of a Foul Ai r Study to more accurately determine t he flow rates and condition of the foul air ducts. 2. Facility design for new odor control biotowers and wet chemical scrubbers at the North and South Scrubber Complexes at Plant No. 2. 3. Rehabilitation of the metal and concrete inside the 14 primary clarifiers. 4. Corrosion inspection and evaluation of appro ximately 7 400 feet of buried concrete pipe. 5. California Environmental Quality Act (CEQA) and Air Quality Management District (AQMD) permit support services. 6. Preparation of construction bid documents. H:\dept\agenda\PDC\2004\Agenda Re ports\04-2 1 • P2·80 -030404 .doc Revised: 81 10/98 Page 1 • The District solicited proposals from eight firms : Black & Veatch Corporation ; Malcolm Pirn ie ; Camp Dresser & McKee, Inc. (COM ); Carollo Eng i neers ; PBS&J ; MWH ; HOR; and Marmac Field Services. Requests for Proposals (RFPs ) were sent to these firms based on their ex perience with odor control , rehabil itation , and pipeline inspection work in similar environments to those here at the District. Proposals were received from only three firms : Malcolm Pirnie, HOR , and PBS&J. The submitted proposals were distributed to the Staff Evaluation Team for ranking. Based on the Staff Evaluation Team 's ranking , Malcolm Pirnie had the highest ranking as indicated on the attached Staff Evaluation/Proposal Worksheet. • Staff e valuated the proposals received from the engineeri ng firms and Malcolm Pi rn ie recei ved the h ighest rating. Negotiations were held with Ma lcolm Pirnie with the result that their fees were reduced by 4 .1 % or slightly more than $246 ,000 with a corresponding reduction in hours. This was all done without any reduction in scope. Based on this , Staff recommends that the PSA be awarded to Malcolm Pirn ie in an amount not to e xceed $5 ,778 ,518 . • Once the construction contract cost is known , staff plans to request add itional funding for Construction Management support . PRIOR COMMITTEE/BOARD ACTIONS The proposed PSA is a new contract. The only prior Board actio n was the approva l of th e Cap ita l Improv ement Plan (C IP) Budget at the June 25 , 2 00 3 Board me eting . PROJECT/CONTRACT COST SUMMARY T he p ro pos ed PSA is a new c ontract. The PS A amount and b u dge t necessary for the project a r e p r e se nted in th e attached B udget ln fo rmc=1t ion T c=1ble . An c=1uthori7r:ition of $5 ,778 ,518 for design services is being requested. Also requested is the appro v al to reallocate $1,528 ,102 from Phase 4, $100 ,000 from Phase 5 , and $213 ,637 from Ph ase 3 to Phase 2. This is being requeste d to accuratel y reflect the work effort. BUDGET IMPACT ~ This item has been budgeted . (Lin e item : Se ction 8 -Page 51) D This item has been budgeted, but there are insuffic ient funds . D This item has not been budgeted . D Not applicable (information item) H :\ntglobal\Agenda Draft Re port s\PDC\P2-80 A R 030404.doc Revised : 8/10198 Page 2 ,. - \ ADDITIONAL INFORMATION Background This project is one in the series of projects identified and developed to address odor complaints from residents neighboring Plant No. 2. During the past 15 years, the District has constructed extensive odor control facilities which resulted in a significant decrease in odor complaints. However, despite these efforts, odor complaints continued and a significant number of comments were received during the public review of the 1999 Strategic Plan Environmental Impact Report (EIR). The mitigation program discussed in the EIR required the study and implementation of odor control improvements. Job No. P2-80 includes these improvements as they relate to the primary treatment odor generating streams at Plant No. 2. There are similar projects that address the solids streams at Plant No. 2 as well as the liquid and solids streams at Plant No. 1. ALTERNATIVES Operate and continue to repair the existing facilities. Staff does not recommend this option because it will not help meet the existing goal of reduced odor complaints. CEQA FINDINGS This project was included in the District's 1999 Strategic Plan Program Environmental Impact Report that was certified on October 27, 1999. A Notice of Determination was filed on October 29, 1999. A Notice of Exemption will be filed prior to commencement of design work. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3. Staff Evaluation of Proposals RC:jo:lc:ba H:\ntglobal\Agenda Draft Reports\PDC\P2-80 AR 030404.doc Revised: 8110/98 Page 3 PROJECT/PHASE Phase 1 -Proiect Develoomen t Phase 2 -Preliminarv Design Phase 3 -Desian Phase 4 -Construction Phase 5 -Commissionina Phase 6 -Close-Out Contino encv PROJECT TOTAL !Reimbursable Costs PROJECT NET D esian PSA Co nstru ction Contract EDMS : 0037637 47 $ $ $ $ $ $ $ $ BUDGET INFORMATION TABLE PRIMARY TREATMENT REHABILITATION AND REFURBISHMENT AT PLANT NO. 2 JOB NO. P2-80 --~ . ~-· -r ORIGINAL CURRENT PROPOSED PROPOSED FUNDS THIS AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION PROPOSED TOTAL BUDGET BUDGET INCREASE BUDGET DATE REQUEST AUTHORIZATION /DECREASE . .. 't,l/ • 100,000 $ 100,000 $ 100,000 $ 100,000 $ 100,000 565,967 $ 565,967 S1 841.7 39 $ 2.407 ,706 $ 188,655 s 2 2 19.051 $ 2.407,706 4 ,527,726 $ 4 ,527,726 s (2 13.637) $ 4.31 4 ,089 $ 754 ,621 s 3 ,559,467 $ 4,3 14,088 41 .881,466 $ 41 .881 .466 s (1 528 ,1021 $ 4 0.353,364 $ 2.263.863 $ 2,263 ,863 377 ,3 11 $ 377 ,311 s (100.00 01 $ 277.3 11 $ 188,655 s 188,6 55 94 ,328 $ 94 ,328 s 94,328 $ 47,164 s 47, 164 7 ,546 ,2 10 $ 7 ,546,21 0 $ 7,546,210 $ 7,546,210 $ 7,546,2 10 55,093,008 $ 55 ,093,008 $ -$ 55 .093,008 $ 11 ,089 , 168 $ 5,778,5 18 $ 16 ,867,686 11 ESTIMATED EXPENDITURE TO DATE .. $ 137,995 $ 1.215 $ 575 $ 71 $ 139 ,856 $ 55 ,093,008 $ 55,093,008 s -$ 55,093,008 $ 11 ,089,168 s 5,778,5 18 $ 16,867,686 $ 139,856 PSAJContr act $ 4,150,416 $ 4, 150,4 16 $1 628,102 $ 5,778,518 $ 5,778,5 18 $ 5 ,778,518 $37,731 ,050 $37 ,73 1,050 $ 37 ,7 3 1,050 s -$ - ESTIMATED E XPE NDED TO DATE(%) ··-. ~ 138% 0% 0% 0% 0% 0% 0 % 1% 1% • .. - Total Project Budget: Consultant: Start Date of Project: Date Pending EDMS: 0037637 46 Professional Services Agreement Status Report PRIMARY TREATMENT REHABILITATION AND REFURBISHMENT AT PLANT NO. 2 JOB NO. P2-80 $55,093,008 Malcolm Pirnie May 1, 2004 Amendment Description Design engineering services for modifications of odor Orig. PSA control facilities, and rehabilitation of the primary treatment system. . - Cost $5,778,518 02/11/04 Accumulated Costs $5,778,518 ' PRIMARY TREATMENT REHABILITATION AND REFURBISHMENT AT PLANT NO~ 2 JOB NO. P2-80 Staff Evaluation of Proposals to Provide Engineering Services Request for Proposals (RFPs) were sent to the following interested consulting firms: • Black & Veatch • Carollo Engineers • Camp, Dresser, & McKee (COM) • HOR • Malcolm Pirnie, Inc. • Marmac Field Services • Montgomery, Watson, Harza (MWH) • PBS&J Carollo Engineers, Marmac Field Services, and MWH declined to propose for this project. HOR and Black and Veatch proposed as a team as did Malcolm Pirnie and COM. PBS&J also proposed. As a result, three responsive proposals were received on January 22, 2004. Each member of an in-house review panel individually ranked the proposals. Each proposal was graded from 1to10 (10 being best) in six weighted categories described below: 1. Project Approach and Understanding of the Scope of Work (Weight 10) -Rates the team's understanding of the Scope of Work included in the RFP and their approach to the work, methodology, quality control, and task breakdown. 2. Plan for Managing and Performing the Work and Quality Control (Weight 6) -Rate the team's project management techniques and methods and procedures for performing the tasks. 3. Applicable Staff Qualifications (Weight 6) -A comparison of the team's educational background and professional qualifications as they relate to the Scope of Work for this project. 4. Applicable Related Project Experience (Weight 6) -Rates the team's overall total number of years experience and roles performing engineering services as it relates directly to the design and construction of this project. This also rates the team's recent experience on applicable projects as it relates directly to the design and construction support for this project. 5. Team Organization and Use of Subconsultants (Weight 2) -Addresses the appropriateness of assignments to consultant staff and/or subconsultants to consultant teams. 6. Proposed Schedule (Weight 2) -Rates the consultant's proposed schedule as to whether it meets the District's needs and whether the consultant can meet the schedule. This also rates whether the consultant provided an accelerated schedule and could the consultant meet it. EDMS: 0037637 45 The initial written proposal rankings were compiled on January 29, 2004 and a meeting was held to present the results and discuss the reasons/background for individual rankings. Table 1 shows the results of the team evaluation based on the original proposed submittals. The firms were ranked as follows: 1. Malcolm Pirnie 2. PBS&J 3. HDR 1381 Points 1163 Points 1138 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: Malcolm Pirnie Malcolm Pirnie had the highest-ranked proposal based on meeting the Orange County Sanitation District's requirements for understanding of the Scope of Work, project approach, management techniques, applicable project experience, team organization and use of sub-consultants. Malcolm Pirnie's quality control and quality assurance (QA/QC) as well as their project management procedures were excellent. The staff's qualifications are good. The staff has the best similar and most recent project experience as evidenced by their teaming with COM, who is currently working on Job No. J-71-8, another odor control project, and Lee & Ro, who has performed very well on several projects in the areas of Electrical & Instrumentation and Controls. The proposed project team, including sub-consultants, is well organized based on specialties and division of work. In addition to these items, the following attributes formed the basis for Malcolm Pimie's high ranking: 1. Good innovative ideas for design and construction sequencing 2. Significant acceleration of schedule 3. Project Manager had significant experience with chemical scrubbers 4. Performed well on GWRS project using District guidelines Fee Proposals After the final ranking of the 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 ranking was Malcolm Pirnie PBS&J HDR $6,025,042 $5,804,684 $5,319,849 As indicated above, the proposed fees received from the 3 firms differed by slightly over 11 % between the highest and lowest cost. Based on this, Management accepted the Staff recommendation to select Malcolm Pirnie to perform the design and to commence negotiations to explore the possibility to reduce the fee by while maintaining the Scope of Work. This negotiation took place and Malcolm Pirnie reduced their fee by 4.1 % or slightly more than $246,000. This reduction in fee was accomplished without any reduction in scope, although Malcolm Pirnie evaluated their hours and provided a reduction from their original estimate. Table 2 summarizes the data from the consultants including the negotiated reduced fee and hours from Malcolm Pirnie. Based on the data provided above plus the highest technical ranking, Staff recommends that Malcolm Pirnie be awarded the Professional Services Agreement (PSA) for Primary Treatment Rehabilitation & Refurbishment, Job No. P2-80, for a total design fee not to exceed $5,778,518. EDMS: 003763745 TABLE 1 Primary Treatment Rehabilitation and Refurbishment at Plant No. 2 Job No. P2-80 Firm HOR Malcolm Pirnie PBS&J Reviewer A 202 312 188 Reviewers 314 310 284 ReviewerC 224 200 222 ReviewerD 196 247 251 ReviewerE 202 312 218 ReviewerF 218 240 236 Total Score (1920 Points Maximum) 1138 1381 1163 Average Score (320 Points Maximum) 162.6 197.3 166.1 Design Phases 2 & 3 Only Workforce Estimate (Man-hours) 42,147 48,872 53,816 Construction Workforce Estimate (Man-hours) N/A NIA N/A Total Workforce Estimate (Man-hours) N/A N/A N/A Proposed Design Schedule (Weeks 78 76 77 Proposed Fee for Phases 2 & 3, Not to Exceed $5,319,849 $6,025,042 $5,804,864 Technical Ranking 3 1 2 TABLE2 Primary Treatment Rehabilitation and Refurbishment at Plant No. 2 Job No. P2-80 HOR Malcolm PBS&J Pirnie Phase 2 + 3 Hours 42,147 47,419 53,816 Phase 2 + 3 Costs,$ $5,319,849 $5,778,518 $5,804,864 Cost per hr, for Ph 2 + 3, $/hr $126.20 $121.86 $107.90 Overhead Rate,% 103 95 90 EDMS: 003763745 PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: CT Bien , Project Manager SUBJECT: LABORATORY REHABILITATION IN PLANT NO. 1 PROJECT NO. J-88 GENERAL MANAGER'S RECOMMENDATION Meeting Date 03/04/04 Item Nu mber PD C04-22 Approve Professional Services Agreement with Tetra Design , Inc. providing for engineering services for Laboratory Rehabilitation in Plant No. 1, Job No .J-88, for an amount not to exceed $65,655 . SUMMARY To Bd . of Dir. 03/24 /04 Item Number 13 .h . • The District's Laboratory ventilation system was built in 1991. The use of corrosive liquids has caused damage to the fume hoods , components of the exhaust system located above the drop ceiling , ceiling tiles , and casework. • This project includes replacing four existing fume hoods and install i ng one new fume hood . Also included are repairs to damaged ceiling tiles , casework , and f loori ng. • The Profe ss ional Services A g re e ment (PSA) inc ludes t he fo ll owing : 1. A study to determine the most cost-effective method t o repai r t he corroded exhaust system , fume hoods , c asework/cabinetry, flooring , an d cei li ng til es 2. Detailed constructability and construction sequencing analysis. 3. Preparation of bidd i ng a nd construction documents . 4. The consultant w il l provide construction management support wh e n re q ueste d by staff. • Proposals were sent to six engi neering firms. Three proposals were rece ived an d evaluated in accordance with District procedures . Staff recomm e nds th e approval of the PSA to Tetra Design , Inc. for an amount not to exce e d $65 ,6 55. PRIOR COMMITTEE/BOARD ACTIONS Please see the attached PSA Status Report. H:ldept\agendalPOC\2004\Agenda Reports\04·22 • J-88 • 030404 .doc Page 1 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 $65 ,655 for Consultant design services is being requested . This authorization is within the Capital Improvement Project Budget. See attached Budget Information Table . BUDGET IMPACT ~ The item is within this budget. (Line item : Section 8 , page. 129) D This item has been budgeted , but there are insufficient funds . D This item has not been budgeted . D Not applicable ADDITIONAL INFORMATION N/A ALTERNATIVES No alternatives were considered. CEQA FINDINGS Notice of Exemption has been filed . ATTACHMENTS 1. Budget Information Table 2 . PSA Status Report 3. Staff Evaluation of Proposals to Provide Engin eering Servi ces CTB :eh :ba H lntglobal\Agenda Draft Reports\POCIJ-88 AR 030404 doc Pag e 2 ( ORIGINAL PROJECT/PHASE AUTHORIZED BUDGET Phase 1 -Project Development $ 30,000 $ Phase 2 -Preliminary Design $ 81,000 $ Phase 3 -Design $ 380,000 $ Phase 4 -Construction $ 1,086,000 $ Phase 5 -Commissioning $ 106,000 $ Phase 6 -Close-Out $ 26,500 $ Phase 7 -Continaencv $ 120,000 $ PROJECT TOTAL $ 1,829,500 $ I Reimbursable Costs PROJECT NET $ 1,829,500 $ Design PSA $ 250,000 $ Construction Contract $ 800,000 $ EDMS: 003764197 CURRENT PROJECT BUDGET INFORMATION TABLE LABORATORY REHABILITATION IN PLANT N0.1 JOB NO. J-88 PROPOSED PROPOSED FUNDS THIS BUDGET INCREASE REVISED AUTHORIZED TO AUTHORIZATION BUDGET /DECREASE BUDGET DATE REQUEST 30,000 $ 30,000 $ 30,000 81,000 $ 81,000 $ 8,000 $ 22.000 380.000 $ 380,000 $ 48,000 s 33.655 1,086,000 $ 1,086,000 $ 80.000 s 10000 106,000 $ 106,000 $ 10,000 26,500 $ 26,500 $ 5,000 120,000 $ 120,000 1,829,500 $ -$ 1,829,500 $ 181,000 $ 65,655 1,829,500 $ . $ 181,000 $ PSA/Contract 250,000 $ 250,000 $ -s 65.655 800,000 s $ 800,000 ESTIMATED ESTIMATED PROPOSED TOTAL AUTHORIZATION EXPENDITURE TO EXPENDED TO DATE DATE(%) $ 30,000 $ 9,268 31% $ 30,000 $ 81,655 $ 746 2% $ 90,000 $ - $ 10,000 $ - $ 5,000 $ - $ - $ 246,655 $ 10,014 4% 246,655 $ 10,014 4% $ 65,655 $ 746 2% $ - Total Project Budget: Consultant: Start Date of Project: Date Pending EDMS: 003763977 $1,829,500 Professional Services Agreement Status Report LABORATORY REHABILITATION IN PLANT NO. 1 JOB NO. J-88 Tetra Design, Inc. March 22, 2004 Amendment Description Cost Original PSA Design engineering construction management services for Laboratory Rehabilitation. $65,655 02/17/04 Accumulated Costs $65,655 '"" . ' LABORATORY REHABILITATION IN PLANT N0.1 JOB NO. J-88 Staff Evaluation of Proposals to Provide Engineering Services Request for Proposals (RFPs) were sent on December 30, 2003 to the following consulting firms: • CEDG • Glumac International • Tetra Design, Inc. • P2S • SPEC Services, Inc. • Fluor Enterprises, Inc. The six firms attended the mandatory pre-proposal meeting scheduled on January 6, 2004. Fluor Enterprises, Inc., and CEDG elected not to participate and submitted a letter to decline submittal of a proposal. P2S elected to joint Tetra Design, Inc. team. As a result, there were three responsive proposals received on January 21, 2004. Each member of an in-house review panel individually ranked the proposals. The review panel consisted of five members. Each proposal was graded from 1 to 10 (1 O being best) in six weighted categories described below: 1. Project Approach and Understanding of the Scope of Work (Weight 10) - Rates the team's understanding 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 (Weight 6) -Rate the team's project management techniques and methods and procedures for performing the tasks. 3. Applicable Staff Qualifications (Weight 6) -A comparison of the team's educational background and professional qualifications as they relate to the Scope of Work for this project. 4. Applicable Related Project Experience (Weight 6)-Rates the team's overall total number of years experience and roles performing engineering services as it relates directly to the design and construction of this project. This also rates the team's recent experience on applicable projects as it relates directly to the design and construction support for this project. 5. Team Organization and Use of Subconsultants (Weight 2) -Addresses the appropriateness of assignments to consultant staff and/or subconsultants to consultant teams. 6. Proposed Schedule (Weight 2)-Rates the consultant's proposed schedule as to whether it meets the District's needs and whether the consultant can meet the schedule. This also rates whether the consultant provided an accelerated schedule and could the consultant meet it. 2117/2004 The written proposal rankings were compiled on February 3, 2003. The following summarizes their final ranking: 1. Glumac International 1220 Points 2. Tetra Design, Inc. 1392 Points 3. SPEC Services, Inc. 1016 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: Tetra Design. Inc. Tetra Design was ranked number 1 by four of the five review team members and had the highest-ranked technical proposal based on meeting the Orange County Sanitation District's requirements for understanding of the Scope of Work, project approach, management techniques, applicable project experience, team organization and use of sub-consultants. They also presented several issues in the project approach and proposed solutions to help in delivering a successful project. Tetra Design's team demonstrates a clear understanding of the scope of work; extensive laboratory experience; as well as their project management procedures was excellent. The proposed Project Manger's qualifications are excellent. The staff has the best similar and most recent project experience. The proposed project team, including sub- consultants, is well organized based on specialties and division of work. In addition to these items, the following attributes formed the basis for Tetra Design's high ranking: 1. Good innovative ideas and construction sequencing 2. Significant acceleration of the design schedule 3. PM, mechanical/electrical/plumbing engineers had significant experience with Laboratory renovation experience 4. Team's tasks are completely listed broken down by disciplines; project schedule is accelerated to 12 weeks indicated all required approvals and delineates major tasks and milestones. 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: 1. Tetra Design, Inc. $ 2. Glumac International $ 3. SPEC Services, Inc. $ 65,655.00 45,846.00 82,689.00 After viewing the submitted fee proposals, it was clear to the Management team that further analysis was required to justify the selection of Tetra Design since the design firm selected solely on technical merit submitted the medium cost, whereas, the second highest rated firm came in with a cost that was almost 40% lower or approximately $19,809.00 less. In order to try to bring some rationale to the submitted costs, a detailed review and analysis of the level of effort and fee proposals was performed. Based on this evaluation, Tetra Design was found to have the appropriate amount of man-hours for (Design Work) based on the "Rule of Thumb" of man-hours per drawing for production of 2 2117/2004 projects (120 man-hours per drawing). In fact, the difference between Tetra Design and Glumac was close to 119 man-hours or 20% less man-hours proposed by Glumac, the other consulting firm (SPEC) had total 1041 man-hours or 75% more man-hours proposed by Glumac. This analysis made us recognize that Glumac has underestimated the level of effort to complete the design work. Based on the data provided above plus the highest technical ranking, Staff recommends that Tetra Design be awarded the Professional Services Agreement (PSA) for Laboratory Rehabilitation in Plant No. 1, Job No.J-88, for a total design fee not to exceed $65,655. 3 2/17/2004 FIRM Reviewer A Reviewer B Reviewer C Reviewer D Reviewer E TOTAL SCORE AVERAGE SCORE TABLE 1 Laboratory Rehabilitation in Plant No . 1 Job No . J -88 Glumac Tetra Design, International Inc. 310 236 314 320 200 270 202 276 194 290 1220 1392 244 279 TECHNICAL RANKING 2 1 Total Workforce Estimate (m anhours) Proposed Des ig n Schedule (weeks) Proposed Fee , NOT TO EX CEED Total Cost per hr. ($/hr) Overhead Rate (%) EDMS: 003764028 TABLE 2 Laboratory Rehabilitation in Plant No. 1 Job No . J-88 Glumac Tetra Design, Inc. International 582 701 12 12 $45 ,846 $65 ,655 $78.77 $93 .65 90.0 100 .0 4 1, SPEC Services, Inc. 244 160 130 248 234 1016 203 3 SPEC Services, Inc. 1041 25 $82,689 $79.43 60.0 2/17/2004 PDC COMMITTEE AGENDA REPORT Orange County Sanitation Dr stnct FROM: David Ludwin , Director of Engineering Originator: Hardat Khublall, Engineer Meeting Date 3/04/04 Item Number PDC04 -2 3 SUBJECT: GISLER-REDHILL TRUNK SEWER RELOCATION -PHASE 1 , CONTRACT NO. 7-32-1 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 3/24/04 - Item Number 13.i. Approve Professional Services Agreement with Spec Services , Inc. for engineering services for Gisler-Redhill Trunk Sewer Relocation -Phase 1, Contract No. 7-32-1 , for an amount not to exceed $102,591. SUMMARY • The purpose of this project is to construct a new portion of a gravity sewer to divert flows from the Gisler-Redhill Trunk Sewer into the Main Street Trunk Sewer. The flow diversion will take place beneath Main Street, in the City of Tustin , near the crossing point of the two trunk sewers , and will allow abandonment of a portion of the downstream segment of the Gisler-Redhill Trunk Sewer. • The College Avenue pump station currently utilizes all of its existing pumps to accommodate wet weather flow s . This pump station does not have sufficient space to install additional pumps . This project will red uce flows to the College Avenue pump station thereby bringing it into compliance with the District standard of maintaining one standby pump ; otherwise, this pump station will require total replacement. • The P1ofessional Se1v ice s Ag1eement (PSA) includes the following : 1. Preparation of Prelim inary Design Report to evaluate various relocation alternatives . 2. Final Design of the selected alternative . 3. Support services for th e District's supplemental Environmental Impact Report . 4. Preparation of bidding & construction documents. • Proposals were sent to four engineering firms . Three proposals were received and evaluated in accordance with District procedures . Staff recommends the approval of the PSA to Spec Services for an amount not to exceed $102,591. H:ldeptlagenda\PDC\2004\Agenda ReportS\04-23 -7·32· 1 • 030404 .doc Revised: 06/04/03 Page 1 • Once the construction contract is known, Staff plans to request additional funding for '\ construction management support. ; PRIOR COMMITTEE/BOARD ACTIONS Please see the attached Professional Services Agreement Status Report. PROJECTICONTRACTCOSTSUMMARY The total budget estimate for the Gisler-Redhill Trunk Sewer Relocation -Phase 1, Contract No. 7-32-1, is $936 ,000 . For this project, a budget authorization of $102,591 is requested for engineering services . See the attached Budget Information Table for more information . BUDGET IMPACT IZJ This item has been budgeted . (Line item : Section 8, Page 32 , FY2003 I 04) 0 This item has been budgeted, but there are insufficient funds. 0 This item has not been budgeted. 0 Not applicable (information item) ADDITIONAL INFORMATION Construction of this project will avoid expensive rehabilitation of the College Avenue Pump Station . It also relocates the Gisler-Redhill Trunk in an area that may conflict with a future Caltrans Freeway Project. ALTERNATIVES None CEQA FINDINGS The proj ect was not specifically mention ed in th e 1999 Strategi c Plan Program EIR. The project, as it is currently planned , will be evaluated in the Supplemental Program Environmental Impact Report (J-40-10) being prepared for the Collection Systems. ATTACHMENTS 1. Budget Information Table 2 . Professional Services Agreement Status Report 3 . Staff Evaluation of Proposals to Provide Engineering Services HK:eh H lntglobal\Agenda Draft ReportslPDC\7 -32-1AR030404 doc Revi sed 06/04/03 Page 2 Phase 1 -Proiect Development $ 30,000 $ Phase 2 -Preliminary Design $ 79,000 $ Phase 3 -Design $ 141,000 $ Phase 4 -Construction $ 543,000 $ Phase 5 -CommissioninQ $ 53,000 $ Phase 6 -Close-Out $ 25,000 $ Phase 7 -Contingencv $ 65,000 $ PROJECT TOTAL $ 936,000 $ !Reimbursable Costs PROJECT NET $ 936,000 $ Design PSA $ 113,632 $ Construction Contract $ 456,120 $ EDMS: 003763566 BUDGET INFORMATION TABLE GISLER-REDHILL TRUNK SEWER RELOCATION -PHASE 1 CONTRACT NO. 7 -32-1 30,000 $ 30,000 $ 9,122 79,000 $ 79,000 $ 9, 122 s 48.470 141,000 $ 141,000 $ 27,367 s 54121 543,000 $ 543.000 53,000 $ 53.000 25,000 $ 25,000 ' ;- 65,000 $ 65,000 I 936,000 $ 0 $ 936,000 $ 45,611 $ 102.591 k:I $ $ $ $ $ $ $ $ 936,000 $ 45,611 s 102,591 $ PSA/Contract .. , 113,632 $ 113,632 i~ ~ $ 0 $ 102,591 $ ,, ,, 456,120 $ .o $ 456,120 ., $ 0 s 0 $ 9,122 $ 475 5% 57,592 $ 0 0% 81,488 $ 0 0% 0 $ 0 0 $ 0 0 $ 0 0 148,202 $ 475 0% 148,202 $ 475 0% 102,591 $ 0 0% 0 $ 0 Total Project Budget: $936,000 Professional Services Agreement Status Report Gisler-Redhill Trunk Sewer Relocation -Phase 1 Contract No. 7-32-1 Consultant: Spec Services Start Date of Project: April, 2004 -·---·-------····-··.,-··---- Date Amendment Pending Original PSA EDMS: 003763567 Description Eng in ring Services for the preparation of ee act R Contr Documents for the Gisler-Redhill Trunk Sewer elocation -Phase 1, Contract 7-32-1 -····-- Cost Accumulated Costs $ 102,591 None t GISLER-REDHILL TRUNK SEWER RELOCATION -PHASE 1 Contract No. 7-32-1 Staff Evaluation of Proposals to Provide Engineering Services Requests for Proposals (RFPs) were sent to the following consulting firms: • CGvl Engineers • Marmac Field Services • Spec Services • Tran Consulting Engineers Tran Consulting Engineers declined to submit a proposal. As a result, there were three responsive proposals received on January 20, 2004. Proposals were reviewed in-house by a review panel from January 20 to February 4, 2004. The review panel consisted of four members. Each proposal was graded from 1 to 1 O (1 O being best) in six categories described below: 1. Project Approach and Understanding of the Scope of Work (Weight 10) -Rates the team's understanding of the Scope of Work included in the RFP and their approach to the work, methodology, quality control, and task breakdown. 2. Plan for Managing and Performing the Work and Quality Control (Weight 6) -Rate the team's project management techniques and methods and procedures for performing the tasks. 3. Applicable Staff Qualifications (Weight 6) -A comparison of the team's educational background and professional qualifications as they relate to the Scope of Work for this project. 4. Applicable Related Project Experience (Weight 6) -Rates the team's overall total number of years experience and roles performing engineering services as it relates directly to the design and construction of this project. This also rates the team's recent experience on applicable projects as it relates directly to the design and construction support for this project. 5. Team Organization and Use of Subconsultants (Weight 2) -Addresses the appropriateness of assignments to consultant staff and/or subconsultants to consultant teams. 6. Proposed Schedule (Weight 2)-Rates the consultant's proposed schedule as to whether it meets the District's needs and whether the consultant can meet the schedule. This also rates whether the consultant provided an accelerated schedule and could the consultant meet it. The initial written proposal rankings were compiled on February 4, 2004 and a meeting was held to present the results and discuss the reasons/background for individual rankings. Table 1 shows the results of the team evaluation based on the original proposed submittals. The firms were ranked as follows: 1. 2. Spec Services CGvL Engineers 1, 103 Points 1,085 Points 3. Marmac Field Services 793 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: Spec Services Spec Services' proposal outlined several innovative methods of relocating the Gisler-Redhill Trunk Sewer including: (1) Routing of the trunk directly to the Main Street Pump Station to avoid traffic detours along Main Street. (2) Tying-in of the Gisler-Redhill Trunk into the Main Street Trunk Sewer. (3) Utilizing state of the art odor control technology (Vortex flow insert) with an air jumper to minimize odor due to the vast elevation difference between the Main Street Trunk Sewer and the Gisler-Redhill Trunk. (4) Incorporating trenchless boring construction to minimize traffic impact on Main Street. The company itself has limited sewer pipeline design experience; however, several engineers assigned to the project have done very good sewer pipeline design in the past for the District while employed at Willdan and Associates. Spec Services' proposal also included specific number of design drawings with clearly defined quality control procedures for all deliverables. The proposed project team, including sub-consultants, is well organized based on specialties and division of work. In addition to these items, Spec Services provided the best schedule that meets the District's requirements. Fee Proposals After the final ranking of the 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 ranking was Spec Services CGvL Engineers Marrnac Field Services $102,591 $204,816 $237,982 As indicated above, the proposed fees received from the three firms differ significantly between the highest and lowest cost. Staff was concerned about the low fees quoted by Spec Services and a meeting was held to clarify the Scope of Work and to get confirmation that Spec Services can complete the work for the quoted fees. At the conclusion of the meeting with Spec Services staff was convinced that Spec Services can complete the design scope of work for the fees quoted and within the schedule provided. Based on this, Management accepted Staff's recommendation to select Spec Services to perform the design. CGvL submitted a technically strong proposal with many good ideas, however, their costs were signicantly high. Marmac's proposal indicated a lack of understanding of the project and also included high labor hours. CGvL and Marmac Services quoted fees that were more than twice that of Spec Services and they proposed more effort than is estimated to be needed for the completion of the project. Based on the data provided above plus the highest technical ranking, Staff recommends that Spec Services be awarded the Professional Services Agreement (PSA) for Gisler-Redhill Trunk Sewer Relocation, Contract No. 7-32-1 for a total design fee not to exceed $102,591. / ' ,. TABLE 1 GISLER REDHILL TRUNK SEWER RELOCATION -PHASE 1 CONTRACT NO. 7-32-1 Firm CGVL Marmac Field Spec Services Engineering Services Reviewer A 280 251 299 Reviewer B 267 156 277 ReviewerC 309 187 294 ReviewerD 229 199 233 Total Score (1280 Points Maximum) 1085 793 1103 Average Score (320 Points Maximum) 271.3 198.3 275.8 Design Phases 2 & 3 Only Workforce Estimate (Man-hours) 1509 2880 1002 Construction Workforce Estimate (Man-hours) NIA NIA NIA Total Workforce Estimate (Man-hours) NIA NIA NIA Proposed Design Schedule (Weeks 56 54 40 Proposed Fee for Phases 2 & 3, Not to Exceed $204,816 $237,982 $102,591 Technical Ranking 2 3 1 TABLE2 GISLER REDHILL TRUNK SEWER RELOCATION -PHASE 1 CONTRACT NO. 7-32-1 CGVL Marmac Field Spec Services Engineering Services Phase 2 + 3 Hours 1509 2880 1002 Phase 2 + 3 Costs,$ $204,816 $237,982 $102,591 Cost per hr, for Ph 2 + 3, $/hr 135.73 82.63 102.39 Overhead Rate,% 93% 54.6% 60% HK: eh EDMS: 003763585 PDC COMMITTEE AGENDA REPORT Orange County Sanitation Di strict FROM: David Ludwin, Director of Engineering Originator: Hardat Khublall, Engineer Meeting Date T o Bd. of Di r. 03/04/04 03/24/04 I tem Number Item Number PDC04-24 13.i. SUBJECT: LEMON HEIGHTS SUBTRUNK STREET REHABILITATION , CONTRACT NO. 7-22-1 ; TUSTIN TRUNK IMPROVEMENTS, CONTRACT NO. 7-38 ; AND WEST TRUNK IMPROVEMENTS , CONTRACT NO. 7-40 GENERAL MANAGER1S RECOMMENDATION Approve Professional Services Agreement with RBF Consulting for engineering services for Lemon Heights Subtrunk Street Rehabilitation , Contract No. 7-22-1 , Tustin Trunk Improvements , Contract No. 7-38, and West Trunk Improvement s , Contract No . 7-40 , for an amount not to exceed $253,578 . SUMMARY • The purpose of this project is to replace a portion of the existing Tustin and West Trunks with larger di am eter sewer lines. The District's 1999 Strategic Pl a n identified these lines to be hydraulically deficient and in need of replacement. The Lemon He ights Subtrunk Stree t Re habilitation includes the investigation and repair of ex isting pavement failure ove rlying a portion of th e Di stri ct's 18" s ewer line . • Lemon Heights Subtrunk Street Rehabilitation , Tustin Trunk Improve ments , and West Trunk Improvem ents, are located within the Citi es of Santa Ana and Tustin , and unincorporated are as of th e County of Orange. Although physically s eparate, these projects are proposed to be managed as one design contract for improved efficiency and coordination . • Proposals were sent to f ive engineering firms . Three proposals were received and evaluated in accordance with the District procedures . Staff recommends the approval of RBF Consulting for an amount not to e xcee d $2 53,578. • The Professional S e rvic es Ag reement (PSA ) includes th e followin g: 1. Preparation of a Prelim inary Design Report to evaluate various alignment alternatives , includin g ve rification of ex isting flows and investigation of pavement failure. 2. A geotechnical study to evaluate subsidence issu es along Lemon Heights Subtrunk. H :\d epl\age nda\PDC\2004\Agenda Rep orts\04-24 -7 -22-1 7-38 7 -40 -030404.doc Revised: 06/04/03 Page 1 3 . Final Design of the selected alternative for pipeline replacement, and the selected repair scheme for the roadway. 4. Support services for the District's Supplemental Environmental Impact Report . 5. Preparation of bidding & construction documents. 6 . Once the construction contract cost is known , staff plans to request additional fund ing for construction management support. PRIOR COMMITTEE/BOARD ACTIONS Please see the attached Professional Services Agreement Status Report . PROJECT/CONTRACT COST SUMMARY The total budget estimate for the Lemon Heights Subtrunk Street Rehabilitation, Contract No . 7-22-1 , Tustin Trunk Improvements , Contract No. 7-38 , and West Trunk Improvements , Contract No. 7-40 , is $5 ,925,713. For Lemon Heights Subtrunk Street Rehabilitation , a budget authorization of $37,456 is requested for engineering services with a reallocation of $5 ,000 from contingency to Phase 3 . For Tustin Trun k Improvements , a budget authorization of $188 ,708 is requested for engineering services. For West Trunk Improvements, a budget reallocation /authorization of $30 ,000 is requested to properly account for staff costs and $27,414 is requested for engineering servi ces . See attached Budget Information Tables for more i nformation . BUDGET IMPACT [gJ This item has been budgeted. (Line item : S ection 8, Page 36) D This item has been budgeted , but there are insufficient funds . D This item has not been budgeted . 0 Not applicable (information item) ADDITIONAL INFORMATION In the current budget (fiscal year 2003-2004 ), these projects, Lemon Heights Subtrunk Street Rehabilitation, Contract No. 7-22-1, Tustin Trunk Improvements , Contract No. 7-38 , and West Trunk Improvements , Contract No . 7-40 , are combined as Tustin West/Lemon Heights Trunk Improvements Contract No. 7-56 . Since these projects are geographically close to one another, staff recently decided to budget them as one project. Prior to th is budget year, these projects were separately budgeted. However, after Staff's decision to combine these project's budgets , Accounting has now recommend that the financial portion of this contract continue to be managed as separate budgets fo r each of the three projects . Separate budgets ha ve now been prepared in the Financial Information System (FIS) based upon the previously approved budget. The attached Budget Information Tables show the current budget status. H:\dept\age nda\PD C\2004\Age nda Reports\04-24 -7-2 2-1 7-38 7-40 -030 404.doc Revised: 06/04 /03 Page 2 ALTERNATIVES No alternatives are proposed. 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 1. Budget Information Table 2. Professional Services Agreement Status Report 3. Staff Evaluation of Proposals to Provide Engineering Services HK:mr:eh:mr:eh H:\dept\agenda\PDC\2004\Agenda Reports\04-24 -7-22-1 7-38 7-40-030404.doc Revised: 05/04/03 Page3 BUDGET INFORMATION TABLE LEMON HEIGHTS SUBTRUNK STREET REHABILITATION CONTRACT N0.7-22-1 -I -t: ,II -I , .... '"".~· 4 .. ,, ~' ORIGINAL CURRENT p=~~~~D PROPOSED FUNDS THIS PROPOSED ESTIMATED PROJECT/PHASE 1, AUTH0RIZED PROJECT INCREASE REVISED AUTHORIZEDTO AUTHORlZATION 1 TOTAL EXPENDITURE I ESTIMATED EXPENDED TO DATE(%) BUDGcT BUDGET /DECREASE BUDGET DATE ~ REQUEST AUTHIDRIZATION 1' TO DATE I ~~-·:f't:.'i-....:;tl~._19,-...._.: ______ ,] __ ~t'~-'~--+~,1 -~-~ ..... ~,-~~ ...... ~~-~'-.....oi------'~x-~-.....:...-~;;.t;..J ----------f'--..-·~.;.;.;;,·--~~--~._,.,,~~I~• 1--...... ----·---~T-"~'~·~~~l~·~·~~~·~~'--f---"'"""=-;;.;;.;,;·--~·~.;._-+----.;'~~·~-·"t•:~~·~;.;...1 -+'-•···.....-•~;;;.;.;;~.~-~~··.-.;;~~~·~~1 : ; I~ ·~· ' ---,.~r.(!.t; Phase 1 -Project Development $ 5,473 $ 5,473 $ 5,473 $ 5,473 ~·,, .Z.:'.: $ 5 473 $ 0 0% ~:: Phase 2 -Preliminary OesiQn $ It 2 s'/% $ 0 0% 5,3 32 $ 8,209 $ $ 8,209 $ 8,209 $ 8,209 I Phase 3 -Design s 49,254 $ 49,254 s 5,000 $ 54,254 $ 16,000 $ 34 579 $ 50,579 s 0 0% Phase 4 -Construction s 317,413 s 317,413 s 317,413 ' s Phase 5 -Commissionino $ 5,472 $ 5,472 s 5,472 s Phase 6 -Close-Out s 1,368 $ 1,368 s 1,368 $ .I Phase 7 -Contingency $ 82,090 $ 82,090 s 15.000' $ 77,090 , ',' < • ' s ,, 1--~~~~--t~~~~~--11--~~~~-r~~~~~-t-~~~~--t PROJECT TOTAL $ 469,279 $ 469,2 79 $ 469,279 11 $ 26,805 $ 37,456 $ 64,26 1 $ 0% 'Reimbursable Costs 11 PROJECT NET $ 469,279 $ 469,279 s -s 469,279 $ 26,805 $ 37,456 s 64 ,261 $ 0 % PSA/Contract ' DesiQ n PSA $ 57,456 $ 57,456 .Ji ·~ s 57,456 $ -$ . 37:.$56 $ 37,456 $ 0 0 % ·~ Constructio n Contract $ 266,626 $ 266,626 $ $ 266,626 • S. $ " ~ -• .,.;i.L:-, ... ~,.;,J ...... ~ - , EDMS: 003764151 t. 1:~;f~"a" ~r-:· -C<c•'' ., i:· ot' "l.!l ··-·r·-~ ~"'·•· -... 1 ORIGINAL I ~ CURRl:NT " f?ROJ ECT/~HASE I AUTHORIZED PROJECT ~~\. < '~ ' BUDGET> Iii BUDGET ' I r ~,,.Jl~~~,!~~-~ ... , '~ l:t .,_ i. l;'~-'. ' .!!!~. I\~ --•• fl,• I~ Phase 1 • Proiect Develooment $ 6 1 ,929 $ 61 ,929 Phase 2 • Prel iminarv DesiQn $ 92,895 $ 92,895 Phase 3 • D esian $ 557 ,364 $ 557 ,364 Phase 4 • Construction $ 3 ,285 ,393 $ 3 ,285,393 P hase 5 • Commissionina $ 61,929 $ 61 ,929 P hase 6 • Close-Out $ 15.482 $ 15 ,482 Phase 7 • Continaencv $ 928,938 $ 928 ,938 PROJECT TOTAL $ 5 ,003,930 $ 5 ,003,930 $ PROJECT NET $ 5 ,0 03 ,930 $ D esian PSA $ 558,845 $ 558,845 $ Construction Contract $ 2.759 ,730 $ 2 ,759,730 $ EDMS : 003763794 BUDGET INFORMATION TABLE TUSTIN TRUNK IMPROVEMENTS CONTRACT NO. 7-38 PROPOSED PROPOSED FUNDS ~ ,,. THIS ~ ...... ' " "r ~..r,:11: \-""~· PR'0POSEO I•. ESTIMATED BUDGET REVISED ' 'AUTHORIZED T0 AUTH0RIZATICi>N 11 T0"J!AL EXf?ENDITURE •_, INCREASE AUTH0RIZATl0N BODGE1i DATE REQIJ):ST /DECREASE · I; t'QDATE I• ~ i . It "-'".;,me\;{ .{1.tl ' ~ . It, ,, " .~·r.-~ .... ·;: l: I ~ii:{' 1 ' l j._( $ 6 1,929 $ 6 1,929 • .!'A' •• .< .... :\':' $ 61 ,929 $ 33,995 !L q .'.lt. 1, ,,, $ 92,895 $ 55,194 $ .1'4 516 $ 69,710 $ 0 $ 557,364 I >• $ 165,584 $ 17411.92" $ 339 ,776 $ 0 " j s 3 ,285,393 l s 61 ,929 l ·"' $ - -;<.:<,> c o -s 15,482 ~"'...}· .nP. s . •7 ,. ·•· .. -· ·-· I $ 928,938 .1 ,. ~-$ . -... ' '. . $ 5 ,003,930 $ 282,707 $ 188,708 $ 471,415 s 33,995 -s 5 ,003,930 s 282,707 s 188,708 s 471 ,415 s 3 3 ,9 95 PSA/Contract -'<.. < -$ 558 ,845 $ -188 708 $ 188,708 $ 0 -$ 2,759,730 $ ... "':". -.~ -$ . .. I ~ ·~ l ESTIMATED EXAE~}jeo ;ro D~1'E(o/q) • I •· • _"';..!.:,''~~.r 55% 0 % 0% 7% 7% 0% ~-1~~\( .. -... ORIGlNAL CURRENT PROJECT/PHASE AUTHORIZED PROJECT ~~'.~ BUDGCT I' BUDGET ;~ ,,p"' ' • ~ - Phase 1 -Project Development $ 5 ,277 $ 5,277 $ Phase 2 -Prelim inarv Desian $ 7,916 $ 7,916 Phase 3 -Design $ 47,491 $ 47,491 Phase 4 -Construction $ 306,067 $ 306,067 Phase 5 -Commissionina $ 5 ,278 $ 5,278 Phase 6 -Close-Out $ 1,320 $ 1,320 ' Pha se 7 -Continaencv $ 79,155 $ 79,155 rs PROJECT TOTAL $ 452,504 $ 452,504 $ !Reimbursable Costs PROJECT NET $ 452,504 $ 452,504 $ Desian PSA $ 52,062 $ 52,062 Construction Contract $ 257,096 $ 257,096 1 ~$ ED MS: 003763793 BUDGET INFORMATION TABLE WEST TRUNK IMPR OVEMENTS CONTRACT NO . 7-4 0 .. \, \ •I r· I ' .. "~ II.I<-F ·-·.-' ,, PROPOSED IWDGET PROPOSED FUNDS THlS INCREASE ~EVISED AUTHORIZED TO AUTHORIZATION tD!CREASE BUDGET DATE REQUEST I " ·-·~---• •. .!.. i- 30000 $ 35,277 $ 5 ,277 $ ' 30,000 : .. $ 7,916 $ 5 ,142 $ 2109 - $ 47,49 1 $ 15,425 $ !! 25305 .,. $ 306,067 '(.<_ c'";'.fi .. _ .. , ~ , -::}£ ,_\/., ' $ 5.278 ... .!!i; • ,<;.~,r, ~ .. .... , .. ·; ' ~ $ 1,320 M . . I $ .;.1 ,{30 000) $ " 49 ,155 -" , .• ,--=-'~ -$ 45 2,504 $ 25,844 $ 57,414 ""' "' I ' Y-·- PROPOSED ESTIMATED TOTAL EXPENDITURE AUTHORIZATION TO DATE ,_ .. -I -··---) $ 35,277 $ 28,876 $ 7,251 $ 0 $ 40,730 $ 0 $ - $ - $ - $ 83 ,258 $ 28,876 -$ 452,504 $ 25,844 $ 57,414 $ 83,2 58 $ 28,876 PSA/Contract ·' ' -$ 52 ,062 $ 0 $ 27414 $ 27,414 $ 0 9'R I""-"' ·• I $ 257,096 $ J ia:· '..l-J''' $ "" -- - ESTIMATED EXPENDED TO DATE(3) ! \ .. t .-:..t 82 % 0% 0% 35 % 35 % 0% Professional Services Agreement Status Report LEMON HEIGHTS SUBTRUNK STREET REHABILITATION, CONTRACT N0.7-22-1; TUSTIN TRUNK IMPROVEMENTS, CONTRACT N0.7-38; AND WEST TRUNK IMPROVEMENTS, CONTRACT N0.7-40 Total Project Budget: $5,925,713 Consultant: RBF Consulting Start Date of Project: April 2004 Date Amendment Description Cost Accumulated Costs Engineering Services for the Preparation of Contract Documents for Lemon Heights Subtrunk Pending Original PSA Street Rehabilitation, Contract No. 7-22-1 ; Tustin $253,578 None Trunk Improvements, Contract No. 7-38; And West Trunk Improvements, Contract No. 7-40 EDMS:003763587 LEMON HEIGHTS SUBTRUNK STREET REHABILITATION, TUSTIN TRUNK IMPROVEMENTS, AND WEST TRUNK IMPROVEMENTS Contract Nos. 7-22-1, 7-38, and 7-40 Staff Evaluation of Proposals to Provide Engineering Services The following interested consulting firms received Requests for Proposals: • COM, Inc. • RBF Consulting • AKM Consulting Engineers • Tetra Tech, Inc. • PBS&J COM & PBS&J declined to submit proposals. As a result, there were three responsive proposals received on January 20, 2004. Proposals were reviewed in-house by a review panel from January 21 to February 4, 2004. The review panel consisted of five members. Each proposal was graded from 1 to 10 ( 1 O being best) in six categories described below: 1. Project Approach and Understanding of the Scope of Work (Weight 12) - Rates the team's understanding of the Scope of Work included in the RFP and their approach to the work, methodology, quality control, and task breakdown. 2. Plan for Managing and Performing the Work and Quality Control (Weight 4) -Rate the team's project management techniques and methods and procedures for performing the tasks. 3. Applicable Staff Qualifications (Weight 7) -A comparison of the team's educational background and professional qualifications as they relate to the Scope of Work for this project. 4. Applicable Related Project Experience (Weight 6) -Rates the team's overall total number of years experience and roles performing engineering services as it relates directly to the design and construction of this project. This also rates the team's recent experience on applicable projects as it relates directly to the design and construction support for this project. 5. Team Organization and Use of Subconsultants (Weight 3) -Addresses the appropriateness of assignments to consultant staff and/or subconsultants to consultant teams. 6. Proposed Schedule (Weight 3) -Rates the consultant's proposed schedule as to whether it meets the District's needs and whether the consultant can meet the schedule. This also rates whether the consultant provided an accelerated schedule and could the consultant meet it. The initial written proposal rankings were compiled on February 4, 2004 and a meeting was held to present the results and discuss the reasons/background for individual rankings. Table 1 shows the results of the team evaluation based on the original proposed submittals. The firms were ranked as follows: 1. RBF 2. Tetra Tech 3. AKM 1,471 Points 1,4 70 Points 1 ,459 Points The following is a summary of how the evaluation team collectively viewed the top ranked consultant: RBF Consulting RBF Consulting submitted a proposal that clearly outlined a series of project issues that would be vital in addressing alignment alternatives, odor, traffic, community outreach, public safety and permitting. Included in the proposal were key issues such as community coordination, striving for zero complaints from area residents and businesses. The proposal also outlined making public safety of utmost concern and importance, with a clearly defined permitting procedure and a listing of all agencies involved. RBF's proposal was easy to read, well organized and concise with key related project profiles listed in a matrix for easy reference. RBF's proposed method of accomplishing the deliverables involved completing most of the work in-house which provides more control and accounts for the best schedule for delivering the final design. RBF's qualifications presented were excellent and included more closely related project experience. Fee Proposals After the final ranking of the technical proposals, the sealed fee proposals, submitted by the firms, were opened. The total fees, not including construction support, received from the consultants were: 1. RBF Consulting 2. Tetra Tech 3. AKM Summary $ 253,578.00 $ 692,392.00 $ 460,910.00 The evaluation committee gave RBF Consulting the highest score. RBF's proposal has less hours resulting in a lower estimated fee, as shown in Table 2. The evaluation team was unanimous in their decision. RBF's fees were the lowest and staff was concerned that RBF may not be able to complete the work for the fees quoted. Based on this staff met with RBF to clarify the consultant's understanding of the scope and to confirm that they can complete the work for the fees quoted. At the conclusion of the meeting staff was convinced that the consultant can complete the work for the quoted fees. Tetra Tech provided a good proposal, however the labor hours quoted were beyond the estimated level of effort required to complete the scope; especially design and odor control. AKM consulting engineers proposal indicated a misunderstanding of the scope of work required including an excessive number of meetings and an over extended schedule for accomplishing the proposed work. Based on the data provided above plus the highest technical ranking, Staff recommends that RBF Consulting be awarded the Professional Services Agreement (PSA) for Lemon Heights Subtrunk Street Rehabilitation, Tustin Trunk Improvements, and West Trunk Improvements, Contract Nos. 7-22-1, 7-38, and 7-40. i TABLE 1 Lemon Heights Subtrunk Street Rehabilitation, Tustin Trunk Improvements, and West Trunk Improvements, Contract Nos. 7 -22·1, 7 -38, and 7-40 Firm RBF AKM Consulting Tetra Tech, Inc Consulting Engineers Reviewer A 268 268 281 ReviewerB 267 283 302 ReviewerC 311 300 303 RevlewerD 341 332 312 RevlewerE 284 276 272 Total Score (1750 Points Maximum) 1,471 1,459 1,470 Average Score (350 Points Maximum) 294.2 291.8 294.0 Design Phases 2 & 3 Only Workforce Estimate (Man-hours) 1538 2366 4112 Construction Workforce Estimate (Man-hours) 500 1075 1358 Total Workforce Estimate (Man-hours) 2038 3441 5470 Proposed Design Schedule (Weeks 40 83 72 Proposed Fee for Phases 2 & 3, Not to Exceed $253,578 $460,910 $692,392 Technical Ranking 1 3 2 TABLE2 Lemon Heights Subtrunk Street Rehabilitation, Tustin Trunk Improvements, and West Trunk Improvements, Contract Nos. 7 -22-1, 7 -38, and 7-40 HK:mr:eh EDMS: 003763769 Phase 2 + 3 Hours Phase2+ 3 Costs,$ Cost per hr, for Ph 2 + 3, $/hr Overhead Rate,% RBF Consulting 1538 $253,578 $164.88 172% AKM Consulting Tetra Tech, Inc Engineers 2366 4112 $460,910 $692,392 $194.81 $168.38 154% 190% I PDC COMMITIEE Meeting Date To Bel. of Dir. 03/04/04 03/24/04 AGENDA REPORT Item Number Item Number Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Ann Tobin , Project Manager SUBJECT: SUPPLEMENTALSECONDARYTREATMENTCEQA DOCUMENTATION , JOB NO. J-40-10 GENERAL MANAGER'S RECOMMENDATION PDC04-25 13.k. Approve Professional Services Agreement with HOR Engineering , Inc. providing for professional services for Supplemental Secondary Treatment CEQA Documentation, Job No. J-40-10, for an amount not to exceed $125,840. SUMMARY • This project provides for supplemental California Environmental Quality Act (CEQA) documentation as an update to the Orange County Sanitation District 's (District) 1999 Strategic Plan Program Environmental Impact Report (PEIR). Since the certification of the PEIR, new projects have been added to the District's Capital Improvement Program that require environmental review under CEQA, most notably projects associated with the District's decision to implement full secondary treatment standards . • In December 2003, the District approved a Professional Services Agreement (PSA) with Environmental Science Associates (ESA) to provide professional services for CEQA documentation for wastewater treatment plant projects currently planned for construction between 2005 and 2015. • The proposed PSA with HOR Engineering, Inc. (HOR) covers professional services for CEQA documentation for collection system improvements currently planned for construction between 2005 and 2015. • Staff solicited proposals from seven firms and evaluated proposals received from two firms for CEQA documentation of collection system im provements , and recommends that the PSA be awarded to HOR in the amount not to exceed $125,840. PRIOR COMMITTEE/BOARD ACTIONS The proposed PSA is a new contract. Prior Board actions were as follows: June 25, 2003 Board Meeting: The approval of the Capital Improvement Plan (CIP) Budget H:\dept\agenda\PDC\2004\Agenda Reports\04·25 · J.40-10 • 030404.doc Revised: 06/04/03 Page 1 December 17, 2004 Board meeting : The approval of a PSA with ESA for CEQA documentation of wastewater treatment projects . PROJECT/CONTRACT COST SUMMARY The PSA amount and budget necessary for the project are presented in the attached Budget Information Table . An authorization of $125,840 for professional services is being requested . BUDGET IMPACT ~ This item has been budgeted . (Line item: Section 8, page 122) D Th is item has been budgeted , but there are insufficient funds . D This item has not been budgeted. D Not applicable (information item) ADDITIONAL INFORMATION Background Subsequent to the adoption of the 1999 PEIR , the District committed to upgrade the level of wastewater treatment to full secondary standards at both plants . New improvements and rehabilitation are planned to support this commitment. Revisions to the full secondary treatment projects since the 1999 PEIR require further public disclosure through the CEQA process. Staff recommends a thorough but expedited CEQA documentation to provide environmental clearance for projects associated with plant upgrades and for collection system projects . In December 2003, the District approved a PSA with ESA to provide CEQA documentation for wastewater treatment projects. An additional PSA is proposed to prov i de CEQA documentati on for collection system projects . Services to be provided under the proposed PSA include but are not limited to participation in the public involvement process , attendance and participation at meetings and public hearings, preparation of mailing lists , preparation of draft and final CEQA documents, preparation of a Mitigation Monitoring Program, and all necessary support services, exclusive of printing publicly distributed documents, necessary for completion, certification and filing of CEQA documents. Consultant Evaluation and Selection Process The District solicited proposals from seven firms: RBF Consulting , Tetra Tech EM Inc.; BonTerra Consulting; Montgomery Watson Harza (MWH); Jones & Stokes; Michael Brandman Associates (MBA); and HDR Engineering, Inc. Proposals were received from HDR and MBA. The submitted proposals were evaluated by four staff members. Based on the staff evaluation, ranking, and the proposed level of effort, Staff recommends the approval of a PSA with HDR, as summarized in the attached Staff Evaluation Summary. H:\ntglobal\Agenda Draft Reports\PDCIAR J-40-10 .doc Revised: 06/04/03 Page 2 ALTERNATIVES Award the PSA to the other consultant team. Staff does not recommend this because of the difference in ranking. CEQA FINDINGS The collection system projects to be addressed under J-40-10 have not been fully addressed in the District's 1999 Strategic Plan Program EIR and require additional CEQA review. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3. Staff Evaluation of Proposals AT:sa H:\ntglobal\Agenda Draft Reports\PDC\AR J-40-10 .doc H:\ntglobal\Agenda Draft Reports\PDC\AR J-40·10 .doc Revised: 06/04/03 Page 3 PROJECT/PHASE Phase 1 -Proiect Development Phase 2 -Preliminary Design Phase 3 -Desian Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contingency PROJECT TOTAL !Reimbursable Costs PROJECT NET *Desian PSA Construction Contract ORIGINAL AUTHORIZED BUDGET $ 62,000 $ 363,000 $ 425,000 BUDGET INFORMATION TABLE SUPPLEMENTAL SECONDARY TREATMENT CEQA DOCUMENTATION Job No. J-40-1 O CURRENT .PROPOSED PROPOSED FUNDS THIS PROPOSED BUDGET PROJECT INCREASE REVISED AUTHORIZED TO AOfHORIZATION TOTAL BUDGET /DECREASE BUDGET DATE REQUEST AUTHORIZATION $ 62,000 $ 62,000 $ 62,000 $ 62,000 $ 363,000 $ 363,000 $ 216,992 $ 125,840 $ 342,832 $ 425,000 $ 425,000 $ 278,992 $ 125,840 $ 404,832 11 ESTIMATED EXPENDITURE TO DATE $ 16,980 $ 16,980 $ 425,000 $ 425,000 $ 425,000 $ 278,992 $ 125,840 $ 404,832 $ 16,980 PSA/Contract $ 301,000 $ 301,000 $ 301,000 154992* s 125,840 #VALUE! *Previously autrhorized PSA with ESA for Seconday Projects AT:sa EDMS 003764131 ESTINj~TED EXPE"bED TO . DATE(%) 27% 0% 0% 0% 0% 0% 0% 4% 4% 0% Professional Services Agreement Status Report SUPPLEMENTAL SECONDARY TREATMENT CEQA DOCUMENTATION Job No. J-40-10 Total Project Budget: $425,000 Consultant: HOR Engineering, Inc. Start Date of Project: July 1, 2003 Date Amendment Pending Original PSA AT:sa EDMS 003764132 Description Cost Professional Services for CEQA Documentation $125,840 of Collection System Projects Accumulated Costs $125,840 SUPPLEMENTAL SECONDARY TREATMENT CEQA DOCUMENTATION Collection System Improvements Job No. J-40-1 O Staff Evaluation of Proposals to Provide Professional Services The following interested consulting firms received Requests for Proposals: • RBF Consulting • Tetra Tech EM Inc. • Bon Terra Consulting • Montgomery Watson Harza (MWH) • Jones & Stokes • HOR Engineering, Inc. (HOR) • Michael Brandman Associates (MBA) RBF Consulting, Tetra Tech EM Inc., BonTerra Consulting, MWH and Jones & Stokes declined to submit a proposal. Two proposals were received on January 19, 2004, one from HOR and one from MBA. Proposals were reviewed in-house by a review panel from January 19, 2004 to January 26, 2004. The review panel consisted of four members. Each proposal was graded from 1 to 10 (10 being best) in six weighted categories described below: 1. Project Approach and Understanding of the Scope of Work (Weight 8) - Rates the team's understanding 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 (Weight 4) •• Rate the team's project management techniques and methods and procedures for performing the tasks. 3. Applicable Related Project Experience (Weight 6)-Rates the team's overall total number of years experience and roles performing engineering services as it relates directly to the design and construction of this project. This also rates the team's recent experience on applicable projects as it relates directly to the design and construction support for this project. 4. Applicable Staff Qualifications (Weight 6) -A comparison of the team's educational background and professional qualifications as they relate to the Scope of Work for this project. 5. Team Organization and Use of Subconsultants (Weight 3) -Addresses the appropriateness of assignments to consultant staff and/or subconsultants to consultant teams. 6. Proposed Schedule (Weight 3) --Does the proposed schedule meet District needs and can the Consultant meet the schedule. Evaluation of the two proposals was completed on January 26, 2004. After reviewing and comparing the proposals, the two consulting firms were ranked according to the score achieved. The maximum possible score was 1200. The following summarizes the attached ranking results for the two firms: 1. HOR 2. MBA 971 Points 368 Points The following is a summary of how the evaluation team collectively viewed the firms: HOR: Strong proposal. The firm has relevant experience and a good understanding of CEQA work and District needs. The proposed level of effort and project approach are excellent. MBA: Incomplete proposal. The firm demonstrates a good understanding of CEQA, a general understanding of the scope of work, applicable experience and staff qualifications. MBA proposes an initial consultation with OCSD staff to review alternative approaches before submitting a complete scope of work, budget and schedule. However, MBA did not respond fully to the Scope of work contained in the Request for Proposals (RFP), and did not submit a sealed fee proposal as required by the RFP. TABLE 1.0 STAFF EVALUATION OF PROPOSALS FOR CONSULTING SERVICES Firm HOR MBA Reviewer A 216 54 Reviewer B 279 47 ReviewerC 228 114 Reviewer D 248 153 Total Score 971 368 (1200 Points Maximum) Average Score 243 92 (300 Points Maximum) Workforce Estimate 782 (Man-hours) 100% Project Completion 51 Proposed (Weeks) Proposed Not to Exceed Fee $125,840 N/A Based on review of the submitted proposals and communication with HOR and MBA, staff recommends awarding a PSA to HOR for Supplemental Full Secondary Treatment CEQA Documentation, J-40-10 for a total fee not to exceed $125,840. AT:sa EDMS 003764144 i • ! l l !i PDC COMMITTEE AGENDA REPORT Orange County Sanitation D1stnct FROM: David A. Ludwin , Director of Engineering Originator: Ann Tobin , Engineer Meeting Date 03/04/04 Item Number PDC04-26 SUBJECT: EFFLUENT PATHOGEN REDUCTION ALTERNATIVES PLAN , JOB NO. J-40-6 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 03/24104 Item Number 13.1. Approve Amendment No. 2 to the Professional Services Agreement with CH2M Hill , Inc., providing for engineering services for the Effluent Pathogen Reduction Alternatives Plan , Job No. J-40-6, for an additional amount of $59,923 , increasing the total amount not to exceed $393,904. SUMMARY • This project provides for a study of options for reducing the pathogen level of the Orange County Sanitation District's (District) effluent, including ultraviolet light (UV) technologies, Peracetic Acid, and Chlorine Dioxide. • An initial study has been completed and a pilot test of three UV disinfection units is underway. Delivery of one of the pilot units was delayed because the vendor needed more time than anticipated to process the purchase order and assemb le the unit. • Due to this delay, the testing schedule was revised to include two phases of testing. The first phase of testing , conducted with two pilot units was completed in December 2003. The second phase of testing , to be conducted on the third unit began in January 2004, and will be completed in April 2004. • Additional engineering services are needed to (1) provide techn ical support during the second phase of testing ; (2) to complete review and analysis of the field data; and (3) to update the life cycl e cost analysis for three preferred d isinfection alternatives . • The proposed amendment will provide funds to complete a final technical memorandum by May 2004. PRIOR COMMITTEE/BOARD ACTIONS On July 27, 2002: Approval of Professional Services Agreement (PSA) with CH2M Hill , Inc . for engineering services not to exceed $134 ,858. H:ldeptlagenda\PDC\2004\Agenda Reports\04·26 • J.40-6 • 030404.doc Revised: 311612004 Page 1 On August 28 , 2002: Agreement with the State Energy Resources Conservation and Development Commission for $250,000 grant. On September 25 , 2002: Approval of Addendum No. 1 to the PSA with CH2M Hill, Inc. for additional engineeri ng services for an additional amount of $199 , 123 for a total not to exceed $333,981. On February 26 , 2003 : Received and filed Effluent Pathogen Reduction Evaluation Study, Job No . J-40-6 , dated November 2002 , prepared by CH2M Hill, Inc. On February 26, 2003: Approval of plans, specifications and Addenda Nos . 1 and 2; receipt and filing of bid tabulation and recommendation; and award of contract to S .S. Mechanical Corporation for installation of pilot units for an amount not to exceed $324 ,387. PROJECT/CONTRACT COST SUMMARY The total budget for the Effluent Pathogen Reduction Alternatives Plan, Job No. J-40-6, is $1,369,000. Authorization of $59,923 for the Consultant's PSA with CH2M Hill, Inc. is being requested for a revised total contact amount not to exceed $393 ,904. See the attached Budget Information Table for more information BUDGET IMPACT ~ This item has been budgeted. (Line item: Section 8-Page 106) D This item has been budgeted , but there are insufficient funds . D This item has not been budgeted. D Not applicable (information item) The overall budget is not being increased. Please see the attached Budget Information Table . ADDITIONAL INFORMATION On February 11 , 2002, during routine ocean monitoring , the District staff observed evidence of the plume surfacing three miles off shore. In addition, the plume was observed within a half-mile of Newport Beach at a depth of 45 feet below the surface. This observation did not demonstrate that the District's release of effluent to the ocean impacted the beach or recreational waters, but it suggests that a mechanism exists whereby offshore winds mix deeper water into the surface layers carrying the treated wastewater release up to or near the surface . Although the bacterial values detected did not exceed applicable water quality standards , this was the first time the plume had been found surfacing several miles offshore . District staff approached the Board of Directors in March 2002 to consider disinfection of the ocean outfall effluent. The Board of Directors designated the use of bleach (with sodium bisulfite dechlorination) as the option for immediate implementation; and authorized District staff to expeditiously complete the work H:lntglobal\Agenda Oran ReportslPDC\J-40-6 Agenda Repo<t.doc Revised : 211912004 Page 2 I • \ necessary to get disinfection operational. The Board of Directors also asked the District to consider other disinfection technologies for future implementation. · This work effort is designed to satisfy the Board of Directors' request to consider other disinfection options for future implementation. The pilot work will be used to select technologies for the long-term disinfection strategy. The District will receive up to $250,000 in grant funding from the State Energy Resources Conservation and Development Commission for purposes of conducting a pathogen reduction pilot testing program. The provisions in Senate Bill 28X, Section 13 (b) specify the availability of funds ($250,000) that, in consultation with the District, are to be used for studies to remediate or mitigate effects of shoreline water contamination located in the vicinity of the City of Huntington Beach. This grant will not fully fund the program, but it will expand the proposed testing of the disinfection technologies. Proposed Amendment No. 2 includes the following services: 1. Project coordination during the extended testing period ($6,000). 2. Review of field data ($16,000). 3. Review of operating performance of pilot units ($6,000). 4. Witnessing of lamp aging tests ($7,000). 5. Revision of life cycle cost analysis for three preferred disinfection alternatives based on field test results ($24,923). ALTERNATIVES Forgo engineering analysis of UV disinfection. Continue disinfecting District effluent with bleach. CEQA FINDINGS This project is categorically exempt under CEQA Section 15306. A Notice of Exemption has been filed. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3. CH2M letter dated February 3, 2004 At:sa H:\ntglobal\Agenda Draft Reports\PDC\J-40-6 Agenda Report.doc H:\ntglobal\Agenda Draft Reports\PDC\J-40-6 Agenda Report.doc Revised: 2/1912004 Page 3 I " PROJECT/PHASE : .. - ORIGINAL AUTHORIZED BIJDGET BUDGET INFORMATION TABLE EFFLUENT PATHOGEN REDUCTION ALTERNATIVES PLAN JOB NO. J-40-6 . . -~ .. -I ... -' • -~ {~~~\' CURRENT ' PROJECT BUDGET PROPOSED REVISED BUDGET FUNDS llflS PROPOSED . ESTIMATED EsTI MATS> AOTBORIZEDTO AUTH~TION TOT~.· ,,,:~ENDITURE'. EXP~PEDTO ' I PROPOSED BUDGET INCREASE /DECREASE i • ~ DATE .. '1 1 REQUEST ,·~ AUTH~IZATIQH i~~'.:. 11'0 DATE :I ~ ·:·tDATEt%l . .' .-' • • l ' ,. '"'· -~' ... ~· ·:.' •ID>--;, • ., • • .• ' ~... ·-. ; ~---___;;-_....;.._;.....~1---.;.;_---+--.;.;....''"---1-------~.-1~·-;;__-.;...m;.;....;_-1 ·~·"" -,_,..,, ':.'" ..,1 ' : ---...:.::... -::~_r . .,; t. Phase 1 -Project Development S 225,000 s 1,009,000 s 4 0,015 $ 1,049,015 $ 1,024,705 $ 59,923 s 1,084,628 $ 690,000 64% Phase 2 -Preliminary Desian $ $ -$ I! Phase 4 -Construction $ 360 ,0 00 $ 360 000 $ 324 ,3 87 $ -$ 324.3 87 $ 290,000 89% ~ r---~~~~-r-~~~~~-t-'--~-----'-'-''-'--t-"-~---"~;;;..;;;..::;-+-~~:..;.:_~-4 ~ Phase 5 -Commissioning $ $ -$ Pha se 6 -Close-Ou t $ $ -$ Phase 7 -Continaencv $ 25,000 $ 180,000 s (40 015} $ 139 ,985 $ PROJECT TOTAL $ 250,000 $ 1,549,000 $ -$ 1,54 9,000 $ 1,349,092 $ 59,923 $ 1,40 9,01 5 $ 980,000 70% Reimbursable Costs $ 250 ,000 250,000 $ 250,0 0 0 $ 219,1 27 PROJECT NET $ 250,000 $ 1,299,000 s 1,299,000 $ 1,099,092 $ 59,923 $ 1,409,015 $ 760,873 54% PSA/Contract Design PSA $ 150 ,000 $ 889,958 $ 40 01 5 $ 929,973 ~ ! $ 870,0 50 $ 59 923 $ 929,973 $ 770 ,000 Construction Contract $ 360 ,000 $ -$ 360,000 $ 32 4,387 $ -$ 324 ,38 7 $ 290,000 EDMS 003 76 16 10 Total Project Budget: $1,369,000 Consultant: CH2M Hill, Inc. Start Date of Project: July 1, 2001 Date Amendment 03127102 Original PSA 10/24/02 1 pending 2 AT:sa EDMS 003761620 Professional Services Agreement Status Report Effluent Pathogen Reduction Alternatives Plan Job No. J-40-6 Description Engineering services for Effluent Pathogen Reduction Evaluation Study. Engineering services for disinfection technology pilot testing prooram. Engineering services for Effluent Pathogen Reduction Alternatives Plan. Cost Accumulated Costs 134,858 134,858 199,123 333,981 59,923 393,904 01/29/04 .,j CH2MHILL ~ February 3, 2004 171919.PT.07 David A. Ludwin, P.E. Director of Engineering Orange County Sanitation District 10844 Ellis A venue Fountain Valley, CA 92708 CH2M HILL 3 Hutton Centre Dnve • Suite 200 Santa Ana, CA 92707 Tel 714.429.2000 Fax 714.429.2050 Subject: Proposal for Additional Engineering Service and Field Services Support Effluent Pathogen Reduction Alternative Plan Study P.O. No. 1011760B, Addendum No. 2 Dear Mr. Ludwin: Together with OCSD' s Planning Deparbnent, CH2M HILL is currently involved in the completion of a UV pilot testing study to as~ess the efficiencies of UV light-based teclmologies to disinfect the Plant No. 2 secondary effluent. Due to late delivery of UV pilot testing equipment by Wedeco AG, OCSD has been forced to extend the field UV pilot testing activities and to prepare additional field testing and engineering reports. CH2M HILL is pleased to submit this proposal to OCSD to provide additional engineering services for the extended UV pilot testing activities. Titls proposal is based on the OCSD-developed scope of work and includes: coordination of the additional testing activities, review of the field data, factory witnessing of the lamp aging assessment tests, and updating of the previously completed pathogen reduction desk study report. The updated Effluent Pathogen Reduction Alternative Plan Study report will incorporate the UV pilot testing results and disinfection data from the currently practiced temporary effluent bleach disinfection. We appreciate the opportunity to continue our relationship with OCSD and to provide the engineering services to support OCSD during the additional pilot testing activities. If you have any questions or need any further information, please contact me at 714/ 435-6313. Sincerely, ava S. Nedic, PE. Principal Project Manager Orange County Sanitation District J-40-6 Effluent Pathogen Reduction Alternative Plan Study Pathogen Reduction Testing Program P .0. No. 10117608, Addendum No. 2 ADDITIONAL ENGINEERING SERVICES AND FIELD TESTING SUPPORT Scope of Work Due to late delivery of testing equipment by Wedeco AG, OCSD has been forced to extend the field UV pilot testing activities and to prepare separate field testing and engineering reports to address these activities and testing results. This scope of work defines additional engineering services that CH2M I-llLL will provide to support the extended testing activities. Coordination During Testing Provide support during the testing performance of the Wedeco AG pilot unit by analyzing field conditions and collected data, and propose options to tune up the pilot unit operations to meet the pilot testing goals. The CH2M HILL representative(s) shall be onsite and will attend the meetings to coordinate testing performance with OCSD and the UV vendor representatives. Field Data Review As field testing proceeds, CH2M HILL shall receive, review, and properly file the testing data. Based on the field data from the previous testing sequence, prepare testing recommendations for the next testing cycle until the test is completed. Compile all field testing data in a comprehensive integrated Field_ Testing Data Report. Lamp Test Witnessing In accordance with testing protocol and on behalf of OCSD, CH2M IDLL shall witness the lamp aging assessment factory test for all lamps used in the field pilot testing for both Trojan and Wedeco UV pilot units. Within a week after the completion of each ·· lamp aging assessment test, prepare a summary report to document witnessing and testing the results. The reports will be incorporated into the Field Testing Data Reports. Report Preparation Update the previously completed Effluent Pathogen Reduction Alternative Plan Study report by incorporating the field pilot testing results and the last 2 years OCSD gained data in the operation of the temporary bleach disinfection system. For the updated study, revise previously estimated capital, O&M, and life cycle costs of the study-recommended chlorine disinfection, currently practiced bleach disinfection (temporary solution), and UV light disinfection alternatives. OCSD J-40-6 Effluent pathogen Reduction Alternative Plan Study Pathogen Reduction Testing Program Additional Engineering Services and Field Testing Support PO. No.10117608, Addendum No. 2 COST PROPOSAL Cost Item Coordination during testing $6,000 Field data review $22,000 Lamp test witnessing $7,000 Report preparation $24,923 Total, Not to Exceed $59,923 1 \· PDC COMMITTEE. AGENDA REPORT Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Milind Joshi , Project Manager Meeting Da te 03/4/04 Item Number PDC04-27 SUBJECT: SUNFLOWER INTERCEPTOR MANHOLE REHABILITATION CONTRACT NO. 7-21 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 03/24/04. Item Number 13 .m. Approve Amendment No. 4 to the Professional Service Agreement with Tran Consulting Engineers for Sunflower Interceptor Manhole Rehabilitation , Contract No. 7-21 , providing for additional design and construction support services for an add iti onal amount of $152,093 increasing the total amount not to exceed $518,608. SUMMARY • This work includes rehabilitation of 41 manholes and point repairs to the pipeline at two locations on the Sunflower Interceptor sewer line. • A Professional Service Agreement (PSA) was entered into with Tran Consulting Engineers on January 17, 2001 to provide engineering services necessary for physical inspection , and the evaluation of structural integrity of the sewer trunks for three separately funded projects : Bushard Trunk Sewer (1-2-4), Santa Ana Trunk Sewer (1-17), and Sunflower Interceptor (7-21) for a tota l amount not to exceed $900,000. • The original PSA also included on-site physical inspection of the sewer lines including utilities research and agency contacts , verification of trunk system connections , determination of cleaning and rehabilitation methods including actual cleaning of the sewers as found necessary, traffic contro l, and obtaining permits. • A total of three amendments have been issued so far, increasing the contract amount from $900,000 to not-to-exceed$ 984 ,604. • The previous amendments for additional scope of work included operating flow diversion structures , setting-up and removal of by-pass pumps, rental equipment (pumps, pipes , and control panels), flow evaluation, field investigation, and technical analysis associated with the work described above . • The find ings of the physical inspection indicated that condition of the Busha rd Trunk Sewer (Project No. 1-2-4) was deteriorated and warranted an urgent rehabilitat ion. This work is currently in the construction phase . R 9VIS9d: 06/04/03 Page 1 • The condit ion of the Santa Ana Trunk Sewer (Project No. 1-17) was found to be reasonably good and it was determined that an immediate rehabilitation effort was not necessary. Therefore , the design and engineering efforts have not been initiated . • The physical inspection of the Sunflower Interceptor indicated that the condition of the pipeline was reasonably good except at a few locations . However, it was revealed that the condition of the manholes was substantially deteriorated . Therefore it was recommended that the manholes be rehabilitated and that the pipeline be repaired at a f ew locations. • Additional design and engineering services are necessary to complete the Project No. 7-21 (Sunflower Interceptor) which is the subject of this amendment. The work will include preparing plans and specifications for the manhole rehabilitation and point repairs to the p i pe li ne, developing construction cost estimates , providing bid support services, prepa r ing engineering support during the construction , and prepa ri ng the record drawings. • Construction is scheduled to begin in December 2004 and is esti mated to cost approx imately $2,000,000. PRIOR COMMITTEE/BOARD ACTIONS See attached Professional Service Agreement (PSA) Status Report PROJECT/CONTRACT COST SUMMARY Authorization of $152,093 ($136,639 for the design task and $15,454 for the co nstruction support services ) is be i ng requested to fund Amendment No . 4 . In additi on , authorization to reallocate $93 ,715 from the Project Development (Phase 1) budget to the Preliminary Design (P hase 2) budget to pay for previous prelim i nary design services is being requested . No increase in total project funds is required . See attached budget Information Table for details. BUDGET IMPACT [8'.I This item has been budgeted. (Line it e m : FY 2003-04 Budget Book Page 8 -31) D This item has been budgeted, but there are insufficient funds. D Th is item has not been budgeted. D No t app licable (information item ) ADDITIONAL INFORMATION Sunflowe r Interceptor sewer was constructed in 1971-72 in three reaches. It includes 28 ,000 feet of 54 to 84 inch sewer. Revised: 06/04/03 Page 2 i The line has not been ·cleaned since it was constructed. The 1999 video inspection of . ~ J, the pipeline revealed defects such as liner failure and pipeline corrosion. · The 1989 Master plan recommended that the aging interceptor sewer manholes be rehabilitated as a part of District's ongoing program of repairing and lining the previously unlined and unprotected concrete manholes. ALTERNATIVES None CEQA FINDINGS This project has been determined to be exempt from CEQA under Article 19 (Categorical Exemptions), Section 15301 (d) Existing facilities, restoration or rehabilitation of deteriorated or damaged structures. A Notice of Exemption will be filed. ATIACHMENTS 1. Budget Information Table 2. PSA Status Report 3. Proposal letter MJ:eh:ba H:\ntglobal\Agenda Draft Reports\PDC\7-21 AR Amendment No. 4 020304.doc Revised: 06/04/03 Page 3 ORIGINAL PROJECT/PHASE AUTHORIZED BUDCET Phase 1 -Project Development $ 17,000 $ Phase 2 -Preliminarv Desian $ 215,000 $ Phase 3 -Design $ 264,400 $ Phase 4 -Construction $ 3,511,000 $ Phase 5 -Commissioning $ 482,300 $ Phase 6 -Close-Out $ -$ Phase 7 -Contingencv $ 897,900 $ PROJECT TOTAL $ 5,387,600 $ !Reimbursable Costs PROJECT NET $ 5,387,600 $ Design PSA $ 561,760 $ Construction Contract $ 2,949,240 $ EDMS: 003763749 BUDGET INFORMATION TABLE SUNFLOWER INTERCEPTOR MANHOLE REHABILITATION CONTRACT NO. 7-21 CURRENT· PROPOSED PROPOSED FUNDS THIS BUDGET PROJECT INCREASE . REVISED AUTHORIZED TO AUTHORIZATION BUDGET· tDECREASE ·BUDGET: .·. DATE .REQUEST 690,000 $ (93,715} $ 596,285 $ 387,611 $ - 93,725 s 93,715 $ 187,440 $ 187,440 s - 350,000 $ 350,000 $ 116,667 $ 136,639 2,359,852 $ 2,359,852 $ 203,436 $ 15,454 93,725 $ 93,725 $ 20,344 29,681 $ 29,681 $ 5,086 374,500 $ 374,500 $ - 3,991,483 $ -$ 3,991,483 $ 920,583 $ 152,093 11 PROPOSED ESTIMATED TOTAL EXPENDITURE AUTHORIZATiON TO DATE $ 387,611 $ 387,611 $ 187,440 $ 187,440 $ 253,306 $ - $ 218,890 $ - $ 20,344 $ - $ 5,086 $ - $ - $ 1,072,676 $ 575,051 3,991,483 $ -$ 3,991,483 $ 920,583 $ 152,093 $ 1,072,676 $ 575,051 PSA/Contract 233,333 $ -$ 233,333 $ -$ 152,093 $ 152,093 2,034,355 $ -$ 2,034,355 $ -$ -$ - ESTlMATED EXPENDED TO DAT~(%) . 100% 100% 0% 54% 54% Professional Services Agreement Status Report SUNFLOWER INTERCEPTOR MANHOLE REHABILITATION Contract No 7-21 Total Project Budget: $3,991,483 Consultant: Tran Consulting Engineers Start Date of Project: January 17, 2001 Date Amendment Description Cost Provide physical inspection and engineering services to evaluate the structural integrity of Bushard Trunk 1-17-2001 Original PSA Sewer 1-2-4 ($268,859), Santa Ana Trunk Sewer 1-17 ($300,207), Sunflower Interceptor Sewer 7-21 ($330,935) $900,000 Contract No. 1-2-4: Additional labor, material, and 4-17-2001 1 equipment necessary to operate the flow diversion structures. Increase original amount of $268,859 by $24,990 to $293,849 $24,990 Additional labor, material, and equipment necessary to operate the flow diversion structures for Contract 9-6-2001 2 No.1-17 & No. 7-21. Increase original amount for Contract No. 1-17 from $300,207 by $11,519 to $311,726 and for Contract No. 7-21 from 330,935 by $35,580 to $366,515 $47,099 Contract No. 1-2-4: Additional labor, material, and equipment necessary to set-up and remove by-pass 4-4-2002 3 pumps, flow evaluation, field investigation, and technical analysis. Increase original amount from $293,849 by $12,515 to $306,364 $12,515 Accumulated Costs $900,000 $924,990 $972,089 $984,604 Contract No. 7-21: Additional engineering services necessary for the design of rehabilitation of the Pending 4 manholes and portions of trunk sewers. Increase original amount from $366,515 by $152,093 to $518,608 $152,093 $1,136,697 (*) (*)The total Engineering Services for Sunflower Interceptor Manhole Rehabilitation (Contract No. 7-21) amount to $518,608 EDMS:003763698 Civil, Environmental, Mechanical, Utility Systems and Resource Recovery January 29, 2004 Mr. David A. Ludwin, PE Director of Engineering Orange County Sanitation District I 0844 Ellis Avenue Fountain Valley, CA 92708-7018 Subject: Request for Amendment No. 4 to the Professional Services Agreement for Sewer Pipeline Inspection/Evaluation Contract Bushard Trunk Sewer 1-2-4, Santa Ana Trunk Sewer 1-17, & Sunflower Interceptor 7-21. Dear Mr. Ludwin: As a part of the Subject Contract, Tran Consulting Engineers {TCE) has completed the physical inspection and evaluation of the structural condition of Sunflower Interceptor and Manholes. TCE inspection report identifies several defects of the Interceptor's liner and significant corrosion occurring in all of the manholes of the Interceptor. TCE submits this request for Amendment No. 4 to perfonn the design for correction of the structural deficiencies of the Sunflower Sewer Interceptor and Manholes. Attachment A presents the proposed Scope of Work including the project schedule. Attachment B provides the estimated level of effort and proposed fee to complete the work. TCE will provide professional engineering services to complete the Phase 3 work (Final Design) for a not to exceed lump sum fee of one hundred thirty six thousand six hundred thirty nine dollars ($136~639). TCE will provide professional engineering services to complete the Phase 4 work (Engineering Support during the construction) for the lump sum fee of fifteen thousand four hundred fifty four dollars ($15,454). TCE deeply appreciates this opportunity to serve the District on this interesting project. Please contact Paul Tran at (619) 275-5878 if you have any questions regarding this request for Amendment No. 4. Very truly your, TRAN CONSUL TING ENGINEERS L__.-~-:[:57~'2.._..____ Paul Hoa Tran, Ph. D, P .E., DEE President Attachment A -Scope of Work Attachment B -Matrix of Manpower and Project Cost Summary 4891 Pacific Highway, Suite 218, San Diego, CA 92110 -Tel: (619) 275-5878 -Fax: (619) 275-5879 PDC COMMITTEE Meeting Date To Bd. of Di r. AGENDA REPORT Orange County Sanitation District FROM: David Ludwin, Director of Engineering Originator: Milind Joshi, Project Manager 3/4/04 Item Nu m ber PDC04-28 SUBJECT: PLANT UTILITIES REHABILITATION AND REFURBISHMENT JOB NO. P2-82 GENERAL MANAGER'S RECOMMENDATION Approve Amendment No. 5 to the Professional Services Agreement with Cathcart Garcia von Langen for Plant Utilities Rehabilitation and Refurbishment, Job 3/24/04 · Item Number 13.n. No. P2-82 , providing for additional design and construction support services for an additional amount of $125 ,820 , increasing the total amount not to ex ceed $754,246. SUMMARY • This contract is for the construction of miscellaneous improvements to utility and pumping systems at Plant No. 1 and Plant No . 2 . The improvements consist of replacement of corroded portions of steam lines , modifications to the Plant Water and Reclaimed Water systems , rehabilitation and replacement of equipment and util ities in the Plant Water Pump Station , modifications to the Chlorine Pump Station , and miscellaneous activities supporting these major project elements. • The original Professional Service Agreement (PSA) included $42, 150 for construction support engineering services. Add itional engineering work is necessary to complete th is project. The work includes preparing conformed Plans and Specifications, Record Draw ings, and providing construction support . This am endment will provid e for the nec essary engineering services for this additional work. • Construction is scheduled to begin in April 2004. • The fees proposed for additional construction support engineering services are estimates prepared by Cathcart Garcia von Langen (CGvL) and District staff and are based on the current project experience and project needs . All work performed and billed w ill be on an as requested basis by District staff to support the project. PRIOR COMMITTEE/BOARD ACTIONS See attached Professional Service Agreement Status Report. Revised: 06/04/03 Pag e 1 PROJECT/CONTRACT COST SUMMARY Authorization of $125,820 ($19,738 for additional design engineering services and $106,082 for additional construction support services) is being requested to fund Amendment No. 5. In addition, $54,046 is being reallocated from Phase 4 (Construction) to Phase 3 (Design) to accurately account for the work being done. No increase in total project funds is required. See attached Budget Information Table. BUDGET IMPACT [gj This item has been budgeted. (Line item: FY 2003-04 Budget Book, Page 8-83 D This item has been budgeted , but there are insufficient funds. D This item has not been budgeted . D Not applicable (information item) The total project budget (Job No. P2-82) remains unchanged at $4 ,928,937. ADDITIONAL INFORMATION The level of effort required for engineering services has increased due to an increase in the overall project scope of work. Added construction-phase engineering effort is necessary to meet a number of requirements such as preparation of conformed drawings and specifications , preparing record drawings in OCSD format, and preparation of P & ID drawings for tunnel piping. The original PSA did not have sufficient funds for construction management that will be necessary for the additional field services required to resolve piping alignments issues that may arise due to the extensive amount of piping modifications in this project, to develop sequence the facility shutdowns, and maintain facilities in operation during the construction . ALTERNATIVES None CEQA FINDINGS A Notice of Exemption was filed with the Clerk-Recorder of the County of Orange on September 15, 2003 for the work taking place under this contract. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report 3 . Proposal Letter MJ :ba:jo :ba :eh :ba H:\ntgl obal\Agend a Draft Repo rt s\PDC\P 2-82 AR Ammendement5 020504.doc Revised : 06/04/03 Page 2 • ~, ORIGINAL PROJECT/PHASE. AUTHORIZED .. BUDGET Phase 1 -Proiect Development $ 13,000 $ Phase 2 -Preliminary Design $ 120,000 $ Phase 3 -Design $ 39,000 $ Phase 4 -Construction $ 626,000 $ Phase 5 -Commissioning $ 202,000 $ Phase 6 -Close-Out $ -$ Phase 7 -Contingency $ -$ PROJECT TOTAL $ 1,000,000 $ !Reimbursable COsts PROJECT NET $ 1,000,000 $ Desian PSA $ 39,000 $ Construction Contract $ 626,000 $ 003760648 EDMS: 003760648 BUDGET INFORMATION TABLE PLANT UTILITIES REHABILITATION AND REFURBISHMENT JOB NO. P2-82 CURRENT -PROPOSED PROPOSED FUNDS THIS PROJECT BUDGET REVISED~ AUTHORIZED TO AUTHORIZATION BUDGET-" INCREASE BUDGET·· DATE· REQUEST /DECREASE 46,000 $ 46,000 $ 45,574 $ - 28,000 $ 28,000 $ 27,295 $ - 700,000 $ 54,046 $ 754,046 $ 734,308 $ 19,738 3,687,000 s (54,046] $ 3,632,954 $ 3,096,830 s 106,082 130,000 $ -$ 130,000 $ 31,784 33,000 $ 33,000 $ 7,946 305,000 $ 305,000 $ - 4,929,000 $ -$ 4,929,000 $ 3,943,737 $ 125,820 11 PROPOSED ESTIMATED TOTAL EXPENDITURE AUTHORIZATION . TUDATE $ 45,574 $ 45,574 $ 27,295 $ 27,295 $ 754,046 $ 734,308 $ 3,202,912 $ 10,899 $ 31,784 $ 2,104 $ 7,946 $ 2,519 $ -$ - $ 4,069,557 $ 822,699 4,929,000 s -$ 3,943,737 $ 125,820 $ 4,069,557 $ 822,699 PSA/Contract 630,000 s . $ 630,000 $ 628,426 $ 125,820 $ 754,246 $ - 3,178,448 s -$ 3,178,448 $ 2,778,985 $ -$ 2,778,985 $ - ESTIMATED Exi>ENDEDTO DATE(%); 100% 100% 97% 0% 20% 20% Total Project Budget: Consultant: Start Date of Project: Professional Services Agreement Status Report PLANT UTILITIES REHABILITATION AND REFURBISHMENT Job No P2-82 $4,929,000 Cathcart Garcia van Langen, Inc. (CGvL) October 26, 1999 Date Amendment Description Cost 4126100 Original PSA Plant Utilities Rehabilitation and Refurbishment $308,212 4/11/01 1 Added steam and hot water piping at Plant No. 2 $24,500 9/26/01 2 Additional design task and compliance with the District's latest design and CADD standards $237,076 Additional design task: plant water booster pump 4/26/02 3 discharge, reclaimed water loop, asbestos removal $24,340 Additional design task: plant water and reclaimed 3/12/03 4 water conversion, PWPS demolition, Chlorine pump modifications $34,298 Additional design and construction support Pending 5 services, conformed drawings and specifications preparation, record drawings $125,820 EOMS: 003764203 03/16/04 Accumulated Costs $332,712 $569,788 $594,128 $628,426 $754,246 CGvL ENGINEERS fu;~""~ - We implement sound environmental engineering solutions"t"a··n;;;our clienfs goals November 11, 2003 Mr. David A. Ludwin, P.E. Director of Engineering Orange County Sanitation District P.O. Box 8127 Fountain Valley, CA 92728-8127 ! .. .. ~ ... °" ·-·· 194-05/10 Subject.: Plant Utilities Rehabilitation and Refurbishment-Engineering Services Proposal Job No. P2-82, Addendum No. 5 Dear Mr. Ludwin: As you know, the scope of the Plant Utilities Rehabilitation and Refurbishment Project (P2-82) has increased significantly since April 2000 when Orange County Sanitation District (OCSD) authorized CGvL Engineers to proceed with the project. Now that the project is in the bidding phase, there is a need to amend our authorized level of effort and budget to complete construction phase engineering services for the revised project scope. The basis for our request is: 1. The scope and size of the project has increased 2. We need to comply with the latest OCSD Design Guidelines for construction-phase engineering services. 3. We recommend additional field services during and after contractor selection. 4. As a result of salary adjustments, our fiscal year 2000 hourly billing rates need to be adjusted for the work to be performed in FY2004. Further explanation of reasons for this addendum request are included below. Scope of Work Task 12-Added Construction Support Services. Item 1: Increase in Scope of the Project. The level of effort required for engineering services during construction will be higher due to the increase in the overall project scope of work. The current authorized budget for construction support services was based on approximately 2 percent of the estimated construction cost of $1.8 million for the original project. As a result of agreed changes to the project scope, the estimated construction cost 26250 Enterprise Court • Suite 150 Lake Forest • California • 92630 (949)454·3600 • FAX (949)454·360 I Website • www.cgvl.com ·-Mr. David A. Ludwin November 11, 2003 Page2 ., J opinion for the revised project is approximately $3 .4 million. Increases in estimated project construction costs will require a greater level of effort for construction-phase engineering services. We estimate that the increase in scope of the project will require 480 hours of added construction-phase engineering effort. Item 2: Added District Requirements. Added construction-phase ~ngineering effort will be required to meet the following requirements from the OCSD Design Guidelines that were not included in our original scope of work (reference Revision E of Guidelines, paragraph 01.2.11 ). CJ Preparation of conformed drawings and specifications CJ Assistance in evaluation of bids and award of the construction contract a Record drawings in OCSD format, including conversion of selected Con~ctor as-built drawings to OCSD format a Preparation of P&ID drawings for tunnel piping that are not required for design, but are required as part of OCSD' s record documentation. We estimate that meeting the above OCSD Design Guidelines will require 506 hours of added construction-phase engineering effort. Item 3. Added Field Senices. Because of the extensive amount of piping modifications that will be required in the relatively congested pipe tunnels, we recommend additional field work to facilitate resolving the Contractor's piping alignments early in the project. During design we identified the alignment in the field by hanging tape along the alignments, however, most of this tape is no longer in place. We recommend re-hanging this tape in conjunction with OCSD' s construction management team to proactively avoid conflicts and problems. We also anticipate the need for field support to resolve issues related to the Contractor's conslruction sequence, shutdowns and keeping facilities in operation through construction. We estimate that an added 250 hours of field services will be required during construction. Time of Completion w_e propose to begin work on the revised project scope of work after receiving your authorization to proceed with addendum No. 5. Compensation To complete the above work, we are requesting to increase the authorized price ceiling by $125,820 from $628,426 to $754,246. Our fee proposal is included in Attachment A. To facilitate your review, the attached Table 1 details the man-hours and associated compensation for each task. Our proposed fees are based on our projected 2004 billing rates, which are also attached. CGvL ENGINEERS Mr. David A. Ludwin November 11, 2003 Page3 Please note that engineering fees on this project include effort on the following not reflected in the construction cost or that otherwise would not typically be included as a percentage of construction: a Approximately $21,000 in fees was for digester gas holder· improvements ~sign, and this itein was included in a separate construction contract. o Approximately $23,000 in fees was for inspection, sampling, analysis, and removal of asbestos-containing-materials (ACM) in steam piping insulation. a Approximately $34,000 in fees was for corrosion inspections and confined space inspections for PW and steam lines, inside the digester gas holder, and inside the PWPS wetwell by specialty subconsultants. a Our fees included . approximately $50,000 for preliminary design and investigations related to expansion of the recycled water systems, irrigation conversions, modifications to chemical stations, and activated sludge effluent channel modifications. CGvLEngineers appreciates the opportunity to be of service to OCSD. Very truly yours, Milind Joshi, IPMC Sejal Patel, OCSD Marla Smer, CGvL Engineers RDG:rdg Attachments (3) M:\PROJECTS\OCSD.194\Ulilities_Relmb.OOSVllO • Pmj Mgmi\Addeodum S\AddeuhunShr.Doc Robert D. Getter, P.E. Project Manager CGvL ENGINEERS Attachment A Fee Proposal Consulting Services including: -Burdened Labor -Overhead at 145% -Profit (includes overhead and burdened labor) at 8.9% Subtotal-Consulting Services including burdened labor, overhead and profit, not to exceed. *Subconsultant Services including: -Burdened Labor -Overhead at 123% -Profit (includes overhead and burdened labor at 8.9%) Subtota/.-Subconsulting Services including burdened labor, overhead and profit, not to exceed: *Subconsultant fees at hourly rates, per Schedule, not to exceed: Direct costs, not to exceed: TOT AL, not to exceed $ 42,567 $ 61,721 $ 9,282 $ 113,570 $ 4,118 $ 5,065 $ 817 $ 10,000 NIA $ 2,250 $ 125,820 173 142 115 102 81 60 L abor hours Cos dollars T~~k I Supv Senior Adm In Oes c rl !!Uon Prine I I En lnMr En lneer En lneer C AD/Tech Asst T otal Hrs Labor ODC I Total C ost 12.0 CONSTRU CTI ON S UP PORT SER VICES BID·PHAS E SERVICES Pre·bld Meeting a a 16 1,784 50 1,834 Addenda 4 12 8 12 4 40 4,528 150 4,678 Bid Evaluallon 2 4 2 8 812 50 862 Conformed Drawlnas 2 8 16 16 80 8 130 11,914 450 12.364 CONSTR UCTl ON·PHASE SE RVICES Construction Support Meellngs 4 16 32 16 60 4 132 13,376 400 13,776 Field Support for Pipe Alignments 4 12 16 16 66 4 1 18 11 ,454 100 11 ,554 Shop Drawing Review 8 20 40 40 8 2 4 140 14 ,992 5,150 20 ,1 42 Responses to Contractor Requests for Information 8 40 23 23 40 30 164 17,095 5,050 22,145 Record Drawings • design drawings 4 8 8 8 80 6 114 10,404 350 10,754 Record Drawings • conversion or selected Contractor drawings 2 a 16 8 160 4 198 17,338 250 17,588 O&M Manuals 2 12 32 24 12 12 94 9 870 250 10,120 To tal s 38 146 191 155 526 98 1,154 113,567 12,250 125,817 I Sal $125,820 I Assumptions for added level of effort: 15 conslrucllon progress meetings. 30 shop drawings @ 6 hr each 50 RFls @ 4 hr each Record drawings lo include conversion of 40 Contractor drawings t o OCSD formal @4 hours CAD each. Assume OCSD printing for conformed and record drawings. sn aredlP ROJECTSIOCSO 194\UUti lics_Rehab 00511 IO·proj mgm l\fees_addend1Jm5_revl I 10031Addandum •'•Cost •\ CGvL ENGINEERS TENTATIVE Schedule of Hourly Billing Rates Ef/ecti.ve January 1 to December 31, 2004 Engineering Houri! Billing Rate CJ Principal $173 CJ Managing Engineer $158 Cl Supervising Engineer $142 CJ Senior Engineer $115 CJ Engineer $102 CJ Associate Engineer $93\ Cl Assistant Engineer $78 Construction Cl Construction Manager $126 CJ Resident Engineer $99 Cl Inspector n $77 CJ Inspector I $66 Technical Cl CAD Manager $102 CJ CAD Designer $85 [J Lead CAD Operator $74 Cl Senior CAD Operator $63 [J CAD Operator II $55 Cl CAD Operator I $44 Cl Technician Supervisor $66 Cl Engineering Technician II $61 Cl Engineering Technician I $56 Administrative D Administrative Assistant $60 0 Word Processor $48 M:\Acctg\BW Rates\2004 Ra1es\04_Rates_Proposed.Doc CGvL ENGINEERS 7 " l 1 . - PDC COMMITTEE Meeting Date To Bd. of Dir. AGENDA REPORT . / Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Ann Tobin , Engineer SUBJECT: COOPERATIVE PROJECTS PROGRAM , JOB NO . J-73 GENERAL MANAGER'S RECOMMENDATION 03/04/04 03i24/04 Item Number I tem Number PDC04-17 13.o. (1) Approve time extensions to Cooperative Projects Program contracts with the following cities : Brea (CP-0101 ), Garden Grove (CP-0206), Huntington Beach (CP-0124), Orange (CP-0129 and CP-0130), and Sunset Beach Sanitary District (CP-0213); and (2) Approve additional funding for the FY 2003-04 Cooperative Projects Program in the amount $1,365,000, increasing the total FY 2003-04 funding to $1,540,000 and the total program since inception to an amount not to exceed $18 ,751 ,736. SUMMARY • The Cooperative Projects Program provides funds to local agencies for projects that reduce or eliminate inflow and infiltration (1/1) to the sewer collection system. • Time extensions are required for six existing contracts due to local agency project delays. • Staff did not solicit applications tor cooperative projects in 2003 , pending long-term flow monitoring results which are to be used to prioritize areas with high 1/1. Although applications were not solicited , the Orange County Sanitation District (District) received five requests for cooperative project funding. • The Cooperative Projects Grants Comm ittee recommended approval of four requests pending completion of funding applications by the local agency . Three of the applications are complete and are being submitted for Board approval. PRIOR COMMITTEE/BOARD ACTIONS On September 24, 2003, FY 2003-2004 funding in the amount of $175,000 was approved for the City of Anaheim , Contract No . CP-0301. On January 21, 2004, the Cooperative Proje cts Grants Committee recommended approval of additional funding for new projects in City of Anaheim , Garde n Grove Sa nitary District, Midway City Sanitary District, and the City of Santa Ana. Page 1 PROJECT/CONTRACT COST SUMMARY At this time, authorization of $1,365,000, is being requested for four new Cooperative Proj ects. If approved, the total approved funding for Contracts under the program to date will increase from $17,386,736 to $18,751,736. BUDGET IMPACT [8] This item has been budgeted. (Line item: Section 8, p. 14 1) D This Item has been budgeted , but there are insufficient funds. D This Item has not been budgeted . D Not applicab le (information item) Authorization for $1,365 ,000 is being requested as shown i n the attached Budget Information Table. ADDITIONAL INFORMATION Time Extensions AGENCY CONTRACT APPROVED NEW NEW AMEND REASON FOR NO. COMPLETE COMPLETE INVOICE NO. REQUEST DATE DATE DATE Brea CP-0101 11/03/03 01/30/04 03/01/04 3 Project completed la ter than anticipated. E xtensi on requi red for reimbursement. Garden G rove CP-0206 09/30/2003 7/30/2004 8/30/2004 1 Delay in scoping and bid process Huntington CP-0 124 07/04/2004 1/31/2005 03/02/2005 1 Delay in District Beach authorization to proceed Orange CP-0129 11 /14/2003 05/1420/04 06/14/2004 1 Utility conflicts and alternative an alysis Orange CP-0130 11/14/2003 11/15/2004 12/15/2004 1 Alternative analysis and coordination with County Sunset Beach CP-0213 12/15/2003 0 1/08/2004 Late start due to 02101/2004 1 illness of District Sanitary District Engineer. Fiscal Year 2003-2004 Program Applications The Program , establish ed in 1998 to realize the District's Strategic Plan goal for I/I reduction, is focused on reducing wet weather peak flows at the District's two wastewater treatment plants. Staff did not solicit applications for cooperative projects in 2003 , pending long-term flow monitoring results which are to be used to prioritize areas with high 1/1. On January 21 , 2004, the Cooperative Projects Grants Committee considered unsolicited funding requests from the County of Orange , the City of Anaheim , Garden Page 2 Grove Sanitary District, Midway City Sanitary District and the City of Santa Ana. Concerning the County of Orange request for Irvine Park Septic Sewer Conversion Project, Staff was directed to approach the Steering Committee on whether the District could provide funds for septic tank conversions for publicly-owned facilities. A staff report and presentation to the steering Committee will be done in March 2004. The Committee recommended approval of requests from City of Anaheim, Garden Grove Sanitary District, Midway City Sanitary District, and the City of Santa Ana pending completion of funding applications and modification of City of Anaheim request for CCTV inspection. According to the Program guidelines, funds for CCTV inspection are to be allocated for pipe installed prior to 1960 only. In February 2004, the City of Anaheim revised its request from $1,625,000 to $1, 110,000 to account for the amount of pre-1960 pipe to be inspected on the proposed project. Requests for funding of new Cooperative Projects are itemized below. Funding Requests for PDC Approval AGENCY PROJECT AMOUNT REQUESTED City of Anaheim CCTV Inspection, Manhole Inspection, Inflow/Infiltration $1, 110,000 Identification and Condition Assessment of the Central Anaheim Area Sewer System Garden Grove Replace Approximately 2,330 Lineal Feet of Sanitary Sewer Line $20,800 Sanitary District Midway City Sanitary Replacement of Approximately 4,660 lineal feet of Sanitary Sewer $159,200 District City of Santa Ana CCTV Inspection $75,000 ALTERNATIVES 1. Do not approve time extensions for existing contracts. Not approving the time extensions would prevent the local agencies from collecting reimbursement funds for cooperative projects. 2. Do not approve funding requests. Denying funding could affect the schedule of the proposed projects. CEQA FINDINGS Local agencies are responsible for CEQA compliance ATTACHMENTS Budget Information Table JDH:AT:sa H:\ntglobal\Agenda Draft Reports\PDC\J-73 Coop Proj Ar PDC 030404 AR.doc Page 3 PROJECT/PHASE Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Desion Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contingency PROJECT TOTAL !Reimbursable Costs PROJECT NET !Design PSA Construction Contract AT:sa EDMS 003764130 ORIGINAL CURRENT AUTHORIZED PROJECT BUDGET BUDGET $ 1,449,990,000 $ 72,000,000 $ 1,449,990,000 $ 72,000,000 $ 1,449,990,000 $ 72,000,000 BUDGET INFORMATION TABLE COOPERATIVE PROJECTS PROGRAM JOB NO. J-73 PROPOSED PROPOSED FUNDS THIS PROPOSED ESTIMATED. BUDGET REVISED AUTHORIZED TO AUTHORIZATION TOTAL , EXPENDITURE INCREASE. /DECREASE BUDGET·· DATE REQUEST:'.,. AUTHOFtlzATION : TO DATE $ 72,000,000 $ 17,386,736 $ 1,365,000 $ 18,751,736 $ 6,125,531 $ 72,000,000 $ 17,386,736 $ 1,365,000 $ 18,751,736 $ 6, 125,531 11 $ 72,000,000 $ 17,386,736 s 1,365,000 $ 18,751,736 $ 6,125,531 PSA/Contract 11 ,. ' ESTIMATED EXPENbeoto OATE(o/~) · ... -··· 33% 33% 33% I l \iP: . ·' i I MINUTES OF FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, March 10, 2004, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on March 10, 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: Directors Present: Brian Brady, Chair Roy Moore, Vice Chair Patricia Bortle Bill Dalton Mike Duvall Joy Neugebauer Directors Absent: James W. Silva Shirley McCracken, Board Chair Steve Anderson, Vice Board Chair (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR STAFF PRESENT: Blake Anderson, General Manager Gary Streed, Director of Finance/Treasurer Mike White, Controller Lisa Tomko, Director of Human Resources Carol Beekman, Communications Services Manager Marc Dubois, Purchasing Manager Jeff Reed, Human Resources Manager Juanita Skillman, Records Management Specialist Jean Tappan, Acting Committee Secretary OTHERS PRESENT: Robert Moss Derek Rampone Adam Probolski Bob Lockhart Chair Brady announced that the next meeting date is April 14. Chair Brady then asked the internal auditors, Moss, Levy & Hartzheim, to make a preliminary report on their findings to date. Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 March 10, 2004 Mr. Robert Moss reported on several investigations of the internal controls in place in the Finance Department. Their findings are issues that should be looked at more closely or that should be modified or improved. The investigations undertaken included the Board approval process for sole source contracts; cash and investments-specifically outstanding checks longer than six months which tie up cash; monthly investment statements that show the control and decisions made by the investor and the Board without protection of existing assets with internal controls, the recommendation that the percentage change on original investment should be reported as additional information; and Mr. Moss believes that the purchase of corporate bonds is counter to the District's investment policies. Mr. Moss also questioned holding long term bonds that are returning 4-5 percent for the longer term as losses could occur if not held to maturity and interest rates rise. Mr. Derek Rampone reviewed computer access by staff members in various divisions. He found that vendors could be added by many staff members in the Finance and Human Resources Department. This could lead to abuse by setting up fictitious vendor accounts. He also found that payroll technicians were allowed to change pay rates while this should be done only by Human Resources. Mr. Moss reported that the investigation into the accounts receivable process showed that there are a large number of past due accounts. He recommended that credit approval and credit collection systems be established with appropriate controls for accounts that are 90 days past due. Mr. Rampone reported on the findings re inventory controls. He found no formal documentation on what to do in the event there is a discrepancy between the records and the stock. He recommended that a written policy be prepared for adjustments to inventory. He also mentioned that access to change inventory is not as limited as it should be and recommended that this be a supervisory function only. He reported that auto parts are being ordered without identifying which vehicle requires the parts. If employees ask for items there is no supervisor approval required before they are taken out of the warehouse. 't is recommended that additional documentation and approva's be implemented. The members of the committee complimented Messrs. Moss and Rampone on their report. Chair Brady asked staff to prepare responses to the items identified in the report as needing attention. Mr. Moss said that they received good cooperation from the staff members interviewed. General Manager Blake Anderson said that staff welcomes the opportunity to improve our ability to do our work more smoothly. (5) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson reminded the directors that there will be a special workshop on March 31 at 5 p.m. to discuss the Capital Improvement Program. This program drives the user fee rates and impacts staffing and spending budgets. He urged everyone to attend. J I I ' ~ Minutes of the Finance, Administration and Human Resources Committee Meeting Page3 March 10, 2004 (6) REPORT OF DIRECTOR OF FINANCE!TREASURER Finance Director Gary Streed announced that the February Treasurers Report was distributed as well as a summary of comments from the PDC Committee on Agenda Item 11 (c). The Steering, OMTS and PDC Committees all received informational presentations on this item. (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 Assistant General Counsel Tom Nixon did not make a report. (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 February 11, 2004 Finance, Administration and Human Resources Committee meeting. b. FAHR04-14 Recommend to the Board of Directors to receive and file Treasurer's Report for the month of February 2004. The Treasurer's Report will be distributed at the FAHR Committee meeting in accordance with the Board- approved Investment Policy, and in conformance to the Government Code requirement to have monthly reports reviewed within 30 days of month end. c. FAHR04-15 Receive and file Certificate of Participation (COP) Monthly Report. d. FAHR04-16 Receive and file Employment Status Report as of February 24, 2004. e. FAHR04-17 Receive and file OSHA Incidence Rates and Workers' Compensation Claims and Costs Report. f. FAHR04-18 Receive and file report of General Manager approved purchases in amounts exceeding $50,000 in accordance with Board purchasing policies. Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 March 10, 2004 g. FAHR04-19 Recommend to the Board of Directors to adopt Resolution No. OCSD 04-XX. Adopting Policies and Procedures for District's Records Management Program, Records Retention, and Destruction of Obsolete Records, and Repealing Resolution No. OCSD 03-06. END OF CONSENT CALENDAR Consideration of items deleted from Consent Calendar, if any. (11) ACTION ITEMS a. FAHR04-20 Recommend to the Board of Directors to: 1) Reject the unsolicited, non-competitive, proposal of Revenue Enhancement Group to contract their services to review and to collect sewer service user charges assessed non-residential parcels; and 2) Direct staff to proceed to evaluate non-residential parcels to determine if they 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. Mr. Robert Lockhart outlined his firm's abilities and understanding of the issues. Mr. Streed said that staff could perform this work with some adjustments to staffing. He will report back to the FAHR Committee next month with a preliminary plan of action. After discussion, an alternate motion was made by Director Neugebauer. MOVED, SECONDED AND DULY CARRIED TO: Request authorization from the Board Chair to task Director Mike Duvall with evaluating the business practices of Revenue Enhancement Group in an effort to determine the scope of work and report back to the FAHR Committee. b. FAHR04-21 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to: 1 ) Approve the use of planned recruitments, on an as needed basis, to fill key positions within the organization where an individual holding a key position has a specific termination date previously established and has submitted a letter of resignation. 2) Approve the use of a "Planned Recruitment Position Pool" administered by the Human Resources Department within the Division 540 FTE budget. 3) Approve the revisions to Recruitment Policy 8150.00. Minutes of the Finance, Administration and Human Resources Committee Meeting Pages March 10, 2004 c. FAHR04-22 Recommend to the Board of Directors to adopt Resolution No. OCSD 04-XX, Establishing Policies and Procedures for the Award of Purchase Orders and Contracts; Award of Public Works Project Contracts; Award of Professional Services Contracts; and Delegation of Authority to Implement Said Policies and Procedures; and Repealing Resolution No. OCSD 99-23. Marc Dubois, Purchasing Manager, explained the proposed changes to the purchasing resolution, which was last revised in 1999. The main reasons are to provide approval level consistencies and clarify several issues. The changes will allow staff to streamline the way we do business, and to gain time by reducing the number of separate agenda reports going to the Board. The General Manager will have authority to file Notices of Completion and approve time extension change orders if there are no costs associated with the extension. All of the items that have costs over $50,000 and are approved by the General Manager are and will continue to be reported to the Committee of jurisdiction. Mr. Anderson identified two sections in the resolution that refer to selection committees and the proposed language change. Because of recent conflict of interest issues experienced by other agencies as a result of members of governing bodies serving on selection committees, staff is recommending that the committee direct staff on whether to include the words "strongly discourage' or 'prohibit' in those sections. The committee directed staff to change the wording to 'prohibit.' Exceptions are identified and need Chair approval. (12) INFORMATION PRESENTATIONS There were none. (13) CLOSED SESSION There was no Closed Session. (14) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY Director Joy Neugebauer asked for a copy of the video of the February 18 New Directors Workshop. Carol Beekman will provide this. (15) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. Minutes of the Finance, Administration and Human Resources Committee Meeting Page6 March 10, 2004 (16) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for April 14, 2004 at 5 p.m. (17) ADJOURNMENT The Chair declared the meeting adjourned at 6:50 p.m. Submitted by: Je~Tappan A~g FAHR Committee Secretary H:\dept\agenda\FAHR\FAHR2004\0204\021104 FAHR Minutes.doc ~ I ~i FAHR COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: Gary Streed, Director of Finance Originator: Michael White, Controller Meeting Date To Bd. of Dir. 03/10/04 03/24/04 Item Number Item Number FAHR04-14 14.b. SUBJECT: TREASURER'S REPORT FOR THE MONTH OF FEBRUARY 2004 GENERAL MANAGER'S RECOMMENDATION Receive and file Treasurer's Report for the month of February 2004. SUMMARY Pacific Investment Management Co. (PIMCO), serves as the Dist rict's professional external money manager, and Mellon Trust serves as the District's t hird-party custodian bank for the investment program. Some funds are also deposited in the State of California Local Agency Investment Fund for liqu idity. 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 requ irements of the Investment Policy. The portfolio contains no reverse repu rc hase agreements. As shown on page 2 of the attached PIMCO's Performance Monitoring and Reporting Report for the Long-Term Operati ng Monies , there is a investment policy compliance exception pertaining to the holding of two securities within PIMCO 's Long-Term Operating Monies Portfol io that had an acceptable rating at the time of purchase but has since fallen below the min imum 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 BA 1, 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 unde rly ing 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 Ph ilip 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 Baa 1 and then to H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\03041TREASRPT031004 .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 rema i ning $1 million ho ld ings 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 D This item has been budgeted. (Lin e item : [gl 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 portfol io . 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 $79.3 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 $141,311 ,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 si x months. The table on the following page deta ils the book balances of the District's investment acc ounts at month-end . A graphical representation of month-end balances is shown on the attached bar chart. H :\deptlfin\220\geggie\FAHRITREASRPT031004.doc Page 2 r., ~ Book Balances Estimated Investment Accounts February 29, 2004 Yield(%) State of Calif. LAIF $ 16,928,614 1.44 Union Bank Checking Account 3,792,356 0.87 (1) PIMCO -Short-term Portfolio 91,337,109 1.37 PIMCO-Long-term Portfolio 388,475,848 2.21 Petty Cash 51000 N/A TOTAL !500 538 921 2.03 Debt Service Reserves w/Trustees S:1~:1 3:1:1 069 2.09 (1) This is the annualized yield for the month of January. The February 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:lc H:'\dept\fin\220\geggie\FAHR\TREASRPT031004.doc Page3 Prepared by Finan ce, 3/9/2004 , 1: 18 PM Monthly Investment Balances by Type- Last Six Months $700 ,000,000 -·.-------------------------------------. $600,000,000 -- $500 ,000 ,000 - September 2003 October 2003 November 2003 December 2003 131 PIMCO -Lo ng-term l?J PIM CO -Short-term El:1l COP Debt Reserves mLAI F D Ba nk Accts Ill Petty Cash H :\dept\fin \EXCEL.dta\220\geg gie\mo treas rpt\Monthly I nvest:ment Balances Graph .xis January 2004 February 2004 Orange County Sanitation District Investment Transactions and Balances in the State of California Local Agency Investment Fund February 29, 2004 Par Value Book Value Market Value Balance February 1, 2004 $21,228,614 $21,228,614 $21,228,614 Deposits: 2/18/2004 6,600,000 6,600,000 6,600,000 Total Deposits 6,600,000 6,600,000 6,600,000 Withdrawals: 2/4/2004 (2,200,000) (2,200,000) (2,200,000) 2/13/2004 (5,300,000) (5,300,000) (5,300,000) 2/26/2004 ~3,400,000} ~3,400,000} ~3,400,000} Total Withdrawls (10,900,000) (10,900,000) (10,900,000) Balance February 29, 2004 $16,928,614 $16,928,614 $16,928,614 Rate Yield 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 1.44 PIM C 0 March 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 February 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 gained in February as employment data continued to indicate that excess capacity in the labor markets helped keep domestic inflation low and stable. U.S. Treasuries returned 1.24% for the month, with the yield on the benchmark I 0-year Treasury finishing below the 4% threshold (3.98%), down 16 basis points from the end of January. Treasury Inflation Protected Securities, or TIPS, outperformed nominal Treasuries; the Lehman Brothers U.S. TIPS index returned 2.31 % in February. Mortgage-backed securities returned 0.84%, outpacing Treasuries by 17 basis points after adjusting for duration. Within the sector, conventionals (Freddie Mac and Fannie Mae) led Ginnie Mae issues, posting duration-adjusted excess returns of 21, 18 and 7 basis points, respectively. The credit sector, represented by the Lehman Credit Index, performed in line with Treasuries for the month. Within the sector, higher quality investment grade corporates outperformed, with Aa-rated bonds beating like-duration Treasuries by 4 basis points, whereas Baa issues lagged by 11 basis points. Despite optimistic remarks made by Fed Chairman Greenspan in his semi-annual Congressional testimony, key economic releases during the month failed to meet expectations. Greenspan remarked, "In all likelihood, employment will begin to grow more quickly before long as output continues to expand." However, February kicked off with a disappointing Employment Situation Report, issued by The Bureau of Labor Statistics. The monthly report indicated that net payroll jobs increased by 112,000, below consensus expectations of 125,000. Manufacturing payrolls declined for the 42nd consecutive month, and job growth in service industries was weak. Separately, the Conference Board Index of Consumer Confidence also fell more than expected. Mr. Mike White, CPA Orange County Sanitation District March 9, 2004 Page2 Both components of the index fell -present situation and future expectations -though the latter more severely. With hiring and consumer confidence relatively weak, it was little surprise that inflation remained muted. Excluding volatile food and energy prices, the CPI rose 0.2%, leaving the annual rate of core inflation at I. I%, the lowest level since 1966. February closed with a positive surprise -the Bureau of Economic Analysis revised fourth quarter GDP upward, from 4.0% to 4.1 %. Stronger than initially reported business equipment and software spending, more inventory investment, stronger exports and higher non-durable consumption drove the revision, preserving hopes that the economic recovery will become self-sustaining. Treasury yield changes during the month of February are summarized as follows: • 3-month bills: + 3 basis points to 0.94% • 6-month bills: + 1 basis point to 1.00% • 2-year notes: -18 basis points to 1.64% • 5-year notes: -20 basis points to 2.94% • 10-yearnotes: -16 basis points to 3.97% • 30-year notes: -12 basis points to 4.84% Performance Attribution: Long-Term Portfolio The Long-Term portfolio that PIMCO manages on behalf of Orange County Sanitation District generated a total return of 0.66 percent for the month of February, lagging the Merrill Lynch 1-5 year Government Corporate Index by 6 basis points. The following points summarize returns for the period ended February 29: • The Long-Tenn portfolio lagged the benchmark by 6 basis points for the month. • For the twelve-month period~ the Long-Term portfolio returned 3. t 9%) underperfonuing the benchmark by 28 basis points. • Portfolio duration, below the index, was negative for monthly perfonnance as rates fell across most maturities. • Yield curve positioning similar to that of the index was neutral for performance. • Corporates and Treasuries provided nearly identical returns for the month. Substituting TIPs for nominal Treasuries was positive for perfonnance, as TIPs outperfonned nominals. • Exposure to mortgage-backed securities was positive for relative performance as the sector outperformed Treasuries on a duration-adjusted basis. , Mr. Mike White, CPA Orange County Sanitation District Liquid Portfolio March 9, 2004 Page3 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 February, perfonning in line with the 3-month Treasury Bill Index for the month. The following points summarize returns for the period ending February 29: • The Liquid portfolio perfonned in line with the benchmark for the month. • For the twelve-month period, the Liquid portfolio returned 1.19%, outperfonning the benchmark by 17 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 PIM CO 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 February 29: • 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 Orange County Sanitation District March 9, 2004 Page4 competitive pricing in dollar tenns 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, CF A Vice President John M. Miller, CF A Senior Vice President Orange County Sanitation District for the month ending February 29, 2004 Total Return Account -203 Market Value Book Value Yield to Maturity Short Term Account -603 Market Value Book Value Yield to Maturity With Accrued Interest 391,024,366 384,808,109 2.21 With Accrued Interest 91,543,278 91,703,783 1.37 2003 COP Proceeds -Future Construction -2203 Market Value Book Value Yield to Maturity With Accrued Interest 79,266,564 79,418,235 l.33 Without Accrued Interest 388,585,844 382,369,588 2.22 Without Accrued Interest 91,356,045 91,516,551 1.37 Without Accrued Interest 79,074,103 79,225,774 1.33 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 29 February 2004) Liquid Operating Monies (603) 15.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIM CO • Mellon Historical Cost: • PIMCO • Mellon 15.1.2 MODIFIED DURATION Of Portfolio: Of Index: 15.1.3 1%INTERESTRATECHANGE Dollar Impact ll?ain/loss) of 1 % Chan~e: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.5 PORTFOLIO MATURITY % of Portfolio MaturinJ?; within 90 davs: 15.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance" 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%) by Period: 1 Month: 3 Months: 12 Months: Fiscal Year-to-Date: Commentary • The Liquid portfolio outperfonned the benchmark by 2 basis points for the month, and by 8 basis points fiscal year-to-elate. • PIMCO's emphasis on higher yielding securities such as commercial paper and short-term notes contributed to performance. H:\dept\f'ln\220\Geggle\FAllR\LIQOBOCl-04·02.RPT.doc Page 1of1 $91,543,278 $91,538,826 $91,703,783 $91,714,015 0.21 0.20 $192.241 0% 70% "AAA" 0% Yes Portfolio Index 0.09 0.07 0.27 0.23 1.19 1.02 0.72 0.64 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 29 February 2004) Lo11g-Term Operating Mo11ies (203) 15.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value Estimate: • PIM CO • Mellon Historical Cost: • PIM CO • Mellon 15.1.2 MODIFIED DURATION Of Portfolio: Of Index: 15.1.3 1%INTERESTRATECHANGE Dollar Impact (gain/loss) of 1 % Change: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.5 PORTFOLIO MATURITY % of Portfolio Maturin~ within 90 days: 15.1.6 PORTFOLIO QUALITY A veraJ?e Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance" 15.1.9 PORTFOLIO PERFORMANCE Total Rate of Return(%) by Period: 1 Month: 3 Months: 12 Months: Fiscal Year-to-Date: • The Long-Tenn portfolio lagged the benchmark by 6 basis points for the month, but -outperformed the benchmark by 8 basis points fiscal year-to-date. • Portfolio duration, below the index, was negative for monthly performance a~; rates fell across maturities. • Yield curve positioning similar to that of the index was neutral for performance. • Corporates and Treasuries provided nearly identical returns for the month. Substituting TIP's for nominal Treasuries was positive for performance, as TIP's outperformed nominals. • Exposure to mortgage-backed securities was positive for relative perfonnanc.c as the sector outperformed Treasuries on a duration-adjusted basis. Page I of 3 $391,024,366 $391,046,960 $384,808, 109 $385,631,941 1.95 2.45 $7,624,975 0% 10% AAA 0% No* Portfolio Index 0.66 0.72 1.71 1.87 3.19 3.47 1.66 1.58 *Compliance Issues: MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 29 February 2004) Page2of3 $1,600,000 par of United Airlines <UAL> Pass-Through 2001-1-C (Enhanced Equipment Trust Certificate CEETC)-909317BC2l, 6.831% coupon, 9/112008 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 BAI (on 9/18/2001) and S&P from A-to BBB (on 9/20/2001). The security was further downgraded by Moody's from BAI 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 (B3 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. In February 2004, Moody's announced that they will be dropping their credit ratings for all ofUAL's debt. Moody's stated that it was the lack of information on the restructuring. UAL has continued to delay disclosure of information on their restructuring plan and it appears the company did not update Moody's on a regular enough basis for them to feel comfortable rating UAL's debt. S&P has maintained their existing ratings and at this time, Fitch does not rate UAL's debt. UAL recently announced fourth quarter earnings numbers. While they posted a loss for the quarter, it was narrower than expected and the company stated that forward bookings were up from last year in the international arena that had been hurt by the Iraqi war. The company also maintained a strong cash balance during a seasonally weak quarter. UAL ended the quarter with a cash balance of $2.4 billion, including $6 79 million in restricted cash. On February 20, bankruptcy court filings revealed that UAL has reached a preliminary agreement with a group of 174 aircraft lessors and secured lenders (dubbed the Chapman Group after their lead counsel, Chapman & Cutler), representing about 20% ofUAL's in-service fleet. A final agreement is expected to be completed by March 2°d. Importantly, the agreement is consistent with UAL's financial plan and projections provided to the ATSB and creditor groups. This represents the last group of creditors needed for UAL to complete its ATSB loan application, a key gatekeeper to its emergence from Chapter 11. Consequently, this announcement should be positive for UAL bond prices. In response, UAL's creditor committee filed documents objecting to the agreement suggesting that antitrust laws may have been violated because of the "stranglehold" that the owners of the aircraft have over UAL allowing them to extract "excessive payments". PIMCO views this charge as having little basis in reality and an attempt by other creditors lawyers to try whatever they can to further their own clients interests. The bankruptcy judge turned down the creditors committee request for evidence gathering, but did allow them to hire special counsel to look into the matter while the negotiations continue with the Chapman Group. The specific tenns of the Chapman Group's deal were filed with the court under seal and therefore not made public. PIMCO's position is to continue holding UAL securities. While PIMCO is disappointed that UAL has delayed the disclosure of their reorganization plan and appears to have not been communicating effectively with Moody's, PIM CO continues to be part of a group that is negotiating directly with the company on behalf of bondholders. PIM CO is still limited in the information it can disclose at this point, as some of the information in the negotiating process is non-public. PIM CO believes that continuing to hold the securities is the best strategy to maximize value. $1.000.000 par of Philip Morris-Altria NT (cusip 7181S4CH8l, 4/1/2004 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 Baa2 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 $5,000,000 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. ~ MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 29 February 2004) Page3 of3 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. On March 5, the Minnesota Court of Appeals declined to review a lower court's decision that rejected class-action status in a "lights" cigarette case against Philip Morris USA. The lawsuit was not based on claims of illness or personal injury from smoking but on allegedly deceptive trade practices. In the suit, the plaintiffs claimed Philip Morris violated state laws by tricking smokers into believing Marlboro Lights delivered less tar and nicotine than regular cigarettes. "This decision continues the trend throughout the nation in which federa 1 and state courts in more than 60 cases have refused to certify tobacco lawsuits as class actions," said William S. Ohlemeyer, Philip Morris USA vice president and general counsel, in a written statement. According to Altria Group Inc. 's Philip Morris USA, three "lights'" cases pending against the cigarette maker have been certified as class action cases. The suits are pending in Illinois, Ohio, and Missouri, and all are being appealed. State appellate courts have decertified two "lights" cases in Massachusetts and Florida. The Illinois case resulted in a $10.1 billion judgment against Philip Morris. The case is currently under review by the Illinois Supreme Court. 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 Mo·ody'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 BBB+, 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 9 27804 ENO), 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:ldeptljinl2201GeggielFAHRIL-T0800-04-02.RPT.doc @ Asset Summary Report m: GL8251 Mellon Base Currency: USD by Asset Type with Sectors Alternate Base Currency: Exchange Rate: UQUID OPER-PIMCO • OCSF07511102 2/29/2004 Status: FINAL Net Unrealized· Cost·· Market Value %of Galn/LOss Description · Shares Par Base: Base Total Base CASH & CASH EQUIVALENTS U.S. DOLLAR INTEREST 201,717.53 201,717.53 0.22% 0.00 COMMERCIAL PAPER -DISCOUNT 4,500,000.000 4,494,000.00 4,494,000.00 4.91% 0.00 FED HM LOAN BNK -LESS THAN 1 YR 11,600,000.000 11,561,471.04 11,561,471.04 12.63% 0.00 FEDERAL HOME LOAN MORTGAGE -LESS THAN 1 YR 14,300,000.000 14,252,957.77 14,252,957. 77 15.57% 0.00 FNMA ISSUES -LESS THAN 1 YR 15,500,000.000 15,455,232.23 15,455,232.23 16.88% 0.00 MUTUAL FUNDS 124,900.640 124,900.64 124,900.64 0.14% 0.00 REPURCHASE AGREEMENTS 12,300,000.000 12,300,000.00 12,300,000.00 13.44% 0.00 TREASURY BILLS -LESS THAN 1 YR 23,100,000.000 22,989,043.00 22,989,043.00 25.11% 0.00 U.S. DOLLAR 81,424,900.640 81,379,322.21 81,379,322.21 88.90% 0.00 CASH & CASH EQUIVALENTS 81,424,900.640 81,379,322.21 81,379,322.21 88.90% 0.00 FIXED INCOME SECURITIES U.S. DOLLAR BANKING & FINANCE 9,002,000.000 9,208,787.58 9,055,560.52 9.89% -153,227.06 U.S. AGENCIES l, 100,000.000 1,125,905.00 1,103,943.39 1.21% -21,961.61 U.S. DOLLAR 10, 102,000.000 10,334,692.58 10,159,503.91 11.10% -175,188.67 FIXED INCOME SECURITIES 10, 102,000.000 10,334,692.58 10,159,503.91 11.10% -175,188.67 TOTAL ASSETS • BASE: 91,526,900.640 91,714,014.79 91,538,826.12 100.00% -175,188.67 3/8/2004 8:29:31AM PST 1 Workbench C3 • @ Mellon LONG TERM OPER-PIMCO -OCSF07522202 Description CASH & CASH EQUIVALENTS U.S. DOLLAR PENDING TRADES INTEREST FED HM LOAN BNK -LESS THAN 1 YR FEDERAL HOME LOAN MORTGAGE -LESS THAN 1 YR FNMA ISSUES -LESS THAN 1 YR MUTUAL FUNDS TREASURY BILLS -LESS THAN 1 YR U.S. DOLLAR CASH & CASH EQUIVALENTS FIXED INCOME SECURITIES U.S. DOLLAR ABS -AIRPLANE RECEJV ABLES ABS -HOME EQUITY BANKING & FINANCE COLLATERALIZED MORTGAGE OBLIGATION COMM/< FHLMC MULTICLASS FHLMC POOLS FNMA POOLS GNMA MULTI FAMILY POOLS GNMA SINGLE FAMILY POOLS INDUSTRIAL INFLATION INDEXED SECURITIES INSURANCE PVT PLACEMENTS -MORE THN 1 YR U.S. AGENCIES U.S. GOVERNMENTS UTILITY -ELECTRIC U.S. DOLLAR FIXED INCOME SECURITIES 3/8/2004 8:59:17AM PST Asset Summary by Asset Type with Sectors 2/29/2004 Shares Par 4,100,000.000 10,700,000.000 10,700,000.000 1,074,687.680 12,400,000.000 38,974,687.680 38,974,687.680 1,600,000.000 971,042.750 16,700,000.000 2,241,342.070 1,037 ,995.040 127,312.390 42,595,579.830 3 ,099 ,233. 280 8,404,749.280 3,000,000.000 34,318,210.000 1,600,000.000 752,000.000 38,075,448.470 17 3,597 ,276.280 4,750,000.000 332,870,189.390 332,870, 189.390 1 Cost Base 410,623.56 2,571,112.86 4,096,874.89 10,673,547.22 10,668,159.42 1,074,687.68 12,335,954.54 41,830,960.17 41,830,960.17 1,600,000.00 971,042.75 16,776,633.00 2,241,342.07 1,039,100.88 126,742.32 43,580,188.71 3,083,731.00 8,523,798.41 3,044,880.00 34,335,129.79 1,594,032.00 826,199.84 39,308,377.57 182,055,412.13 4,694,370.00 343,800,980.47 343,800,980.47 Report m: GL8251 Base Currency: USD Alternate Base Currency: Market Value Base 410,623.56 2,571, 112.86 4,096,874.89 10,673,547.22 10,668, 159.42 1,074,687.68 12,335,954.54 41,830,960.17 41,830,960.17 263,520.00 971,649.65 17 ,336,667.00 2,423,451.11 1,104,364.44 130,447.40 44,045,601.74 3,155,837.75 8,870,072.63 3,034,370.00 38,699,262.95 1,716,240.00 826,199.84 40,551,356.55 181,102,716.80 4,984,242.50 349,216,000.36 349,216,000.36 Exchange Rate: Status~ FINAL %of Total 0.11% 0.66% 1.05% 2.73% 2.73% 0.27% 3.15% 10.70% 10.70% 0.07% 0.25% 4.43% 0.62% 0.28% 0.03% 11.26% 0.81% 2.27% 0.78% 9.90% 0.44% 0.21% 10.37% 46.31% 1.27% 89.30% 89.30% Net Unrealized' Gahl/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -1,336,480.00 606.90 560,034.00 182,109.04 65,263.56 3,705.08 465,413.03 72,106.75 346,274.22 -10,510.00 4,364,133.16 122,208.00 0.00 1,242,978.98 -952,695.33 289,872.50 5,415,019.89 5,415,019.89 Workbench @ Mellon LONG TERM OPER-PIMCO -OCSF07522202 Description · TOTAL ASSETS -BASE: 3/8/2004 8:59:17AM PST Asset Summary Report ID: GL8251 Base Currency: USD by Asset Type with Sectors Alternate Base Currency: 2/29/2004 .·.CO&t· lia&&;· Market Value· Base 371,844,877.070 385,631,940.64 391,046,960.53 ================ =============== 2 Exchange Rate: Status: FINAL %,of Total, 100.00% Net Unrealized Gain/Loss ·uaae· 5,415,019.89 Workbench ~ . YLDANAL OCSF0751ll02 DISTRICT: LIQUID OPERATING YIELD ANALYSIS 2004/02/29 PAGE RUN DATE RUN TIME 1 03/04/04 12 .11. 54 ===================~=================================~====~================================================================== PAR VALUE SECURITY ID SECURITY DESCRIPTION CASH & CASH EQUIVALENTS 4,500 1 000.00 DU PONT DE NEMOUR DISC 26354AC85 03/08/2004 4,500,000.00 FEDERAL HOME LN BK CONS DISC N 313384UE7 MAT 03/12/2004 900,000.00 FEDERAL HOME LN BKS CINS DISC 313384UK3 MAT 03/17/2004 2,500,000.00 FEDERAL HOME LN BKS CONS DISC 313384WL9 MAT 05/05/2004 2,000,000.00 FEDERAL HOME LN BK CONS DISC 313384XA2 MAT 05/19/2004 1,700,000.00 FEDERAL HOME LN BK CONS DISC N 313384XH7 MAT 05/26/2004 3,800,000.00 FEDERAL HOME LN MTG CORP DISC 313396UZ4 MAT 03/31/2004 2,soo,000.00 FEDERAL HOME LN MTG CORP DISC 313396WK5 MAT 5/5/2004 6,000,000.00 FEDERAL HOME LN MTG CORP DISC 313396WZ2 MAT 05/18/2004 2,000,000.00 FEDERAL HOME LN MTG CORP DISC 313396XG3 MAT 05/25/2004 6,500,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588WT8 MAT 05/12/2004 9,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588XA8 MAT 05/19/2004 23,100,000.00 US TREASURY BILL 912795QW4 DUE 08/05/2004 DD 02/05/2004 12,300,000.00 CREDIT SUISSE FB REPO 99416W828 00.980% 03/01/2004 DD 02/27/04 YTM AT CURRENT MOODY MARKET BOOK YIELD S-P PRICE .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .ooo .980 P-1 P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ 99.867 99.742 99.462 99.743 99.431 99.747 99.422 99.745 99. 772 99.747 99.753 99.681 99.520 100.000 TOTAL COST/ MARKET VALUE 4,494,000.00 4,494,000.00 4,488,395.00 4,488,395.00 895,162.50 895,162.50 2,493,585.76 2,493,585.76 1,988,625.00 1,988,625.00 1,695,702.78 1,695,702.78 3,778,055.00 3 1 778,0SS.OO 2,493,625.00 2,493,625.00 5,986,333.33 5 1 986,333.33 1,994,944.44 1,994,944.44 6,483,930.56 6,483,930.56 8,971,301.67 8, 971, 301.67 22,989,043.00 22,989,043.00 12,300,000.00 12,300,000.00 % TYPE % TOTAL 5.53 4.92 5.52 4.91 1.10 .98 3.07 2. 73 2.44 2.18 2.08 1.86 4.65 4.14 3.07 2. 73 7. 37 6.SS 2.45 2.18 7.98 7.10 11.05 9.82 28.31 25.17 15.15 13.47 YLDANAL YIELD ANALYSIS PAGE 2 OCSF07511102 2004/02/29 RUN DATE 03/04/04 DISTRICT: LIQUID OPERATING RUN TIME : 12.11.54 =====================================================~======================================================================= PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 124,900.64 DREYFUS TREASURY CASH MGMT , OCIO .815 AAA 100.000 124,900.64 .15 996085247 AAA 124,900.64 .14 -----------------------------------------TOTAL CASH & CASH EQUIVALENTS • OCIO .oso 81,177,604.68 100.00 81,177,604.68 ea.ea FIXED INCOME SECURITIES 100,000.00 ASSOCIATES CORP NA MTN SR00043 • 000 7. 732 AAl 102.437 104,199.00 1.00 045906BU7 7.920% 07/13/2004 DD 07/13/94 AA-102,437.00 .11 1,000,000.00 ASSOCIATES CORP NORTH AMER .ooo 5.765 AAl 100.609 1,041,290.00 9.90 046003KA6 S.800% 04/20/2004 DD 04/20/99 AA-1,006,090.00 1.10 soo,000.00 BANK OF AMERICA CORP SR GBL NT .ooo 6.523 AA2 101. 562 518,385.00 4.99 0660SOCW3 6.625% 06/15/2004 DD 06/15/99 A+ 507,810.00 .56 2,100,000.00 CITIGROUP INC SR GLOBAL NT .ooo 1.329 AAl 100.000 2,700,459.00 26.57 1729678EO FLTG RT 03/09/2004 DD 03/09/01 AA-2,100,000.00 2.96 1,100,000.00 FEDERAL HOME LN MTG CORP DEB .ooo 3.737 AAA 100.358 1,125,905.00 10.86 3134A4PH1 3.750% 04/15/2004 DD 04/15/02 AAA 1,103,943.39 1.21 180,000.00 GENERAL ELEC CAP MTN tTR 00448 .OOIO 7 .177 AAA 101. 015 183, 801. 60 1. 78 36962GUR3 7.250% 05/03/2004 DD 05/01/00 AAA 181,827.00 .20 1,000,000.00 GENERAL ELEC CAP MTN tTR 00545 • 000 1.211 AAA 100.046 1,001,089.00 9.84 36962GYS7 VAR RT 05/20/2004 DD 05/20/02 AAA 1,000,460.00 1.10 1,000,000.00 LEHMAN BROS HLDGS INC .ooo 6.596 Al 100.437 1,045,590.00 9.88 524908BZ2 6.625% 04/01/2004 DD 03/26/99 A 1,004,370.00 1.10 250,000.00 NCNB TEX NATL BK DALLAS TEX NT .ooo 9.315 AA2 101. 984 260,870.00 2.50 628857DJO 9.500% 06/01/2004 DD 06/01/89 A+ 254,960.00 .28 627,000.00 NATIONSBANK CORP SR NTS .ooo 6.017 AA2 101.796 646,650.18 6.28 638585BJ7 6.125% 07/15/2004 DD 07/23/98 A+ 638,260.92 .70 520,000.00 NORWEST FINL INC NTS .ooo 7.168 AAl 100.453 531,538.80 5.14 669383DG3 7.200% 04/01/2004 DD 04/07/97 AA-522,355.60 .57 ., YLDANAL OCSF07511102 DISTRICT: LIQUID OPERATING YIELD ANALYSIS 2004/02/29 PAGE RUN DATE RUN TIME 3 03/04/04 12.11.54 =====================================================~======================================================================= 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 us BANCORP MTN f TR 00119 .ooo 5.943 AA3 100.953 1,046,310.00 9.93 91159HEY2 6.000% 05/15/2004 DD 05/10/99 A+ 1,009,530.00 1.11 125,000.00 WELLS FARGO & CO NEW NT .OOIO 6.497 AAl 101. 968 128,605.00 1.25 949746AA9 6.625% 07/15/2004 DD 07/28/99 AA-127,460.00 .14 -----------------------------------------TOTAL FIXED INCOME SECURITIES .ooo 3.840 10,334,692.58 100.00 10,159,503.91 11.14 -----------------------------------------TOTAL .000 .579 91,512,297.26 100.00 91,337,108.59 100.00 ================= ========= YLDANAL OCSF07S22202 DISTRICT: LONG-TERM OPERATING YIELD ANALYSIS 2004/02/29 PAGE RUN DATE RUN TIME 4 03/04/04 12.11.54 =====================================================~======================================================================= PAR VALUE SECURITY ID SECURITY DESCRIPTION CASH & CASH EQUIVALENTS 4,100,000.00 FEDERAL HOME LN BKS CONS DISC 313384UM9 MAT 03/19/2004 10,700,000.00 FEDERAL HOME LN MTG CORP DISC 313396WZ2 MAT OS/18/2004 6,800,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588XA8 MAT 05/19/2004 3,900,000.00 FEDERAL NATL MTG ASSN DISCOUNT 313588YV1 MAT 07/01/2004 8,000,000.00 U S TREASURY BILL 912795PWS 0.000% 04/29/2004 DD 10/30/03 4,400,000.00 U S TREASURY BILL 912795PX3 0.000% 05/06/2004 DD 11/06/03 1,074,687.68 DREYFUS TREASURY CASH MGMT 996085247 TOTAL CASH & CASH EQUIVALENTS FIXED INCOME SECURITIES 752,000.00 AIG SUNAMERICA GLOBAL REG S U00907AAO 5.850% 08/01/2008 DD 08/08/01 2,800,000.00 COMMIT TO PUR FNMA SF MTG 01F052631 5.500% 03/01/2034 DD 03/01/04 1,500,000.00 CIT GROUP INC NEW SR NT 125581ADO 5.500% 11/30/2007 DD 12/02/02 50,982.16 FHLMC GROUP fG4-0353 3128DBMA2 7.500% 10/01/2004 DD 03/01/99 7,500,000.00 FEDERAL HOME LN BK CONS BDS 3133MAUN7 7.125% 02/15/2005 DD 02/08/00 YTM AT CURRENT MOODY MARKET BOOK YIELD S-P PRICE .ooo .ooo .000 .ooo .ooo .ooo .ooo .ooo .ooo .000 .ooo .ooo .ooo .815 .ooo .oos .ooo 5.325 .ooo 5.377 .ooo 5.101 .ooo 7.401 .ooo 6.747 P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ P-1 A-1+ AAA AAA AAA AAA A2 A AAA AAA AAA AAA 99.924 99.753 99.750 99.619 99.484 99.482 100.000 109.867 102.281 107.812 101.337 105.597 TOTAL COST/ MARKET VALUE 4,096,874.89 4,096,874.89 10,673,547.22 10,673,547.22 6,783,000.00 6,783,000.00 3,885,159.42 3,885,159.42 7,958,746.66 7,958,746.66 4,377,207.88 4,377,207.88 1,074,687.68 1,074,687.68 38,849,223.75 38,849,223.75 826,199.84 826,199.84 2,863,875.00 2,863,868.00 1,527,135.00 1,617,180.00 52,272.65 51,663.61 7,997,625.00 7,919,778.00 % TYPE % TOTAL 10.54 1.06 27.47 2.75 17.45 1. 75 10.00 1.00 20.48 2.05 11. 26 1.13 2.76 .28 100.00 10.02 .23 .21 .82 .74 .46 .42 .01 .01 2.26 2.04 YLDANAL YIELD ANALYSIS PAGE 5 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ==================================~==================~==~~=================================================================== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- .oo FHLMC MULTICLASS CTF SER 1620Z .00·0 .ooo AAA .ooo .oo .oo 3133Tl7A4 6.000% 11/15/2023 DD 11/01/93 AAA .oo .oo 76,330.23 FHLMC GROUP 178-6064 • 0()0 3.282 AAA 103.214 74,469.67 .02 31348SWZ3 6.384% 01/01/2028 DD 12/01/97 AAA 78,783.79 .02 11,350,000.00 FEDERAL NATL MTG ASSN DEBS .ooo 4.895 AAA 107.262 11,521,271.50 3.48 31359MJX2 5.250% 06/15/2006 DD 06/22/01 AAA 12,174,191.60 3.14 819,466.32 FNMA POOL 10254510 .ooo 4.858 AAA 102.934 844,050.31 .24 31371KVB4 5.000% 11/01/2017 DD 10/01/02 AAA 843,506.10 .22 174, 072 .47 FNMA POOL 10254631 .ooo 4.858 AAA 102.934 179,294.65 .OS 31371KY47 5.000% 02/01/2018 DD 01/01/03 AAA 179,179.04 .05 157,179.71 FNMA POOL 10254760 .ooo 4.855 AAA 102.996 161,895.09 .04 31371KSV9 5.000% 06/01/2018 DD 05/01/03 AAA 161,888.96 .04 68,802.98 FNMA POOL f 0254866 .ooo 4.855 AAA 102.996 70,867.08 .02 31371LCB3 S.000% 09/01/2018 DD 08/01/03 AAA 70,864.38 .02 365,440.54 FNMA POOL 10254953 • 0()0 4.855 AAA 102.996 370,122.75 .10 31371LE21 5.000% 11/01/2018 DD 10/01/03 AAA 376,389.47 .10 980,912.87 FNMA POOL 10254987 .000 4.862 AAA 102.847 993,480.81 .28 31371LF46 5.000% 12/01/2018 DD 11/01/03 AAA 1,008,840.43 .26 198,962.50 FNMA POOL 10323980 .0()10 5.670 AAA 105.824 207,729.28 .06 31374T2MO 6.000% 04/01/2014 DD 09/01/99 AAA 210,550.51 .05 31,162.40 FNMA POOL 10357328 .ooo 4.861 AAA 102.870 32,097.27 .oo 31376J4M8 5.000% 01/01/2018 DD 01/01/03 AAA 32,056.70 .01 1,567,770.89 FNMA POOL 10357430 .000 4.860 AAA 102. 871 1,585,408.32 .46 31376KA71 5.000% 09/01/2018 DD 09/01/03 AAA 1,612,783.00 .42 60,877.87 FNMA POOL 10456482 .ooo 5.670 AAA 105.824 63,560.30 .01 31381CCT2 6.000% 02/01/2014 DD 02/01/99 AAA 64,423.53 .02 174,124.63 FNMA POOL 10509649 .0()0 S.670 AAA 105.824 181,797.00 .05 31383QEWO 6.000% 09/01/2014 DD 09/01/99 AAA 184,266.03 .os 156,945.33 FNMA POOL 10535451 .ooo 5.676 AAA 105.699 163,860.74 .04 31384VZQ8 6.000% 06/01/2015 DD 07/01/00 AAA 165,889.99 .04 YLDANAL YIELD ANALYSIS PAGE 6 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ==~===================================================================================================================~====== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 3,395,287.94 FNMA POOL 10535672 .ooo 5.670 AAA 105.824 3,544,892.83 1. 02 31384WCH1 6.000% 01/01/2016 DD 12/01/00 AAA 3,593,036.98 .93 1,101,514.84 FNMA POOL 10545296 .ooo 5.680 AAA 105.637 1,150 1 050.34 .33 31385HXZO 6.000% 11/01/2016 DD 10/01/01 AAA 1,163,604.15 .30 93,756.06 FNMA POOL 10545580 .ooo 5.680 AAA 105.637 97,887.18 .02 31385JCR7 6.000% 03/01/2017 DD 03/01/02 AAA 99,040.83 .OJ 167,579.16 FNMA POOL 10555101 .ooo 5.673 AAA 105.762 174,963.10 .05 31385WU23 6.000% 10/01/2017 DD 11/01/02 AAA 177,234.60 .05 375,811.55 FNMA POOL 10555363 .ooo 4.860 AAA 102.871 387,085.89 .11 31385W5Yl 5.000% 04/01/2018 DD 03/01/03 AAA 386' 601. 44 .10 38,500.45 FNMA POOL 10555453 .ooo 4.858 AAA 102.934 38,993.74 .01 31385XBW6 5.000% 05/01/2018 DD 04/01/03 AAA 39,629.90 .01 313,980.68 FNMA POOL 10555545 .00·0 4.860 AAA 102. 871 323,400.11 .09 31385XES2 s.ooo\ 06/01/2018 DD 05/01/03 AAA 322,995.35 .08 1,088,257.29 FNMA POOL f0555621 .ooo 4.862 AAA 102.847 1,100,500.18 .32 31385XG68 5.000% 07/01/2018 DD 06/01/03 AAA 1,119,241.05 .29 64,266.10 FNMA POOL 10576386 .000 5.690 AAA 105.451 67,097.82 .01 31386XJ72 6.000% 05/01/2016 DD 05/01/01 AAA 67,769.28 .02 171,837.99 FNMA POOL 10576739 .ooo 5.680 AAA 105.637 179,409.60 .05 31386XV86 6.000% 04/01/2016 DD 04/01/01 AAA 181,524.02 .OS 221,252.73 FNMA POOL 10580888 • 0()0 5.666 AAA 105.887 231, 001. 67 .06 31387DJ91 6.000% 05/01/2016 DD 05/01/01 AAA 234,277.26 .06 178,046.84 FNMA POOL 10594002 .ooo 5.680 AAA 105.637 185,892.02 .05 31387T3K8 6.000% 07/01/2016 DD 07/01/01 AAA l88,oe2.84 .OS 233,521.05 FNMA POOL 10597376 .0()10 5.680 AAA 105.637 243,810.57 .07 31387XT96 6.000% 09/01/2016 DD 08/01/01 AAA 246,683.98 .06 145,970.82 FNMA POOL 10605259 .000 5.680 AAA 105.637 152,402.66 .04 31388HMG1 6.000% 09/01/2016 DD 09/01/01 AAA 154,198.79 .04 95,448.93 FNMA POOL 10608366 .ooo 5.680 AAA 105.637 99,654.65 .02 31388LZ78 6.000% 10/01/2016 DD 09/01/01 AAA 100,829.12 .03 YLDANAL YIELD ANALYSIS PAGE 7 OCSF07522202 2004/02/29 RUN DATE OJ/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12 .11. 54 =================================================================~=========================================================== PAR VALUE YTM AT CURRENT MOODY MARR ET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOR YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 169,150.77 FNMA POOL #0616734 .ooo 5.663 AAA 105.949 176,603.97 .os 31388WEF9 6.000% 12/01/2016 DD 12/01/01 AAA 179,213.92 .OS 177,385.02 FNMA POOL 10630812 .ooo 5.689 AAA lOS.474 185,201.0S .os 31389NYH2 6.000% 02/01/2017 DD 02/01/02 AAA 187,09S.35 .OS 801,640.11 FNMA POOL 10632376 .ooo S.673 AAA 105.762 836,962.39 .24 31389QQ50 6.000% 07/01/2017 DD 07/01/02 AAA 847,828.37 .22 4S8,461.28 FNMA POOL 10653116 .ooo 5.673 AAA 105.762 478,662.23 .13 31390QSD8 6.000% 07/01/2017 DD 07/01/02 AAA 484,876.54 .12 187,396.02 FNMA POOL 10673280 .ooo 5.673 AAA 105.762 195,653.16 .OS 31391P6R2 6.000% 08/01/2017 DD 11/01/02 AAA 198,193.25 .OS 565,778.39 FNMA POOL 10681309 .ooo 4.860 AAA 102.871 582, 751. 74 .16 31391Y3S4 5.000% 02/01/2018 DD 02/01/03 AAA 582,022.40 .15 70,619.26 FNMA POOL I0681J34 .ooo 4.860 AAA 102.871 72,737.83 .02 31391Y4Tl 5.000% 02/01/2018 DD 01/01/03 AAA 72,646.80 .02 350,637.74 FNMA POOL #0684908 .000 4.858 AAA 102.934 355,130.29 .10 31400D3Rl 5.000% 06/01/2018 DD 05/01/0J AAA 360,924.01 .09 201,400.29 FNMA POOL f 0685200 .ooo 4.860 AAA 102 .871 203,980.74 .OS 31400EGH7 5.000% 03/01/2018 DD 03/01/03 AAA 207,182.67 .OS J6,036.56 FNMA POOL 10685665 .ooo 4.860 AAA 102 .871 37,117.66 .01 31400EW22 5.000% 02/01/2018 DD 02/01/03 AAA 37,071.20 .01 304,949.07 FNMA POOL 10686318 .ooo 4.860 AAA 102.871 314,097.54 .08 31400FPB7 S.000% 03/01/2018 DD 03/01/03 AAA 313,704.43 .00 116,868.03 FNMA POOL #0688739 .ooo 4.860 AAA 102.871 120,374.07 .OJ 31400JEL9 5.000% 06/01/2018 DD 06/01/03 AAA 120,223.42 .OJ 126,J45.50 FNMA POOL 10689859 .ooo 4.855 AAA 102.996 127,964.JO .03 J1400l<MG8 5.000% 05/01/2018 DD 05/01/03 AAA lJO,lJ0.92 .03 734,805.83 FNMA POOL 10693834 .ooo 4.860 AAA 102.871 756,850.0l .21 31400PY74 5.000% 03/01/2018 DD 03/01/03 AAA 755,902.77 .19 266,582.08 FNMA POOL 10695852 .ooo 4.860 AAA 102.871 274,579.54 .07 31400SBVO 5.000% 05/01/2018 DD 05/01/03 AAA 274,235.89 .07 YLDANAL YIELD ANALYSIS PAGE 8 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12 .11. 54 ===================================================================================~=============================~=========== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 826,754.22 FNMA POOL 10695889 .000 4.860 AAA 102.871 851,556.84 .24 31400SC23 5.000% 05/01/2018 DD 05/01/03 AAA 850,491.08 .22 26,296.11 FNMA POOL 10697026 .ooo 4.860 AAA 102.871 27,085.01 .oo 31400TLF2 5.000% 05/01/2018 DD 04/01/03 AAA 27,051.09 .01 90,991.82 FNMA POOL 10698939 .000 5.666 AAA 105.887 95,001.15 .02 31400VPY2 6.000% 09/01/2017 DD 03/01/03 AAA 96,348.25 .02 275,352.96 FNMA POOL 10702210 .ooo 4.862 AAA 102.847 283,613.55 .08 31401ADP9 5.000% 05/01/2018 DD 05/01/03 AAA 283, 192. 53 .07 146,804.45 FNMA POOL 10702328 .ooo 4.860 AAA 102.871 148,685.39 .04 31401AHD2 5.000% 05/01/2018 DD 04/01/03 AAA 151,019.34 .04 78,115.72 FNMA POOL 10703195 .ooo 5.663 AAA 105.949 81,557.70 .02 31401BGC3 6.000% 01/01/2017 DD 04/01/03 AAA 82,763.00 .02 297,054.77 FNMA POOL 10709148 .ooo 4.860 AAA 102.871 305,966.42 .08 31401HZM7 5.000% 06/01/2018 DD 06/01/03 AAA 305,583.48 .08 693,132.71 FNMA POOL 10709360 .ooo 4.855 AAA 102.996 702,013.48 .20 31401JB56 5.000% 07/01/2018 DD 06/01/03 AAA 713,899.59 .10 141, 009. 26 FNMA POOL f 0709826 .ooo 4.860 AAA 102.871 142,815.94 .04 31401JSP4 S.000% 06/01/2018 DD 06/01/03 AAA 145, 057. 76 .04 261,406.04 FNMA POOL 10709917 .ooo 4.860 AAA 102.871 264,755.30 .07 31401JVJ4 S.000% 06/01/2018 DD 06/01/03 AAA 268,911.24 .01 26,462.64 FNMA POOL 10709963 .ooo 4.862 AAA 102.847 26, 801. 70 .oo 31401JWYO 5.000% 06/01/2018 DD 06/01/03 AAA 27,216.06 .01 783,890.71 FNMA POOL 10710235 .ooo 4.860 AAA 102.871 807,407.44 .23 31401KBC8 5.000% 06/01/2018 DD 06/01/03 AAA 806,396.92 .21 25,579.69 FNMA POOL 10713344 .ooo 4.860 AAA 102.871 26,347.07 .oo 31401NP52 5.000% 06/01/2018 DD 06/01/03 AAA 26,314.11 .01 329I143 • 33 FNMA POOL 10713365 .ooo 4.860 AAA 102.871 333,360.48 .09 31401NQS1 5.000% 07 /01/2018 DD 07/01/03 AAA 338,593.33 .09 946,633.03 FNMA POOL 10720319 .ooo 4.860 AAA 102.871 958, 761. 76 .21 31401WG45 5.000% 07/01/2018 DD 07/01/03 AAA 973, 811. 72 .25 -<II YLDANAL YIELD ANALYSIS PAGE 9 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ==========================~================================:================================================================== PAR VALUE YTH AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 2,415,634.25 FNMA POOL 10720369 .000 4.862 AAA 102.847 2,488,103.28 • 71 31401WJNO 5.000% 06/01/2018 DD 06/01/03 AAA 2,484,409.75 .64 309,918.69 FNMA POOL 10721629 .ooo 4 .849 AAA 103.121 319,216.26 .09 31401XVW4 5.000% 07/01/2018 DD 06/01/03 AAA 319,591.53 .08 251,288.40 FNMA POOL 10723487 .ooo 4.860 AAA 102.871 254,115.40 .07 31402AXQ4 5.000% 06/01/2018 DD 06/01/03 AAA 258,503.12 .01 422,722.75 FNMA POOL 10729601 .ooo 4.855 AAA 102.996 428,138.89 .12 31402HRW3 S.000% 07/01/2018 DD 07/01/03 AAA 435,387.90 .11 36,308.37 FNMA POOL f 0732873 .ooo 4.849 AAA 103.121 36, 773.56 .01 31402MFN5 5.000% 11/01/2018 DD 10/01/03 AAA 37,441.59 .01 744,808.98 FNMA POOL 10737130 .ooo 4.855 AAA 102.996 754 t 351. 84 .21 31402S4P9 S.000% 10/01/2018 DD 10/01/03 AAA 767,124.13 .20 587,516.82 FNMA POOL 10738211 .ooo 4.862 AAA 102.847 595,044. 39 .17 31402UDQ2 5.000% 10/01/2018 DD 10/01/03 AAA 604,244.01 .16 220,650.77 FNMA POOL 10738487 .ooo 4.860 AAA 102.871 223,477.85 .06 31402UNC2 5.000% 10/01/2018 DD 10/01/03 AAA 226,985.85 .06 694,890.75 FNMA POOL 10740471 .ooo 4.862 AAA 102.847 703,794.03 .20 31402WT40 5.000% 10/01/2018 DD 10/01/03 AAA 714,674.98 .18 824, 121. 71 FNMA POOL 10740748 .ooo 4.860 AAA 102 .971 834,680.76 .24 31402W5H7 S.000% 10/01/2018 DD 11/01/03 AAA 847,782.99 .22 44,056.47 FNMA POOL 10743868 .ooo 4.862 AAA 102. 847 44,620.94 .01 31403BMR1 5.000% 11/01/2018 DD 10/01/03 AAA 45,310.80 .01 1, 143,038. 75 FNMA POOL 10744008 .ooo 4.860 AAA 102 .871 1,157,683.93 .33 31403BR54 S.000% 07/01/2018 DD 09/01/03 AAA 1,175,856.42 .JO 170,880.33 FNMA POOL 10744316 .ooo 4.862 AAA 102.847 173,069.74 .OS 3140383Z4 S.000% 09/01/2018 DD 09/01/03 AAA 175,745.46 .os 360,058.77 FNMA POOL 10747914 .ooo 4.860 AAA 102.871 364,672.03 .10 31403F3XO S.000% 11/01/2018 DD 11/01/03 AAA 370,396.38 .10 242,368.11 FNMA POOL 10748400 .ooo 4.862 AAA 102.847 245,473.46 .01 31403GNR9 5.000% 08/01/2018 DD 09/01/03 AAA 249,268.57 .06 YLDANAL YIELD ANALYSIS PAGE 10 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ==~========c=========================================~======================~================================================ PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 1,029,279.66 FNMA POOL 10748899 .ooo 4.864 AAA 102.786 1,042,467.30 .30 31403G7LO 5.000% 12/01/2018 DD 11 /0l/03 AAA 1,057,954.40 .21 2,528,513.13 FNMA POOL 10750377 .ooo 4.864 AAA 102.786 2,560,909.70 .74 31403JUA2 5.000% 11/01/2018 DD 11/01/03 AAA 2,598,955.08 .67 2,121,015.81 FNMA POOL 00750380 .ooo 4.864 AAA 102.786 2,148,191.34 .62 31403JUD6 5.000% 11/01/2018 DD 11/01/03 AAA 2,180,105.27 .56 192,600.64 FNMA POOL 10750445 .ooo 4.864 AAA 102.786 195, 068. 33 .05 31403JWE2 5.000% 11/01/2018 DD 11/01/03 AAA 197,966.31 .os 903,960.05 FNMA POOL 10751960 .ooo 4.862 AAA 102.847 915,542.04 .26 31403LMH1 5.000% 12/01/2018 DD 11/01/03 AAA 929,696.69 .24 962,285.46 FNMA POOL 10753425 .ooo 4.860 AAA 102 .871 973,411.88 .28 31403NA23 5.000% 11/01/2018 DD 11/01/03 AAA 989,913.54 .26 644,503.22 FNMA POOL 10755165 .ooo 4.855 AAA 102.996 652,760.91 .19 31403Q6A3 5.000% 12/01/2018 DD 11/01/03 AAA 663,813.12 .11 987,723.59 FNMA POOL #0756372 .ooo 4.855 AAA 102.996 999,144.14 .29 31403SJR8 5.000% 11/01/2018 DD 11/01/03 AAA 1,017,316.68 .26 298,240.36 GNMA POOL 10596612 .ooo 6.140 AAA 105.859 313,012.57 .09 36200BYH4 6.500% 09/15/2032 OD 09/01/02 AAA 315,715.40 .OB 1,111,796.06 GNMA POOL 10569358 .ooo 6.156 AAA 105.584 1,137,853.78 .33 36200QQK3 6.500% 04/15/2032 DD 04/01/02 AAA 1,173,883.11 .30 47,593.89 GNMA POOL 10569685 .ooo 6.138 AAA 105. 891 49, 951. 27 .01 36200Q2S2 6.500% 02/15/2032 DO 02/01/02 AAA 50,397.47 .01 82,334.61 GNMA POOL 10570019 .ooo 6.138 AAA 105.891 86,412.75 .02 36200RG48 6.500% 07/15/2032 DD 07/01/02 AAA 87,184.63 .02 475,152.23 GNMA POOL 10574323 .ooo 6.138 AAA 105.891 498,687.12 .14 36200WAY7 6.500% 12/15/2031 DD 12/01/0l AAA 503' 141. 64 .13 48,111.66 GNMA POOL 00575364 .ooo 6.138 AAA 105.891 50,494.69 .01 36200XFD6 6.500% 11/15/2031 DD 11/01/01 AAA 50,945.74 .01 19,804.19 GNMA POOL 00587117 .ooo 6.138 AAA 105.891 20,785.12 .oo 36201MG22 6.500% 06/15/2032 DD 06/01/02 AAA 20,970.78 .01 -<l I YLDANAL YIELD ANALYSIS PAGE 11 OCSF07522202 2004/02/29 RUN DATE : 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 12.11.54 ~============================================================================================================================ PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 57,442.25 GNMA POOL 10587439 .ODO 6.140 AAA 105.859 60,287.43 .01 36201MS45 6.500% 11/15/2032 DD 12/01/02 AAA 60,808.0l .02 14,230.43 GNMA POOL 10421389 .ODO 6.119 AAA 106.234 14,935.29 .oo 36206UC23 6.500% 04/15/2026 DD 04/01/96 AAA 15,117.61 .oo 22,950.12 GNMA POOL 10449851 .ODO 6.149 AAA 105.701 23,990.31 .oo 36208FWLO 6.500% 01/15/2028 DD 01/01/98 AAA 24,161.25 .01 62,688.68 GNMA POOL 10466845 .ooo 6.126 AAA 106.109 65,793.73 .01 36209BTA6 6.500% 06/15/2028 DD 06/01/98 AAA 66,518.57 .02 113, 197. 73 GNMA POOL 10468052 .ooo 6.126 AAA 106.109 118,804.56 .03 36209C5M4 6.500% 07/15/2028 DD 07/01/98 AAA 120,113.41 .03 173,701.38 GNMA POOL 10476041 .ooo 6.126 AAA 106.109 182,033.62 .OS 36209MZE7 6.500% 06/15/2028 DD 06/01/98 AAA 184,313.46 .05 163,857.37 GNMA POOL 10478626 .ooo 6.126 AAA 106.109 171,717.41 .04 36209QVT9 6.500% 01/15/2029 DD 01/01/99 AAA 173,868.04 .04 122,832.74 GNMA POOL 10480598 .000 6.126 AAA 106.109 128, 724. 88 .03 36209S3F6 6.500\ 10/15/2029 DD 10/01/99 AAA 130,337.06 .03 434,633.41 GNMA POOL 10485527 .ooo 6.139 AAA 105. 891 456, 161. 35 .13 36209YLG1 6.500% 06/15/2031 DD 06/01/0l AAA 460,236.01 .12 472,799.94 GNMA POOL 10495610 .000 6.138 AAA 105.891 496,218.31 .14 36209YN38 6.500% 07 /15/2031 DD 07/01/01 AAA 500,650.79 .13 93,255.94 GNMA POOL f 0485682 .ooo 6.138 AAA 105.991 97,975.02 .02 36209YRB6 6.500% 08/15/2031 DD 08/01/01 AAA 98,749.29 .03 84,939.87 GNMA POOL 10485703 .ooo 6.138 AAA 105.891 89, 147.05 .02 36209YRY6 6.500% 08/15/2031 DD 08/01/01 AAA 89,943.35 .02 10,902.29 GNMA POOL 10512235 .ooo 6.131 AAA 106.016 11,442.29 .oo 36211GBC6 6.500% 11/15/2029 DD 11/01/99 AAA 11,558.13 .oo 141,672.12 GNMA POOL 10514326 .ooo 6.131 AAA 106.016 148,467.95 .04 36211JLF2 6.500% 07/15/2029 DD 07/01/99 AAA 150,194.58 .04 47,539.93 GNMA POOL 10530053 .ooo 6.157 AAA 105.578 49,894.65 .01 36212CZS3 6.500% 04/15/2031 DD 04/01/01 AAA 50,191.63 .01 YLDANAL YIELD ANALYSIS PAGE 12 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12 .11. 54 ==================~=============~=========================================================================================~== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 104,819.21 GNMA POOL 10537885 .ooo 6.138 AAA 105.891 110,011.03 .03 36212MRE1 6.500% 02/15/2031 DD 02/01/01 AAA 110,993.71 .03 11,755.28 GNMA POOL 10547512 .ooo 6.138 AAA 105.891 12,337.54 .oo 36212YGV9 6.500% 04/15/2031 DD 04/01/01 AAA 12,447.74 .oo 128,004.57 GNMA POOL 10547715 .ooo 6.138 AAA 105.891 134,144.79 .03 36212YN82 6.500% 02/15/2031 DD 02/01/01 AAA 135,544.83 .03 69,986.18 GNMA POOL 10552322 .ooo 6.138 AAA 105.891 73,452.68 .02 36213ESK3 6.500% 01/15/2032 DD 01/01/02 AAA 74,108.80 .02 525,568.36 GNMA POOL 10552466 .000 6.156 AAA 105.584 551,600.43 .15 36213EW36 6.500% 03/15/2032 DD 03/01/02 AAA 554,918.16 .14 405,032.84 GNMA POOL 10552659 .ooo 6.138 AAA 105.891 425,094 .61 .12 36213E5U6 6.500% 07/15/2032 DD 07/01/02 AAA 428,891.79 . u 397,348.74 GNMA POOL 10561017 .ooo 6.138 AAA 105.891 417,029.91 .12 36213QG29 6.500% 07/15/2031 DD 07/01/01 AAA 420,755.04 .11 260,774.11 GNMA II POOL 10080395 .ooo 3.439 AAA 101.761 258,410.84 .07 36225CNM4 VAR RT 04/20/2030 DD 04/01/00 AAA 265,365.95 .07 2,313,261.14 GNMA II POOL I080408X .ooo 3.439 AAA 101.760 2,289,767.08 .67 36225CN28 6.500% 05/20/2030 DD 05/01/00 AAA 2,353,973.38 .61 3,000,000.00 GENERAL HTRS ACCEP CORP SR NT .000 5.697 Al 107.515 3,064,350.00 .92 370425SD3 6.125% 08/28/2007 DD 08/29/02 BBB 3,225,450.00 .83 3,000,000.00 GOLDMAN SACHS GROUP INC SR NT .ooo 3.980 AA3 103.656 3,030,030.00 .89 38141GCS1 4.125% 01/15/2008 DD Ol/13/03 A+ 3,109,680.00 .00 3,200,000.00 MORGAN STANLEY NT .ooo 3.570 AAJ 101. 531 3, 195,648.00 .93 617446HW2 3.625% 04/01/2008 DD 03/06/03 A+ 3,248,992.00 .84 1,000,000.00 PHILIP MORRIS COS INC NTS .ooo 7.467 BAA2 100.437 1,052,600.00 .28 718154CH8 7.500% 04/01/2004 DD 04/01/97 BBB 1,004,370.00 .26 971,042.75 RESIDENTIAL ASSET 03-RSll AIIB .ooo 1.419 AAA 100.063 971,042.75 .27 760985K83 VAR RT 12/25/2033 DD 12/30/03 AAA 971,649.65 .25 3,497,276.28 SBA GTD DEV PARTN 2001-20C 1 .ooo 5.790 AAA 109.490 3,497,276.28 1.09 83162CLJO 6.340% 03/01/2021 AAA 3,829,167.80 .99 Cl . .a I YLDANAL YIELD ANALYSIS PAGE 13 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ===============~==========================================:================================================================== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ \ TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 2,241,342.07 SBA GTD PARTN CTFS SBIC-PS 01 .ooo 6.141 AAA 108.125 2,241,342.07 .69 831641DD4 6.640% 02/10/2011 DD 02/21/01 NR 2,423,451.11 .62 1,600,000.00 UNITED AIRLS PASSTHRU 01-1 c .ooo 41.475 WR 16.470 1,600,000.00 .07 909317BC2 6. 831% 03/01/2010 DD 08/22/01 A-263,520.00 .07 20,000,000.00 U S TREASURY NOTES .ooo 5.587 AAA 111. 875 22,620,312.50 6.40 9128272JO 06.250% 02/15/2007 DD 02/15/97 AAA 22,375,000.00 5. 77 3,422,490.00 US TREASURY INFLATION INDEX NT .ooo 3.212 AAA 112. 875 3,731,991.35 1.10 9128273T7 3.625% 01/15/2008 DD 01/15/98 AAA 3,863,135.59 1.00 14,609,660.00 US TREASURY INFLATION INDEX NT .ooo 3.349 AAA 115. 719 16,235,020.11 4.84 9128274Y5 3.875% 01/15/2009 DD 01/15/99 AAA 16,906,152.46 4.36 57,100,000.00 U S TREASURY NOTES .ooo 5.363 AAA 107.219 62,782,901.47 17.53 9128276N7 05.750% 11/15/2005 DD 11/15/00 AAA 61,222,049.00 15.78 12,000,000.00 U S TREASURY NT .ooo 3.184 AAA 102.060 11,870,156.25 3.50 912828BG4 3.250% 08/15/2008 DD 08/15/03 AAA 12,247,200.00 3.16 91,000,000.00 U S TREASURY NOTES .ooo 1.865 AAA 100.530 81,284,765.63 23.31 912828BX7 1.875% 01/31/2006 DD 01/31/03 AAA 81,429,300.00 20.98 1,750,000.00 VIRGINIA ELEC & PWR 01 SER A .ooo 5.365 A3 107.171 1,743,840.00 .53 927804ENO 5.750% 03/31/2006 DD 03/27/01 BBB+ 1,875,492.50 .48 16,286,060.00 US TREASURY INFLATION INDEX NT 3.81 7 3.066 AAA 110.094 14,368,118.33 5.13 9128272M3 3.375% 01/15/2007 DD 01/15/97 AAA 17,929,974.90 4.62 15,soo,000.00 FEDERAL NATL MTG ASSN DEBS 5.96 7 6.745 AAA 105.637 16,154,410.00 4.68 31359MFH1 7.125% 02/15/2005 DD 02/14/00 AAA 16,373,795.45 4.22 1,037,995.04 FHLMC MULTICLASS MTG SER El A 6.316 3.527 AAA 106.394 1,039,100.88 .31 3133TCE95 VAR RT 08/15/2032 DD 12/01/97 AAA 1,104,364.44 .28 681,084.22 GNMA GTD REMIC TR 2000-9 FH 6.320 1.595 AAA 100.610 681,084.22 .19 3837H4NX9 VAR RT 02/16/2030 AAA 685,238.83 .18 6,547.35 GNMA POOL 00500917 6.389 s. 719 AAA 104.910 6,214.86 .oo 36210SPAO 6.000% 04/15/2029 DD 04/01/99 AAA 6,868.84 .oo 34,318.90 GNMA POOL 10506636 6. 389 5. 719 AAA 104.910 32,576.13 .01 36210YY90 6.000% 04/15/2029 DD 04/01/99 AAA 36,004.0l .01 YLDANAL YIELD ANALYSIS PAGE 14 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ============================================================================================================================= PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 308,310.43 GNMA POOL 00503388 6 .389 5. 719 AAA 104.910 292,654.04 .09 J6210VFS5 6.000% 03/15/2029 DD OJ/01/99 AAA 323,448.97 .08 12,629.02 GNMA POOL 10499153 6. 389 s. 719 AAA 104.910 11, 987. 70 .oo 36210QQE5 6.000\ 02/15/2029 DD 02/01/99 AAA 13,249.lJ .oo 391,864.48 GNMA POOL 10496461 6 .390 5. 719 AAA 104.910 371,965.11 .11 J6210MQN4 6.000% 01/15/2029 DD 01/01/99 AAA 411, 105.65 .11 101,165.17 GNMA POOL 10491103 6 .J90 5. 719 AAA 104.910 96,027.89 .OJ J6210FRY4 6.000\ 01/15/2029 DD 01/01/99 AAA 106,1J2.54 .OJ 11,930.74 GNMA POOL 10486720 6 .390 5. 719 AAA 104.910 11,324.89 .oo 36210AVM6 6.000\ 12/15/2028 DD 12/01/98 AAA 12,516.56 .oo 22,466.06 GNMA POOL 10497343 6.390 5. 719 AAA 104.910 21,325.21 .oo 36210NP45 6.000\ 12/15/2028 DD 12/01/98 AAA 23,569.18 .01 14,926.51 GNMA POOL 10469688 6. 391 s. 719 AAA 104.910 14,168.51 .oo 36209EXR8 6.000\ 11/15/2028 DD 11/01/98 AAA 15,659.43 .oo 20,583.78 GNMA POOL 00467279 6. 391 5. 719 AAA 104.910 19,538.51 .oo 36209CCQ7 6.000\ 10/15/2028 DD 10/01/98 AAA 21,594.48 .01 36,874.70 GNMA POOL 00457814 6 .391 5. 719 AAA 104.910 35,002.14 .01 36208QS83 6.000\ 10/15/2028 DD 10/01/98 AAA 38,685.31 .01 396,974.24 GNMA POOL 00467286 6 .391 5. 719 AAA 104.910 376,815.39 .11 36209CCX2 6.000\ 10/15/2028 DD 10/01/98 AAA 416,466.31 .11 492,575.35 GNMA POOL 10465555 6.392 5. 719 AAA 104.910 467,561.77 .14 36209AE48 6.000\ 09/15/2028 DD 09/01/98 AAA 516, 761. 59 .13 13, 151. 78 GNMA POOL 00483452 6. 39 2 5. 719 AAA 104.910 12,483.93 .oo 36209WBV3 6.000% 09/15/2028 DD 09/01/98 AAA 13,797.55 .oo 457,350.13 GNMA POOL 10465546 6 .392 5. 719 AAA 104 .910 434,125.32 .13 36209AET3 6.000% 08/15/2028 DD 08/01/98 AAA 479,806.75 .12 303,602.16 GNMA POOL 10468339 6 .392 5,719 AAA 104.910 288,184.88 .09 36209DHQO 6.000% 08/15/2028 DD 08/01/98 AAA 318,509.51 .00 18,580.73 GNMA POOL 00438057 6 .39 3 s. 716 AAA 104.973 17,637.19 .oo 36207PTN9 6.000% 05/15/2028 DD 05/01/98 AAA 19,504.69 .01 ... , YLDANAL YIELD ANALYSIS PAGE 15 OCSF07522202 2004/02/29 RUN DATE 03/04/04 DISTRICT: LONG-TERM OPERATING RUN TIME 12.11.54 ===========================~=========================~======================================================================= PAR VALUE YTM AT CURRENT MOODY MARI<.ET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARXET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 18,797.37 GNMA POOL 00468330 6.39 3 5.716 AAA 104.973 17,842.80 .oo 36209DHF4 6.000% 05/15/2028 DD 05/01/98 AAA 19,732.10 .01 311,804.47 GNMA II POOL f 080088M 6. 705 4.313 AAA 101.444 318,625.19 .09 36225CC20 7.375% 06/20/2027 DD 06/01/97 AAA 316,306.46 .08 2,000,000.00 MARSH & MCLENNAN COS INC SR NT 6. 717 6.527 A2 101. 500 1,992,280.00 .5e 571748AB8 6.625% 06/15/2004 DD 06/14/99 AA-2,030,000.00 .52 2,500,000.00 FORD MTR CR CO GLOBAL LANDMARK 6. 739 6.578 Al 101. 859 2,495,900.00 .12 345397SJ3 6.700% 07/16/2004 DD 07/16/99 BBB-2,546,475.00 .66 2,500,000.00 COUNTRYWIDE HOME LNS INC NT 6 .86 6 6.745 A3 101.562 2,498,400.00 .12 22237UAB8 6.850% 06/15/2004 DD 06/24/99 A 2,539,050.00 .65 213,393.56 GNMA II POOL 00080023 6.99 2 4.482 AAA 103.186 216,927.89 .06 36225CAZ9 VAR RT 12/20/2026 DD 12/01/96 AAA 220, 191.96 .06 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 7.113 5.719 AAA 115.844 2,030,133.00 .69 31359MEY5 6.625% 09/15/2009 DD 09/01/99 AAA 2,432,731.35 .63 l,000,000.00 FORD MOTOR CR CO NT 7.582 6.430 AJ 104.984 965,170.00 .JO 345397GV9 6.750% 05/15/2005 DD 05/24/93 BBB-1,049,840.00 .27 944,364.25 WMP/HUNTOON PAIGE f000-11150 7 .684 7.335 AAA 102.251 923,853.85 .21 302998GE3 7.500% 12/01/2030 DD 10/21/99 AAA 965,621.32 .25 3,000,000.00 PACIFICORP SECD MTN ITR 00115 7. 709 7.045 Al 103.625 2,950,530.00 .89 69512EEU5 7.300% 10/22/2004 DD 10/22/92 A 3,108,750.00 .so 1,600,000.00 ALLSTATE CORP SR NT 7.96 7 7.342 Al 107.265 1,594,032.00 .49 020002AL5 7.875% 05/01/2005 DD 05/01/00 A+ 1,716,240.00 .44 -----------------------------------------TOTAL FIXED INCOME SECURITIES .351 4.656 343,800,980.47 100.00 349,216,000.36 90.02 -----------------------------------------TOTAL .34 8 4.612 382,650,204.22 100.00 388,065,224.11 100.00 ================= ========= @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOLIDATED-OCSGOOO 10000 2/29/2004 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 RECEIVABLE FOR INVESTMENTS 10,541,453.60 10,541,453.60 2.18% 0.00 SOLD PAYABLE FOR INVESTMENTS -10,130,830.04 -10,130,830.04 -2.10% 0.00 PURCHASED INTEREST RECEIVABLE 2,772,830.39 2,772,830.39 0.57% 0.00 DU PONT DE NEMOUR DISC 99.8667 4 ,500,0,00.000 4,494,000.00 4,494,000.00 0.93% 0.00 03/08/2004 SEC ID: 26354AC85 FEDERAL HOME LN BK CONS DISC N 99.7421 4 ,500,0·00.000 4,488,395.00 4,488,395.00 0.93% 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 BKS CONS DISC 99.9238 4,100,000.000 4,096,874.89 4,096,874.89 0.85% 0.00 MAT 03/ 19/2004 SEC ID: 313384UM9 FEDERAL HOME LN BKS CONS DISC 99.7434 2 ,500,000.000 2,493,585.76 2,493,585.76 0.52% 0.00 MAT 05/05/2004 SEC ID: 313384WL9 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 BK CONS DISC N 99.7472 1,700,000.000 1,695,702.78 1,695,702.78 0.35% 0.00 MAT 05/26/2004 SEC ID: 313384XH7 FEDERAL HOME LN MTG CORP DISC 99.4225 3 ,800,000.000 3,778,055.00 3,778,055.00 0.78% 0.00 MAT 03/31/2004 SEC ID: 313396UZ4 FEDERAL HOME LN MTG CORP DISC 99.7450 2 ,500,000.000 2,493,625.00 2,493,625.00 0.52% 0.00 MAT 5/5/2004 SEC ID: 313396WK5 FEDERAL HOME LN MTG CORP DISC 99.7722 16.700,000.000 16,659,880.55 16,659,880.55 3.45% 0.00 MAT 05/18/2004 SEC ID: 313396WZ2 FEDERAL HOME LN MTG CORP DISC 99.7472 2,.000,000.000 1,994,944.44 1,994,944.44 0.41% '0.00 MAT 05/25/2004 SEC ID: 313396XG3 3/8/2004 9:06:00AM PST 1 Workbench . .. @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOOlOOOO 2/29/2004 Status: FINAL Net UnrealfZed Price cost Market Value %of Gabi/Loss Description Base ·shares Par Base Base Total Base FEDERAL NATL MTG ASSN DISCOUNT 99.7528 6,500,000.000 6,483,930.56 6,483,930.56 1.34% 0.00 MAT 05/ 12/2004 SEC ID: 313588WT8 FEDERAL NATL MTG ASSN DISCOUNT 99.7500 15,800,000.000 15,754,301.67 15,754,301.67 3.26% 0.00 MAT 05/ 19/2004 SEC ID: 313588XA8 FEDERAL NATL MTG ASSN DISCOUNT 99.6195 3 ,900,000.000 3,885,159.42 3,885, 159.42 0.81% 0.00 MAT 07 /01/2004 SEC ID: 313588YV1 U S TREASURY BILL 99.4843 8 ,000,000.000 7,958,746.66 7,958,746.66 1.65% 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 0.000% 05/06/2004 DD 11/06/03 SEC ID: 912795PX3 U S TREASURY BILL 99.5197 23,100,000.000 22,989,043.00 22,989,043.00 4.76% 0.00 DUE 08/05/2004 DD 02/05/2004 SEC ID: 912795QW4 CREDIT SUISSE FB REPO 100.0000 12 ,300,0•00.000 12,300,000.00 12,300,000.00 2.55% 0.00 00.980% 03/01/2004 DD 02/27 /04 SEC ID: 99416W828 DREYFUS TREASURY CASH MGMT 100.0000 1,199,588.320 1, 199 ,588.32 1,199,588.32 0.25% 0.00 SEC ID: 99608524 7 TOTAL CASH & CASH EQUIVALENTS 120,399,588.320 123,210,282.38 123,210,282.38 25.53% 0.00 FIXED INCOME SECURITIES AIG SUNAMERICA GLOBAL REG S 109.8670 752,0·00.000 826,199.84 826,199.84 0.17% 0.00 5.850% 08/01/2008 DD 08/08/01 SEC ID: U00907 AAO COMMIT TO PUR FNMA SF MTG 102.2810 2 ,800,0-00.000 2,863,875.00 2,863,868.00 0.59% -7.00 5.500% 03/01/2034 DD 03/01/04 SEC ID: 01F052631 ALLSTATE CORP SR NT 107.2650 l ,600,000.000 1,594,032.00 1,716,240.00 0.36% 122,208.00 7.875% 05/01/2005 DD 05/01/00 SEC ID: 020002ALS ASSOCIATES CORP NA MTN SR00043 102.4370 100,000.000 104,199.00 102,437.00 0.02% -1,762.00 7.920% 07/13/2004 DD 07/13/94 SEC ID: 045906BU7 ASSOCIATES CORP NORTH AMER 100.6090 1 ,000,000.000 1,041,290.00 1,006,090.00 0.21% -35,200.00 5.800% 04/20/2004 DD 04/20/99 SEC ID: 046003KA6 3/8/2004 9:06:00AM PST 2 Workbench 8 Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL Net UmeaHzed Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base· Total ·-·Base BANK OF AMERICA CORP SR GBL NT 101.5620 500,000.000 518,385.00 507,810.00 0.11% -10,575.00 6.625% 06/15/2004 DD 06/15/99 SEC ID: 066050CW3 CIT GROUP INC NEW SR NT 107.8120 1 ,500,000.000 1,527,135.00 1,617,180.00 0.34% 90,045.00 5.500% 11/30/2007 DD 12/02/02 SEC ID: 125581ADO CITIGROUP INC SR GLOBAL NT 100.0000 2 ,700,000.000 2,700,459.00 2,700,000.00 0.56% -459.00 FLTG RT 03/09/2004 DD 03/09/01 SEC ID: 172967BEO COUNTRYWIDE HOME LNS INC NT 101.5620 2 ,500,000.000 2,498,400.00 2,539,050.00 0.53% 40,650.00 6.850% 06/ 15/2004 DD 06/24/99 SEC ID: 22237UAB8 WMP/HUNTOON PAIGE #000-11150 102.2509 944,364.250 923,853.85 965,621.32 0.20% 41,767.47 7.500% 12/01/2030 DD 10/21/99 SEC ID: 302998GE3 FHLMC GROUP #04-0353 101.3367 50,982.160 52,272.65 51,663.61 0.01% -609.04 7.500% 10/01/2004 DD 03/01/99 SEC ID: 3128DBMA2 FEDERAL HOME LN BK CONS BDS 105.5970 7 ,500,000.000 7,997,625.00 7,919,778.00 1.64% -77,847.00 7.125% 02/15/2005 DD 02/08/00 SEC ID: 3133MAUN7 FHLMC MULTICLASS MTG SER E3 A 106.3940 1,037,995.040 1,039,100.88 1,104,364.44 0.23% 65,263.56 VAR RT 08/15/2032 DD 12/01/97 SEC ID: 3133TCE95 FEDERAL HOME LN MTG CORP DEB 100.3585 l, 100,000.000 1,125,905.00 1,103,943.39 0.23% -21,961.61 3.750% 04/15/2004 DD 04/15/02 SEC ID: 3134A4PH1 FHLMC GROUP #78-6064 103.2144 76,330.230 74,469.67 78,783.79 0.02% 4,314.12 6.384% 01/01/2028 DD 12/01/97 SEC ID: 31348SWZ3 FEDERAL NATL MTG ASSN DEBS 115.8444 2, 100,000.000 2,030,133.00 2,432,731.35 0.50% 402,598.35 6.625% 09/15/2009 DD 09/01/99 SEC ID: 31359MEY5 FEDERAL NATL MTG ASSN DEBS 105.6374 15,500,000.000 16, 154,410.00 16,373,795.45 3.39% 219,385.45 7.125% 02/15/2005 DD 02/14/00 SEC ID: 31359MFH1 FEDERAL NATL MTG ASSN DEBS 107.2616 11,350,0·00.000 11,521,271.50 12, 174,191.60 2.52% 652,920.10 5.250% 06/15/2006 DD 06/22/01 SEC ID: 31359MJX2 FNMA POOL #0254510 102.9336 819,466.320 844,050.31 843,506.10 0.17% -544.21 5.000% 11/01/2017 DD 10/01/02 SEC ID: 31371KVB4 3/8/2004 9:06:00AM PST 3 Workbench • @ Asset Detail Report m: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL NetUmeaHzed Price Cost Market Value %of Gain/Loss Desc~ption .Base Shares Par .. Base Base Total Base FNMA POOL #0254631 102.9336 174,072.470 179,294.65 179,179.04 0.04% -115.61 5.000% 02/01/2018 DD 01/01/03 SEC ID: 31371KY47 FNMA POOL #0254 760 102.9961 157,179.710 161,895.09 161,888.96 0.03% -6.13 5.000% 06/01/2018 DD 05/01/03 SEC ID: 31371K5V9 FNMA POOL #0254866 102.9961 68,802.980 70,867.08 70,864.38 0.01% -2.70 5.000% 09/01/2018 DD 08/01/03 SEC ID: 31371LCB3 FNMA POOL #0254953 102.9961 365,4-40.540 370,122.75 376,389.47 0.08% 6,266.72 5.000% 11/01/2018 DD 10/01/03 SEC ID: 31371LE21 FNMA POOL #0254987 102.8471 980,912.870 993,480.81 1,008,840.43 0.21% 15,359.62 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31371LF46 FNMA POOL #0323980 105.8242 198,962.500 207,729.28 210,550.51 0.04% 2,821.23 6.000% 04/01/2014 DD 09/01/99 SEC ID: 31374T2MO FNMA POOL #0357328 102.8698 31,162.400 32,097.27 32,056.70 0.01% -40.57 5.000% 01/01/2018 DD 01/01/03 SEC ID: 31376J4M8 FNMA POOL #0357430 102.8711 1,567,770.890 1,585,408.32 1,612,783.00 0.33% 27,374.68 5.000% 09/01/2018 DD 09/01/03 SEC ID: 31376KA71 FNMA POOL #0456482 105.8242 60,877.870 63,560.30 64,423.53 0.01% 863.23 6.000% 02/01/2014 DD 02/01/99 SEC ID: 31381CCT2 FNMA POOL #0509649 105.8242 174,124.630 181,797.00 184,266.03 0.04% 2,469.03 6.000% 09/01/2014 DD 09/01/99 SEC ID: 31383QEWO FNMA POOL #0535451 105.6992 156,945.330 163,860.74 165,889.99 0.03% 2,029.25 6.000% 06/01/2015 DD 07 /01/00 SEC ID: 31384VZQ8 FNMA POOL #0535672 105.8242 3,395,287.940 3,544,892.83 3,593,036.98 0.74% 48,144.15 6.000% 01/01/2016 DD 12/01/00 SEC ID: 31384WCH1 FNMA POOL #0545296 105.6367 l, 101,514.840 1,150,050.34 l, 163,604.15 0.24% 13,553.81 6.000% 11/01/2016 DD 10/01/01 SEC ID: 31385HXZO FNMA POOL #0545580 105.6367 93,756.060 97,887.18 99,040.83 0.02% l,1'53.65 6.000% 03/01/2017 DD 03/01/02 SEC ID: 31385JCR7 3/812004 9:06:00AM PST 4 Workbench @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED • OCSGOOO 10000 2/29/2004 Status: FINAL Net Umeallzed· Price Cost Market Value %of Gain/Lo••· Description Base Shares Par Base Base T~tal. ··Base FNMA POOL #0555101 105.7617 167,579.160 174,963.10 177,234.60 0.04% 2,271.50 6.000% 10/01/2017 DD 11/01/02 SEC ID: 31385WU23 FNMA POOL #0555363 102.8711 375,8 11.550 387,085.89 386,601.44 0.08% -484.45 5.000% 04/01/2018 DD 03/01/03 SEC ID: 31385W5Yl FNMA POOL #0555453 102.9336 38,500.450 38,993.74 39,629.90 0.01% 636.16 5.000% 05/01/2018 DD 04/01/03 SEC ID: 31385XBW6 FNMA POOL #0555545 102.8711 313,980.680 323,400.11 322,995.35 0.07% -404.76 5.000% 06/01/2018 DD 05/01/03 SEC ID: 31385XES2 FNMA POOL #0555621 102.8471 1 ,088,2 57 .290 1,100,500.18 1, 119,241.05 0.23% 18,740.87 5.000% 07 /01/2018 DD 06/01/03 SEC ID: 31385XG68 FNMA POOL #0576386 105.4510 64,266.100 67,097.82 67,769.28 0.01% 671.46 6.000% 05/01/2016 DD 05/01/01 SEC ID: 31386XJ72 FNMA POOL #0576739 105.6367 171,837.990 179,409.60 181,524.02 0.04% 2,114.42 6.000% 04/01/2016 DD 04/01/01 SEC ID: 31386XV86 FNMA POOL #0580888 105.8867 221,252.730 231,001.67 234,277.26 0.05% 3,275.59 6.000% 05/01/2016 DD 05/01/01 SEC ID: 31387DJ91 FNMA POOL #0594002 105.6367 178,046.840 185,892.02 188,082.84 0.04% 2,190.82 6.000% 07 /01/2016 DD 07 /01/01 SEC ID: 31387T3K8 FNMA POOL #0597376 105.6367 233 ,5 21. 050 243,810.57 246,683.98 0.05% 2,873.41 6.000% 09/01/2016 DD 08/01/01 SEC ID: 31387XT96 FNMA POOL #0605259 105.6367 145,970.820 152,402.66 154,198.79 0.03% 1,796.13 6.000% 09/01/2016 DD 09/01/01 SEC ID: 31388HMG 1 FNMA POOL #0608366 105.6367 95,448.930 99,654.65 100,829.12 0.02% 1,174.47 6.000% 10/01/2016 DD 09/01/01 SEC ID: 31388LZ78 FNMA POOL #0616734 105.9492 169,150.770 176,603.97 179,213.92 0.04% 2,609.95 6.000% 12/01/2016 DD 12/01/01 SEC ID: 31388WEF9 FNMA POOL #0630812 105.4742 177 ,3 85.020 185,201.05 187,095.35 0.04% 1,894.30 6.000% 02/01/2017 DD 02/01/02 SEC ID: 31389NYH2 3/8/2004 9:06:00AM PST 5 Workbench @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED -OCSGOOOlOOOO 2/29/2004 Status: FINAL Net Unrealized Price cost Market Value %of Galii/Loss Description Base Shares Par Baae ' Base, Total Base FNMA POOL #0632376 105.7617 801,640.110 836,962.39 847,828.37 0.18% 10,865.98 6.000% 07/01/2017 DD 07/01 /02 SEC ID: 31389QQ50 FNMA POOL #0653116 105.7617 458,461.280 478,662.23 484,876.54 0.10% 6,214.31 6.000% 07 /01/2017 DD 07 /01/02 SEC ID: 31390QSD8 FNMA POOL ##0673280 105.7617 187,396.020 195,653.16 198,193.25 0.04% 2,540.09 6.000% 08/01/2017 DD 11/01/02 SEC ID: 31391P6R2 FNMA POOL #0681309 102.8711 565,778.390 582,751.74 582,022.40 0.12% -729.34 5.000% 02/01/2018 DD 02/01/03 SEC ID: 31391 Y3S4 FNMA POOL #0681334 102.8711 70,619.260 72,737.83 72,646.80 0.02% -91.03 5.000% 02/01/2018 DD 01/01/03 SEC ID: 31391Y4Tl FNMA POOL #0684908 102.9336 350,637. 740 355,130.29 360,924.01 0.07% 5,793.72 5.000% 06/01/2018 DD 05/01/03 SEC ID: 3l400D3R1 FNMA POOL #0685200 102.8711 201,400.290 203,980.74 207,182.67 0.04% 3,201.93 5.000% 03/01/2018 DD 03/01/03 SEC ID: 3 l 400EGH7 FNMA POOL #0685665 102.8711 36,036.560 37,117.66 37,071.20 0.01% -46.46 5.000% 02/01/2018 DD 02/01/03 SEC ID: 31400EW22 FNMA POOL #0686318 102.8711 304,9-49.070 314,097.54 313,704.43 0.07% -393.11 5.000% 03/01/2018 DD 03/01/03 SEC ID: 31400FPB7 FNMA POOL #0688739 102.8711 116,868.030 120,374.07 120,223.42 0.02% -150.65 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31400JEL9 FNMA POOL #0689859 102.9961 126,345.500 127,964.30 130,130.92 0.03% 2,166.62 5.000% 05/01/2018 DD 05/01/03 SEC ID: 31400KMG8 FNMA POOL #0693834 102.8711 734,805.830 756,850.01 755,902.77 0.16% -947.24 5.000% 03/01/2018 DD 03/01/03 SEC ID: 31400PY74 FNMA POOL #0695852 102.8711 266,5-82.080 274,579.54 274,235.89 0.06% -343.65 5.000% 05/01/2018 DD 05/01/03 SEC ID: 31400SBVO FNMA POOL #0695889 102.8711 826,7 54.220 851,556.84 850,491.08 0.18% -1,065_.76 5.000% 05/01/2018 DD 05/01/03 SEC ID: 3 l 400SC23 3/8/2004 9:06:00AM PST 6 Workbench @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL Net Umeat1ze·4· Price · Cost Market Value %of Galii/Loss Description Base ·shares Par Base ·Base Total Base FNMA POOL #0697026 102.8711 26,296.110 27,085.01 27,051.09 0.01% -33.92 5.000% 05/01/2018 DD 04/01/03 SEC ID: 31400TLF2 FNMA POOL #0698939 105.8867 90,991.820 95,001.15 96,348.25 0.02% 1,347.10 6.000% 09/01/2017 DD 03/01/03 SEC ID: 31400VPY2 FNMA POOL #0702210 102.8471 275,352. 960 283,613.55 283,192.53 0.06% -421.02 5.000% 05/01/2018 DD 05/01/03 SEC ID: 31401ADP9 FNMA POOL #0702328 102.8711 146,804.450 148,685.39 151,019.34 0.03% 2,333.95 5.000% 05/01/2018 DD 04/01/03 SEC ID: 31401AHD2 FNMA POOL #0703195 105.9492 78,115.720 81,557.70 82,763.00 0.02% 1,205.30 6.000% 01/01/2017 DD 04/01/03 SEC ID: 31401BGC3 FNMA POOL #0709148 102.8711 297,054.770 305,966.42 305,583.48 0.06% -382.94 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401HZM7 FNMA POOL #0709360 102.9961 693,132.710 702,013.48 713,899.59 0.15% 11,886.11 5.000% 07 /01/2018 DD 06/01/03 SEC ID: 31401JB56 FNMA POOL #0709826 102.8711 141,009.260 142,815.94 145,057.76 0.03% 2,241.82 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401JSP4 FNMA POOL #0709917 102.8711 261,406.040 264,755.30 268,911.24 0.06% 4,155.94 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401JVJ4 FNMA POOL #0709963 102.8471 26,462.640 26,801.70 27,216.06 0.01% 414.36 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401JWYO FNMA POOL #0710235 102.8711 783,890.710 807,407.44 806,396.92 0.17% -1,010.52 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401KBC8 FNMA POOL #0713344 102.8711 25,579.690 26,347.07 26,314.11 0.01% -32.96 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401NP52 FNMA POOL #0713365 102.8711 329,143.330 333,360.48 338,593.33 0.07% 5,232.85 5.000% 07 /01/2018 DD 07 /01/03 SEC ID: 31401NQS1 FNMA POOL #0720319 102.8711 946,633.030 958,761.76 973,811.72 0.20% 15,049:96 5.000% 07 /01/2018 DD 07 /01/03 SEC ID: 31401 WG45 3/8/2004 9:06:00AM PST 7 •Workbendt ~ Asset Detail Report m: GL8013~ Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED • OCSGOOO 10000 2/29/2004 Status: FINAL Net UnrealiZed Price Coat Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base, FNMA POOL #0720369 102.8471 2 ,415,634.250 2,488, 103.28 2,484,409.75 0.51% -3,693.53 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31401WJNO FNMA POOL #0721629 103.1211 309,918.690 319,216.26 319,591.53 0.07% 375.27 5.000% 07 /01/2018 DD 06/01/03 SEC ID: 31401XVW4 FNMA POOL #0723487 102.8711 251,288.400 254,115.40 258,503.12 0.05% 4,387.72 5.000% 06/01/2018 DD 06/01/03 SEC ID: 31402AXQ4 FNMA POOL #0729601 102.9961 422,722.750 428,138.89 435,387.90 0.09% 7,249.01 5.000% 07 /01/2018 DD 07 /01/03 SEC ID: 3 l 402HRW3 FNMA POOL #0732873 103.1211 36,308.370 36,773.56 37,441.59 0.01% 668.03 5.000% 11/01/2018 DD 10/01/03 SEC ID: 31402MFN5 FNMA POOL #0737130 102.9961 7 44 ,8 08. 980 754,351.84 767,124.13 0.16% 12,772.29 5.000% 10/01/2018 DD 10/01/03 SEC ID: 31402S4P9 FNMA POOL #0738211 102.8471 587,516.820 595,044.39 604,244.01 0.13% 9,199.62 5.000% 10/01/2018 DD 10/01/03 SEC ID: 3 l 402UDQ2 FNMA POOL #0738487 102.8711 220,6 50. 770 223,477.85 226,985.85 0.05% 3,508.00 5.000% 10/01/2018 DD 10/01/03 SEC ID: 31402UNC2 FNMA POOL #0740471 102.8471 694,890.750 703,794.03 714,674.98 0.15% 10,880.95 5.000% 10/01/2018 DD 10/01/03 SEC ID: 31402WT40 FNMA POOL #0740748 102.8711 824,121.710 834,680.76 847,782.99 0.18% 13,102.23 5.000% 10/01/2018 DD 11/01/03 SEC ID: 31402W5H7 FNMA POOL #0743868 102.8471 44,056.470 44,620.94 45,310.80 0.01% 689.86 5.000% 11/01/2018 DD 10/01/03 SEC ID: 31403BMR1 FNMA POOL #0744008 102.8711 1,143,038.750 1,157,683.93 l, 175,856.42 0.24% 18,172.49 5.000% 07 /01/2018 DD 09/01/03 SEC ID: 31403BR54 FNMA POOL #0744316 102.8471 170,8.80.330 173,069.74 175,745.46 0.04% 2,675.72 5.000% 09/01/2018 DD 09/01/03 SEC ID: 31403B3Z4 FNMA POOL #0747914 102.8711 360,058.770 364,672.03 370,396.38 0.08% 5,724.35 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403F3XO 3/8/2004 9:06:00AM PST 8 Workbench @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED -OCSGOOO 10000 2/29/2004 Status: FINAL Net·Umealfzed Price cost Market Value %of Gain/tOss Description Base Shares Par Base Base Total Base FNMA POOL #0748400 102.8471 242,368.110 245,473.46 249,268.57 0.05% 3,795.11 5.000% 08/01/2018 DD 09/01/03 SEC ID: 31403GNR9 FNMA POOL #0748899 102.7859 1,029,279.660 1,042,467.30 1,057,954.40 0.22% 15,487.10 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403G7LO FNMA POOL #0750377 102.7859 2 ,528,513.130 2,560,909.70 2,598,955.08 0.54% 38,045.38 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403JUA2 FNMA POOL #0750380 102.7859 2,121,015.810 2,148,191.34 2,180,105.27 0.45% 31,913.93 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403JUD6 FNMA POOL #0750445 102.7859 192,6·00.640 195,068.33 197,966.31 0.04% 2,897.98 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403JWE2 FNMA POOL #0751960 102.8471 903,%0.050 915,542.04 929,696.69 0.19% 14,154.65 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403LMH1 FNMA POOL #0753425 102.8711 962,2 85.460 973,411.88 989,913.54 0.21% 16,501.66 5.000% 11/01/2018 DD 11/01/03 SEC ID: 31403NA23 FNMA POOL #0755165 102.9961 644,503.220 652,760.91 663,813.12 0.14% 11,052.21 5.000% 12/01/2018 DD 11/01/03 SEC ID: 31403Q6A3 FNMA POOL #0756372 102.9961 987,723.590 999,144.14 1,017,316.68 0.21% 18,172.54 5.000% 11/01/2018 DD 11/01/03 SEC ID: 314038.JRS FORD MOTOR CR CO NT 104.9840 1,000,0()0.000 965,170.00 1,049,840.00 0.22% 84,670.00 6.750% 05/ 15/2005 DD 05/24/93 SEC ID: 345397GV9 FORD MTR CR CO GLOBAL 101.8590 2 ,500,0-00.000 2,495,900.00 2,546,475.00 0.53% 50,575.00 LANDMARK 6.700% 07/16/2004 DD 07/16/99 SEC ID: 345397SJ3 GNMA POOL #0596612 105.8594 298,240.360 313,012.57 315,715.40 0.07% 2,702.83 6.500% 09/15/2032 DD 09/01/02 SEC ID: 36200BYH4 GNMA POOL #0569358 105.5844 1.111,796.060 1,137,853.78 1,173,883.11 0.24% 36,029.33 6.500% 04/15/2032 DD 04/01/02 SEC ID: 36200QQK3 GNMA POOL #0569685 105.8906 47,593.890 49,951.27 50,397.47 0.01% 446:20 6.500% 02/15/2032 DD 02/01/02 SEC ID: 36200Q2S2 3/8/2004 9:06:00AM PST 9 Workbench . .. @ Asset Detail Report m: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL Net.Unrealized Price Cost Market Value . %·of ·oam/Loss Description Base Shares Par Base Base Total .. _ ·Base GNMA POOL #0570019 105.8906 82,334.610 86,412.75 87,184.63 0.02% 771.88 6.500% 07I15/2032 DD 07 /01/02 SEC ID: 36200RG48 GNMA POOL #0574323 105.8906 475,152.230 498,687.12 503,141.64 0.10% 4,454.52 6.500% 12/ 15/2031 DD 12/01/01 SEC ID: 36200WAY7 GNMA POOL #0575364 105.8906 48,111.660 50,494.69 50,945.74 0.01% 451.05 6.500% 11/15/2031 DD 11/01/01 SEC ID: 36200XFD6 GNMA POOL #0587117 105.8906 19,804.190 20,785.12 20,970.78 0.00% 185.66 6.500% 06/15/2032 DD 06/01/02 SEC ID: 36201MG22 GNMA POOL #0587439 105.8594 57,442.250 60,287.43 60,808.01 0.01% 520.58 6.500% 11/ 15/2032 DD 12/01/02 SEC ID: 36201MS45 GNMA POOL #0421389 106.2344 14,230.430 14,935.29 15,117.61 0.00% 182.32 6.500% 04/ 15/2026 DD 04/01/96 SEC ID: 36206UC23 GNMA POOL #0438057 104.9727 18,S.80.730 17,637.19 19,504.69 0.00% 1,867.50 6.000% 05/15/2028 DD 05/01/98 SEC ID: 36207PTN9 GNMA POOL #0449851 105.7010 22,858.120 23,990.31 24,161.25 0.01% 170.94 6.500% 01/ 15/2028 DD 01/01/98 SEC ID: 36208FWLO GNMA POOL #0457814 104.9102 36,874.700 35,002.14 38,685.31 0.01% 3,683.17 6.000% 10/ 15/2028 DD 10/01/98 SEC ID: 36208QSB3 GNMA POOL #0465546 104.9102 457,350.130 434,125.32 479,806.75 0.10% 45,681.43 6.000% 08/15/2028 DD 08/01/98 SEC ID: 36209AET3 GNMA POOL #0465555 104.9102 492,5 75.350 467,561.77 516,761.59 0.11% 49,199.82 6.000% 09/ 15/2028 DD 09/01/98 SEC ID: 36209AE48 GNMA POOL #0466845 106.1094 62,688.680 65,793.73 66,518.57 0.01% 724.84 6.500% 06/15/2028 DD 06/01/98 SEC ID: 36209BTA6 GNMA POOL #0467279 104.9102 20,583.780 19,538.51 21,594.48 0.00% 2,055.97 6.000% 10/ 15/2028 DD 10/01/98 SEC ID: 36209CCQ7 GNMA POOL #0467286 104.9102 396,974.240 376,815.39 416,466.31 0.09% 39,650:92 6.000% 10/15/2028 DD 10/01/98 SEC ID: 36209CCX2 3/8/2004 9:06:00AM PST 10 Workbench @ Asset Detail Report m: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSG00010000 2/29/2004 Status: FINAL . Net Unrealized Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base GNMA POOL #0468052 106.1094 113,197.730 118,804.56 120,113.41 0.02% 1,308.85 6.500% 07/15/2028 DD 07/01/98 SEC ID: 36209C5M4 GNMA POOL #0468330 104.9727 18,797.370 17,842.80 19,732.10 0.00% 1,889.30 6.000% 05/15/2028 DD 05/01/98 SEC ID: 36209DHF4 GNMA POOL #0468339 104.9102 303,602.160 288,184.88 318,509.51 0.07% 30,324.63 6.000% 08/15/2028 DD 08/01/98 SEC ID: 36209DHQO GNMA POOL #0469688 104.9102 14,926.510 14,168.51 15,659.43 0.00% 1,490.92 6.000% 11/15/2028 DD 11/01/98 SEC ID: 36209EXR8 GNMA POOL #04 76041 106.1094 173,701.380 182,033.62 184,313.46 0.04% 2,279.84 6.500% 06/15/2028 DD 06/01/98 SEC ID: 36209MZE7 GNMA POOL #0478626 106.1094 163,857.370 171,717.41 173,868.04 0.04% 2,150.63 6.500% 01/15/2029 DD 01/01/99 SEC ID: 36209QVT9 GNMA POOL #0480598 106.1094 122,832.740 128,724.88 130,337.06 0.03% 1,612.18 6.500% 10/15/2028 DD 10/01/98 SEC ID: 36209S3F6 GNMA POOL #0483452 104.9102 13,151.780 12,483.93 13,797.55 0.00% 1,313.62 6.000% 09/ 15/2028 DD 09/01/98 SEC ID: 36209WBV3 GNMA POOL #0485527 105.8906 434,633.410 456,161.35 460,236.01 0.10% 4,074.66 6.500% 06/15/2031DD06/01/01 SEC ID: 36209YLG 1 GNMA POOL #0485610 105.8906 472,799.940 496,218.31 500,650.79 0.10% 4,432.48 6.500% 07 /15/2031DD07 /01/01 SEC ID: 36209YN38 GNMA POOL #0485682 105.8906 93,255.940 97,875.02 98,749.29 0.02% 874.27 6.500% 08/15/2031DD08/01/01 SEC ID: 36209YRB6 GNMA POOL #0485703 105.8906 84,939.870 89,147.05 89,943.35 0.02% 796.30 6.500% 08/15/2031DD08/01/01 SEC ID: 36209YRY6 GNMA POOL #0486720 104.9102 11,930.740 11,324.89 12,516.56 0.00% 1,191.67 6.000% 12/15/2028 DD 12/01/98 SEC ID: 3621 OA VM6 GNMA POOL #0491103 104.9102 101,165.170 96,027.89 106,132.54 0.02% 10,104:65 6.000% 01/15/2029 DD 01/01/99 SEC ID: 36210FRY4 3/8/2004 9:06:00AM PST 11 Workbench 8 Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOOlOOOO 2/29/2004 Status: FINAL Net Unrealized Price Cost Market Value %of Gahl/Loss Description Base Shares Par Base Base Total Base GNMA POOL #0496461 104.9102 391,864. 480 371,965.11 411,105.65 0.09% 39,140.54 6.000% 01/15/2029 DD 01/01/99 SEC ID: 36210MQN4 GNMA POOL #0497343 104.9102 22,466.060 21,325.21 23,569.18 0.00% 2,243.97 6.000% 12/ 15/2028 DD 12/01/98 SEC ID: 36210NP45 GNMA POOL #0499153 104.9102 12,629.020 11,987.70 13,249.13 0.00% 1,261.43 6.000% 02/15/2029 DD 02/01/99 SEC ID: 3621 OQQE5 GNMA POOL #0500917 104.9102 6,547.350 6,214.86 6,868.84 0.00% 653.98 6.000% 04/ 15/2029 DD 04/01/99 SEC ID: 36210SPAO GNMA POOL #0503388 104.9102 308,310.430 292,654.04 323,448.97 0.07% 30,794.93 6.000% 03/15/2029 DD 03/01/99 SEC ID: 36210VF55 GNMA POOL #0506636 104.9102 34,318.900 32,576.13 36,004.01 0.01% 3,427.88 6.000% 04/ 15/2029 DD 04/01/99 SEC ID: 3621 OYY90 GNMA POOL #0512235 106.0156 10,902.290 11,442.29 11,558.13 0.00% 115.84 6.500% 11/ 15/2029 DD 11/01/99 SEC ID: 36211 GBC6 GNMA POOL #0514326 106.0156 141,672.120 148,467.95 150,194.58 0.03% 1,726.63 6.500% 07 /15/2029 DD 07 /01/99 SEC ID: 36211JLF2 GNMA POOL #0530053 105.5778 47,539.930 49,894.65 50,191.63 0.01% 296.98 6.500% 04/15/2031DD04/01/01 SEC ID: 36212CZS3 GNMA POOL #0537885 105.8906 104,819.210 110,011.03 110,993.71 0.02% 982.68 6.500% 02/ 15/2031 DD 02/01/01 SEC ID: 36212MRE1 GNMA POOL #0547512 105.8906 11,755.280 12,337.54 12,447.74 0.00% 110.20 6.500% 04/15/2031DD04/01/01 SEC ID: 362 l 2YGV9 GNMA POOL #054 7715 105.8906 128,004.570 134,144.79 135,544.83 0.03% 1,400.04 6.500% 02/15/2031DD02/01/01 SEC ID: 36212YN82 GNMA POOL #0552322 105.8906 69,986.180 73,452.68 74,108.80 0.02% 656.12 6.500% 01/ 15/2032 DD 01/01/02 SEC ID: 36213ESK3 GNMA POOL #0552466 105.5844 525,568.360 551,600.43 554,918.16 0.11% 3,317.73 6.500% 03/15/2032 DD 03/01/02 SEC ID: 36213EW36 3/8/2004 9:06:00AM PST 12 Workbench @ Asset Detail Report ID: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL Net Umealized Price Cost Market Value %of Gain/Loss Description .... Base Shares Par Base Base Total Base GNMA POOL #0552659 105.8906 405,032.840 425,094.61 428,891.79 0.09% 3,797.18 6.500% 07 /15/2032 DD 07 /01/02 SEC ID: 36213E5U6 GNMA POOL #0561017 105.8906 397,348.740 417,029.91 420,755.04 0.09% 3,725.13 6.500% 07 /15/2031DD07 /01/01 SEC ID: 36213QG29 GNMA II POOL #0080023 103.1859 213,393.560 216,927.89 220,191.96 0.05% 3,264.07 VAR RT 12/20/2026 DD 12/01/96 SEC ID: 36225CAZ9 GNMA II POOL #080088M 101.4439 311,804.470 318,625.19 316,306.46 0.07% -2,318.73 7.375% 06/20/2027 DD 06/01/97 SEC ID: 36225CC20 GNMA II POOL #0080395 101.7609 260,774.110 258,410.84 265,365.95 0.05% 6,955.11 VAR RT 04/20/2030 DD 04/01/00 SEC ID: 36225CNM4 GNMA II POOL #080408X 101.7600 2 ,313,261.140 2,289,767.08 2,353,973.38 0.49% 64,206.30 6.500% 05/20/2030 DD 05/01/00 SEC ID: 36225CN28 GENERAL ELEC CAP MTN #TR 00448 101.0150 180,000.000 183,801.60 181,827.00 0.04% -1,974.60 7.250% 05/03/2004 DD 05/01/00 SEC ID: 36962GUR3 GENERAL ELEC CAP MTN #TR 00545 100.0460 1 ,000,0·00.000 1,001,089.00 1 ,000,460.00 0.21% -629.00 VAR RT 05/20/2004 DD 05/20/02 SEC ID: 36962GYS7 GENERAL MTRS ACCEP CORP SR NT 107.5150 3,000,0·00.000 3,064,350.00 3,225,450.00 0.67% 161,100.00 6.125% 08/28/2007 DD 08/29/02 SEC ID: 370425SD3 GOLDMAN SACHS GROUP INC SR NT 103.6560 3 ,000,000.000 3,030,030.00 3, 109,680.00 0.64% 79,650.00 4.125% 01/15/2008 DD 01/13/03 SEC ID: 38141GCS1 GNMA GTD REMIC TR 2000-9 FH 100.6100 681,084.220 681,084.22 685,238.83 0.14% 4,154.61 VAR RT 02/ 16/2030 SEC ID: 3837H4NX9 LEHMAN BROS HLDGS INC 100.4370 1 ,000,000.000 1,045,590.00 1 ,004,370.00 0.21% -41,220.00 6.625% 04/01/2004 DD 03/26/99 SEC ID: 524908BZ2 MARSH & MCLENNAN COS INC SR NT 101.5000 2 ,000,000.000 1 ,992,280.00 2,030,000.00 0.42% 37,720.00 6.625% 06/15/2004 DD 06/14/99 SEC ID: 571748AB8 MORGAN STANLEY NT 101.5310 3 ,200,0·00.000 3, 195,648.00 3,248,992.00 0.67% 53,344:00 3.625% 04/01/2008 DD 03/06/03 SECID:617446~2 3/8/2004 9:06:00AM PST 13 Workbench @ Asset Detail Reportm: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOOlOOOO 2/29/2004 Status: FINAL Net Unrealfzell· Price Cost Market Value %of Gain/Loss Description Base Shares Par Base .Base Total Base NCNB TEX NATL BK DALLAS TEX NT 101.9840 250,000.000 260,870.00 254,960.00 0.05% -5,910.00 9.500% 06/01/2004 DD 06/01/89 SEC ID: 628857DJO NATIONSBANK CORP SR NTS 101.7960 627,000.000 646,650.18 638,260.92 0.13% -8,389.26 6.125% 07I15/2004 DD 07 /23/98 SEC ID: 6385858J7 NORWEST FINL INC NTS 100.4530 520,000.000 531,538.80 522,355.60 0.11% -9,183.20 7.200% 04/01/2004 DD 04/07 /97 SEC ID: 669383DG3 PACIFICORP SECD MTN #TR 00115 103.6250 3,000,000.000 2,950,530.00 3, 108,750.00 0.64% 158,220.00 7.300% 10/22/2004 DD 10/22/92 SEC ID: 69512EEUS PHILIP MORRIS COS INC NTS 100.4370 1,000,000.000 1,052,600.00 1,004,370.00 0.21% -48,230.00 7.500% 04/01/2004 DD 04/01/97 SEC ID: 718154CH8 RESIDENTIAL ASSET 03-RSl 1 AIIB 100.0625 971,042.750 971,042.75 971,649.65 0.20% 606.90 VAR RT 12/25/2033 DD 12/30/03 SEC ID: 760985K83 SBA GTD DEV PARTN 2001-20C 1 109.4900 3,497,276.280 3,497,276.28 3,829,167.80 0.79% 331,891.52 6.340% 03/01/2021 SEC ID: 83162CWO SBA GTD PARTN CTFS SBIC-PS 01 108.1250 2,241,342.070 2,241,342.07 2,423,451.11 0.50% 182,109.04 6.640% 02/10/2011DD02/21/01 SEC ID: 831641DD4 UNITED AIRLS PASSTHRU 01-1 C 16.4700 l ,600,0·00.000 1,600,000.00 263,520.00 0.05% -1,336,480.00 6.831% 03/01/2010 DD 08/22/01 SEC ID: 909317BC2 US BANCORP MTN #TR 00119 100.9530 1 ,000,000.000 1,046,310.00 1,009,530.00 0.21% -36,780.00 6.000% 05/ 15/2004 DD 05/ 10/99 SEC ID: 91159HEY2 U S TREASURY NOTES 111.8750 20 ,000,0·00.000 22,620,312.50 22,375,000.00 4.64% -245,312.50 06.250% 02/ 15/2007 DD 02/ 15/97 SEC ID: 9128272JO US TREASURY INFLATION INDEX NT 110.0940 16,286,0-60.000 14,368,118.33 17,929,974.90 3.72% 3,561,856.57 3.375% Ol/ 15/2007 DD Ol/ 15/97 SEC ID: 9128272M3 US TREASURY INFLATION INDEX NT 112.8750 3 ,422,490.000 3,731,991.35 3,863,135.59 0.80% 131,144.24 3.625% 01/15/2008 DD 01/15/98 SEC ID: 9128273T7 US TREASURY INFLATION INDEX NT 115.7190 14 ,609,660.000 16,235,020.11 16,906,152.46 3.50% 671,132.35 3.875% 01/15/2009 DD 01/15/99 SEC ID: 9128274Y5 3/8/2004 9:06:00AM PST 14 Workbench @ Asset Detail Report m: GL8013 Mellon Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED-OCSGOOO 10000 2/29/2004 Status: FINAL Net U11teallzed · Price Cost Mark:et Value o/o of Gain/Loss Description Base Shares Par Base Base Total Sisti U S TREASURY NOTES 107.2190 57' l 00,000.000 62,782,901.47 61,222,049.00 12.69% -1,560,852.4 7 05.750% 11/15/2005 DD 11/15/00 SEC ID: 9128276N7 U S TREASURY NT 102.0600 12,000,000.000 11,870,156.25 12,247,200.00 2.54% 377,043.75 3.250% 08/ 15/2008 DD 08/ 15/03 SEC ID: 912828804 U S TREASURY NOTES 100.5300 81 ,000,000.000 81,284, 765.63 81,429,300.00 16.87% 144,534.37 1.875% 01/31/2006 DD 01/31/03 SEC ID: 912828BX7 VIRGINIA ELEC & PWR 01 SER A 107.1710 l ,750,0•00.000 1,743,840.00 1,875,492.50 0.39% 131,652.50 5.750% 03/31/2006 DD 03/27 /01 SEC ID: 927804ENO WELLS FARGO & CO NEW NT 101.9680 125,C>OO. 000 128,605.00 127,460.00 0.03% -1,145.00 6.625% 07/15/2004 DD 07 /28/99 SEC ID: 949746AA9 TOTAL FIXED INCOME SECURITIES 342, 972,189.390 354, 135,673.05 359,375,504.27 74.47% 5,239,831.22 TOTAL ASSETS U.S. DOLLAR 463,371,777.710 477,345,955.43 482,585, 786.65 100.00% 5,239,831.22 TOTAL ASSETS -BASE: 463,371,777.710 477,345,955.43 482,585, 786.65 100.00% 5,239,831.22 3/8/2004 9:06:00AM PST 15 Workbench Transaction Detail -.. @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED -OCSGOOOlOOOO 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Bas~. PURCHASES CASH & CASH EQUIVALENTS U.S. DOLLAR B FEDERAL HOME LN BKS CONS DISC MAT 2/20/2004 99.9238 4, 100,000.000 4,096,874.89 -4,096,874.89 0.00 03/19/2004 2/20/2004 SEC ID: 313384UM9 2/20/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL HOME LN BKS CONS DISC MAT 2/4/2004 99.7434 2,500,000.000 2,493,585. 76 -2,493,585.76 0.00 05/05/2004 2/4/2004 SEC ID: 313384WL9 2/4/2004 OCSF07511102: LIQUID OPER-PIMCO B FEDERAL HOME LN BK CONS DISC N MAT 2/24/2004 99.7472 1,700,000.000 1,695,702.78 -1,695, 702. 78 0.00 05/26/2004 2/25/2004 SEC ID: 313384XH7 2/24/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PJMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/2/2004 99.7381 4,700,000.000 4,687,688.61 -4 ,687 ,688.61 0.00 5/5/2004 2/2/2004 SEC ID: 313396WK5 2/2/2004 BROKER: CHASE SECURITIES, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/4/2004 99.7450 2,500,000.000 2,493,625.00 -2,493,625.00 0.00 5/5/2004 2/4/2004 SEC ID: 313396WK5 2/4/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/19/2004 99.7528 3,900,000.000 3,890,358.33 -3,890,358.33 0.00 05/18/2004 2/19/2004 SEC ID: 313396WZ2 2/19/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/19/2004 99.7528 3,900,000.000 3 ,890 ,358.33 -3 ,890 ,358.33 0.00 05/ 18/2004 2/19/2004 SEC ID: 313396WZ2 2/19/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 1 Workbench ~ Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLIDATEDO!Il2uOOOOOODJDD 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount · Net Gain/Loss . Type Description . Reported Date Base Shares/Par Base Base· ·Base· B FEDERAL HOME LN MTG CORP DISC MAT 2/19/2004 99.7528 2,900,000.000 2,892,830.56 -2,892,830.56 0.00 05/18/2004 2/19/2004 SEC ID: 313396WZ2 2/19/2004 BROKER: MORGAN STANLEY & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/26/2004 99.7722 6,000,000.000 5,986,333.33 -5,986,333.33 0.00 05/ 18/2004 2/26/2004 SEC ID: 313396WZ2 2/26/2004 BROKER: CITIGROUP GBL MKTS/SALOMON, NEW YORK OCSF0751l102: LIQUID OPER-PIMCO B FEDERAL HOME LN MTG CORP DISC MAT 2/24/2004 99.7472 2,000,000.000 1,994,944.44 -1, 994. 944 .44 0.00 05/25/2004 2/24/2004 SEC ID: 313396XG3 2/24/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07511102: LIQUID OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/4/2004 99.7422 400,000.000 398,968.67 -398,968.67 0.00 05/05/2004 2/4/2004 SEC ID: 313588WL5 2/4/2004 BROKER: MORGAN STANLEY & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/13/2004 99.7528 6,500,000.000 6,483,930.56 -6,483,930.56 0.00 05/ 12/2004 2/13/2004 SEC ID: 313588Wl'8 2/13/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07511102: LIQUID OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/19/2004 99.7500 3,900,000.000 3,890,250.00 -3,890,250.00 0.00 05/19/2004 2/19/2004 SEC ID: 313588XA8 2/19/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/19/2004 99.7500 2,900,000.000 2,892,750.00 -2,892,750.00 0.00 05/ 19/2004 2/19/2004 SEC ID: 313588XA8 2/19/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 2 Workbench ~ Transaction Detail ~ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DnITT2 n nn nrF1rnnnn 2/2/2004 -2/27 /2004 Status: FINAL Trade.Da.t• Tran Settle Date Price CO st Amount Net Gain/toss Type Description Reported Date Base Shares/Par. .sue B~s~ .. ·Base . B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/19/2004 99.7500 5,000,000.000 4,987 ,500.00 -4,987 ,500.00 0.00 05/19/2004 2/19/2004 SEC ID: 313588XA8 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/24/2004 99.7639 2,000,000.000 1,995,277.78 -1,995,277.78 0.00 05/ 19/2004 2/24/2004 SEC ID: 313588XA8 2/24/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 2/19/2004 99.6195 3,900,000.000 3,885, 159.42 -3,885, 159.42 0.00 07/01/2004 2/19/2004 SEC ID: 313588YV1 2/19/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07522202: LONG TERM OPER-PIMCO B US TREAC3URY BILL DUE 08/05/2004 DD 2/10/2004 99.5197 23,100,000.000 22,989,043.00 -22,989,043.00 0.00 02/05/2004 2/11/2004 SEC ID: 912795QW4 2/10/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.990%02/03/2004 2/2/2004 100.0000 15,400 ,000. 000 15,400,000.00 -15,400,000.00 0.00 DD 02/02/04 2/2/2004 SEC ID: 99415U617 2/2/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.950%02/04/2004 2/3/2004 100.0000 15,400,000.000 15,400,000.00 -15,400,000.00 0.00 DD 02/03/04 2/3/2004 SEC ID: 99415W209 2/3/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.9200k02/05/2004 2/4/2004 100.0000 15,600,000.000 15,600,000.00 -15,600,000.00 0.00 DD 02/04/04 2/4/2004 SEC ID: 99415X439 2/4/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 3 Workbench 8 Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE Dcm2 ;J OD OD!JODLJDD 2/2/2004 -2/27 /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 00.960%02/06/2004 2/5/2004 100.0000 16,600,000.000 16,600,000.00 -16,600,000.00 0.00 DD 02/05/04 2/5/2004 SEC ID: 99415Y965 2/5/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.960% 02/09/2004 2/6/2004 100.0000 16,600,000.000 16,600,000.00 -16,600,000.00 0.00 DD 02/06/04 2/6/2004 SEC ID: 99415Z301 2/6/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.970%02/11/2004 2/ 10/2004 100.0000 17 ,200,000.000 17 ,200,000.00 -17 ,200,000.00 0.00 DD 02/10/04 2/10/2004 SEC ID: 99416C053 2/10/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.950% 02/ 12/2004 2/ 11/2004 100.0000 17 ,200,000.000 17,200,000.00 -17,200,000.00 0.00 DD 02/11/04 2/11/2004 SEC ID: 99416E042 2/11/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 01.000%02/13/2004 2/12/2004 100.0000 17 ,300,000.000 17 ,300,000.00 -17,300,000.00 0.00 DD 02/12/04 2/12/2004 SEC ID: 994160195 2/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.980%02/17/2004 2/13/2004 100.0000 15,000,000.000 15,000,000.00 -15,000,000.00 0.00 DD 02/13/04 2/13/2004 SEC ID: 99416H482 2/13/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 4 Wqrkbench., -Transaction Detail @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE DJIJII2 0 JO OOCJODOOD 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Aniount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base B CREDIT SUISSE FB REPO 01.0100/o 02/18/2004 2/ 17 /2004 100.0000 12,400,000.000 12,400,000.00 -12,400,000.00 0.00 DD 02/17/04 2/17/2004 SEC ID: 99416H938 2/17/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 01.010% 02/ 18/2004 2/ l 7 /2004 100.0000 23,400,000.000 23,400,000.00 -23,400,000.00 0.00 DD 02/17/04 2/17/2004 SEC ID: 99416H938 2/17/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO B CREDIT SUISSE FB REPO 00.990%02/19/2004 2/18/2004 100.0000 23,400,000.000 23,400,000.00 -23,400,000.00 0.00 DD 02/18/04 2/18/2004 SEC ID: 99416K527 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO B CREDIT SUISSE FB REPO 00.950% 02/ 19/2004 2/ 18/2004 100.0000 9,200,000.000 9,200,000.00 -9,200,000.00 0.00 DD 02/18/04 2/18/2004 SEC ID: 99416L327 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO B LEHMAN CAT 2 REPO 00.900%02/ 19/2004 DD 2/18/2004 100.0000 9,000,000.000 9,000,000.00 -9,000,000.00 0.00 02/18/04 2/18/2004 SEC ID: 99416L707 2/18/2004 BROKER: LEHMAN GOvr SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO B LEHMAN CAT2 REPO 00.950%02/20/2004 DD 2/19/2004 100.0000 5,000,000.000 5,000,000.00 -5,000,000.00 0.00 02/19/04 2/19/2004 SEC ID: 99416M762 2/19/2004 BROKER: LEHMAN GOvr SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.960%02/20/2004 2/ 19/2004 100.0000 4, 100,000.000 4,100,000.00 -4,100,000.00 0.00 DD 02/19/04 2/19/2004 SEC ID: 99416M994 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 5 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE D002 0 JO OOJOO'.JCJ[J 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran ·Settle Date Price Cost Amount Net Gabi/Loss Type Description Reported Date Base Shares/Par Base Base· Base .. B CREDIT SUISSE FB REPO 00.950% 02/23/2004 2/20/2004 100.0000 13,400,000.000 13,400,000.00 -13,400,000.00 0.00 DD 02/20/04 2/20/2004 SEC ID: 99416P344 2/20/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF0751l102: LIQUID OPER-PIMCO 8 CREDIT SUISSE FB REPO 00.970% 02/24/2004 2/23/2004 100.0000 13,400,000.000 13,400,000.00 -13,400,000.00 0.00 DD 02/23/04 2/23/2004 SEC ID: 99416Q896 2/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 8 LEHMAN CAT 2 REPO 00.950%02/25/2004 DD 2/24/2004 100.0000 11,900,000.000 11,900,000.00 -11,900,000.00 0.00 02/24/04 2/24/2004 SEC ID: 99416Sl 99 2/24/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO B CREDIT SUISSE FB REPO 00.9500/c, 02/26/2004 2/25/2004 100.0000 11,200,000.000 11,200,000.00 -11,200,000.00 0.00 DD 02/25/04 2/25/2004 SEC ID: 99416T858 2/25/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 8 LEHMAN CAT 2 REPO 00.950% 02/26/2004 DD 2/25/2004 100.0000 300,000.000 300,000.00 -300,000.00 0.00 02/25/04 2/25/2004 SEC ID: 99416U079 2/25/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO 8 LEHMAN CAT 2 REPO 00.990% 02/ 27 /2004 DD 2/26/2004 100.0000 12,300,000.000 12,300,000.00 -12,300,000.00 0.00 02/26/04 2/26/2004 SEC ID: 99416V721 2/26/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO 8 CREDIT SUISSE FB REPO 00.980% 03/01/2004 2/27 /2004 100.0000 12,300,000.000 12,300,000.00 -12,300,000.00 0.00 DD 02/27/04 2/27/2004 SEC ID: 99416W828 2/27/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 6 Workbench Transaction Detail •. .. @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLI DATEDDDill2 0 OD ODLJLJO:mu 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount, ... Net Gain/Lolls Type Description Reported Date Base Shares/Par Base Base Base B DREYFUS TREASURY CASH MGMT 2/2/2004 1.0000 34,307.390 34,307.39 -34,307.39 0.00 SEC ID: 996085247 2/2/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/2/2004 B DREYFUS TREASURY CASH MGMT 2/3/2004 1.0000 423.500 423.50 -423.50 0.00 SEC ID: 996085247 2/3/2004 OCSF07511102: LIQUID OPER-PIMCO 2/3/2004 B DREYFUS TREASURY CASH MGMT 2/4/2004 1.0000 13,921.300 13,921.30 -13,921.30 0.00 SEC ID: 996085247 2/4/2004 OCSF07511102: LIQUID OPER-PIMCO 2/4/2004 B DREYFUS TREASURY CASH MGMT 2/4/2004 1.0000 8,049.530 8,049.53 -8,049.53 0.00 SEC ID: 996085247 2/4/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/4/2004 B DREYFUS TREASURY CASH MGMT 2/5/2004 1.0000 398.670 398.67 ·398.67 0.00 SEC ID: 996085247 2/5/2004 OCSF07511102: LIQUID OPER-PIMCO 2/5/2004 B DREYFUS TREASURY CASH MGMT 2/6/2004 1.0000 442.670 442.67 -442.67 0.00 SEC ID: 996085247 2/6/2004 OCSF07511102: LIQUID OPER-PIMCO 2/6/2004 B DREYFUS TREASURY CASH MGMT 2/9/2004 1.0000 17,201,328.000 17,201,328.00 -17,201,328.00 0.00 SEC ID: 996085247 2/9/2004 OCSF07511102: LIQUID OPER-PIMCO 2/9/2004 B DREYFUS TREASURY CASH MGMT 2/10/2004 1.0000 225,045.570 225,045.57 -225,045.57 0.00 SEC ID: 996085247 2/10/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/10/2004 8 DREYFUS TREASURY CASH MGMT 2/ 11/2004 1.0000 367.740 367.74 -367.74 0.00 SEC ID: 996085247 2/11/2004 OCSF0752 2202: LONG TERM OPER-PIMCO 2/ 11/2004 B DREYFUS TREASURY CASH MGMT 2/11/2004 1.0000 83,610.440 83,610.44 -83,610.44 0.00 SEC ID: 996085247 2/ 11/2004 OCSF0751l102: LIQUID OPER-PIMCO 2/11/2004 3/8/2004 9:09:05AM PST 7 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDDml!20DDOOOOODOO 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price . CO st Amount Net Gilil/LOss · Type Descdptlon Reported Date Base -,~ates/Par Base Base. Base B DREYFUS TREASURY CASH MGMT 2/13/2004 1.0000 15,016,550.000 15,016,550.00 -15,016,550.00 0.00 SEC ID: 996085247 2/13/2004 OCSF07511102: LIQUID OPER-PIMCO 2/13/2004 B DREYFUS TREASURY CASH MGMT 2/13/2004 1.0000 199,628.440 199,628.44 -199,628.44 0.00 SEC ID: 996085247 2/13/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/13/2004 B DREYFUS TREASURY CASH MGMT 2/17/2004 1.0000 1,832,876.560 1,832,876.56 -1,832,876.56 0.00 SEC ID: 996085247 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/17/2004 B DREYFUS TREASURY CASH MGMT 2/18/2004 1.0000 200,347.890 200,347.89 -200,347.89 0.00 SEC ID: 996085247 2/18/2004 OCSF0751l102: LIQUID OPER-PIMCO 2/18/2004 B DREYFUS TREASURY CASH MGMT 2/18/2004 1.0000 28,282.300 28,282.30 -28,282.30 0.00 SEC ID: 996085247 2/18/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/18/2004 B DREYFUS TREASURY CASH MGMT 2/19/2004 1.0000 8,212,967.780 8,212,967.78 -8,212,967.78 0.00 SEC ID: 996085247 2/19/2004 OCSF07511102: LIQUID OPER-PIMCO 2/19/2004 B DREYFUS TREASURY CASH MGMT 2/20/2004 1.0000 124,804.930 124,804.93 -124,804.93 0.00 SEC ID: 996085247 2/20/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/20/2004 B DREYFUS TREASURY CASH MGMT 2/23/2004 1.0000 1,060.830 1,060.83 -1,060.83 0.00 SEC ID: 996085247 2/23/2004 OCSF07511102: LIQUID OPER-PIMCO 2/23/2004 B DREYFUS TREASURY CASH MGMT 2/24/2004 1.0000 10,138.840 10,138.84 -10,138.84 0.00 SEC ID: 996085247 2/24/2004 OCSF07511102: LIQUID OPER-PIMCO 2/24/2004 B DREYFUS TREASURY CASH MGMT 2/25/2004 1.0000 704,611.250 704,611.25 -704,611.25 0.00 SEC ID: 996085247 2/25/2004 OCSF07511102: LIQUID OPER-PIMCO 2/25/2004 3/8/2004 9:09:05AM PST 8 Wqrkbench., ~ Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE DO!Il2] JD ODO DODOO 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base. 8 DREYFUS TREASURY CASH MGMT 2/25/2004 1.0000 760,677.110 760,677.11 -760,677.11 0.00 SEC ID: 996085247 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/25/2004 TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: 434, 159,840. 740 433,905,022.20 -433,905,022.20 o.oo TOTAL CASH & CASH EQUIVALENTS BASE: 434,159,840.740 433,905,022.20 -433,905,022.20 o.oo FIXED INCOME SECURITIES U.S. DOLLAR B COMMIT TO PUR FNMA SF MTG 5.500% 2/27/2004 102.2813 2, 100,000.000 2,147,906.25 -2,147,906.25 0.00 03/01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F052631 2/27/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 5.500% 2/27/2004 102.2813 700,000.000 715,968.75 -715,968.75 0.00 03/ 01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F052631 2/27/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6.000% 2/3/2004 103.5000 1,000,000.000 1,035,000.00 -1,035,000.00 0.00 03/01/2033 DD 03/01/03 3/15/2004 SEC ID: 01F060634 2/3/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO 8 COMMIT TO PUR FNMA SF MTG 6 .000% 2/3/2004 103.5000 1,000,000.000 1,035,000.00 -1,035,000.00 0.00 03/01/2033 DD 03/01/03 3/15/2004 SEC ID: 01F060634 2/3/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO 8 COMMIT TO PUR FNMA SF MTG 6 .000% 2/3/2004 103.5000 500,000.000 517,500.00 -517 ,500.00 0.00 03/01/2033 DD 03/01 /03 3/15/2004 SEC ID: 01F060634 2/3/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 9 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDornJi2 J JO OOJOO'JfJ[] 2/2/2004 -2/27 /2004 Status: FINAL Trade Date Tran Settle Date Price Coat Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Blase Base 8 COMMIT TO PUR FNMA SF MTG 6 .000% 2/6/2004 103.6406 500,000.000 518,203.12 -518,203.12 0.00 03/01/2034 DD 03/01/04 3/15/2004 SEC ID: 01F060634 2/6/2004 BROKER: CHASE/GREENWICH CAP, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6 .000% 2/6/2004 103.7344 1,000,000.000 1,037,343.75 -1,037,343.75 0.00 03/01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/6/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.6250 500,000.000 518,125.00 -518,125.00 0.00 04/01/2033 DD 04/01 /03 4/15/2004 SEC ID: 01F060642 2/18/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6.000% 2/18/2004 103.6250 2,000,000.000 2,072,500.00 -2 ,072 ,500.00 0.00 04/01/2033 DD 04/01/03 4/15/2004 SEC ID: 01F060642 2/18/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO B COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.6094 500,000.000 518,046.87 -518,046.87 0.00 04/ 01/2033 DD 04/01 /03 4/15/2004 SEC ID: 01F060642 2/18/2004 BROKER: CHASE/GREENWICH CAP, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO B CITIGROUP INC SR GLOBAL NT FLTG RT 2/13/2004 100.0170 2,700,000.000 2,700,459.00 -2,700,459.00 0.00 03/ 09/2004 DD 03/09 /01 2/17/2004 SEC ID: 1729678EO 2/13/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07511102: LIQUID OPER-PIMCO IB CITIGROUP INC SR GLOBAL NT FLTG RT 2/13/2004 100.0170 0.000 0.00 -797.25 0.00 03/09/2004 DD 03/09/01 2/17/2004 SEC ID: 172967BEO 2/13/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 10 Workbench. -Transaction Detail @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DfTI1!2 'l cm nn;-in{l'.JOO 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Coat Amount Net Gafn/LOss Type Description Reported Date Base Shares/Par Base Jlase Base B US TREASURY NOTES 1.875%01/31/2006 DD 2/11/2004 100.3516 50,000,000.000 50,175,781.25 -50, l 75, 781.25 0.00 01/31/03 2/12/2004 SEC ID: 912828BX7 2/11/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IB US TREASURY NOTES 1.875%01/31/2006 DD 2/11/2004 100.3516 0.000 0.00 -30,906.59 0.00 01/ 31/03 2/12/2004 SEC ID: 912828BX7 2/11/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO B US TREASURY NOTES 1.875%01/31/2006 DD 2/ 11/2004 100.3516 31,000,000.000 31,108,984.38 -31, 108,984.38 0.00 Ol/ 31/03 2/12/2004 SEC ID: 912828BX7 2/ 11/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO 18 US TREASURY NOTES 1.875%01/31/2006 DD 2/11/2004 100.3516 0.000 0.00 -19,162.09 0.00 01/ 31/03 2/12/2004 SEC ID: 912828BX7 2/11/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: 93,500,000.000 94, 100,818.37 -94, 151,684.30 0.00 TOTAL FIXED INCOME SECURITIES BASE: 93,500,000.000 94, 100,818.37 -94,151,684.30 0.00 TOTAL PURCHASES BASE: 527 ,659,840. 740 528,005,840.57 -528,056, 706.50 0.00 SALES CASH & CASH EQUIVALENTS U.S. DOLLAR s EUROPEAN INVEST DISC 03/ 15/2004 2/12/2004 99.7321 -900,000.000 -897 ,588.50 897,588.50 0.00 SEC ID: 29878RCF3 2/12/2004 BROKER: LEHMAN GOVT SECS INC, NY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 11 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DDm1!2 O CJD ODLIOOJDD 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran . Settle Date Price Cost AmoUllt Net Gahl/Loas · Type Description Reported Date Base Shares/Par Base Base Base IS EUROPEAN INVEST DISC 03/ 15/2004 2/12/2004 99.7321 0.000 0.00 1,603.50 0.00 SEC ID: 29878RCF3 2/12/2004 BROKER: LEHMAN GOvr SECS INC, NY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN BK CONS DISC N MAT 2/12/2004 99.7510 -11 ,800,000.000 -11,770,622.63 11,770,622.63 0.00 04/ 14/2004 2/12/2004 SEC ID: 313384VP1 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN BK CONS DISC N MAT 2/12/2004 99.7510 0.000 0.00 9,258.37 0.00 04/ 14/2004 2/12/2004 SEC ID: 313384VP1 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN BK CONS DISC N MAT 2/12/2004 99.7460 -900,000.000 -897,713.63 897,713.63 0.00 04/28/2004 2/12/2004 SEC ID: 313384WD7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN BK CONS DISC N MAT 2/12/2004 99.7460 0.000 0.00 671.37 0.00 04/28/2004 2/12/2004 SEC ID: 313384WD7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.5807 -2,100,000.000 -2,091, 194.00 2,091,194.00 0.00 03/22/2004 2/12/2004 SEC ID: 313396UQ4 2/12/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.5807 0.000 0.00 6,622.00 0.00 03/22/2004 2/12/2004 SEC ID: 313396UQ4 2/12/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO 31812004 9:09:05AM PST 12 Workbench.., Transaction Detail ~ ,. @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLIDATE Dillll2 0 CJD ori:JrnJ:JOD 2/2/2004 -2/27 /2004 Status: FINAL Trade Date Tran Settle ·nate Price Coat Amount Net Gabi/Loss Type Description Reported Date Base Shares/Par Base Base , , Base s FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7528 -10,000,000.000 -9,975,277.78 9,975,277.78 0.00 04/13/2004 2/12/2004 SEC ID: 313396VNO 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7528 0.000 0.00 7,947.22 0.00 04/13/2004 2/12/2004 SEC ID: 313396VNO 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7472 -1,700,000.000 -1,695,702.78 1,695, 702. 78 0.00 04/20/2004 2/12/2004 SEC ID: 313396W2 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7472 0.000 0.00 1,118.22 0.00 04/20/2004 2/12/2004 SEC ID: 313396W2 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7478 -1,200,000.000 -1J196,974.00 1,196,974.00 0.00 04/27 /2004 2/12/2004 SEC ID: 313396WC3 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INCNY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7478 0.000 0.00 578.50 0.00 04/27/2004 2/12/2004 SEC ID: 313396WC3 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7381 -4,700,000.000 -4 ,687 ,688.61 4,687,688.61 ·o.oo 5/5/2004 2/12/2004 SEC ID: 313396WKS 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 13 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCS D-CO NS 0 LI DATE Dom:2 0 DO OU DOD DOU 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price CO st Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base . ' IS FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 99.7381 0.000 0.00 1,584.42 0.00 5/5/2004 2/12/2004 SEC ID: 313396WKS 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISC NT 2/12/2004 99.7148 -2,400,000.000 -2,393,155.61 2,393, 155.61 0.00 SEC ID: 313588TF2 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER 2/12/2004 SMITH INCNY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISC NT 2/12/2004 99.7148 0.000 0.00 6,487.19 0.00 SEC ID: 313588TF2 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INCNY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.5530 -3,800,000.000 -3,783,014.00 3,783,014.00 0.00 02/19/2004 2/12/2004 SEC ID: 313588TGO 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.5530 0.000 0.00 16,326.17 0.00 02/19/2004 2/12/2004 SEC ID: 313588TGO 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7450 -8,400,000.000 -8,378,580.00 8,378,580.00 0.00 02/25/2004 2/12/2004 SEC ID: 313588TN5 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7450 0.000 0.00 18,626.30 0.00 02/25/2004 2/12/2004 SEC ID: 313588TNS 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INCNY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 14 Wqrkbench .. -Transaction Detail ~ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD ocs D-CO NS 0 LI DATE DE2 0 cm OL1 CJOffJOO 2/2/2004. 2/27 /2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description . Report~d D·ate Base Shares/Par Base Base ··sase . .. s FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7270 -400,000.000 -398,908.00 398,908.00 0.00 03/03/2004 2/12/2004 SEC ID: 313588TV7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7270 0.000 0.00 914.22 0.00 03/03/2004 2/12/2004 SEC ID: 313588TV7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7350 -1,000,000.000 -997 ,350.00 997,350.00 0.00 03/ 10/2004 2/12/2004 SEC ID: 313588UC7 2/12/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7350 0.000 0.00 1,937.50 0.00 03/ 10/2004 2/12/2004 SEC ID: 313588UC7 2/12/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISC 2/12/2004 99.7346 -1,100,000.000 -1,097,080.42 1,097,080.42 0.00 SEC ID: 313588UK9 2/12/2004 BROKER: GOLDMAN SACHS & CO, NY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISC 2/12/2004 99.7346 0.000 0.00 1,922.25 0.00 SEC ID: 313588UK9 2/12/2004 BROKER: GOLDMAN SACHS & CO, NY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO s FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7422 -400,000.000 -398,968.67 398,968.67 0.00 05/05/2004 2/12/2004 SEC ID: 313588WLS 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS FEDERAL NATL MTG ASSN DISCOUNT MAT 2/12/2004 99.7422 0.000 0.00 107.26 0.00 05/05/2004 2/12/2004 SEC ID: 313588WLS 2/12/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 15 Workbench @ Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLI DATE DOIJ.[[2 0 00 oo:moooo 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Bettle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base . Shares/Par Base Base Base s GENERAL ELEC CAP DISC 04 /07 /2004 2/12/2004 99.6331 -1,800,000.000 -1, 793 ,395.50 1,793,395.50 0.00 SEC ID: 36959HD79 2/12/2004 BROKER: LEHMAN GOVT SECS INC, NY 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO IS GENERAL ELEC CAP DISC 04 /07 /2004 2/12/2004 99.6331 0.000 0.00 3,758.25 0.00 SEC ID: 36959HD79 2/12/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07522202: LONG TERM OPER-PIMCO 2/12/2004 s US TREASURY BILL DUE 02/ 12/2004 DD 2/10/2004 99.5160 -1 ,200,000.000 -1,194,191.67 1,194,191.67 0.00 08/ 14/2003 2/ 11/2004 SEC ID: 912795PK1 2/10/2004 BROKER: JPMORGAN CHASE BK/HSBCI, NEW YORK OCSF07511102: LIQUID OPER-PIMCO IS US TREASURY BILL DUE 02/ 12/2004 DD 2/10/2004 99.5160 0.000 0.00 5,785.00 0.00 08/ 14/2003 2/ 11/2004 SEC ID: 912795PK1 2/10/2004 BROKER: JP MORGAN CHASE BK/HSBCI, NEW YORK OCSF07511102: LIQUID OPER-PIMCO s US TREASURY BILL 0.000% 03/11/2004 DD 2/10/2004 99.7575 -9,200,000.000 -9, 177 ,690.00 9,177,690.00 0.00 09/ 11/03 2/11/2004 SEC ID: 912795PPO 2/10/2004 BROKER: JP MORGAN CHASE BK/HSBCI, NEW YORK OCSF07511102: LIQUID OPER-PIMCO IS US TREASURY BILL 0.000% 03/ 11/2004 DD 2/10/2004 99.7575 0.000 0.00 15,788.22 0.00 09/ 11/03 2/11/2004 SEC ID: 912795PPO 2/10/2004 BROKER: JP MORGAN CHASE BK/HSBCI, NEW YORK OCSF0751 l 102: LIQUID OPER-PIMCO s US TREASURY BILL 0.000% 03/18/2004 DD 2/10/2004 99.7853 -6,500,000.000 -6,486,041.25 6,486,041.25 0.00 09/18/03 2/11/2004 SEC ID: 912795PQ8 2/10/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 16 Workbench ... Transaction Detail -.. @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDLm20L.1DlJOJODUC10 2/2/2004 -2/27 /2004 Status: FINAL Trade Date Tran Settle Date Price. Coat Amount Net Galil/Loss Type Description Reported Date Base Shares/Par Base Base Base IS US TREASURY BILL 0.000% 03/18/2004 DD 2/10/2004 99.7853 0.000 0.00 8,758.75 0.00 09/18/03 2/11/2004 SEC ID: 912795PQ8 2/10/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO s UNITED STATES TREASURY BILL DUE 2/12/2004 99.4870 -17,000,000.000 -16,912,790.02 16,912,790.02 0.00 04/22/2004 DD 10/23/03 2/12/2004 SEC ID: 912795PV7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS UNITED STATES TREASURY BILL DUE 2/12/2004 99.4870 0.000 0.00 58,980.54 0.00 04/22/2004 DD 10/23/03 2/12/2004 SEC ID: 912795PV7 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s US TREASURY BILL 0.000% 04/29/2004 DD 2/12/2004 99.4843 -3,800,000.000 -3,780,404.67 3,780,404.67 0.00 10/ 30/03 2/12/2004 SEC ID: 912795PWS 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS US TREASURY BILL 0.000% 04/29/2004 DD 2/12/2004 99.4843 0.000 0.00 12,434.76 0.00 10/ 30/03 2/12/2004 SEC ID: 912795PW5 2/12/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s US TREASURY BILL 0.000% 04/29/2004 DD 2/13/2004 99.4843 -200,000.000 -198,968.67 198,968.67 0.00 10/30/03 2/13/2004 SEC ID: 912795PWS 2/13/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO IS US TREASURY BILL 0.000% 04/29/2004 DD 2/13/2004 99.4843 0.000 0.00 659.77 0.00 10/30/03 2/13/2004 SEC ID: 912795PWS 2/13/2004 BROKER: MERRILL LYNCH PIERCE FENNER SMITH INC NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 17 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLI DATE DOilill2 0 DO OOOOOCJOCJ 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Prlce. -Cost Amount Net Gahl/Loss Type Description Reported Date Base Shares/Par Base Base Base s US TREASURY BILL 0.000% 05/27 /2004 DD 2/10/2004 99.4906 -6,200,000.000 -6,168,416.07 6, 168,416.07 0.00 11/28/03 2/ 11/2004 SEC ID: 912795QA2 2/10/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO IS US TREASURY BILL 0.000% 05/27/2004 DD 2/10/2004 99.4906 0.000 0.00 15,519.04 0.00 11/28/03 2/ 11/2004 SEC ID: 912795QA2 2/10/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07511102: LIQUID OPER-PIMCO s FIRST BOSTON CORP REPO 00.970% 2/2/2004 100.0000 -9,500,000.000 -9,500,000.00 9,500,000.00 0.00 02/02/2004 DD 01/30/04 2/2/2004 SEC ID: 994lSTl15 2/2/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS FIRST BOSTON CORP REPO 00.970% 2/2/2004 100.0000 0.000 0.00 767.92 0.00 02/02/2004 DD 01/30/04 2/2/2004 SEC ID; 99415Tl15 2/2/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.990%02/03/2004 2/3/2004 100.0000 -15,400,000.000 -15,400,000.00 15,400,000.00 0.00 DD 02/02/04 2/3/2004 SEC ID: 99415U617 2/3/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.990% 02/03/2004 2/3/2004 100.0000 0.000 0.00 423.50 0.00 DD 02/02/04 2/3/2004 SEC ID: 99415U617 2/3/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.950% 02/04/2004 2/4/2004 100.0000 -15,400,000.000 -15,400,000.00 15,400,000.00 0.00 DD 02/03/04 2/4/2004 SEC ID: 99415W209 2/4/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 18 Workbench Transaction Detail . .. @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATED1!111f2n:-inrn1nnnnri 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Coat Amount Net Gain/Loss Type Desc?ptlon Reported Date Base Shares/Par Base Base Base IS CREDIT SUISSE FB REPO 00.950% 02/04/2004 2/4/2004 100.0000 0.000 0.00 406.39 0.00 DD 02/03/04 2/4/2004 SEC ID: 99415W209 2/4/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.920% 02 /05/2004 2/5/2004 100.0000 -15,600,000.000 -15,600,000.00 15,600,000.00 0.00 DD 02/04/04 2/5/2004 SEC ID: 99415X439 2/5/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.920%02/05/2004 2/5/2004 100.0000 0.000 0.00 398.67 0.00 DD 02/04/04 2/5/2004 SEC ID: 99415X439 2/5/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.960%02/06/2004 2/6/2004 100.0000 -16,600,000.000 -16,600,000.00 16,600,000.00 0.00 DD 02/05/04 2/6/2004 SEC ID: 99415Y965 2/6/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.960%02/06/2004 2/6/2004 100.0000 0.000 0.00 442.67 0.00 DD 02/05/04 2/6/2004 SEC ID: 99415Y965 2/6/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.960% 02/09/2004 2/9/2004 100.0000 -16,600,000.000 -16,600,000.00 16,600,000.00 0.00 DD 02/06/04 2/9/2004 SEC ID: 99415Z301 2/9/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 19 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D:m2 :J CJD 00'.JOOODO 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Bettle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base IS CREDIT SUISSE FB REPO 00.960% 02/09/2004 2/9/2004 100.0000 0.000 0.00 1,328.00 0.00 DD 02/06/04 2/9/2004 SEC ID: 994152301 2/9/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.970%02/ 11/2004 2/11/2004 100.0000 -17,200,000.000 -17 ,200,000.00 17 ,200,000.00 0.00 DD 02/10/04 2/11/2004 SEC ID: 99416C053 2/11/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.970%02/11/2004 2/11/2004 100.0000 0.000 0.00 463.44 0.00 DD 02/10/04 2/11/2004 SEC ID: 99416C053 2/11/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.950%02/12/2004 2/12/2004 100.0000 -17,200,000.000 -17,200,000.00 17,200,000.00 0.00 DD 02/11/04 2/12/2004 SEC ID: 99416E042 2/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF0751l102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.950% 02/ 12/2004 2/ 12/2004 100.0000 0.000 0.00 453.89 0.00 DD 02/11/04 2/12/2004 SEC ID: 99416E042 2/12/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 01.000% 02/ 13/2004 2/ 13/2004 100.0000 -17 ,300,000.000 -17 ,300,000.00 17,300,000.00 0.00 DD 02/12/04 2/13/2004 SEC ID: 994160195 2/13/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 01.000% 02/ 13/2004 2/ 13/2004 100.0000 0.000 0.00 480.56 0.00 DD 02/12/04 2/13/2004 SEC ID: 994160195 2/13/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 20 Workbench~ @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE DO!ll:tr2 0 CJD OOOOUODO 2/2/2004 -2/27 /2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Giln/LOss Type Description Reported Date Base Shares/Par Base Base Base s CREDIT SUISSE FB REPO 00.980% 02 / l 7 /2004 2/ 17 /2004 100.0000 -15,000,000.000 -15,000,000.00 15,000,000.00 0.00 DD 02/13/04 2/17/2004 SEC ID: 99416H482 2/17/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.980% 02/ l 7 /2004 2/ 17 /2004 100.0000 0.000 0.00 1,633.33 0.00 DD 02/13/04 2/17/2004 SEC ID: 99416H482 2/17 /2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 01.010% 02/ 18/2004 2/ 18/2004 100.0000 -12,400,000.000 -12,400,000.00 12,400,000.00 0.00 DD 02/17/04 2/18/2004 SEC ID: 99416H938 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF0751l102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 01.010% 02/ 18/2004 2/ 18/2004 100.0000 -23,400,000.000 -23,400,000.00 23,400,000.00 0.00 DD 02/17/04 2/18/2004 SEC ID: 99416H938 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO IS CREDIT SUISSE FB REPO 01.01OOA>02/ 18/2004 2/ 18/2004 100.0000 0.000 0.00 656.50 0.00 DD 02/17/04 2/18/2004 SEC ID: 99416H938 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO IS CREDIT SUISSE FB REPO 01.010% 02/ 18/2004 2/ 18/2004 100.0000 0.000 0.00 347.89 0.00 DD 02/17/04 2/18/2004 SEC ID: 99416H938 2/18/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 21 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD ocs D-CO NS 0 LIDAT E Dmr2 J :JO rJOODrJJDO 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Losa Type Description Reported' Date. Base Shai"~s/Par Bas!i' Base Base s CREDIT SUISSE FB REPO 00.990%02/19/2004 2/19/2004 100.0000 -23,400,000.000 -23,400,000.00 23,400,000.00 0.00 DD 02/18/04 2/19/2004 SEC ID: 99416K527 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO IS CREDIT SUISSE FB REPO 00.990%02/19/2004 2/19/2004 100.0000 0.000 0.00 643.50 0.00 DD 02/18/04 2/19/2004 SEC ID: 99416K527 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO s CREDIT SUISSE FB REPO 00.950%02/19/2004 2/19/2004 100.0000 -9,200,000.000 -9,200,000.00 9 ,200 ,000.00 0.00 DD 02/18/04 2/19/2004 SEC ID: 99416L327 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF0751 l 102: LIQUID OPER-PIMCO IS CREDIT SUISSEFB REPO 00.950%02/19/2004 2/19/2004 100.0000 0.000 0.00 242.78 0.00 DD 02/18/04 2/19/2004 SEC ID: 99416L327 2/19/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF0751l102: LIQUID OPER-PIMCO s LEHMAN CAT 2 REPO 00.900% 02/ 19/2004 DD 2/19/2004 100.0000 -9,000,000.000 -9,000,000.00 9,000,000.00 0.00 02/18/04 2/19/2004 SEC ID: 99416L707 2/19/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.900% 02/ 19/2004 DD 2/19/2004 100.0000 0.000 0.00 225.00 0.00 02/18/04 2/19/2004 SEC ID: 99416L707 2/19/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO s LEHMAN CAT2 REPO 00.950%02/20/2004 DD 2/20/2004 100.0000 -5.000.000.000 -5,000,000.00 5,000,000.00 0.00 02/19/04 2/20/2004 SEC ID: 99416M762 2/20/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF0751 l 102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 22 Warkbench .. Transaction Detail . . 8 Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD 0 CS D-CO NS 0 LI DATE DJIJII2 :J :I 0 OD J 00 :_1 OIJ 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gahl/Loss Type Description Reported Date Base Shares/Par Base Base ·Base IS LEHMAN CAT 2 REPO 00.950% 02/ 20/2004 DD 2/20/2004 100.0000 0.000 0.00 131.94 0.00 02/19/04 2/20/2004 SEC ID: 99416M762 2/20/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.9600/c,02/20/2004 2/20/2004 100.0000 -4.100,000.000 -4,100,000.00 4, 100,000.00 0.00 DD 02/19/04 2/20/2004 SEC ID: 99416M994 2/20/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: WNO TERM OPER-PIMCO IS CREDIT SUISSE FB REPO 00.960% 02 /20/2004 2/20 /2004 100.0000 0.000 0.00 109.33 0.00 DD 02/19/04 2/20/2004 SEC ID: 99416M994 2/20/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: WNO TERM OPER-PIMCO s CREDIT SUISSE FB REPO 00.950% 02/23/2004 2/23/2004 100.0000 -13,400,000.000 -13,400,000.00 13,400,000.00 0.00 DD 02/20/04 2/23/2004 SEC ID: 99416P344 2/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.950%02/23/2004 2/23/2004 100.0000 0.000 0.00 1,060.83 0.00 DD 02/20/04 2/23/2004 SEC ID: 99416P344 2/23/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.970%02/24/2004 2/24/2004 100.0000 -13,400,000.000 -13,400,000.00 13,400,000.00 0.00 DD 02/23/04 2/24/2004 SEC ID: 99416Q896 2/24/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.970%02/24/2004 2/24/2004 100.0000 0.000 0.00 361.06 0.00 DD 02/23/04 2/24/2004 SEC ID: 99416Q896 2/24/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 23 Workbench 8 Transaction Detail Reportm: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDOillI20000000CJOl10 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Sittle Date Price Cost Amo Wit Net Gaiit/I.:oss Type Description Reported Date. Base Shares/Par Base Base Base s LEHMAN CAT 2 REPO 00.950% 02/ 25/2004 DD 2/25/2004 100.0000 -11,900,000.000 -11,900,000.00 11,900,000.00 0.00 02/24/04 2/25/2004 SEC ID: 99416Sl 99 2/25/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO IS LEHMAN CAT 2 REPO 00.950% 02/ 25/2004 DD 2/25/2004 100.0000 0.000 0.00 314.03 0.00 02/24/04 2/25/2004 SEC ID: 99416Sl 99 2/25/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO s CREDIT SUISSE FB REPO 00.950% 02/26/2004 2/26/2004 100.0000 -11,200,000.000 -11,200,000.00 11,200,000.00 0.00 DD 02/25/04 2/26/2004 SEC ID: 994161'858 2/26/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO IS CREDIT SUISSE FB REPO 00.950%02/26/2004 2/26/2004 100.0000 0.000 0.00 295.56 0.00 DD 02/25/04 2/26/2004 SEC ID: 99416T858 2/26/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07511102: LIQUID OPER-PIMCO s LEHMAN CAT 2 REPO 00.950% 02/ 26/2004 DD 2/26/2004 100.0000 -300,000.000 -300,000.00 300,000.00 0.00 02/25/04 2/26/2004 SEC ID: 99416U079 2/26/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO IS LEHMAN CAT2 REPO 00.950%02/26/2004 DD 2/26/2004 100.0000 0.000 0.00 7.92 0.00 02/25/04 2/26/2004 SEC ID: 994160079 2/26/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO s LEHMAN CAT 2 REPO 00.990% 02/ 27 /2004 DD 2/27/2004 100.0000 -12,300,000.000 -12,300,000.00 12,300,000.00 0.00 02/26/04 2/27/2004 SEC ID: 99416V721 2/27/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 24 Wqrkbench. @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDLm2CJJOOO'.JOO~J[J0 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Alllount Net Gain/Loss Type Description .. Reported Date Base Shares/Par Base Base Base IS LEHMAN CAT 2 REPO 00.990% 02/ 27 /2004 DD 2/27 /2004 100.0000 0.000 0.00 338.25 0.00 02/26/04 2/27/2004 SEC ID: 99416V721 2/27/2004 BROKER: LEHMAN GOVT SECS INC, NY OCSF07511102: LIQUID OPER-PIMCO s DREYFUS TREASURY CASH MGMT 2/2/2004 1.0000 -29,138.320 -29,138.32 29,138.32 0.00 SEC ID: 996085247 2/2/2004 OCSF07511102: LIQUID OPER-PIMCO 2/2/2004 s DREYFUS TREASURY CASH MGMT 2/10/2004 1.0000 -17 ,200,000.000 -17 ,200,000.00 17 ,200,000.00 0.00 SEC ID: 996085247 2/10/2004 OCSF07511102: LIQUID OPER-PIMCO 2/10/2004 s DREYFUS TREASURY CASH MGMT 2/12/2004 1.0000 -99,546.110 -99,546.11 99,546.11 0.00 SEC ID: 996085247 2/12/2004 OCSF07511102: LIQUID OPER-PIMCO 2/12/2004 s DREYFUS TREASURY CASH MGMT 2/12/2004 1.0000 -230,841.870 -230,841.87 230,841.87 0.00 SEC ID: 996085247 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/12/2004 s DREYFUS TREASURY CASH MGMT 2/17/2004 1.0000 -14,993,193.750 -14,993,193.75 14,993,193.75 0.00 SEC ID: 996085247 2/17/2004 OCSF07511102: LIQUID OPER-PIMCO 2/17/2004 s DREYFUS TREASURY CASH MGMT 2/19/2004 1.0000 -2,041,063.140 -2,041,063.14 2,041,063.14 0.00 SEC ID: 996085247 2/19/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/19/2004 s DREYFUS TREASURY CASH MGMT 2/20/2004 1.0000 -8,398,817 .500 -8,398,817.50 8,398,817.50 0.00 SEC ID: 996085247 2/20/2004 OCSF07511102: LIQUID OPER-PIMCO 2/20/2004 s DREYFUS TREASURY CASH MGMT 2/26/2004 1.0000 -786,029.850 -786,029.85 786,029.85 0.00 SEC ID: 996085247 2/26/2004 OCSF07511102: LIQUID OPER-PIMCO 2/26/2004 s DREYFUS TREASURY CASH MGMT 2/27/2004 1.0000 -3,815.400 -3,815.40 3,815.40 . 0.00 SEC ID: 996085247 2/27/2004 OCSF07511102: LIQUID OPER-PIMCO 2/27/2004 3/8/2004 9:09:05AM PST 25 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDJIIl2DOODDDDO::JOO 2/2/2004 -2/27/2004 Status: FINAL Trade·Date Tran Settle· Date Price Cost Aniount · Net Gain/Loss Type Description Reported Date Base Shares/Par B~se Base Base s BSDT-LATE MONEY DEPOSIT ACCT 2/2/2004 1.0000 -1,000.000 -1,000.00 1,000.00 0.00 SEC ID: 996087094 2/2/2004 OCSF07511102: LIQUID OPER-PJMCO 2/2/2004 TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: -445,283,445. 940 -444,955, 162.42 445,164,084.20 0.00 TOTAL CASH & CASH EQUIVALENTS BASE: -445,283,445.940 -444,955, 162.42 445, 164,084.20 0.00 FIXED INCOME SECURITIES U.S. DOLLAR s COMMIT TO PUR FNMA SF MTG 6 .OOOOA> 2/3/2004 103.8867 -1,000,000.000 -1,032,565.11 1,038,867.18 6,302.07 02/01/2034 DD 02/01 /04 2/12/2004 SEC ID: 01F060626 2/3/2004 BROKER: CREDIT SUISSE FIRST BOSTON CORP, NY OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/3/2004 103.8867 -500,000.000 -516,282.55 519,433.59 3,151.04 02/01/2034 DD 02/01/04 2/12/2004 SEC ID: 01F060626 2/3/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/3/2004 103.8867 -1,000,000.000 -1,032,565.10 1,038,867.18 6,302.08 02/ 01/2034 DD 02/01 /04 2/12/2004 SEC ID: 01F060626 2/3/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/6/2004 104.0625 -500,000.000 -516,282.55 520,312.50 4,029.95 02/01/2034 DD 02/01/04 2/12/2004 SEC ID: 01F060626 2/6/2004 BROKER: CHASE/GREENWICH CAP, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.9727 -500,000.000 -517,880.86 519,863.28 1,982.42 03/ 01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/18/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 26 Wo.rkbench • . Transaction Detail @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD ocs D-CO NSO LI DATE Dcw.r-2 n ;in nnnnn r-inn 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base s COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.9688 -1,000,000.000 -1,035, 761. 72 1,039,687.50 3,925.78 03/01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/18/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.9688 -1,000,000.000 -1,035, 761. 72 1,039,687.50 3,925.78 03/ 01 /2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/18/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/18/2004 103.9531 -500,000.000 -517 ,880.86 519,765.62 1,884.76 03/ 01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/18/2004 BROKER: CHASE/GREENWICH CAP. NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6.000% 2/27/2004 104.1797 -1,000,000.000 -1,035,761.71 1,041, 796.87 6,035.16 03/01/2034 DD 03/01 /04 3/15/2004 SEC ID: 01F060634 2/27/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO s COMMIT TO PUR FNMA SF MTG 6 .000% 2/27/2004 103.8359 -3,000,000.000 -3, 108,671.87 3, 115,078.12 6,406.25 04/ 01/2034 DD 04/01 /04 4/15/2004 SEC ID: 01F060642 2/27/2004 BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCO OCSF07522202: LONG TERM OPER-PIMCO s CITIGROUP INC GLOBAL SUB NT 5.625% 2/ 11/2004 107.5710 -5,000,000.000 -5,333,600.00 5 ,378 ,550.00 44,950.00 08/ 27/2012 DD 08/26 /02 2/17/2004 SEC ID: l 72967BP5 2/11/2004 BROKER: CHASE SECURITIES, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS CITIGROUP INC GLOBAL SUB NT 5.625% 2/11/2004 107.5710 0.000 0.00 132,812.50 0.00 08/ 27/2012 DD 08/26 /02 2/17/2004 SEC ID: l 72967BP5 2/11/2004 BROKER: CHASE SECURITIES, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 27 Workbench @ Transaction Detail Reportm: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDJIIDi:2 J =ioooJOlDOI] 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Da.te Price '. Coat Amount Net Gain/Losa Type Description Reported Date Base Shares/Par Base Base Base s FHLMC MULTICLASS CTF SER 1620Z 6.000% 2/26/2004 105.7500 -3,062,496.490 -2,906,356.55 3,238,590.04 332,233.49 11/ 15/2023 DD 11/01 /93 3/2/2004 SEC ID: 3133Tl7A4 2/26/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS FHLMC MULTICLASS CTF SER 1620Z 6.000% 2/26/2004 105.7500 0.000 0.00 510.42 0.00 11/ 15/2023 DD 11/01 /93 3/2/2004 SEC ID: 3133T17A4 2/26/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s FNMA POOL #0555285 6.000% 03 /01/2033 2/6/2004 104.1602 -754, 163.430 -784,329.98 785,537.81 1,207.83 DD 02/01/03 2/12/2004 SEC ID: 31385W2S7 2/6/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO IS FNMA POOL #0555285 6.000%03/01/2033 2/6/2004 104.1602 0.000 0.00 1,382.63 0.00 DD 02/01/03 2/12/2004 SEC ID: 31385W2S7 2/6/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO s GENERAL ELEC CAP MTN #TR 00575 5.450% 2/11/2004 105.8900 -5,000,000.000 -5,203 ,500. 00 5,294,500.00 91,000.00 01/ 15/2013 DD 12/06 /02 2/17/2004 SEC ID: 36962GZV3 2/11/2004 BROKER: CHASE SECURITIES, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS GENERAL ELEC CAP MTN #TR 00575 5.450% 2/11/2004 105.8900 0.000 0.00 24,222.22 0.00 01/ 15/2013 DD 12/06/02 2/17/2004 SEC ID: 36962GZV3 2/11/2004 BROKER: CHASE SECURITIES, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s HOUSEHOLD FIN CORP NT 6.375% 2/11/2004 112.2500 -1,635,000.000 -1,772,820.00 1 ,835,287 .so 62,467.50 10/ 15/2011 DD 10/23/01 2/17/2004 SEC ID: 441812JW5 2/11/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF0752 2202: LONG TERM OPER-PIMCO IS HOUSEHOLD FIN CORP NT 6.375% 2/11/2004 112.2500 0.000 0.00 35,322.81 0.00 10/ 15/2011DD10/23/01 2/17/2004 SEC ID: 441812JWS 2/11/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 28 Wqrkbench. Transaction Detail @ Mellon Reported by Transaction Category OCSD-CONSOLIDATE DOlll1I2 lJ JO OffJDD:JOIJ 2/2/2004-2/27/2004 Trade Date Tran Settle Date Price Type Description Reported Date Base Shares/Par s JP MORGAN CHASE & CO SUB NT 5.750% 2/11/2004 107.6700 -3.000,000.000 01/02/2013 DD 11/25/02 2/17/2004 SEC ID: 46625HAT7 2/11/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO IS JP MORGAN CHASE & CO SUB NT 5.750% 2/11/2004 107.6700 0.000 01/02/2013 DD 11/25/02 2/17/2004 SEC ID: 46625HAT7 2/11/2004 BROKER: UBS SECURITIES LLC, NEW YORK OCSF07522202: LONG TERM OPER-PIMCO s NATIONAL RURAL UTILS COOP FIN 7. 250% 2/11/2004 118.4720 -3,000,000.000 03/01/2012 DD 03/07 /02 2/17/2004 SEC ID: 637432CU7 2/11/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO IS NATIONAL RURAL UTILS COOP FIN 7. 250% 2/11/2004 118.4720 0.000 03/01/2012 DD 03/07 /02 2/17/2004 SEC ID: 637432CU7 2/11/2004 BROKER: BEAR STEARNS & CO INC, NY OCSF07522202: LONG TERM OPER-PIMCO s VERIZON GLOBAL FOG CORP GLOBAL 7 .375% 2/ 11/2004 117.3500 -3,000,000.000 09/01/2012 DD 08/26/02 2/17/2004 SEC ID: 92344GAT3 2/11/2004 BROKER: GOLDMAN SACHS & CO, NY OCSF07522202: LONG TERM OPER-PIMCO IS VERIZON GLOBAL FOG CORP GLOBAL 7.375% 2/11/2004 117.3500 0.000 09/01/2012 DD 08/26/02 2/17 /2004 SEC ID: 92344GAT3 BROKER: GOLDMAN SACHS & CO, NY 2 / l l /2004 OCSF07522202: LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -34,451,659.920 TOTAL FIXED INCOME SECURITIES BASE: PRINCIPAL PAYMENTS FIXED INCOME SECURITIES U.S. DOLLAR 3/8/2004 9:09:05AM PST TOTAL SALES BASE: -34,451,659. 920 -479, 735, 105.860 29 Cost Base -3,127,260.00 0.00 -3,465,480.00 0.00 -3,530,490.00 0.00 -36,473,250.58 -36,473,250.58 -481,428,413.00 Reportm: EWB009 Base Currency: USD Status: FINAL Amount Ret Gain/Loss Base Base 3,230, 100.00 102,840.00 21,562.50 0.00 3,554, 160.00 88,680.00 100,291.67 0.00 3,520,500.00 -9,990.00 102,020.83 0.00 37,648,710.27 757,334.11 37 ,648, 710.27 757,334.11 482,812, 794.47 757,334.11 Workbench ~ Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDDIIl20 JO ODO DODOO 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gihi/Loss Type DescrlptfC>li. Report~d Date Base Shares/Par Base Base Base PD GNMA GTD REMIC TR 2000-9 FH VAR RT 2/16/2004 100.0000 -18,654.660 -18,654.66 18,654.66 0.00 02/16/2030 2/16/2004 SEC ID: 3837H4NX9 2/16/2004 OCSF07522202: LONG TERM OPER-PIMCO PD RESIDENTIAL ASSET 03-RSl 1 AIIB VAR RT 2/25/2004 100.0000 -13,462.950 -13,462.95 13,462.95 0.00 12/25/2033 DD 12/30/03 2/25/2004 SEC ID: 760985K83 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -32,117.610 -32,117.61 32,117.61 0.00 TOTAL FIXED INCOME SECURITIES BASE: -32,117.610 -32,117.61 32,117.61 0.00 TOTAL PRINCIPAL PAYMENTS BASE: -32,117.610 -32,117.61 32,117.61 0.00 MATURITIES CASH & CASH EQUIVALENTS U.S. DOLLAR MT FEDERAL HOME LN BK CONS DISC N MAT 2/4/2004 100.0000 -5,200,000.000 -5,193,143.22 5,193,143.22 0.00 02/04/2004 2/4/2004 SEC ID: 313384SR1 2/4/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL HOME LN BK CONS DISC BOND 2/5/2004 100.0000 -1,000,000.000 -996,879.16 996,879.16 0.00 MATURITY 2/5/2004 SEC ID: 313384SS9 2/5/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL HOME LN BK CONS DISC MAT 2/9/2004 100.0000 -600,000.000 -597,681.67 600,000.00 2,318.33 02/09/2004 2/9/2004 SEC ID: 313384SWO 2/9/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL HOME LN BK CONS DISC MAT 2/25/2004 100.0000 -2,000,000.000 -1,994,641.11 1,994,641.11 0.00 02/25/2004 2/25/2004 SEC ID: 313384TN9 2/25/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL HOME LN MTG CORP DISC MAT 2/2/2004 100.0000 -4, 700,000.000 -4 ,684 ,085.28 4 ,684 ,085.28 0.00 02/02/2004 2/2/2004 SEC ID: 313396SP9 2/2/2004 OCSF07522202: LONG TERM OPER-PJMCO 3/8/2004 9:09:05AM PST 30 Workbench. Transaction Detail . . @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD 0 CS D-CO NS 0 LI DATE DOilll!2 0 0 D 00 0 00 UDO 2/2/2004 -2/27/2004 Status: FINAL . TradeDate Tran .Settle· Date Price Cost Amount . ·Net Gain/Loss . Type Description Reported Date Base Sh.ates/Par Base: Base Base MT FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 100.0000 -2,500,000.000 -2,493, 100.00 2,493, 100.00 0.00 02/12/2004 2/12/2004 SEC ID: 313396SZ7 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO MT FEDERAL HOME LN MTG CORP DISC MAT 2/26/2004 100.0000 -6,000,000.000 -5,985,610.83 5,985,610.83 0.00 02/26/2004 2/26/2004 SEC ID: 313396TP8 2/26/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL NATL MTG ASSN DISC NT MAT 2/2/2004 100.0000 -5,200,000.000 -5,193,305.00 5, 193,305.00 0.00 02/02/2004 2/2/2004 SEC ID: 313588$?1 2/2/2004 OCSF07511102: LIQUID OPER-PIMCO MT FEDERAL NATL MTG ASSN DISCOUNT MAT 2/4/2004 100.0000 -400,000.000 -399,600.00 399,600.00 0.00 02/04/2004 2/4/2004 SEC ID: 313588SR7 2/4/2004 OCSF07522202: LONG TERM OPER-PIMCO MT FEDERAL NATL MTG ASSN DISC NT BOND 2/18/2004 100.0000 -6,000,000.000 -5,986,918.61 5,986,918.61 0.00 MATURI1Y 2/18/2004 SEC ID: 313588TF2 2/18/2004 OCSF07511102: LIQUID OPER-PIMCO MT GENERAL ELEC CAP DISC 02/24/2004 2/24/2004 100.0000 -2,500,000.000 -2,497,545.14 2,497,545.14 0.00 SEC ID: 36959HBQ9 2/24/2004 OCSF07511102: LIQUID OPER-PIMCO 2/24/2004 MT U S TREASURY BILL DUE 02/ 12/2004 DD 2/12/2004 100.0000 -4,500,000.000 -4,478,218.75 4,478,218.75 0.00 08/ 14/2003 2/12/2004 SEC ID: 912795PK1 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: -40,600,000.000 -40,500, 728. 77 40,503,047.10 2,318.33 TOTAL CASH & CASH EQUIVALENTS BASE: -40,600,000.000 -40,500, 728. 77 40,503,047.10 2,318.33 FIXED INCOME SECURITIES U.S. DOLLAR MT FEDERAL NATL MTG ASSN DEBS 5.125% 2/13/2004 100.0000 -4,200,000.000 -4,350, 168.00 4,200,000.00 -1so,16~.oo 02/ 13/2004 DD 02/08/99 2/13/2004 SEC ID: 31359MEM1 2/13/2004 OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 31 Workbench @ Mellon ocs D-CONSOI...1 DATE D1flf!f'2 n !JO oonr1wmr1 Tran Type Description Transaction Detail Reported by Transaction Category 2/2/2004-2/27/2004 Trade Date Bettle Date Reported Date Price Base Shares/Par Cost Base TOTAL MATURITIES BASE: -44,800,000.000 -44,850,896. 77 MISCELLANEOUS ACTIVITY FIXED INCOME SECURITIES U.S. DOLLAR SW REPS FRACTIONAL SHARE ADJ FHLMC MULTICLASS CTF SER 1620Z SEC ID: 3133T 17 A4 OCSF07522202: LONG TERM OPER-PIMCO SW TO BRING ACCOUNT INTO BALANCE WITH FACTOR 1.16329 SEC ID: 9128272M3 OCSF07522202: LONG TERM OPER-PIMCO SW TO BRING ACCOUNT INTO BALANCE US TREASURY INFLATION INDEX NT SEC ID: 9128273T7 OCSF07522202: LONG TERM OPER-PIMCO SW TO BRING ACCOUNT INTO BALANCE US TREASURY INFLATION INDEX NT SEC ID: 9128274YS OCSF07522202: LONG TERM OPER-PIMCO 2/26/2004 2/26/2004 2/26/2004 2/26/2004 2/27/2004 2/26/2004 2/26/2004 2/27/2004 2/26/2004 2/26/2004 2/27/2004 2/26/2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: TOTAL MISCELLANEOUS ACTIVITY BASE: INTEREST CASH & CASH EQUIVALENTS U.S. DOLLAR IT FEDERAL HOME LN BK CONS DISC N MAT 2/4/2004 02/04/2004 2/4/2004 SEC ID: 313384SR1 2/4/2004 OCSF07511102: LIQUID OPER-PIMCO IT FEDERAL HOME LN BK CONS DISC 2/5/2004 SEC ID: 313384889 2/5/2004 OCSF07511102: LIQUID OPER-PIMCO 2/5/2004 3/8/2004 9:09:05AM PST -0.020 -0.02 -18,480.000 -16,303.69 -3,900.000 -4,252.68 -16,640.000 -18,491.24 -39,020.020 -39,047.63 -39,020.020 -39,047.63 -39,020.020 -39,047.63 5,200,000.000 6,856.78 1,000,000.000 3,120.84 32 Report m: EWB009 Base Currency: USD Status: FINAL Amount Base 44,703,047.10 0.00 0.00 0.00 0.00 0.00 0.00 0.00 6,856.78 3,120.84 Net Gain/Loss Base -147,849.67 -0.02 -16,303.69 -4,252.68 -18,491.24 -39,047.63 -39,047.63 -39,047.63 0.00 o.oo Workbench. . Transaction Detail @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLIDATE DOfll1!2 :-1 JO OCJCJDOJOrJ 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported· Date Base Shares/Par .Base Base Base IT FEDERAL HOME LN BK CONS DISC MAT 2/25/2004 2,000,000.000 5,358.89 5,358.89 0.00 02/25/2004 2/25/2004 SEC ID: 313384TN9 2/25/2004 OCSF07511102: LIQUID OPER-PIMCO IT FEDERAL HOME LN MTG CORP DISC MAT 2/2/2004 4,700,000.000 15,914.72 15,914.72 0.00 02/02/2004 2/2/2004 SEC ID: 313396SP9 2/2/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FEDERAL HOME LN MTG CORP DISC MAT 2/12/2004 2,500,000.000 6,900.00 6,900.00 0.00 02/ 12/2004 2/12/2004 SEC ID: 313396SZ7 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FEDERAL HOME LN MTG CORP DISC MAT 2/26/2004 6,000,000.000 14,389.17 14,389.17 0.00 02/26/2004 2/26/2004 SEC ID: 313396TP8 2/26/2004 OCSF07511102: LIQUID OPER-PIMCO IT FEDERAL NATL MTG ASSN DISC NT MAT 2/2/2004 5,200 ,000.000 6,695.00 6,695.00 0.00 02/02/2004 2/2/2004 SEC ID: 313588SP1 2/2/2004 OCSF07511102: LIQUID OPER-PIMCO IT FEDERAL NATL MTG ASSN DISCOUNT MAT 2/4/2004 400,000.000 400.00 400.00 0.00 02/04/2004 2/4/2004 SEC ID: 313588SR7 2/4/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FEDERAL NATL MTG ASSN DISC NT 2/18/2004 6,000,000.000 13,081.39 13,081.39 0.00 SEC ID: 313588TF2 2/18/2004 OCSF07511102: LIQUID OPER-PIMCO 2/18/2004 IT GENERAL ELEC CAP DISC 02 /24/2004 2/24/2004 2,500,000.000 2,454.86 2,454.86 0.00 SEC ID: 36959HBQ9 2/24/2004 OCSF07511102: LIQUID OPER-PIMCO 2/24/2004 IT U S TREASURY BILL DUE 02/ 12/2004 DD 2/12/2004 4,500,000.000 21,781.25 21,781.25 0.00 08/ 14/2003 2/12/2004 SEC ID: 912795PK1 2/12/2004 OCSF07522202: LONG TERM OPER-PIMCO cw SHORT TERM FDS INT ADJ NET OF 2/27/2004 0.000 -4,153.65 -4,153.65 0.00 OVERNIGHT INTEREST 2/27/2004 SEC ID: 990000PJ4 2/27/2004 OCSF07511102: LIQUID OPER-PIMCO 3/8/2004 9:09:05AM PST 33 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE Drn:Jr..2 CJ CJD OCJCJOODOO 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Bettle· Date Price .. , Cost Amount Net Giln/LOss Type Descrfptlon Reported· Date Base Shares/Pat. Base· Base·· Base IT DREYFUS TRE~URY CASH MGMT 2/4/2004 0.000 725.67 725.67 0.00 SEC ID: 996085247 2/1/2004 OCSF07511102: LIQUID OPER-PIMCO 2/4/2004 IT DREYFUS TREASURY CASH MGMT 2/4/2004 0.000 325.82 325.82 0.00 SEC ID: 996085247 2/1/2004 OCSF07522202: LONG TERM OPER-PIMCO 2/4/2004 IT BSDT-LATE MONEY DEPOSIT ACCT 2/2/2004 0.000 0.01 0.01 0.00 SEC ID: 996087094 2/1/2004 OCSF07511102: LIQUID OPER-PIMCO 2/2/2004 TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: 40,000,000.000 93,850.75 93,850.75 0.00 TOTAL CASH & CASH EQUIVALENTS BASE: 40,000,000.000 93,850.75 93,850.75 o.oo FIXED INCOME SECURITIES U.S. DOLLAR IT AIG SUNAMERICA GLOBAL REGS 5.850% 2/2/2004 752,000.000 21,996.00 21,996.00 0.00 08/01/2008 DD 08/08/01 2/1/2004 SEC ID: U00907 AAO 2/2/2004 OCSF07522202: LONG TERM OPER-PIMCO IT BELL ATLANTIC-NEW JERSEY INC 5.875% 2/2/2004 650,000.000 19,093.75 19,093.75 0.00 02/ 01/2004 DD 02/01 /94 2/1/2004 SEC ID: 077858AA6 2/2/2004 OCSF07511102: LIQUID OPER-PIMCO IT WMP/HUNTOON PAIGE #000-11150 7.500% 2/4/2004 775.500 5,916.88 5,916.88 0.00 12/01/2030 DD 10/21 /99 1/1/2004 SEC ID: 302998GE3 2/4/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FHLMC GROUP#G4-0353 7.500% 10/01/2004 2/17/2004 27,864.620 492.79 492.79 0.00 DD 03/01/99 2/1/2004 SEC ID: 3128DBMA2 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FEDERAL HOME LN BK CONS BOS 7.125% 2/17/2004 7,500,000.000 267,187.50 267,187.50 0.00 02/ 15/2005 DD 02/08/00 2/15/2004 SEC ID: 3133MAUN7 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/812004 9:09:05AM PST 34 Workbench. Transaction Detail . fb Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DJm2 O DC! 00000:.JOO 2/2/2004 -2/27 /2004 Status: FINAL _Trade Date Tran Settle Date l'rf ce Cost Amount .. · Net Gain/Loss Type Description ,_. Reported Date · Base Shares/Par Base Bas~ · )·, ..... ,.t-11: -Base·· IT FHLMC MULTICLASS MTG SER E3 A VAR RT 2/2/2004 9.650 9.65 9.65 0.00 08/ 15/2032 DD 12/01 /97 12/1/2003 SEC ID: 3133TCE95 2/2/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FHLMC MULTICLASS MTG SER EJ A VAR RT 2/18/2004 27,629.900 3,481.66 3,481.66 0.00 08/ 15/2032 DD 12/01 /97 1/1/2004 SEC ID: 3133TCE95 2/18/2004 OCSF07522202: WNO TERM OPER-PIMCO IT FHLMC MULTICLASS MTG SER EJ A VAR RT 2/18/2004 1.350 1.35 1.35 0.00 08/ 15/2032 DD 12/01 /97 1/1/2004 SEC ID: 3133TCE95 2/18/2004 OCSF07522202: WNO TERM OPER-PIMCO IT FHLMC MULTICLASS CTF SER 1620Z 6.000% 2/17/2004 15,160.500 15,160.50 15,160.50 0.00 l l/ 15/2023 DD 11/01 /93 2/1/2004 SEC ID: 3133Tl7A4 2/17/2004 OCSF07522202: WNO TERM OPER-PIMCO IT FHLMC GROUP #78-6064 6.384% Ol/01 /2028 2/ 17 /2004 194.210 230.95 230.95 0.00 DD 12/01/97 1/1/2004 SEC ID: 31348SWZ3 2/17/2004 OCSF07522202: WNO TERM OPER-PIMCO IT FEDERAL NATL MTG ASSN DEBS 5.125% 2/13/2004 4,200,000.000 106,429.17 106,429.17 0.00 02/ 13/2004 DD 02/08/99 2/13/2004 SEC ID: 31359MEM1 2/13/2004 OCSF07511102: LIQUID OPER-PIMCO IT FEDERAL NATL MTG ASSN DEBS 7 .125% 2/17/2004 15,500,000.000 552,187.50 552,187.50 0.00 02/ 15/2005 DD 02/ 14 /00 2/15/2004 SEC ID: 31359MFH1 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0254510 5.000% 11 /01/2017 2/25/2004 13,150.630 3,469.24 3,469.24 0.00 DD 10/01/02 2/1/2004 SEC ID: 31371 KVB4 2/25/2004 OCSF0752 2202: LONG TERM OPER-PIMCO IT FNMA POOL#0254631 5.000%02/01/2018 2/25/2004 2,415.360 735.37 735.37 0.00 DD 01/01/03 2/1/2004 SEC ID: 31371 KY47 2/25/2004 OCSF07522202: WNO TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 35 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCS D.CONSOLI DATE DClllJ][2 0 DO OrJDrJOOmJ 2/2/2004 -2/27/2004 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 #0254760 5.000% 06/01/2018 2/25/2004 2,225.540 664.19 664.19 0.00 DD 05/01/03 2/1/2004 SEC ID: 31371 K5V9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0254866 5.000%09/01/2018 2/25/2004 804.340 290.03 290.03 0.00 DD 08/01/03 2/1/2004 SEC ID: 31371 LCB3 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0254953 5.000% 11 /01/2018 2/25/2004 3,831.870 1,538.63 1,538.63 0.00 DD 10/01/03 2/1/2004 SEC ID: 31371LE21 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0254987 5.000% 12/01/2018 2/25/2004 8,403.710 4,122.15 4,122.15 0.00 DD 11/01/03 2/1/2004 SEC ID: 31371 LF46 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0323980 6.000% 04/01/2014 2/25/2004 5,533.440 1,022.48 1,022.48 0.00 DD 09/01/99 2/1/2004 SEC ID: 31374T'2MO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0357328 5.000% 01/01/2018 2/25/2004 585.320 132.28 132.28 0.00 DD Ol /01/03 2/1/2004 SEC ID: 31376J4M8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0357430 5.000% 09/01/2018 2/25/2004 18,715.730 6,610.36 6,610.36 0.00 DD 09/01/03 2/1/2004 SEC ID: 31376KA71 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0456482 6.000%02/01/2014 2/25/2004 484.580 306.82 306.82 0.00 DD 02/01/99 2/1/2004 SEC ID: 31381 CCT2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0509649 6.000% 09/01/2014 2/25/2004 1,306.280 877.15 877.15 0.00 DD 09/01/99 2/1/2004 SEC ID: 31383QEWO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 36 Workbench .. Transaction Detail . .. @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD 0 CS D-CO NS 0 LI DATE DOI11Jf2 O :m DO 0 OD m.10 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price CO st Amount Net Gabi/Loss Type Description Reported Date Base Shares/Par Base Base .Base IT FNMA POOL#0535451 6.000%06/01/2015 2/25/2004 4,771.440 808.58 808.58 0.00 DD 07 /01/00 2/1/2004 SEC ID: 31384VZQ8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0535672 6.000% 01/01/2016 2/25/2004 102,939.540 17,491.14 17,491.14 0.00 DD 12/01/00 2/1/2004 SEC ID: 31384WCH1 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0545296 6.000% ll /01/2016 2/25/2004 46,748.250 5,741.32 5,741.32 0.00 DD 10/01/01 2/1/2004 SEC ID: 31385HXZO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0545580 6.000% 03 /01/2017 2/25/2004 3,142.190 484.49 484.49 0.00 DD 03/01/02 2/1/2004 SEC ID: 31385JCR7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0555101 6.000% 10/01/2017 2/25/2004 4,550.690 860.65 860.65 0.00 DD 11/01/02 2/1/2004 SEC ID: 31385WU23 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0555285 6.000%03/01/2033 2/25/2004 22,104.140 3,881.34 3,881.34 0.00 DD 02/01/03 2/1/2004 SEC ID: 31385W2S7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0555363 5.000%04/01/2018 2/25/2004 4,927.260 1,586.41 1,586.41 0.00 DD 03/01/03 2/1/2004 SEC ID: 31385W5Yl 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0555453 5.000% 05/01/2018 2/25/2004 497.860 162.49 162.49 0.00 DD 04/01/03 2/1/2004 SEC ID: 31385XBW6 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0555545 5.000% 06/01/2018 2/25/2004 3,544.410 1,323.02 1,323.02 0.00 DD 05/01/03 2/1/2004 SEC ID: 31385XES2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 37 Workbench @ Transaction Detail Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD 0 CS D-CO NS 0 LI DATE Df1rlJ!!.2 O 'JD 00 'J DD'J DO 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Ain.ount Net· Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base -.. IT FNMA POOL #0555621 5.000% 07/01/2018 2/25/2004 14,593.610 4,595.21 4,595.21 0.00 DD 06/01/03 2/1/2004 SEC ID: 31385XG68 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0576386 6.000%05/01/2016 2/25/2004 397.320 323.32 323.32 0.00 DD 05/01/01 2/1/2004 SEC ID: 31386XJ72 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0576739 6.000% 04/01/2016 2/25/2004 2,093.380 869.66 869.66 0.00 DD 04/01/01 2/1/2004 SEC ID: 31386XV86 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0580888 6.000%05/01/2016 2/25/2004 9,319.170 1,152.86 1,152.86 0.00 DD 05/01/01 2/1/2004 SEC ID: 31387DJ91 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0594002 6.000%07 /0l/2016 2/25/2004 6,079.710 920.63 920.63 0.00 DD 07 /01/01 2/1/2004 SEC ID: 31387T3K8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0597376 6.000% 09/01/2016 2/25/2004 1,436.790 1,174.79 1,174.79 0.00 DD 08/01/01 2/1/2004 SEC ID: 31387XT96 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0605259 6.000% 09/01/2016 2/25/2004 11,869.070 789.20 789.20 0.00 DD 09/01/01 2/1/2004 SEC ID: 31388HMG 1 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0608366 6.000% 10/01/2016 2/25/2004 7,225.110 513.37 513.37 0.00 DD 09/01/01 2/1/2004 SEC ID: 31388LZ78 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0616734 6.000% 12/01/2016 2/25/2004 714.620 849.33 849.33 0.00 DD 12/01/01 2/1/2004 SEC ID: 31388WEF9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 38 Workbench, --Transaction Detail @ Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DO!l!I2 0 00 OUOLJrJLlCJCl 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price . cost Amount Net Gahl/Lou Type Description Reported Date Base Shares/Par Base Bise Base IT FNMA POOL #0630812 6.000% 02/01/2017 2/25/2004 10,696.630 940.41 940.41 0.00 DD 02/01/02 2/1/2004 SEC ID: 31389NYH2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0632376 6.000% 07/01/2017 2/25/2004 24,683.340 4,131.62 4,131.62 0.00 DD 07 /01/02 2/1/2004 SEC ID: 31389QQ50 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0653116 6.000%07 /0l/2017 2/25/2004 13,620.830 2,360.41 2,360.41 0.00 DD 07 /01/02 2/1/2004 SEC ID: 31390QSD8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0673280 6.000%08/01/2017 2/25/2004 919.590 941.58 941.58 0.00 DD 11/01/02 2/1/2004 SEC ID: 31391P6R2 2/25/2004 OCSF0752 2202: LONG TERM OPER-PIMCO IT FNMA POOL #0681309 5.000% 02/01/2018 2/25/2004 4,629.380 2,376.70 2,376.70 0.00 DD 02/01/03 2/1/2004 SEC ID: 31391 Y3S4 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0681334 5.000%02/01/2018 2/25/2004 732.710 297.30 297.30 0.00 DD 01/01/03 2/1/2004 SEC ID: 31391 Y4Tl 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0684908 5.000%06/01/2018 2/25/2004 1,981.720 1,469.25 1,469.25 0.00 DD 05/01/03 2/1/2004 SEC ID: 3140003Rl 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0685200 5.000% 03 /01/2018 2/25/2004 3,592.170 854.14 854.14 0.00 DD 03/01/03 2/1/2004 SEC ID: 31400EGH7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0685665 5.000% 02/01/2018 2/25/2004 364.180 151.67 151.67 0.00 DD 02/01/03 2/1/2004 SEC ID: 31400EW22 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 39 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDDm2CJL.JOODOOC1~lOCJ 2/2/2004-2/27/2004 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 #0686318 5.000% 03 /0l /2018 2/25/2004 8,613.560 1,306.51 1,306.51 0.00 DD 03/01/03 2/1/2004 SEC ID: 31400FPB7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0688739 5.000%06/01/2018 2/25/2004 6,575.220 514.35 514.35 0.00 DD 06/01/03 2/1/2004 SEC ID: 31400JEL9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0689859 5.000%05/01/2018 2/25/2004 518.330 528.60 528.60 0.00 DD 05/01/03 2/1/2004 SEC ID: 31400KMG8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0693834 5.000%03/01/2018 2/25/2004 3,558.110 3,076.52 3,076.52 0.00 DD 03/01/03 2/1/2004 SEC ID: 31400PY74 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0695852 5.000% 05/01/2018 2/25/2004 3,362.680 1,124.77 1,124.77 0.00 DD 05/01/03 2/1/2004 SEC ID: 31400SBVO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0695889 5.000% 05/01/2018 2/25/2004 8,790.080 3,481.44 3,481.44 0.00 DD 05/01/03 2/1/2004 SEC ID: 31400SC23 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0697026 5.000% 05/01/2018 2/25/2004 126.990 110.10 110.10 0.00 DD 04/01/03 2/1/2004 SEC ID: 31400TLF2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0698939 6.000% 09/01/2017 2/25/2004 484.400 457.38 457.38 0.00 DD 03/01/03 2/1/2004 SEC ID: 31400VPY2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0702210 5.000% 05 /01/2018 2/25/2004 1,210.620 1,152.35 1,152.35 0.00 DD 05/01/03 2/1/2004 SECID:31401ADP9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 40 Wwkbench. Transaction Detail -. @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE D:nu.2 C-J :m iJO:JOffJLlD 2/2/2004 -2/27/2004 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 #0702328 5.000% 05/01/2018 2/25/2004 1,415.300 617.58 617.58 0.00 DD 04/01/03 2/1/2004 SEC ID: 31401AHD2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0703195 6.000% 01 /01/2017 2/25/2004 836.520 394.76 394.76 0.00 DD 04/01/03 2/1/2004 SEC ID: 31401BGC3 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0709148 5.000% 06/01/2018 2/25/2004 2,007.810 1,246.09 1,246.09 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401HZM7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0709360 5.000% 07/01/2018 2/25/2004 2,902.180 2,900.15 2,900.15 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401JB56 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0709826 5.000%06/01/2018 2/25/2004 1,512.130 593.84 593.84 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401JSP4 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0709917 5.000%06/01/2018 2/25/2004 1,603.630 1,095.88 1,095.88 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401JVJ4 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0709963 5.000% 06/01/2018 2/25/2004 165.060 110.95 110.95 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401JWYO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0710235 5.000%06/01/2018 2/25/2004 12,866.980 3,319.82 3,319.82 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401KBC8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0713344 5.000% 06/01/2018 2/25/2004 106.520 107.03 107.03 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401 NP52 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 41 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDr.m2J:JOOOCJOOJOD 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Baae Base IT FNMA POOL #0713365 5.000% 07/01/2018 2/25/2004 6,114.600 1,396.91 1,396.91 0.00 DD 07 /01/03 2/1/2004 SEC ID: 31401NQS1 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0720319 5.000% 07 /01/2018 2/25/2004 27,289.810 4,058.01 4,058.01 0.00 DD 07 /01/03 2/1/2004 SEC ID: 31401WG45 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0720369 5.000% 06/01/2018 2/25/2004 13,073.130 10,119.61 10,119.61 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401 WJNO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0721629 5.000%07 /0l/2018 2/25/2004 2,716.150 1,302.65 1,302.65 0.00 DD 06/01/03 2/1/2004 SEC ID: 31401XVW4 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0723487 5.000% 06/01/2018 2/25/2004 962.880 1,051.05 1,051.05 0.00 DD 06/01/03 2/1/2004 SEC ID: 31402AXQ4 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0729601 5.000% 07/01/2018 2/25/2004 3,642.070 1,776.52 1,776.52 0.00 DD 07 /01/03 2/1/2004 SEC ID: 31402HRW3 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0732873 5.000% l 1/01/2018 2/25/2004 136.200 151.85 151.85 0.00 DD 10/01/03 2/1/2004 SEC ID: 31402MFN5 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0737130 5.000% 10/01/2018 2/25/2004 3,058.930 3,116.12 3,116.12 0.00 DD 10/01/03 2/1/2004 SEC ID: 31402S4P9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0738211 5.000% 10/01/2018 2/25/2004 2,832.550 2,459.79 2,459.79 0.00 DD 10/01/03 2/1/2004 SEC ID: 31402UDQ2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 42 Workbench •. Transaction Detail -. 8 Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCS D-CONSOl.,JDATE 0'111II2 u DU CJOOlJD!"IUU 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price CO st Amount Net Gabi/Loss Type Description Reported Date Base Shares/Par Base Base Base IT FNMA POOL #0738487 5.000% 10/01/2018 2/25/2004 3,489.370 933.92 933.92 0.00 DD 10/01/03 2/1/2004 SEC ID: 31402UNC2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0740471 5.000% 10/01/2018 2/25/2004 2,742.070 2,906.80 2,906.80 0.00 DD 10/01/03 2/1/2004 SEC ID: 31402Wf40 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0740748 5.000% 10/01/2018 2/25/2004 3,416.020 3,448.07 3,448.07 0.00 DD 11 /01/03 2/1/2004 SEC ID: 31402W5H7 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0743868 5.000% 11 /01/2018 2/25/2004 369.910 185.11 185.11 0.00 DD 10/01/03 2/1/2004 SEC ID: 31403BMR1 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0744008 5.000%07 /01/2018 2/25/2004 4,977.750 4,783.40 4,783.40 0.00 DD 09/01/03 2/1/2004 SEC ID: 31403BR54 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0744316 5.000% 09/01/2018 2/25/2004 1,839.120 719.66 719.66 0.00 DD 09/01/03 2/1/2004 SEC ID: 314038324 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0747914 5.000% 11/01/2018 2/25/2004 1,488.720 1,506.45 1,506.45 0.00 DD 11 /01/03 2/1/2004 SEC ID: 31403F3XO 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0748400 5.000%08/01/2018 2/25/2004 983.160 1,013.96 1,013.96 0.00 DD 09/01/03 2/1/2004 SEC ID: 31403GNR9 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0748899 5.000% 12/01/2018 2/25/2004 5,147.750 4,310.11 4,310.11 0.00 DD 11/01/03 2/1/2004 SEC ID: 31403G7LO 2/25/2004 OCSF0752 2202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 43 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE D0!11I2 :J 00 ODOOOJLJU 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price coat Amount. Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base . ' IT FNMA POOL#0750377 5.000% 11/01/2018 2/25/2004 11,361.650 10,582.81 10,582.81 0.00 DD 11 /01/03 2/1/2004 SEC ID: 31403JUA2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL ##0750380 5.000% 11/01/2018 2/25/2004 8,587.080 8,873.34 8,873.34 0.00 DD 11/01/03 2/1/2004 SEC ID: 3 l 403JUD6 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0750445 5.000% 11/01/2018 2/25/2004 722.360 805.51 805.51 0.00 DD 1 l /01/03 2/1/2004 SEC ID: 31403JWE2 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0751960 5.000% 12/01/2018 2/25/2004 3,909.300 3,782.79 3,782.79 0.00 DD 11/01/03 2/1/2004 SEC ID: 31403LMH1 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0753425 5.000% 11/01/2018 2/25/2004 29,108.660 4,130.81 4,130.81 0.00 DD 11 /01/03 2/1/2004 SEC ID: 31403NA23 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL#0755165 5.000% 12/01/2018 2/25/2004 2,605.320 2,696.29 2,696.29 0.00 DD 11 /01/03 2/1/2004 SEC ID: 31403Q6A3 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT FNMA POOL #0756372 5.000% 11/01/2018 2/25/2004 3,978.730 4,132.09 4,132.09 0.00 DD 11/01/03 2/1/2004 SEC ID: 31403SJR8 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0596612 6.500% 09/ 15/2032 2/17/2004 334.940 1,617.29 1,617.29 0.00 DD 09/01/02 2/1/2004 SEC ID: 36200BYH4 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0569358 6.500% 04/15/2032 2/18/2004 58,146.480 6,337.19 6,337.19 0.00 DD 04/01/02 2/1/2004 SEC ID: 36200QQK3 2/18/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 44 Workbench •.. ~ . Transaction Detail @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATEDillI2 J ]0 noooo:mo 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran settle Date · Price Cost Amount Net Gafil/LOsa Type Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL#0569685 6.500% 02/15/2032 2/17/2004 2,198.260 269.71 269.71 0.00 DD 02/01/02 2/ 1/2004 SEC ID: 36200Q2S2 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0570019 6.500% 07/15/2032 2/17/2004 3,911.310 467.17 467.17 0.00 DD 07 /01/02 2/1/2004 SEC ID: 36200RG48 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0574323 6.500% 12/15/2031 2/17/2004 19,160.860 2,677.52 2,677.52 0.00 DD 12/01/01 2/1/2004 SEC ID: 36200WAY7 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0575364 6.500% 11/ 15/2031 2/17/2004 4,533.170 285.16 285.16 0.00 DD 11/01/01 2/1/2004 SEC ID: 36200XFD6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0587117 6.500% 06/ 15/2032 2/17/2004 1,073.350 113.09 113.09 0.00 DD 06/01/02 2/1/2004 SEC ID: 36201MG22 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0587439 6.500% 11/15/2032 2/17/2004 2,302.560 323.62 323.62 0.00 DD 12/01/02 2/1/2004 SEC ID: 36201MS45 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0421389 6.500% 04/15/2026 2/17/2004 313.290 78.78 78.78 0.00 DD 04/01/96 2/1/2004 SEC ID: 36206 UC23 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT ONMA POOL##0438057 6.000% 05/15/2028 2/17/2004 26.490 93.04 93.04 0.00 DD 05/01/98 2/1/2004 SEC ID: 36207PrN9 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT ONMA POOL ##0449851 6. 500% 01/ 15 /2028 2/17/2004 39.680 124.03 124.03 0.00 DD 01/01/98 2/1/2004 SEC ID: 36208FWLO 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 45 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCS D-CO NSO LI DATE Dm!f2 0 JO OOOOO:JOLJ 2/2/2004 -2/27/2004 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#0457814 6.000% 10/15/2028 2/17/2004 69.760 184.72 184.72 0.00 DD 10/01/98 2/1/2004 SEC ID: 36208QSB3 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0465546 6. 000% 08/ 15 /2028 2/17/2004 888.340 2,291.19 2,291.19 0.00 DD 08/01/98 2/1/2004 SEC ID: 36209AET3 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0465555 6.0000/o 09/15/2028 2/17/2004 914.220 2,467.45 2,467.45 0.00 DD 09/01/98 2/1/2004 SEC ID: 36209AE48 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0466845 6.5000/o 06/ 15/2028 2/17/2004 4,586.010 364.41 364.41 0.00 DD 06/01/98 2/ 1/2004 SEC ID: 36209BTA6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0467279 6.000% 10/15/2028 2/17/2004 33.360 103.09 103.09 0.00 DD 10/01/98 2/1/2004 SEC ID: 36209CCQ7 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0467286 6.000% 10/ 15/2028 2/17/2004 550.210 1,987.62 1,987.62 0.00 DD 10/01/98 2/1/2004 SEC ID: 36209CCX2 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0468052 6.500% 07/15/2028 2/17/2004 165.010 614.05 614.05 0.00 DD 07 /01/98 2/1/2004 SEC ID: 36209CSM 4 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0468330 6.0000/o OS/ 15/2028 2/17/2004 39.330 94.18 94.18 0.00 DD 05/01/98 2/1/2004 SEC ID: 36209DHF4 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0468339 6.000% 08/15/2028 2/17/2004 738.460 1,521.70 1,521.70 0.00 DD 08/01/98 2/1/2004 SEC ID: 36209DHQO 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 46 Workbencft Transaction Detail .. • @ Report m: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD.CONSOLI DATED'.11112 Cl CJ[] orJCJ[JUCICJIJ 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price . cost Ainount Net· Gain/Losa Type Description Reported Date Base Shares/Par Base Base Base IT GNMA POOL #0469688 6.000% ll/ 15/2028 2/17/2004 516.150 77.21 77.21 0.00 DD 11/01/98 2/1/2004 SEC ID: 36209EXR8 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0476041 6.500% 06/15/2028 2/17/2004 11,520.190 1,003.28 1,003.28 0.00 DD 06/01/98 2/1/2004 SEC ID: 36209MZE7 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0478626 6.500% 01/ 15/2029 2/17/2004 211.420 888.71 888.71 0.00 DD 01/01/99 2/1/2004 SEC ID: 36209QVf9 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0480598 6.500% 10/ 15/2028 2/17/2004 166.770 666.25 666.25 0.00 DD 10/01/98 2/1/2004 SEC ID: 36209S3F6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0483452 6.000% 09/15/2028 2/17/2004 19.400 65.86 65.86 0.00 DD 09/01/98 2/1/2004 SEC ID: 36209WBV3 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0485527 6.500% 06/ 15/2031 2/17/2004 533.440 2,357.15 2,357.15 0.00 DD 06/01/01 2/1/2004 SEC ID: 36209YLG 1 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0485610 6.500% 07/15/2031 2/17/2004 17,936.160 2,658.15 2,658.15 0.00 DD 07 /01/01 2/1/2004 SEC ID: 36209YN38 2/17 /2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0485682 6.500% 08/ 15/2031 2/17/2004 3,947.360 526.52 526.52 0.00 DD 08/01/01 2/1/2004 SEC ID: 36209YRB6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0485703 6.500% 08/ 15/2031 2/17/2004 4,045.080 482.00 482.00 0.00 DD 08/01/01 2/1/2004 SEC ID: 36209YRY6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 47 Workbench 8 Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE Drm2 n n11 nnr1r11vm11 2/2/2004-2/27/2004 Status: FINAL Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reporte" Date Base Shares/Par Base Base Base IT GNMA POOL #0486720 6.000% 12/ 15/2028 2/17/2004 146.560 60.39 60.39 0.00 DD 12/01/98 2/1/2004 SEC ID: 36210AVM6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0491103 6.000% Ol/ 15/2029 2/17/2004 4,798.070 529.82 529.82 0.00 DD 01/01/99 2/ 1/2004 SEC ID: 36210FRY4 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0496461 6.000% 01/ 15/2029 2/17/2004 18,905.910 2,053.85 2,053.85 0.00 DD 01/01/99 2/1/2004 SEC ID: 36210MQN4 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0497343 6.000% 12/ 15/2028 2/17/2004 34.280 112.50 112.50 0.00 DD 12/01/98 2/1/2004 SEC ID: 36210NP45 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0499153 6.0000Ai 02/ 15/2029 2/17/2004 22.880 63.26 63.26 0.00 DD 02/01/99 2/1/2004 SEC ID: 36210QQE5 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0500917 6.000% 04/15/2029 2/17/2004 768.950 36.58 36.58 0.00 DD 04/01/99 2/1/2004 SEC ID: 36210SPAO 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0503388 6. 000% 03/ 15 /2029 2/17/2004 3,440.810 1,558.76 1,558.76 0.00 DD 03/01/99 2/ 1/2004 SEC ID: 36210VF55 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0506636 6.0000/o 04/15/2029 2/17/2004 1,018.940 176.69 176.69 0.00 DD 04/01/99 2/1/2004 SEC ID: 36210YY90 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0512235 6.500% 11/15/2029 2/17/2004 16.850 59.15 59.15 0.00 DD 11 /01/99 2/1/2004 SEC ID: 36211 GBC6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 48 Wc.>rkbench ,, -. ~ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLIDATE DJ!U2 []cm lJIJL:lO!TJnn 2/2/2004-2/27/2004 Status: FINAL Trade Date ' Tran Settle Date Price Cost Amount Net Gain/LOss Type Description Reported Date Base Sharee/Par Base Base .. Base IT GNMA POOL#0514326 6.500% 07/15/2029 2/17/2004 7,460.060 807.80 807.80 0.00 DD 07 /01/99 2/1/2004 SEC ID: 36211 JLF2 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#0530053 6.500% 04/15/2031 2/17/2004 578.000 260.64 260.64 0.00 DD 04/01/01 2/1/2004 SEC ID: 36212CZS3 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0537885 6.5000/002/15/2031 2/17/2004 111.490 568.38 568.38 0.00 DD 02/01/01 2/1/2004 SEC ID: 36212MRE1 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0547512 6.500% 04/ 15/2031 2/17/2004 1,041.200 69.31 69.31 0.00 DD 04/01/01 2/1/2004 SEC ID: 36212YOV9 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0547715 6.500% 02/ 15/2031 2/17/2004 166.930 694.26 694.26 0.00 DD 02/01/01 2/1/2004 SEC ID: 36212YN82 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0552322 6.500% 01/ 15/2032 2/17/2004 3,128.730 396.04 396.04 0.00 DD 01/01/02 2/1/2004 SEC ID: 36213ESK3 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL#OS52466 6.500% 03/15/2032 2/17/2004 13,697.070 2,921.02 2,921.02 0.00 DD 03/01/02 2/1/2004 SEC ID: 36213EW36 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL ##05 52659 6. 5000/0 07/15 / 2032 2/17/2004 32,080.830 2,367.70 2,367.70 0.00 DD 07 /01/02 2/1/2004 SEC ID: 36213E5U6 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA POOL #0561017 6.500% 07/15/2031 2/17/2004 40,130.970 2,369.68 2,369.68 0.00 DD 07 /01/01 2/1/2004 SEC ID: 36213QG29 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 49 Workbench @ Transaction Detail Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE DDIIl2 O CJD DDCJOfJ:JO!J 2/2/2004 -2/27/2004 Status: FINAL Trade Date Tran Settle Dat• Price CO st Amoun~ , Ntit, oaiittLOs8, Type Descr.lptlon Reported Date Base Shares/Par . Sase· Ba&e , ,Base, . ·-· IT GNMA II POOL #0080023 VAR RT 12/20/2026 2/20/2004 8,000.680 853.29 853.29 0.00 DD 12/01/96 2/1/2004 SEC ID: 36225CAZ9 2/20/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA II POOL #080088M 7.375% 06/ 20/2027 2/20/2004 15,688.320 1,193.98 1,193.98 0.00 DD 06/01/97 2/1/2004 SEC ID: 36225CC20 2/20/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA II POOL #0080395 VAR RT 04 /20/ 2030 2/20/2004 7,511.620 782.50 782.50 0.00 DD 04/01/00 2/1/2004 SEC ID: 36225CNM4 2/20/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GNMA II POOL #080408X 6.500% 05/20/2030 2/20/2004 80,558.130 6,981.97 6,981.97 0.00 DD 05/01/00 2/1/2004 SEC ID: 36225CN28 2/20/2004 OCSF07522202: LONG TERM OPER-PIMCO IT GENERAL ELEC CAP MTN #TR 00545 VAR RT 2/20/2004 1,000 ,000.000 1,050.56 1,050.56 0.00 05/20/2004 DD 05/20/02 2/20/2004 SEC ID: 36962GYS7 2/20/2004 OCSF07511102: LIQUID OPER-PIMCO IT GNMA GTD REMIC TR 2000-9 FH VAR RT 2/17/2004 18,654.660 932.98 932.98 0.00 02/16/2030 2/16/2004 SEC ID: 3837H4NX9 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO IT RESIDENTIAL ASSET 03-RSl 1 AllB VAR RT 2/25/2004 13,462.950 1,171.50 1,171.50 0.00 12/25/2033 DD 12/30/03 2/25/2004 SEC ID: 760985K83 2/25/2004 OCSF07522202: LONG TERM OPER-PIMCO IT SBA GTD PARTN CTFS SBIC-PS 01 6.640% 2/10/2004 184,446.510 40,599.06 40,599.06 0.00 02/ 10/2011 DD 02/21 /01 2/1/2004 SEC ID: 831641DD4 2/10/2004 OCSF07522202: LONG TERM OPER-PIMCO IT U S TREA'3URY NOTES 06.2500/o 02/ 15/ 2007 2/17/2004 20,000,000.000 625,000.00 625,000.00 0.00 DD 02/15/97 2/15/2004 SEC ID: 9128272JO 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO 3/8/2004 9:09:05AM PST 50 W~kbench.., Transaction Detail ... 8 Report ID: EWB009 Mellon Reported by Transaction Category Base Currency: USD OCSD-CONSOLI DATE Donnr2n nn nnnflfflrlfl 2/2/2004-2/27/2004 Status: FINAL Tr$.deDate :-..... .. . . . ; .. :·· C,oit , . Tran settle: Date Price .. : .. Amount · Nf)t· Gain/LO&s .. Type Descriptlott Reported Date Base Shares/Par ··Base· Base·, .. Base . ' IT US TREASURY NT 3.250%08/15/2008 DD 2/17/2004 12,000,000.000 195,000.00 195,000.00 0.00 08/15/03 2/15/2004 SEC ID: 912828804 2/17/2004 OCSF07522202: LONG TERM OPER-PIMCO TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: 62,835,269.510 2,090,800.85 2,090,800.85 0.00 TOTAL FIXED INCOME SECURITIES BASE: 62,835,269.510 2,090,800.85 2,090,800.85 0.00 TOTAL INTEREST BASE: 102,835,269.510 2, 184,651.60 2,184,651.60 o.oo TOTAL TRANSACTIONS: 105,888,866. 760 3,840,017.16 1,675,904.28 570,436.81 3/8/2004 9:09:05AM PST 51 Workbench FAHR COMMITTEE AGENDA REPORT Orange County Sani t ation Di strict FROM: Originator: Juani t a Skillman , CRM Records Manager Meeting Date To Bd. of Dir. 03/10/04 3/24/04 . Item Number Item Number FAHR 04-19 14 .c. SUBJECT: Update of the District Records Management Policy and Procedures , including the District Records Retention Schedule , Approved October 25 , 2000 as OCSD 00-26 and last updated March 26, 2003 as OCSD 03-06. GENERAL MANAGER'S RECOMMENDATION Adopt Reso lution 04-07, A Reso lution of the Board of Directors of Orange County Sanitation District Adopting Policies and Procedures for the District's Records Management Program, Records Retention , and Destru ction of Obsolete Records , and Repealing Resolution No . OCSD 03-06 SUMMARY The District's Records Management Program , adopted as OCSD 03-06 has been updated to better serve the operational needs of the District. Ex hibit A is the updated Appendix A of the Records Management Procedure Manual , the Records Retention Schedule with changes shown in red , and add itions in blue . Exhibit B is Appendix B of the Records Management Procedure Manual us ing the same color coding to reflect changes (red ) and the new Record Series and the ir defi nitions (blue). PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT D Th is item has been budgeted. (Lin e item: ) D This item has been budgeted , bu t the re are insufficient funds . D This item has not been budgeted . X Not applicable (inf ormation item) ADDITIONAL INFORMATION The District's Records Management Program is a dynamic document and the attachment reflects proposed additions and /or changes in color coded BOLD/ITALICS. These changes have been worked out w ith the applicable departments , reviewed with and approved by General Counsel 's office . ALTERNATIVES NIA CEQA FINDINGS NIA H :\dept\ag enda\Board Agenda Reports\2004 Board Agenda Reports\030 4\ltem 14(c) RecordsManagementUpdate.doc 1 3/16/2004 •• ATTACHMENTS Resolution No. OCSD 04-xx and Exhibit "A" and Exhibit "B" .. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda Reports\0304\ltem 14(c) RecordsManagementUpdate .doc 2 3/16/2004 RESOLUTION NO. OCSD 04-07 ADOPTING POLICIES AND PROCEDURES FOR DISTRICT'S RECORDS MANAGEMENT PROGRAM. RECORDS RETENTION. AND DESTRUCTION OF OBSOLETE RECORDS A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT ADOPTING POLICIES AND PROCEDURES FOR DISTRICT'S RECORDS MANAGEMENT PROGRAM, RECORDS RETENTION, AND DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 03-06 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ("Program") that provides for the identification, access, and protection of all records generated or received by the District; and WHEREAS, said Program ensures that all District records are created, received, maintained, and destroyed in a cost-effective manner, in accordance with operating requirements for District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of District is authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions; and WHEREAS, it is desirable and appropriate to authorize the destruction of records on a routine basis that have been retained for a certain period of time, that are copies of originals on file with the District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1 : Adoption of Records Retention Schedule. The Board of Directors of District hereby adopts additions and changes to the Records Retention Schedule, Appendix A of the Records Management Procedure Manual, set forth on Exhibit "A", attached hereto and incorporated herein by reference. Also adopted are additions and changes to Record Series with Definitions, Appendix B of the Records Management Procedure Manual, set forth on Exhibit "B", attached hereto and incorporated herein by reference. Section 2: Authorization for Destruction of Records. The destruction of certain records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 et seq., after such records have been retained for the minimum time set forth on the Records Retention Schedule. Section 3: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved, may be destroyed at any time after it is preserved in conformance with the requirements of California Government Code Section 60203. Section 4: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document, the original or a permanent photographic copy of which is in the files of any office or Department of the District, may be destroyed after confirmation with the Records Manager that such original or permanent photographic copy remains on file in the District. Section 5: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained indefinitely. Section 6: Resolution No. OCSD 03-06 is hereby repealed. PASSED AND ADOPTED at a regular meeting held March 24, 2004 Chair ATTEST: Board Secretary , Records Retention Schedule 1 ! ORANGE COUNTY SANITATION DISTRICT Appendix A 1 Pagel of9 'I RECORDS MANAGEMENT Date Issued: 11/1712000 1 PROCEDURE MANUAL Revision: 4 -3/2004 ..-ls-u-bj_ect_: _R_eco_~-d-s -R-ete-n-tio-n-Sc_h_ed_ul_e ______ jAdditions in Blue, Changes in-1!-ed -~~-~] 1.1 INTRODUCTION It is the policy of the Orange County Sanitation District (the District) to maintain a records and information management program that provides for the identification, access and protection of all records generated or received by the District in the conduct of District business. [ Records Retention Schedule ---------Ii r-··--1 Record Series 1·- 11 Retention 1 1 1 1 I Media Include: Paper, I Videotape, Microfilm, 1 I j Magnetic, Optical, Office of , Code 1 etc. Record jDuplicate Official Citation 1 V H C I I Secretary to ju I I Abandonment ,, Board of 2 LI !I CA GC I~ r r 100 l Directors I 60203 ! .---1-0-1--~!-A-c-ci-den_t_&_e-co-~-ds--·~l-sa-~-ety_&_H-eal-th~r-cL ~, -6---r--------!r--r-r __ , -------·---- 102 ! Accounting Reports !r r r , -I Accounting I i ! 2 I Accounts Payable A tin I 4 lr r r ·1' Files 1 ccoun g 1 ' I ~ccounts Receivabl~--r--Ac~~tin -t---~------r--~------~---· -------·-··--r~···--r·-·--,=·····j :-IF~trative I Origina~ I II '!.------~---;····r:-·-1 Records Division 1 3 I 1· I I Secretary to I Agenda Reports I Board of 1 1 I LI Ir.; ~ r l I i Directors I 1 1 . I I AirQuality& I r-:-1 Air Quality Files I Special Projects I I I 5 l 1r r r I .-----..----}----! I Annexation Files s::r,~;o '1 1 1 1 LI I 1~ ~ r Directors I 103 104 105 106 107 108 --1-09--,F=::Report, A=>unling j.juj Ir ~ ~-J C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin I j i ! i 117 118 119 2 Ori~~~ting ~r;- D1vis10n I /\A I ..Gu [ cAoc Ir ~ r 60203 I Ir r r I Ori~ting ,. SU I SU D1v1s1on .....-~~~~~~~-~-~-:viro-~-P-:;m_an_;_:-~-1-~~ Momtonng I :> I Lt IF . . Accounting r I I I I I I I I I , l Bids, Board Review' I Secretmy to Required, Awarded Board of I Directors Bids, Board Review j Secretmy to I I Required, Unawarded I B?ard of I l ' ! Directors ! I i I I I Bids Unawarded r Purchasing & l I 1 ' I Warehouse I I s· l"ds M I Environmental I r-- 1 1oso 1 anagement Compliance & i 1 I 5 Records I M .to . 60202 CAGC 60202 40CFR 503.17 Ir P r r-i=-r- !r r r ·Ir r r I Ir r r I r r r l Ir r r I i ir r r i ~ om nng . ..------------r---··-·-----·,-···---·-----r·--··--.-·-~-___ .,...... r····--·········-···-! 1 B d dmini" . ! Secretmy to ! = : ! i I . 0811 A stration ! Boardof j 1 I 2 ! ir r r ! !Files I Directors i I ! I j ----, Bonds, Revenue-----, Accounting l-EX-··-,EX~;-· :·--·--·--.... .. !~·-··P .. r ..... j I Budget Files, I A ti I I I 6 I Ir r r l ,Approved ccoun ng i I ~ ! I li!=:es, I A«o•nting I 1 I 1 i jr r r j --, Cash Receipts I Accounting .---·-··1--·-·--·lj·--·4· ·· r··-··--····· !r r. r-· ··1 I I . , • , I certificateor I Purchasing& I 1 I Ex+2 1---·~--;:--r1 Insurance 1 Warehouse I I I ! I 124 125 - 126 Certificateof j Secretmyto I ~j-----,1----~- Insurance, Board I Board of I 1 I EX +2 I ~ r r Approved Contracts Directors I I I i 127 128 !Chain of Custody I En~nmental ,. 1 I 10 ,i-----------,rr-r-·-·r:- IRecords, Laboratory Sciences Lab I 129 I Chain of Custody' I Source Control ! I CL+3 I jr r r C:\OCSD-RIM\R.ecords Retention Schedule Rev 4b.doc JSkillman/GM-Admin v ,.. _, .. Records Retention Schedule 3 jsourceControl I I II r-- --1-30--1 CheckRegisters I Accounting I 1 131 Ir r r 131 I CheckRequests I Accounting I 1 '41 ___ rr r 132 I Checks, Cancelled I Accounting I 1 121 Ir r r 133 I checks, Copies I Accounting I 1 12-1--r-·r:-r 134 Chemical Inventory Records Originating Division 1 !>I Jr r r I ,.-C-ity.-fC_o_u_nty_a_'tll_ity __ ,11-E-ng-in-~-eri-in_ig_;.,---131 I 1 251 R ts Planning & 1 3 I eques Design I I I ' ~35 I Claim Files IAccounting/RUk I 1 I CL+6 T---·--······ r;·--r--;···-·11 I I Management l J 1 1 136 I ComplaintFiles I 0 :r::.;:: I 1 I ~L. ____ t r r 'I I I Environmental . 1 1 i 137 1 Compliaoce Records I Compliance & j 1 j 5 ' jr r r I ,.-----! r Monitori_Dg l --~----~-------~----------·-·····-! I C t Information 1 ! 1 1 1 138 ompu er T hn I i l r r r I M . te F"I ec o ogy i 1 2 1 I am nance 1 es Administra" ti" , . 1 on l : i · Comput.er System Information ! I i .. r--------1 IAdmini. trati" n ds Technology i 1 I 2 : Ir r r I 1 s on Aeco11 Administra. u· , 1 ~ , ! . on ; : : 139 ~---·-·--------, ••-•••-r-·--·------·•·-,-----·· _ .......... • ~-··• .... , .. • ·-" r·····-·••"·-·······•-···--•• • '.'"'" .......... • "'••••••••••••I : 140 , Confined Space I Safety & Health '. 1 : 3 ;8 CCR 5156-: r r r l : !Records 1 1 ! ~ 5159 ; ! I I • I Secretary to i II ; CA EC : . ~~nflict of Interest I Board of i 4 4 I 17001, CA rr r r ·Fdmgs n· · · GC 81000 I I treetors ! I ! (e) : l 141 ...---1-42--1 contracts/ Purchasing& I CL I CL+6 ! ··-1~--·r:--ri Agreements Warehouse . I ; . I --Contracts/ I Secretacyto I r--! !---, Agreements, Board 1' Board of : 1 ! CL+6 ; !~ ~ r I 143 Approval Required Directors I I I I l ......--1--.-r I C Inspe . I 0 . . . I I 8 CCR 5022 ' I 144 I rane ction I . ~~ting i I SU 1. (d), 8 CCR jr r r !' Records D1v1s1on I I : 503 1 ! r 145 I Deferred Human -ji-,u-: r~·-r-·r---1 1 ~=::~ds I ::~~ r I r-10-~-----~-rrj C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Records Retention Schedule 4 • r 147 II I I Delivery Rooeipts I ~a:o~& jtj.I Ir r r ' Directors 252 DOT Ramlom Drll/l & I 1--1,-1---- kohol Test Rt!COrds . Safety & Health I I I S 1-'9 CFR 382 ! x .--I Engineering F!ul i 148 . Drawings, As Built Plan~g & RE U I Deswn 1~ r.r r ~I Engineering I ju Drawings, Baseline P~ & I RE U Design ~ r r l Engineering Flu 150 . Drawings, Bid Set P~ & RE Ll Design lr.r r r ! I Engineering I 1u~· ! i 248 I Drawings, Conformed Ptan_ning & j RE U J jX X I Design I . I . I ----.-----------.-E-n_ig_in-e-eri-in_tg __ I I r--------r·-·------1 249 I Drawings, Record Planning & ! RE I LI \ IX X ' i Design ! ! I I Drawings, Shop I ~s!1 I RE I Ll i F r r . ----SecretBJyto i I [------·r------1 152 ! Easements l Board of ~ 1 I LI ! l~ ~ r I . i : Directors , l · ; I ~-·-----------r--------·-·--------·r .. -----------;-····--.. -········· .. ·--· ~-·····--··--·----:--· -···-·. . :. ···-..... ···-. ····· ··! i 153 I Employee Benefit . ! Human I 1 I TE+7 ; ir r r ! ! Plans and Program Files I Resources I I l i ' 151 I . '1 Engineering ( I 154 i~n~onmental hnpact Plann~ng & i I I LI i Ir;;' r r I po ! Design I I ! : ------1 I cL+2 ! i~ r r I ! ! I ......------.----,--r--;··--·--·----·---· I LI ! !r r r 1 I ~ '. I 155 I EOC Activation I Safety & Health I CL Records 156 I Equipment Records I Originating l 1 i Division ·-----r-L_I _I ___________ ·1r· r··r·--,---I Equipment Ownership I Mechanical ! 157 l 1 Maintenance : 1 6 I -·--·----· fr ____ r_r __ . : . r-I Expense Reports I j 158 Accounting i 1 ! 159 I Financial Planning I Accounting l 1 Records I 160 I Financial Statements I Accounting I 1 161 I Fixed Asset Records I Accounting I l 1 2 I jr r r I I : I --;r-----r---!101 rrr I !WI 1~ r r C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin ' Records Retention Schedule 5 I I Ir r r j 162 I FlowRecords I ~= lilu ~I FormationFiles ~~;o ~lu Directors I i I .L.1 CAGC47001~ ~ r ETSEQ I 164 j General Ledger I Accounting j 1 Ill I 1~ r r t-------rrr---r r r I I 165 I Gmmt Records I F~ce. I 1 r-;-Unsuccessful Administrabon I ~ 166 J Gri~ces/ I Human ~1 CL+2 Complaints Records Resources I \.;.L. I -lri;; 167 I H87.8ldous Wast.e I Safety & Health ! l r-:;-Records I I .;, I 22ccR jr r r 66262 ·.....--- 168 I . . Communications I 1 ~ 169 I 1-9 Forms I 'D Human I TE I TE+3 I susc Ir r r ! n..esources : I ; 1234A i Historical subject Fdes Administration I L.l_ I 170 I Incident Records I Originating Division i--1 29CFR I I cL+7 I 1904.2, 29 1r r r I I CL I I I : CFR 1904.6 : .-----i ' I l ; ; ! I safety & Health ! 3 1 i TE+3o l !r r r I II Industrial Hygiene I ! ! I Files 171 ~---,~ -C-ons-tru-cb-.o-n_l_l __ T CL+6 I ·-·-·· --~---~--~1 Inspection Records, I fv.lanagentent ! I :. I I , ! I I Construction Daily Progress 172 r------.. --:------------·· r----------r~--.. ··-········-····-' -.................. --····-···-----·: i Construction : l / LI ; ;r r r i .----i Inspection Records, !construction Specialty 173 1 Managentent ; : · I .-----,-----·--·--· r----·----·; Collection : j : ; I Facilities ~ I IO ! ir r r 1 I Inspection Reports, Manhole I M · te : I ; : ! , aJD nance : 1 , , 1 174 ' .. -------------, 175 I insurance Policies I Accounting I EX I LI l 1r r r I ----·-····--~--. ---·--... --------··-. ----·-·--r···----·---·-···--·----.. --··-... ·······---··-··--·--·-: ; 176 I InvestmentRecords I Accounting I SA SA+6 ! jr r r I 246 I IT Backup Tapes I Tlnfohnnnaltion I SS ~ i r~-------·1 I I ec oogy ; I :> : i I ---... --------~-----------· ·------· 177 '1 Job Descriptions Ii 'D Human ll CL I CL+l 0 I: Ir r r ll 178 179 I I 180 I I ~esources I I JournalEntries I Accounting 1-1--r 6 I rr---r--·r1 . r----··~;---·--·------, .. -··-·-··········-·····---! l Laboratory Records I Legislation Files i En~onntental I 2 10 I :r r r l Sciences Lab I ! I Environntenta1 1--r···-· r-----·---·-······----:-·----·--------1 Comp~ian~e& I 1 3 I Ir r r~1 Momtonng I I ·-------·-·- C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Records Retention Schedule 6 ~, Ir r r I LI I I . FICL~I 1r r r I Collection I 243 Line Maintenance Files Facilities Maintenance I 182 I Logs ~=g J cL+2 I cL+2 J jr r r I I 183 I Logs,con1ro1een1er =~°.:82 FICL+3o j -·i;;--r-rl I 184 Mas~Plans/ r=r 1,"jsu+10 locs~RES lr~;~-11 ! Strategic Plans n· t I 1 98-16 i . J..reC ors I 1 185 I Material Safety Data I Safi ty & Health I I I TE+30 ,---rp r r ·1 Sheets e ! l I ~caIFiles Safety&Healdi I 1 ITE+30119~:-.~-=-1-,-s·l~r--r-P'- I I CCR3204 i 186 r-------~,-M-ee-.tin-.. -g-Min-.. -n-te-s-,---1.--0-n-.~-.?-~-tin-g--!---l~~-l 1~ ~ r !Administrative D1vtS1on I I ~ I : 187 188 189 1 • • l secretary to ! 1-·-----·-··-:-----·--·-----··r··--···---··---·---···- I Meeting Minutes, I Board of i 1 I LI i IP' ~ r i Board I n· t . I , ; I J..reC ors I ! ! s:;o f-1 -,L-1-1-----F-~-~i Meeting Minutes, Board Committees Directors t I 1 ! i . -----r---,-----·-----··--i--·----·-l 190 l Monthly Reports I onD· ~ting AR 2 ! ir r r I! i I ~~ ! 191 192 193 194 I Operating Journals ---: I 2 1 ir r r I I I : I Originating Division 1 ! Operating Records I I Originating · Division ·.------r---r-----f'"'--·····-·-------1 AR·s rrr'. I ! I I .----' --------'--·--·-·· .. -....... ~-..... ··--·----------! I Opinions II s;:~;o I 1 1 1 1 LI \r r ~ I Directors I 1 i . ---, -----·; ---....... -......... :--··---·-...... ; . I I Secretary to i I i j I ii Ordinances I B?ard of i SU ,, LI l c~~~s 1~ P' r i I Dtrectors I l · ! I OSHA Compliance II Safety & Health l SU -1g~·--;----------·-----·-r~--· r·--;:---, ____ .Records I I ~ ! I I 196 I PayrollRecords I A~:g I 1 1-1 2~~ Fr I 195 197 I Pennits I ~=ong I 1 Fi Ir r r C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin ,. ;, Records Retention Schedule 7 Air Quality & I ~ b-;: ,---r-------~~Sp~ec~i~al~PI1~o~dec~ts 1 I EX I. ,~ r r 199 I Permits,Buildingand I Secretaryto r---!u CAH&S F I Permits, AQMD 198 200 201 I I 202 I I 203 I r- 1 204 ! ! 205 247 206 207 Construction B?ard of I CL LI 19850, H&S r r Dll'eCtors I I 4003, H&S r I 4004 I I Secretary to r--1 I 40 CFR I . Permits, NPDES B~ of I SUI 10 I 125.30(h) P' r r Drrectors I I I Perm.ittees Files I Source Control I 1 I CL+3 I fr r r I PersonnelFiles -~,-~-1;£+;r~-rr--r--;--1 I Petty Cash Records I Accounting r-:-~' s:~t----·--·-··r;~--111 Policies/Procedures, Operations and Maintenance !Problem Reports for !Collection Systems ! Project Files i Proof of Publication, jOrdinances 1 Directors I I I , ' ' I r-=-=-r-----r------;------~·--1·------····-·--·-·-·-1 I -~~hanical l su 1· su+10 l Ir r.; r I I. Maintenance ; , ! 1 : ; I I i : ~---------· ..--------.--·--·-----··----·-· r····--·-·-····--···-···--·-·-i Collection ! I ! i I F~cilities ! AR I 6 [ ! J Maintenance I ' ' : -! Originating I I Division Secretary to Board of Directors I I I I .---r-----------·-r-·---, cL I cL+6 I Ir r.; r : ! ~ ! I r---·;------:------1 LI r r r i 245 I Public Commeot Files Originating Division CL r ! 2 ! 250 I Public Record j Records l CL I LI i ! X Requests Management . 1 ! ~ I · . · --. · 1·---r·---,----·-·------·1··---·-----------·! ! 208 Public Relations Commumcations ! 1 l SU ; ir r r I .------,Records Administration I ! 1 '.__ I 209 I Puhr ti 1communications i, I I SU j ir p r I I tea ons 1 Administration i I l 1 I 210 j Purchase Order Files Purchasing and I CL I CL+6 I rr:-r r I I Warehouse l I ~ ! i 211 I :W-Cbase Requisition Purchasing and 1-1 -~-L--r CL+6-,---··-·-------···1r--·-;:······r····-1 Files Warehouse 1 , ! ! ! r-·---. . -,-----;-----r·------------···· -····-· r-····-··--·------------···1 i 212 Rate~dv1sory I F~ce. l 1 I 3 i ir r r . I ColDIDlttee Records Administration 1 I i ~I 213 j ReaIEstateRecords se;;:::'.t;,; I 1 ~I jr ~ C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Records Retention Schedule 8 I I I I I i i I I 214 215 216 217 Directors Secretary to Recorded Documents Board of Directors Records Destruction Secretary to Board of Certificates Directors Records Management Secretary to Board of Files Directors II 1~--r~-1 I I 1 LI I I 131 I 1 I [r.>' r.>' r I F r -· . r r r RecordsRetention I s:~;o I 1 F,------rl~· .. ··-;;--~- Schedules o· t I I Jrec ors I I I . I Human ! ~---1 2-9 C-FR-.--1 -- 218 Recruitment Records Resources I CL I CL+ 2 I 1627.3 r r r 219 \ ReferenceFiles \ ~~ FF\ jr r r I 220 I Reports.Financial I A«oundng ! I I 4 r-----,r r r I I I Originating 1 !> i [ I Reports, General n· . . ! I 3 : !r r r lVISlOn i I i I l . I Originating i I I r.: I I Reports, Technical I n· . . I I I SU : r r r I lVISlOn I I I i 1· 244 I Res~h/Reference I Ori~ting I AR ! AR ! ,. r P' r ,Matenals 1 D1V1S1on l I : 1 i ----. I : ; I i Secretary to : i : : 221 222 223 I Resolutions, Board I B?ard of j SS i LI i !r;; p r ! ~-1 1 Drrectors ~-----L-·---~----···-··-·-·---·····-;·····---·--··--·-·-! I' Risk Management ccounting/Risk i 1 I CL+5 l lr r r : 224 ,Reports Management ! ! : ; ! --.. ---·--·-..... 225 ! Salary Deduction I Human I I TE+ 7 r r ~ Records for Benefits I Resources 226 !Records, Computer Technology 1 TE+3 ! !r r r Security Clearance Information I Fl Systems Administration I \ l 1 227 Sewer Line Records Engineering I ! I 1 -;-------r----·-··--~·----··-.. -· ····-······ -·· ..... : ............ -·-------.. i Planning& I SU SU i Ir.; r r I 228 ~ftware Application i ~=: ~~r-------~--~-~--1 .Files I Adminis. trati" I I I . I I ' on I ! I Secretary to 1 1 [ul ! · ! 229 Specifications B?ardof I LI I Jr r r I Directors I 1 C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin •. ; Records Retention Schedule 9 r- 1 l 230 I Speeches/Presentations I OriD'~ting I 1 1' 3 Ir--Ir r;;: r I VIS I On I 231 I SubjectFiles I ODri~g II AR ~I ir r r 1vis1on I ft!<. 1 I 232 l,_s_u_b_IDl_.ttals_/D_es_ign---.--E-P~-!-;",:_;_:;-i~-!6-1·1-s_u __ Fu I ~ r r I I Design I I I l~!=rds· ~-~1c~+4-r 2;~--f-r--r-1 234 J Tax Records. vendor j Accounting l;-1 CL+6 lcra 1~~ufrr-I 233 n.esources I .:J ! , 235 I Training Records I ~Human '1' CL ~: llr r r II I I.---.-. -------Sa-~"-~-.-U-eali_l:_#i __ l ___ I I -.-, --I 1236/Deleted :::;mg Ree6MS, Combined with I SU II SU 18 CCR 3203 1r r r I I I RS 235 I ' ' i I r---237 -1, Travel Records 1' ODri~ting :-1--· I CL+2 -,-----------·-rr:--r:·-··-r---, ! I lVISlOn : I ! i I Trial Balance Records I Accounting !1_ !3_ i _________ f r-r-·-·;:--l 238 . • : I I ,--I i U d i Environmental i I l l I n erground Storage I c 1· d l 1 1 LI 23 CCR 1'r r r i Tanks Files omp i~c~ an i i 2772 . I I ; Momtonng : I ; l 239 I I Purchasing and i I Warehouse Records , W h 1 I CL+2 .r r r ! 1 areouse 1 1 1 240 . . . ----··· -·--·---------1-------------·--·r-o&"M i--·····--· ------~----· · · ;· 3 I 241 j Wastehauler Files ! Source Control : · :r r r 242 CL I CL+l 1r r r ~ Originating I Work Orders I Division . . . . . . ····-' i I r------~------~-.----' I i I ,. " I Workers Compensation Sa'e& & Health 1 CL ! TE +30 · 1 251 ! • :t• • I l I • ! ,FUts I I ·----~---·-···-------------~---' iRETENTION PERIOD EVENT Code: All retention periods are listed in j !years (unless otherwise specified) and are in addition to the current year. I i l I llLife(of I !! ! lAR !Annual icL Closed, iu !Organimtion, lsA Sale, ~SU s rseded i ! !Review j Completed !'Plant, Equipment, I Disposition ! I upe ! I ! i I etc.> . ! I i jAul!::1 jExlExpired IREIRevised F~~F~ti:j C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Record Series with Definitions .!Appendix B !ORANGE COUNTY SANITATION DISTRICT ~age I of 12 ;RECORDS MANAGEMENT Date. 1.ssued: 11117 /2000 ' PROCEDURE MANUAL jRev1s1on: 4 -3/2004 I -·----·- !subject: Record Series with Definitions I I Additions in Blue 'Changes in Red I I I.I INTRODUCTION It is the policy of the Orange County Sanitation District (OCSD) to maintain a records and information management program that provides for the identification, access and protection of all records generated or received by OCSD in the conduct of OCSD business. RECORD SERIES WITH DEFINITIONS I 100. jAbandonment !Records regarding abandonment, i j 1 1condemnation, demolition, or relocation of real i I . ! iproperty. i I 101 lAccident Records !Records related to accidents during which I '1· j jocsD property is damaged. Does not include ; 1 ! !records on employee injury. ) 102-!Accounting Reports-jR.eports summarizing accounting transactions. f103 iAccounts Payable \Records relating to payment of financial ! fFiles /obligations (money owed by the organization). ! j i ;Includes vendor invoices, bills, and statements. ; ,--·,-------· --, , I --. --·---·-· -----.. ·----.---------·· --··-··-· ! 104 !Accounts Receivable 1Records related to accounting for money owed i I !Files :to the organization includes user fees. ;, - 1 1105 jAdministrative jRecords of a general nature including copies of i : jRecords !memos, letters, chronological ftles, calendars, ! · I ldaytimers, phone messages, etc. that pertain to i I : !general administrative activities and duties of I I ll I - , ! jlhe Division. --~----~---~·..--------------~----------~~--i j 106 jAgenda Reports !Records related to information provided to an : l 1 !official Board of Directors or board committee ! : I I . l I 1for consideration and action at official j I i •1'proceedings of the board committee including : .. : I ! 1 :board agendas. fW1 !Air Quality Files !Records related to South Coast Air Quality l I !Management District (AQMD) regulations, 1 1 . !emissions monitoring and violations. j 108 IAnnexation Files !Records regarding the annexing of property to ! I 1the organization. I C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkiJlman/GM-Admin ~ I Record Series with Definitions ~· 1 109 !Annual Reports, !Financial : ! I i !110 !j,_Ann_ua_l_It_e_ports, I Operational ! i '!Records relatin .. g tO the published annual \ financial reports, describing the financial I status of the organization. ! jRecords relating to the published annual I technical and operational status and I ll 11 . r~sociation Files !Records related to membership or the activities i ! 1 1of professional or industry associations of 1 IPenormance reports of the organization, I i I lwhi~h th~ organization is a member or has a I I ! __ ;busmess mterest _ l jl 12 !Audit Records, 'Records documenting the review of I i !Environmental 1compliance activities with established I ~ ! ?environmental quality standards. ! J 113 [At;di-.-t-R-e-co_r_ds_, --!Records relating to the review and monitoring i !Financial !of any accounting or financial records to . ' l ' 1ensure compliance with GAAP standards and ! !the organizatio~'s procedures. : 114 !Audit Records, I ' ' ;Internal i liTs iBanking Records I I l I r--- iRecords related to internal reviews of OCSD jactivities to ensure compliance with 1procedures and standards. Does not include !financial or environment audit records. jRecords related to bank transactions including !deposit of funds, bank statements, bank !reconciliation's, and wire fund transfers. i ! 116 !Bids, Awarded !The successful proposals submitted by vendors l ; ~ lto obtain contracts with OCSD, where OCSD r ; jselects that bid or proposal. Includes bid 1 1 • 1 i ipackages. ~--r·-----------.--·-------------I ~ 117 !Bids, Board Review !The successful proposals requiring board ; ;Required, Awarded :!approval, submitted by vendors to obtain contracts with OCSD, where OCSD selects !that bid or proposal. Includes bid packages. l illsi =--B-id_s_,_B_o_ar_d_R._ev-i-ew-!Proposals, requiring board approval, submitted 1 1 ' ! !Required, ;by vendors to obtain contracts with OCSD, · 1unawarded !where OCSD does not award that bid or I !proposal. Includes bid packages. i----r I I _, i 119 lBids, Unawarded I ' ! i iThe unsuccessful proposals submitted by l lvendors to obtain contracts with OCSD, where : jbid is not awarded to that vendor. Includes bid l I k I 1pac ages. I ! 120 jBiosolids ----jRecords related to biosolids hauling, u~-e,_a_n_d __ ) · :Management jEMS activities. j jRecords j I ll21 ~Board !Records relating to board members, 1 iAdministrative Files 1appointments to the board/ directors list. C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/GM-Admin I I i I 2 Record Series with Definitions 1 1122 lsonds, Revenue )Bonds, revenue records relating to interest ! 1 1 1 !bearing certificates (negotiable instruments) ! I !issued by OCSD to raise revenues, including I i I )certificate.s of p8!1icipation. ____ J fi23 Budget Files, jRecords relating to internal planning and i I Approved fmancial management. Includes budge vs. I l 1cost reports, summaries, worksheets, goals and I l ; iobjecti~es and milestones. . . I 1124·1Budget Files, jRecords related to projected income and 1 ! tlPreliminary ~ecords that are ''working copies" preliminary I I worksheets and drafts developed in preparation I I of a budget of authorized expenditures. j ! 125 (Cash .Receipts !Records related to cash payment received. I ~ . . . . . l j t 26 ICertificate of jProof of insurance coverage, such as board ! l Insurance !forms, required by OCSD for OCSD vendors i II I providing certain goods or services under l !contracts that do not require board approval. ! fi27 !Certificate of }Proof of insurance coverage, such as board 1 I !Insurance, Board iforms, required by OCSD for OCSD vendors I jApproved Contracts ~roviding certain goods or services under i 1 1contracts requiring board approval. ! 128 .... !C_h_am_· _o_f_C_us_to_d_y--}Records related to proving ownership or I iRecords, Laboratory !Provenance of a specimen, solution or sample. l 129 }Chain of Custody jRecords acknowledging receipt of split .i 1 1 Records, Source !sample, taken by a source control inspector. I i ! ;Control : l i, 130 '!Check Registers }Records listing individual checks issued, th;-j ; 1 1 1 date, payee, amount and purpose of the ; l l 1expense. ! \ 131 !Check Requests !Forms requesting the issuance of a check of j t rwarrant to pay for OCSD incurred expenses. I I 32 f Checks, Cancelled iOCSD issued checks cashed by the payee and l j jfC~~ to OCSD by the paying fmancial I 1 !institution. l I 33 JChecks, Copies !copies of OCSD issued checks usually filed ! : !together by check number. , lfi-34-!Chemical Inventory !Records related to chemical delivery, chemical i J I . I ,Records '!transfers, usage, manifests worksheets and l 1 I , inventory logs. j f-ICity/County Utility .Utility requests from cities and the County of j. j251 !Requests Orange, Consulting Engineers and General i ! f !Correspondence with Cities & County l j 1 135 !claim Files !Records ~egarding claims of wrongdoing by ~ ! -lthe organization or its employees. Claims l I ! !generally request compensation for damage or j l i !loss. : ,_j C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/GM-Admin 3 Record Series with Defmitions 1136 !complaint Files !Records related to complaints filed by the 1 ! ~ublic regarding the organizations operations i ! !or activities. Includes problem reports and , , I lfollow up activities. j 1137 f_C_o_m_p_li __ an-ce----~ords relating to monitoring the l i !Records !environment and ensuring compliance with ! I I pertinent regulations. Includes compliance, ! I j }monitoring, QA, QC and spill rep~rts. I .....;...------~ . .-----~--~~--------~-~) j138 ·!computer Records regarding work activities to maintain 1 ~ lMaintenance Files .and ensure continued operation of computer j I j lsystems and .applications. i l h39 l .... C-o_m_p_u_te_r_S_y_ste_m--fRecords related to the ~intenance of software i ~,Administration !applications. · I iRecords ! jt 40 jconfined Space jRecords related to procedures, permits and i }Records !entry into confined spaces. ! 141 /Conflict of Interest !Records relating to conflict of interest filings t if ilings !for candidates for the board, for existing board ; l )members, and designated employees. l r:-=-r--( i 142 ;contracts/ !Records relating to obligations defined in · ! !Agreements icontracts and agreements not requiring board j 1 !approval. Included promissory agreements, ; '!'contracts for services, leases and software licenses. fl 43 iContracts/ )Records relating to obligations defined in ---1 ! jAgreements, Board icontracts and agreements requiring board jApproval Required 1approval. Included promissory agreements, ! !contracts for services, leases and software ! i !licenses . ..--. j 144 lCrane Inspection 1Records related to periodic inspection, annual ; .Records 'j 1certifications, quadrennial proof load test i I .reports, and permit to operate cranes and i ; • 1 iderricks. r--r---:----~-~~----~ I !145 jDeferred !Records of employee contributions and OCSD I l /Compensation ~payments. ; ! 146 !Delegation of jRecords specifying the person(s) having the ',·i· !Authority Records ~temporary authority to approve specified !activities or documents during the absence of I I }the individual normally authorized to perform I i _ lthe activities or approve documents. fi47 (Delivery Receipts ;Records documenting receipt of shipped l j t !items. May include delivery shipment receipts ! } jand registered mail receipts which may be 1 1 . l ! l/iled with P11rchase Orders. --___ , 1252 1IDOT Random Drug lRecor~s of tes~ done by outside contractor in ? I 1& Alcohol Test Jcompl1ance with DOT required Random i ! !Records 1Drug & Alcohol Testing J C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/OM-Admin 4 Record Series with Definitions fl48 lDrawings, As-Buiit llRecords that graphically depict specifications. -j i ! 1 Copy of confirmed drawings marked up by i I I !contractors during construction to show how j ! !facility or component is actually constructed ' I 149 ..... ID_ra_w_in_g_s_, B_as_e_lin_e -,Records that graphically depict specifications I . !for piping and instrumentation. Includes I I :control logic diagrams and loop diagrams. I 150 -!D_ra_w_in-gs-,-B-id_S_et--1.Drawings that graphically depict I I !specifications for the design of buildings, I I ! ! !building systems, and subsystems, proposed j I jconstruction or architectural renderings. I !248 j»rawings, jThe drawings generated for use during the j I !Conformed .construction phase of a contract from the bid i I i !set of contract plans that have been updated ! I j jwith an interpretation of changes that have I 1 • !occurred as a result of addenda issued during 1 1 I !the bidding period. ;249 !Drawings, Record !The District's best record of the construction-, i ' !of a project Conformed drawings that have I ! !been updated with any changes occurring !during the construction of the contract r 151 !Drawings, Shop : ! i l 52 lEasements I I '.153 ·Employee Benefit ! IPlans and Program ! !Files ! I ; ! ,..-------- ! 154 !Environmental ; !Impact Report I ! t i r--r------- 1155 jEOC Activation i 1Records I : I I 156 f Equipment ! jMaintenance I 1Records I I !Records including drawings, diagrams, !illustrations, schedules, performance charts, !brochures and other data that are prepared by !contractors, manufacturers, suppliers or :distributors and which illustrate some portion !of the project. iRecords related to the right of access to, and j jmaintenance of, sewer related properties. i .-------------------------! ·Records related to all employee benefits plans, 1 land programs including health insurance, f !tuition reimbursement, thrift plans, beneficiary I jdesignations, eligibility. i !Records used to prepare the draft and final EIR ! !published by the District and EIR 's submitted j Jt;om outside sources for review by the ; !District. ! !Records related to documenting activities of !emergency operations center (EOC) during a !declared emergency. !Records regarding maintaining OCSD jequipment and vehicles (excluding crane I · records) includes daily maintenance reports, service checklist, preventative maintenance schedules, service logs and test records. ! I ' ! I ·I I I I I j ! C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/\rM-Admin 5 Record Series with Definitions 1 157 llEquipment Records related to ownership of equipment ! Ownership including correspondence, drawings, operating l i l instructions, warranties and registrations. 1 j 158 !Expense Reports Records relating to the reimbursement of i I I employee incurred expenses for travel or other l I j costs when conducting the organizations i 1 I business. . 11591 _F_inan--ci_a_l P_l_anmn_·_g_l,,_ 1 R-e-co-rds--re-la-te_d_t_o_t_'he-bu_d_rg_e-ti_n_rg_a_n_d_p_la_n_n-in-g j of the organizations revenues and expenses. 1 r:-:::--I 1160 Financial Records stating the financial position and I l ! Statements condition of the organization. I .----, ------, 1 1161 ilFixed Asset Records Records relating to the acquisition, ; 1 depreciation and accruals of fixed assets. fl62!,_F-lo_w_R_e-co_Ii_d_s ___ ,..R_ec_o-rd_s_re_l_a_te_d_t_o_tra_ckin-.-g-infl_u_e_n_t_an_d __ ! I I i efiluent. . i ll63 1.-~F-o-rm-ati-.o-n_F_il_es---,,-R-e-co_Ii_ds_d_oc_um_e_n_tin_. _g_th_e_te_rms __ un_d_e_r_w_hi-.c-h-! : I !OCSD was formed, organized, re-organized or j i lconsolidated. : U641 _G_e_n-era_l_ -L-ed_g_e_r __ jSummary of all financial accounts.--R-ec-o~cb-- 1relating to the postings to the General Ledger. ~ 165 !Grant Records, ~ i Unsuccessful j 166 lGrievance Records regarding unsuccessful grant . applications for federal or state grants. !Records includes arbitration between employer! I land employee, grievances, union requests, ; !employee rights, employee rights information, !appeals, sexual harassment information and !Civil rights information. --------------------------·-· l 167 !Hazardous Waste JRecords regarding the storage, transport, or : ~Records jhandling of hazardous waste. Includes • 1Lockout/tagout and mapping source records. I I 68 !Historical Subject ' 'F"l ! j 1 es • j I ! Records retained for the life of the organization due to their enduring value, rather than solely for business or legal purposes. jRecords that document the origination, l signi~c~t events, and strategic planning of the orgamzation. 1169 ll-9 Forms !Forms required by the federal government l I !under the requirements of the Immigration I l !Reform/Control Act of 1986. i 170 1; __ 1n_c-id_e_n_t_lt_e_c_o11_ds __ Includes records regarding unscheduled I i maintenance, or deliberate property damage I i such as theft, arson, vandalism, or other loss of i l IOCSD assets. Does not include safety j l organizations' accident reports. C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/OM-Admin 6 Record Series with Definitions : 171 Industrial Hygiene j Files I I 112 !Inspection Records, : Construction Daily ; Progress 1173 Inspection Records, I C . 1 onstruction I Specialty I I I .---. j 17 4 Inspection Reports, ! Manhole i ! I Reports and documentation prepared by staff I and certified industrial hygienist; includes I ergonomics of the workplace, air sampling, I noise testing, and workplace contaminants. Records related to inspection of the daily '1 progress of construction activities to ensure quality and compliance with specifications and , standards. I Records relates to specialty inspection of I construction activities to ensure compliance with specifications. Includes welding, I vibration analysis, soils analysis and pile I driving inspections. I Records related to the comprehensive I evaluation of the wear condition of the I manhole structure including frame and cover i replacement records. I r:-::-:-~~~~~~-~~~-------~-~~~~-~1 I 175 !Insurance Policies '!Records related to insurance policies ! purchased by OCSD, including the policies ! i 1and any amendments. I ; 176 ..... ,In_v_e_s_tm--en_t_R_e_c_o_rds--j ,,....R_e-co_11_ds-re_la_tin ___ g_to_in_ve_stm ___ e-nts_in_c_l_u_din_. _g_th_e_i ! !purchase of stocks, bonds or other equities, I ,ownership and account statements. !.246 ·1 1 rr Backup Tapes !computer tapes used for Disaster Recovery I purposes i 177 jJob Descriptions !Records describing the duties and ! !responsibility of each job position and the 1expectations for performance. ! 178 !Journal Entries ' ! : I -!Account postings with supporting ~documentation. ! 179 iLaboratory Records !Records related to laboratory activities i i 1,:::::n~ !':!::.:~Qe: and QC ! records. ! 180 !Legislation Files !Records regarding local, state and federal j j ilegislation, session bills, lobbying files and ; 1 1 summ~es of bills f:bat .may affect OCSD's I I 1operations or organization. 1243 j,.L_in_e_M_am ___ t_e_nan_c_e--.,~V-id_e_o_tap_e_s_an_d_o_th_e_r_11_e_co_l'i_d_s_o_f_m_am_·_t_e_na_n_c_e_ ; jFiles 1and inspection of sewer lines. I: 181 !Litigation Files IRecords related to possible or actual litigation or government investigations. Includes court I l • I !proceedings records, pleadings, discovery, ! I !work product, exhibits and final judgments. C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSlcillman/GM-Admin 7 Record Series with Definitions 11s2 jLogs I I A document listing activities, items, individuals and noting the same information about each entity. Log entries generally occur 1in chronological order. ~l,.....1 Lo-g-s,-C-o_n_m_o_l ___ Bound notebooks describing activities, items I Center or individuals regarding plant operations. Log I I entries generally occur in chronological order. 1184 Master/Strategic Report describing long range program or I ! Plans major projects planning and goals of OCSD. Includes strategic plans. I 1ss 1Material Safety Data Records relating to the description ~d use of I Sheets hazardous substances. ! 186 1IMedical Files jRecords related to the medical history of ! !employees, including injury and illness I I I 1 records. ! 187 !Meeting Minutes, 'Meeting minutes, administrative records l !Administrative ,regarding the agenda and description of the I i !decisions made or actions taken during the j ; ,meeting, for meetings not board-related. ! 188 !Meeting Minutes, !Records regarding agenda, meeting minutes, : \ [Board I resolutions, actions and decisions, of the Board I I j 1of Directors. Includes administrative orders, . i ! jminute orders and minute actions. l ' ; ··-· fi89lMeeting Minutes, !Records regarding agenda, meeting minutes, ' l !Board Committees !resolutions, actions and decisions of a board I I . i 190 !Monthly Reports I : I l 1comnuttee. !Records related to operating and status !information used to complete OCSD annual !reports. j 191 !Operating Journals ·1Daily entries documenting activities in district l ; i .operations. Includes crew schedules. l f192l.--9-pe_ra_tin ___ g_lt_e_c_o-rds--.-jlt-e_c_o-rds-r:-el_a_te_d_t_o_d_is_u_ic_t_o_pe-ra_ti_o_n_s.-In-c-lu_d_e_s \ I I ldata books, opera~g reports, overtime, crew l ; I 1schedules and dally lab reports. ' jl!.193 .... , 1 0p-im-.-o-ns-··-Written legal opinions resulting from research ; on a given topic. ! i.'i 194 IOrdinances !Regulations enacted by board action and -··-i !related records. Includes local limits report. __ 1 I 195 josHA Compliance !Records describing procedures for I :Records 1emergencies. Includes disaster recovery I I ; 1 jprocedures. !.196 .-IP_a_yli_o_ll_R_e_c_o_rd_s __ .,...,R_e_c_o-rds-in-cl_u_din-. -g-fun-. _e_s_h-ee_ts_,_u_n_e_m·-rp-lo-~-m-e_n_t_ claims, garnishments and the payment of ! .. i I lllabor costs including salaries, wages, and deductions. ! ......;.....-----------------~----~ ___ j C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillmanlOM-Admin 8 Record Series with Definitions jl97 jPermits ljRecords including permits to operate plants, l I l machinery, equipment and vehicle permits. j : l ·i'Also includes right-of-way records and sewer : J I connection permits. Does not include NPDES j l ! lor AQMD permits or permits granted to the ! I IEAC. ;.__~~~~~~~;~~~~~~~~~~~~~~~~-ll 98 !Permits, AQMD ~ecords related to permits granted by AQMD i I jto operate various equipment and engines. l 199 jPermits, Building Records related to plans, signs, grading, 1 land Construction encroachment, including blueprints and 1specifications. Approval to construct or I !renovate property. . !200 f Permits, NPDES lRecords relating to the application for a permit I i l !<section 301H Waiver) to discharge pollutants, i I llin compliance with the Clean Water Act j ! .Includes the permit l 1201 !Permittee Files iRecords related to monitoring businesses with -i \ l jdischarge permits and urban runoff. ; !202 !Personnel Files jRecords relating to individual employees. i l !Records may include employment 1 japplications, performance evaluations, salary , l jinformation, and separation documents. J2031Petty Cash Records--JRecords documenting replenishment of cash ! I \and disbursements of cash from the petty cash ; i !fund. !204 IPolicies/Procedures lRecords providing documentation on the · jAdministrative lnnplementation of management and 1 radministrative policies and directions for j !various organizational functions. -·---1 ;ws-IPolicieslProcedures, jRecords providing documentation on the ! iOperating and iimplementation of technical and operating !Maintenance !policies and directions for various operational ! /fun~tion~. Includes technical, vendor and 1 :engmeenng manuals. _______ I 1241 jProblem Reports for ;Communications, in any media, received as a ; ! ~Collection Systems )result of a collection system proble"! j !206 !Project Files !Records related to activities of limited duration l l l I( defmed start and end date), as opposed to l i lac~vities. of an ongoing nature. Can include a I iw1de vanety of documents gathered for j !reference on a specific project. Also referred i ! 1to as job or contract files. . i207 jProof of Publication, Records related to proving that required public ! i !Ordinances .notices have been published in prescribed : l !publications. J 1245 ~blic Comment l!Communications, written, voice and digital I 1 !Files lrom the public on District matters ______ j C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/GM-Admin 9 Record Series with Definitions i250 jPublic Record fRecords ~ejlecting Public Record Requests I 'I jRequests !including letters, memo's, e-mails and Public ; 1 ! Record Request Forms ' !208 llPublic Rel;tions iRecords relat~d to preparing public ! I Records !information, brochures describing OCSD ~ I . activities, photographs and graphics used I 1209 1 1 Publications jRecords related to providing informatlo~ to the ! , 1 ~ublic and to staff about OCSD activities. i ! I !Includes internal newsletters and news ! ! ! jclippings. I !210 ~.; chase Order !Records m~nitoring the procurement of goods-! l .Files . . l~ndlor services. . I 1211jPurchase Requisition !Records related to the request for procurement ! I jFiles j~f goods or services. Records initiating the I I : !Purchasing process. l . . . . I f 212 f Rate Advisory Records related to determining rates and fees i I 1Committee Records charged by OCSD. j j2 l3 !Real Es1ate Records jRecords related to real estate for purchases. . ·1 121"4iRecorded ff he official version of a docum~nt recorded by ~ 1 jDocuments Jthe County Recorders office. Includes notice I l 1 jof completion, deeds and easements. \ !215 jRecords Destruction !Documents certifying (confirming) the 1 I iCerti:ficates jdestruction of official records that have been l I Japproved for destruction. The certification lattests to the fact that destruction was jaccomplished in accordance with applicable tprocedures . ....-------- 1216 !Records !Records regarding the management of OCSD I /Management Files !records, including records maintenance and j !transfer records. Does not include the : 1retention schedule or destruction certificates. fa 17 !Records Retention fThe document that lists each record series and i !Schedules jthe associated retention times, characteristics, · ! ;responsible division, and legal citations, if , I )applicable. . . , 121 s jRecruitment Records !Records regarding the advertisement of l ! 1 !available positions of requirements for specific I j l .skills, or the interview and selection process : 1 1 jfor prospective employees, includes job fair j' ! i !records, job postings, advertising, interviews, 1 ! ! !resumes, applications, and testing.. I !219 ,.Reference Files !Documents published by outside ! l . !organizations, used for reference, study and I I !research. Usually library-type (published) · 1 !documents (i.e. books, technical journals, j {periodicals) or reference materials kept only l !until superceded by the next edition. C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/OM-Admin 10 Record Series with Definitions j220 jReports, Financial \Records relating to financial, fiscal and \ ! 1 !monthly reports. May include worksheets, 1.'· ! : jspreadsheets, analysis and reports of financial ! ! Jor investment results. J j-22-1-~ep-o_rts_,_G_e_n_e_ra_l __ jRecords generated internally and periodically, ! j i irel~~~ to the 81:8~ or progress of routine I I 1activ1ties or statistics. illil_R_epo_rts_,_T_e_cbni-.ca-l-,!....-&-e-co-rds-re-la-ted_t_o_th_e_p_r_ep_ara_ti_.o_n_o_f-technical I I Jor management reports based on studies, the j J completed report or study. , }244 !Research/Reference !Material used as reference in-dev;iopment of \ j jFiles jcurrent matters or projects l j223 !Resolutions, Board !Formal expression of th~ will, opinion and j 1 i liintent voted by the Board of Directors, : I j , legislative-type actions. j224j .... Ri-. s_k_M_a-na_g_e_m_e_n_t -,!,.....R_ep_o_rt_re_co_~_ds_re_l_ate-d-to_O_C_S_D_c_lmm-.-s-, lo.ss I ! !runs, federal OSHA forms, loss analysis and ! l !related records. ___ .i i225 !Salary Records i : 1226 jSecurity Clearance ! 1Records, Computer 1 iSystems l I t jRecords related to OCSD empioyees deduction; Jauthorization, beneficiary designations. : !Records related to authorizing employees or . !contractors to have access to an OCSD !computer system, system module or the data !stored in a computer system or system module. i j227 \Sewer Line Records ;Records related to sewer operations and ~aintenance. Includes easements, atlas, sewer 1line videotapes and sewer index maps. !228 1software ! !Application Files I j229 /Specifications I ' : i \ i ! i j230 !Speeches/ 1 !Presentations : !Records related to software applications !owned by OCSD. Includes software :registrations. !Records of the precise details and d~scriptio~· lof the service or project to be completed, or }the item to be ordered, as approved by the 1Board of Directors. --~ ·-----, \Records related to the preparation of ; !presentation materials by OCSD employees or : jboard members. Includes text of speech, · 1\presentation materials or computer ,presentation software files. ------ j231 !subject Files : I I t I I I I !Records related to topics and issues filed by jthe subject of the records. May include Jstudies, reports and other results of research i jactivities. ' ~--------------~--~~----~-~-_J C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSki11man/AM-Admin 11 Record Series with Definitions 1232 jSubmittals, Design lans and specifications submitted by I 1 1 .• contractors for OCSD's review and approval at specified completion stages (e.g. 30%, 60%, I l 90%, 100%) of the engineering design phase. j233 ,....JT_ax_R_e_co_rds ____ Records relating to the maintenance of I ! information about tax liabilities, withholding , J and payment of taxes, records related to j l ayment of State and Federal taxes including 1 I forms 1096 and W-2. I j234 Tax Records, 1Records related to reporting to the IRS, I ! 1099'S miscellaneous income paid to vendors and 1 I I contractors. I }235 ITraining Records Records relating to the training and orientation II ! 1 of employees, except for safety training. , l i Records may include class attendance sheets, I 1 I schedules, classes offered and records of class I • 1 1. II curriculum or syllabus, training materials i 1 , !development. ! j236 jTraining Records, J !Safety . I 1 1 .: I l • I 1Records relating to the training of employees in the areas of safety. Records may include class attendance sheets, schedules, classes loffered and records of class curriculum or syllabus, training materials development. 1237 ,....IT-r:-av_e_l_R_e_c_o_rds---.-R-ec-or;_ds_d_o_c_um_en-tin-. _g_tr_a_v_e_l-re_q_u_e-sts-, --- i I I · itineraries, lodging or transportation I reservations. Expense reports are a separate 1 l ~record series. j23g ITrial Balance lRecords summmy record of account balances i i lby debits and credits to prove accuracy of i I ! 1 ,accounting data. -·-·-1··--···--·· ---··---i·---·-·-·· ·---.... ·---··--·----······-·· ·--··· j239 JUnderground Records related to the maintenance of ! Storage Tank Files underground storage tanks. Includes permit. \240 \warehouse Records Records related to managing the warehouse, 1 1 including sales orders, stock out, shipping i I records, ABC. ~{Waste Hauler Files I I !Records related to transporting waste to or !from OCSD plants. Includes manifests and waste-hauler schedules. 1242 jWork Orders !Recor~ rel~ted to requesting ~epairs, 1 'j alterations, unprovements, maintenance or J !other services; records related to the I I ,completion of the work requests. i25J! Workers !Records relating to employee work related l 1Compensation Files !injuries C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/OM-Admin ' . 12 Records Retention Schedule I-·--·--------·-------·----· ----- i ORANGE COUNTY SANITATION DISTRICT RECORDS MANAGEMENT PROCEDURE MANUAL - 1 App-e~dix A ,Page 1 of9 Date Issued: 11/17/2000 1Revision: 4 -3/2004 1 I I !subject: Records Retention Schedule ------------•I Additio11s in Blue, Changes ill Red 1.1 INTRODUCTION It is the policy of the Orange County Sanitation District (the District) to maintain a records and information management program that provides for the identification, access and protection of all records generated or received by the District in the conduct of District business . .----------------- Records Retention Schedule ,------J Record Series ----- r ---- : Media Include: Paper, J Videotape, Microfilm, Magnetic, Optical, Office of R etention Code I etc. Record ,Duplicate iOfficial Citation ··-----·----· 100 I I 1 Abandonment I Secretary to Board of Directors ,-----.-----·-·---- 10 l Accident Records 1 Safety & Health 1 102-, Accounting Reports 103 l Accounts Payable jF iles ;---- Accounting ----------·--1 Accounting I 2 CL ------·-r------------ 104 ! Accounts Receivable !Files i ,-----.------------- 105 Administrative Accounting Originating Division I LI : r- 6 i--2 r-- 4 CAGC 60203 ------ V H C i;; r r r r r ;r r r F r r i;; r r r- r w-r . ! r--·· !Records I ------r---·· Secretary to -,----- I I 106 I 107 I Agenda Reports Board of Directors ~--------~----------- LI 1 Air Quality& 5 ! Air Quality Files I Special Projects I r------ 1 r r r ----------·-------r-=--·----~-------~-;-------r------- ! Secretary to I 1 I Annexation Files ; Board of 1 1 LI I I Directors I ' 108 109 r----·------1 1 Annual Report, I Accou nting i I LI Financial 1 I ·---r-. ·-------. ---------·------ C:\OCSD-RlM\Records Rete ntion Schedule Re v 4b.doc JSkillman/GM -Admin I ,:w w r I , ____ _ ---- 'r w r I ______ i ________ ~ Records Retention Schedule 110 ! Annual Report, joperational ------··- Originating Division AR -,-CAGC 20 60203 ----' -· ----,-·---------- Ori~~~ting SU SU 111 I Association Files I ,-----r---------- , 112 Audit Record, I jE nvironrnental D1v1s1on 1 • --r-------,---------- Environmental Compliance & Monitoring 5 LI 2 r ~ r r r r I --- [r r r I r ----1 Audit Records, 1, ---. 113 !Financial 1----------r ------ 1 114 Audit Records, Originating 3 i 1Intemal Division i , , Acco11nting p-r I ----- 1' r r r -------. ------------~------T----r-- 115 , Banking Records Accounting 1 6 , ---rr r r r-i 116 Bids, Awards ..---------- 1 I ' 117 Bids, Board Review !Required, Awarded -·------. -------· 11 8 Bids, Board Review !Required, Unawarded Purchasing & Warehouse Secretary to Board of Directors -secretary -t~ -T---. CL+6 CL+6 Board of i l CL+6 I ! Directors -,......--------------.-------,------- CAGC 60202 -I r --- r r F --- r r r r r 1 Bids Unawarded 1 Purchasing & 1 CL+6 , I ' I Warehouse CAGC 60202 1 -~:o--~io sol id s Manag :men~ -~~:;:~~~ ;--· ---- 5 Records I M .t . oru onng r -.-------··-----------r--- Secretary to I 121 r 122 I Board Administration Files Board of Directors Bonds, Revenue Acco1111ti11g r ---------! Budget Files, !Approved 123 Acco1111ti11g I -------·---· -, Budget Files, Accounting 1' ,Preliminary i 124 2 EX : EX+2 6 I --r l ---·---,-:--:--------·------------· ---- ; 125 l Cash Receipts Accounting --~2~-1 Certificate-;[---P-~~h-as-ing &--~-- I Insurance Warehouse r -·· 127 ' Certificate of Secretary to Insurance, Board Board of I Approved Contracts Directors l ·-1~;-I Chain of C ustody --, Environmental ' 1Records, Laboratory Sciences Lab 1 ,- · EX+2 I I EX+2 I I ·---r 1 10 40CFR 503.17 Ir r r I -Ir I r r I r r r w-r r ~ r r I r-r r _1_2_9 __ 1 Chain of Custod y, . -..-Source Control -----------·r.:·--· cL+3 ' r r r ' ' --------------··-~ C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM -Admin I Records Retention Schedule ~-------------------.----r--------I 1Source Contro l I I I UO ·--·-: Check Regist;~s---'.-~cco unting-1 I ! I ,---DI--! Check Requests---! -Accounting ----· r--- 3 4 ·-132--:-C he~k~-c~~-;e ll ed _____ Acc~~;~~-f----:-2 -r-- : I I I 1 -------------------~-~--- l 13 3 ; Checks, Copies Accounting I 1 1 2 r-----~Chemica l fuve ntory --~g inating II -'2 -,- 134 !Records Division r ----- , 251 City/Co1111ty Utility j Req11ests I E11gi11eerillg Pla1111i11g & Design 1 j 1 1 -~5 --:-C~~ ;iles----· --1A -;;co 11ntl1lfJ/Risk --l-- Management l ----~ -Originating ~----l 13 6 Complaint Files Division r ----------------~ , Environmenral j 137 i Compli ance Records Compliance & I , Monitoring r---·-----~------- ' I 138 139 I : Computer ,Maintenance Files Information Technology Administration Information Computer System T h 1 'Ad . . -R d ec no ogy m1ru strahon ecor s , Ad . . t" mm1stra ion ,--- 3 r-- CL+6 2 I r---·r I 5 i -i------ 1 2 2 3 r: -----·, r r r 1r r r r r r I ·r;:::---- 11 r r I 1r r r I I Irv r ~ -----' Ir r r ·r r r r Ir I r r I ' r r r I ---r ---------------.------- 140 I Confined Space ; Safety & Health · 1 I 3 18 CCR 5156-r r r Records I 1 5159 1 i--L ~l--f Conflictof!nterest ~~~:~;;;0 -··--:--1- 4 -. ~7~~1~~A Ir r r 1 ,Filings Directors I GC 81000 I 1 1 (e) l-~~2--~a~t s I -------· Purchasing & ~--C-;----;;~+6 - ;Agreements Warehouse , rv r r ·· -----r----·· -· --·--·r -r 1 Contracts I Secretary to 143 'Agreements, Board Board of CL +6 I ~ !;;I I !Approval Required 1 Directors l 1 ; lr--·~-~4 -; Crane In spection --- 1 ?~~in~tin~ --,- 1 ----f SU -!c~~: J~~2 1r --r-~- i Records D1v1s10n j I : 5031 ' ,-~--ic~::~:s~tion R:cords --! -·R:~::;::s ·-i-----I LI -,----'r.;; r r ---. Deleg~ti;-~----, Secretary to T------r--------, ------ 14 6 !Authority Records Board of I LO I ,w-r r C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin • I -----·--~ ~ Records Retention Schedule 4 I I I I ,------,---------=-[ Direc~o rs r-------. f Purchasmg & i --T-~--1 ------.------- I 147 i Delivery Receipts I Warehouse I I 1r r r I j--------,DOT Random Drug & !safety & Health I j 252 'iA /cohol Test Records l l 5 j49 CFR 382 I x 148 ' Drawings, As Built 1 I I -~----- 1 149 I Drawings, Baseline r I i I Engineering ,, I Planning & RE I LI Design • 1 Engilleering-r ;---1 Plamzing & I RE l LI 1 Design l ; 1·;:--1 Drawings, Bid Set --·----~-----~ -·------- I. Engineering Planning & 1 I RE LI I ' D esign f ----r Eugilleering I Drawings, Conformed Planning & I \Desigu 248 -, --, RE LI ,--------r--·---------- E11gin eeri11g 'p1an11i11g & 1Desig11 ,-----·-1 i 249 151 ,-- 152 ,- ' 153 Drawings, Record RE LI -----r-· Engineering ; I 1 Drawings, Shop Planning & RE LI , Design ! --------·---------------- Easements Secretary to Board of Directors Human Resources LI ' I Employee Benefit ,Plans and Program Files ' r ----. .-------.:::_- 1 E E · · I TE+7 i ~ ~ -- I nvirorunental Impact I ngmeermg 1 Report ! Planning & Design 154 1 ! LI I I -·----- -,,REOCdActivation / Safety & Health ! -_C_L __ I ~L~;-j ----- ecor s 1 ; 1 155 ,-------I · · · r·--- : Ongmatmg 1 1 . LI , i Division I I ! 156 E quipment Records 157 -:;q-m-.pme_n_t _O_w_n_e_r s-h-ip-1 --MM~chanical __ ; __ l ___ I Zr 1 I I amtenance l I J , P w r ! 1 ~ r r : r--------- lw r r 'x x x x -r------- : iw r r I --. ,p-w r I ~ ~ r I 1----- iw r r - !w-r r I ----·---·-- r r r !r r r :-1-.58 --:Expense Reports i Accounting T-1--~-,-----·-rrr--r ' . I I 0 ' I I 159 I Financial Planning I A . -, l :--;--r----·1r ~ r l. Records 1 ccormtmg , I ; I I I I l 160 ! Financia l Statements 1 ~~11ti11g -1-1--1--10 I "!r r r .-------r----·---------r· ----· r --·----·-----------------· i 161 I Fixed Asset Records A ccormting : l ! l 0 '1 I ~ r r _. ----· ____ , __________ ! _____ 1 ___ ---------' _______ _J C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Records Retention Schedule 5 162 1 --F-lo_w_R_e-:or~s-----O n-.g-in_a_t-ing ~2--~I --~ r r I D~~~n , I 1 ~-3--1 Fo-rm-ah-.~: ;iles S~~:~~~;o ~--~~---I CA GC 4-7-00 ri;;; --w -~--1 I I I '1 I ET SEQ I Directors ,--1 64-io~neral Ledger --A-c-co_un_hn_. -g-;--1--I LI i --'p-r r - 165 Grant Records-----!-, -F -in-an_c_e __ I rl -2--I ~ r 7~ ! Unsuccessful 1 Administration ------ Grievances I Human ' !Complaints Records Resources CL I CL+2 . ·-·----r ---·---------r-----,---, ' Hazardous Waste , Safe & Health , 1 1 3 !Records I ty I , 166 167 r r p . 22 cc£--[ r=-r ~- 66262 ! ---------,----: -. -,--· -----, . ---r I H. . 1 b. F.I Commurucahons 1 1 LI , istonca su ~ect l es Ad . . t . : mllllstra ion r--·-- 1 168 r P r 1-;~~----j-~~ 9 Fo=~-------, -RHuman , , esources 1234A ~-E--T-E+-3 r 8USC r r r ---- 1 29 CFR Originating CL CL+7 I r I 1904.2, 29 I Division , ' I CFR 1904 .6 I 170 Incident Records r r ,----------------·--.--------------·---- 171 Industrial Hygiene ; Safety & Health I, 3 1 1 TE+30 I 1Files I I 172 ,------ I 173 I II Inspection Records, ,Co nstruction Daily 1Progress Inspection Records, !construction Specialty ------------------ 174 1 Inspection Reports, jManhole ------------- Construction Management Construction I CL+6 I -------------- ' r r r .r r r ·r r r ,r r r I r· 175 Insurance Policies -~ccounting r---EX-jLl I Ir r --r - J----116- 1 Inves tmen~ R;~o rd ;-T-A-ccou n~il~~----r ·-· -SA ·---J SA+6 I ------f-r -r· I ~~~---, IT Backup T~~e~-. -:-~=~;; -,-;S --I 3---jx --· --,....--.-------- Human 177 '! Job Descriptions I R CL I CL+lO : r r r 1 • esources I r-·17-g--~Journal Entries----,-A~co~ti~~--,---l---~-6 r-17 9--r-~~borato~ Records ,-Esn~ironmeLntbai j--:;--· I IO , . c1ences a ---r--------------lfu--· --·-r 180 J Legislation Files I ~~:~:~:~ I 1 1 1 3 Monitoring C:\OCSD -RIM\R eco rds Retenti on Schedu le Rev 4b.do c JSkillman/GM -Admin ----------- r r r r----.--r-Ir r r ---- Ir r r I --- Records Retention Schedule 6 , Coll ection ; Line Maintenance Files ~ Facil ities I Maintenance Ll r _~j I AR 243 --, I I 181 182 183 Records CL Litigation Files Management Logs -----r·-Originating -~ CL+2 Division I Logs, Control ~~nt :-: Operations - Plant 1 & 2 CL I r------------------,--- Secretary to j 184 I Master Plans I Strategic Plans 185 Material Safety Data ,Sheets Board of Directors Safety & Health I 1 CL+6 CL+2 : CL+30 I SU+IO TE+30 I r r r I rr~ I ~ r r I OCSDRES 1r 98 -1 6 ['7 r p r r ---- 29CFR 186 Medical Files Safety & Health ; , TE+30 11910.1001 , 8 :r r P" Meeting Minutes, !Admini strative 1 187 Originating Division -l:---· 1 1 Meet~g Minutes,--··;· Board ------r Secretary to 189 190 ' Meeting Minutes, 1Board Committees Board of Directors Secretary to Board of Directors Originating 1 Monthly Reports Division ,-----,-------. --· ----r· -0-rig~a-tin-g -- 'I 191 Operatmg Journals D ... , IVISIOll I I 192 1 Operating Records r- 193 Opinions I I I r----·, Originating Division --- Secretary to Board of Directors Secretary to l LI r------ LI 2 --r---- 2 5 1 LI 194 Ordinances Board of SU LI I ,----------- 195 196 1 OSHA Compli ance Records Payroll Records Directors Safety & Health C:\OC SD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin SU : SU . CCR 3204 ,~ p-r l;7 p r ---------- r r r r--- r r r ---~ -----I r r r --- Ir r r --- I r r J;; ----- CAH&S ['7 !¥" r 6491.3 ,~ r r ----- 29 CFR, '1'7 r r 516.5 -- jr ~ ~J . Records Retention Schedule 7 -----r--·---------·-r--I l . I Air Quality & 198 I Perrmts, AQMD S . l p · ts , 1 • pecia roJec 1 ~--,-----Ii;; I r r EX I i r --·-·---I Secretary to ,--- 1 199 , 1 . Permits, Building and Board of Construction l I ' Directors I I 4004 I - I CAH&S I CL LI 119850, H&S ir r r 4003,H&S ,-200 ~rmits,-NP;~;-···--rs~;:~;~·-;l,--~~-1 ,~ -; 1i~ig~) Ip r r I I Drrectors , i _ _ ___ _ '.__ . _ I 201 I Permittees Files I Source Control ,---!cL+3 ------.------------- 1 202 I Personnel Files I Human I TE I TE+7 I , Resources , 29 CFR 1627.3 r r r ,-2o;-J Petty Cash Records --r-· Accounting -i -j4-j ir r r : I I- 204 -·-, Poli_ci~s/Pr?cedures ____ I _ S~~::~;~-: 1 · -· ~~---1s~:io ·1 - 1Admlillstrative I D' t ! 1 rrec ors -· • ~--_I ____ ,..._---- I 1. Policies/Procedures, I Mechanical 205 !Operations and 1 1 Maintenance I ,Maintenance SU I SU+lO I r--- 247 ----,Problem ;enor~:·fi· o~ .. -T-Collection ,---r-- 1 ?A r Facilities AR ' 6 1Collectio11 Systems ! 206 i Project Fi les r-----.-----------. : ! 1 Proof of Publication, !Ordinances 207 I I I !----·-···-··---··-------,·· Alaillte11a11ce Originating Division Secretary to ----- ' CL I I CL+6 I ------ Board of 1 LI Directors ! ·-r---·----Oril!i?~ting CL I 2 -r-- I I r w r I r ~ r ! r p r 'r r r I I ____ \ Drvrsron j : Records -·l C'L --- j 245 1 Public Comment Files j I I r I ! Public Record ----! I x I I ' LI Ma11ageme11t i 1 250 Requests 1--r-- I r r r ,-;~8 ------- Public Relation s !Records ,...-------r--- I Communications 1 j SU Administration I I 209 I Publications ·----r Purchase Order F~~es : Communication s 1 ------su-11~----Ir rv_r __ _ Administration I I 210 I ,-211 r-212 --- r· --- ! 213 ---- Purchasing and i CL I CL+;-1--,r ;=--~ - Warehou se I I ~urchase Requi sition ·-1 Purchasing and -r·-~-z -1 CL~~ r lr .r -· r . .Files 1 Warehouse I 1 1 1 Rate Ad~i sory ·----1· Finance I ,--,, 'Committee Record s , Admini stration I j 3 I --~, Secretary to---,.----l --r .. SU Real Estate Records . ________ !_Board of _______ J_ ·--- ~ ' 'r r r r rv r C:\OCSD-RIM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin Records Retention Schedule 8 ,-----.-------------·---.-------~ -,...------- 1 : Directors I 1 I '---,-------·---Secretary to --r----! ~ -- I 214 I Recorded Documents Board of I l I LI I Ip i;;-r I Directors ,----r---r-----·-1 !-~;~-, Re~ord~ Destruction s~~:~;0 ',,-1 I LI I Ir r r I I 'Certificates I Directors I j I ~-~~-6--,, ~ecords Mana~e:e: r-S~~:~;o ----l---, 3--,r r r I Files . I Dtrectors ' i------,---·-----.----;--Secretary to .---~ ---r --- 217 . Records R etention Board of I jschedules i Directors 218 219 ' -----r - Human Recruitment Records Reference Files Resources Originating __ I Division I SU+lO ------- CL I CL+2 29CFR 1627.3 SU SU -· ------r --·--··----------I I I 220 1 Reports, Financial ' Accounting 1 1 ___ 221 -,.--R---G-____ l ___ -Originating j 1 ~- eports, enera Divis ion 1-- 222 ..-----·----- Reports, Technical I Originating Division 1 1 -- 244 ---, Research/Referenc~.--0-r-ig-in-at_in_g __ , AR I I r- I 223 !Materials Division ---------r -· Secretary to 1 Resolutions, Board Board of SS Directors ,---224 I Risk Management Acco1111tillg/Risk ! 1Reports 1l1a11ageme11t r -- 1 4 -, ·-- 3 -~~ SU ·-------- I AR LI CL+S ! 'r p r r r r r r r rr r r Ir r r r r r r p r ----- : p ~ r rr r-r I r· ----------------..--! 225 1Salary Deduction , Human ------r----, Ir r w --r-----~ I JRecords for Benefits j Resources r -·-------Security Cleara~~e -!--lnformation - 226 Records, Computer j Technology I Systems , Administration , 1·-----r------f -E~g-i-ne~~-in-g -·i-----~-- 227 I Sewer Line Records Planning & SU I SU -,---1 Ir r r I I ___ j j I l TE+7 I I TE+3 ,r;; r r l ! Design i -------, -------------, I Software Application Information · i Files Technology ' 1 , LI 1 Administration 1 I I -------- 228 r-·-· ---·-. I 229 I ------------,---~-i---·-- Secretary to I I I Specifications Board of I LI j' Directors 1 ------·---- C:\OCSD-RlM\Records Retention Schedule R e v 4b.doc JSkillman/GM-Admin --- 1r r r I_--~ Records Retention Schedule 230 , Speeches/Presentations ----,..---·---- 23 l i Subject Files Originating Division Originating Division -·----r-------·---------I • 1 Eng inee ring 1 232 1 Submittals/Design Planning & I Desig n l 233 I I Tax Records, Employee Accounting r----------- I I 234 ! 235 I Tax Records, Vendor I Accounting Training Record-s --,--Human -- Resources I----~ ---Safety Heehh I -r I -.- 236/De/eted :;:;,1i11g Records, I 1 Co mbined with 1 · R S 2 35 r-··--------··----- 23 7 Travel Records ' Originating Division AR SU CL SU 1 _________ , _________ --- 238 1 Trial Balance Records . Accounting ' I ,-239 ---, Undergr~=~~~~~:ge .; CE~virl~nmentald .---1 I ;T nk F.I , omp rnnce an · a s 1 es M _ . orntonng 3 AR SU i CL+4 CL+6 3 SU CL+2 3 LI ,--2~-I Warehouse -R~cords---Purchasing~nd ~----, CL+2 , 1 Warehouse ' r --;-4~---, Wastehauler Files ----:·S--O & MC & -,----·-;--· .. 3 1 , ource 011tro 242 Work Orders Originating Division r--2-j~-l -----... jVorkers Compe1-;sati-;;,1 fS rfi---& H-. -I I I r ·i a ety , ea t 1 rl es -------------. . --- CL CL ------- CL+l 9 I' ~ r jr r r ' ------r----- ' I • I 29CFR 516.5 ·r r r I jP r r · 26 ,, r r CFRl.6041.1 lr r r , s ccR 3203 r r r --r: ,r r r r 23CCR 2772 I r r r r r r Ir r r r r ,\ --- 1RETENTION PERIOD EVENT Code: All retention periods are listed in ,years (unless otherwise specified) and are in addition to the current year. 1-1----:--;----r-·'Life(of --·--.-. -;----- AR ,Ann~al CL Closed, LI Organizati~n, :sA ,S~Je, . . SU Su erseded 1 Review Completed 1 1Plant, Eqmpment, D1spos1tion P 1 etc.) 1 ·-rA~L l--~------1--.---·-----c·---. -- 1Au 1Audit ,EX 1Exp1red 'RE 1Rev1 sed ST !settlement ITE !Termination 1 . ' . ------------------------ C:\OCSD-RlM\Records Retention Schedule Rev 4b.doc JSkillman/GM-Admin .. Record Series with Definitions ·-·----------------------r --. ----------- ORANGE COUNTY SANITATION DISTRICT 1 •AppendLX B !RECORDS MANAGEMENT Page 1 of 12 I :PROCEDURE MANUAL Da~ ~ssu ed: 11 /17/2000 , ; IRev1s1on: 4 -3/2004 I ,----. ---··----------···-··-~----·-·---I ! Is b-R d s · · h 0 fi . . Additions in Bil1e i u ~ect: ecor enes wit e 1rut10ns 'Ch . R d I anges m e 1.1 INTRODUCTION It is the policy of the Orange County Sanitation District (OCSD) to maintain a records and information management program that provides for the identification, access and protection of a ll records generated or received by OCSD in the conduct ofOCSD business. RECORD SERIES WITH DEFINITIONS ;1oo jAbandonment --'Records regarding abandonment,-------; ' 1condemnation, demolition, or relocati on of real . '. j ,property. . .----r.---------.--···----------' '10 1 ·Accident Records 'Records re lated to accidents during which , I I :ocsD property is damaged. Docs not include ' 1 'records on employee injury. ---------------~---·----------------- ! I 02 jAccounting Reports !Reports summarizing accounting transactions. ! !lo3-j A-;;counts Payable -1 R.-;co-rds~~l~ting to p--;ymc~t~ffin~cial I !Files !obligations (money owed by the organization). i I , Includes vendor invoices, bills, and statements. r---r------------------··------------·-·-! 1104 Accounts Receivable !Records related to accounting for money owed : jFiles :to the organ izati on includes user fees . : '.tos jAdministrativ;··--.Records of a general nature in~h;d~g copie~ ~f l Records memos, letters, chronological files, calenda rs, , ! !I ~daytim ers, pho n e m ess ages, etc. that pertain to '. I 1 ·general administrative activities and duties of I I 'th e D i visio n . 1106 rAg enda Reports --··R~~~.=ds relat-ed-to_tn __ -fo-~ation p ;ov id~dt~-~n-·· . I . I :~!~~~~~d~~:~i~~ ~~~~~~~::~~~~i~~mmittee : j !proceedings of the board committee including , board agendas. I 107 fAir Quality Files --j Rc-;;-~ds related-to South Coa~t Air QualitY : , Management District (AQMD) r egulations, ! I emissions monitoring and violations. l r I . ·---r--------·--1 1 108 Annexation Fi les Records regarding the annexing of property to I Jthe organization. -------~--------·--·-----------------------1 C:\OCSD-RIM\AppcndixB-Rccord Series with Definitions-Rev 4b.doc JSki llman/GM-Admin 1 Record Series with Definitions 1' 09 Annual Reports, r;--r·--·-I Financial ,-- 110 Annual Reports , Operational Records relating to the published annual financial reports, describing the financial !status of the organization. 'R ecords relating to the published -annual --- :technical and operational status and , ·performance reports of the organiza tion. li 'T1!rssoci-at-io_n_F_il_e_s __ iRecords related to members.hip or th-;~tivities i ;of profe ssi onal or indus try asso ciations of Jwhich the organization is a member or has a ·bu s iness intere st. i r Audit Records, --'.R;~~;-d ~um~-n-ti;-g-the -;e~iew of ---1 Environmenta l :compliance activities with establi s he d !environmental quality standards. 1 jl 13 ll Audit Records, --.1rR;c-or-ds-re-la-tin-g -to-th ~ revie~-a-n-d m~nitoriog -I I Financial of any accounting or financial records to ! I !ensure compli ance with GAAP standards and 1 1 j :th e organization's procedure s. ! Ji 14 !Aud.it Records , :R -ec-o-rd; rei-at-ed to internal rev-ie_w_s_o_f_O_C_S_D __ 1 1 1 !Internal iactivities to ensure compliance with \ ,procedures and sta ndards. Does not include 1 !ill iBaoking R.Zocds --~~::~:I ;~;a~:;•;;:~~:~:~;;i::t~d;;,g ' ·d eposit of fund s, bank s tat eme nts, bank J !re conciliation's, and wire fund transfers. i lil6 jBids, Awarde d ---. 1 ,The s uccess ful propo sa ls subrni ~d by-v~ndors i I to obtain contracts with OCS D, where OCS D . : !selects th at bid or proposal. Includes bid I I ' , ;pac kages. • r.--;-;:;-. -r:----·-· --·--_., ____ -· --·-- 1117 Bids, Board Review ;The s uccess ful proposals req uiring bo ard I Required, Awarded !approva l, s ubmitted by vendors to obtain contracts with OCSD, where OCSD selects i !that bid or proposal. lncludes bid pac kages . ;u 8 1Bids, Bo ard Review Pr;J;~-~Js, requiring board approval, s ubmitted , ·1 Required, :by vendors to obtain contracts with OCSD, ' Unawarded !where OCSD do es not award th a t bid or 1 ;proposal. Includes bid packages. fil9~ids,Una ;a rded--[T-b e unsuccessfu l propos;ls s~b~tt;d by - j I ;vendors to obtain contracts with O CSD, w here ! ibid is not awarded to that ve ndor. Includes bid I ;packages. 1 j120 !Biosolids ' Manage ment ! Records -------------·--------·----' :Records re lated to bio so lids hauling, use, and 'EMS a ctivities. fi2l iBoard I !Admini s trative Fil es ' ' !R ecords r~l ating to bo a rd me mb ers, ;appointments to the board/ directors li st. -------·---- C:\OCSD-RlM\AppcndixB-Rccord Series with De fini tions-Rev 4b.doc JSkillm an/GM-Admin ----- 2 Re cord Series wi th Definition s / 122 jBonds, Revenue --!B onds , revenue records re lating to u:itere-;-t -- '!bearing certificates (negotiable instruments) J I ,issued by OCSD to raise revenues, including ; ,certificates of participation. 1123 ~d ge tFiles, --[Records relating to internal pi~ ~-d- 1 :Approved lfinancial management. Includes budge v s . I ·cost reports, summaries, worksheets, goals and , ,objectives and milestones. j 124 ~dget Files, , !Pre liminary --fR ecords ·;e lat~d to projected income and -- !records that are "working co pies" preliminary I worksheets and drafts deve loped in preparatio n i of a budg et of autho rize d expenditures. I ; I 1125 leash Receipts fl26 11Certifica te ~f --- I Ins urance i I ~1 27 1 certificate of j Insurance, Board !Approved Contracts [Rec ords related ~ ca;h "PaYm~~ei ve d. - 1 Proof of insurance coverage, such as board jforms, required by OCSD for OCSD vendors providing certain goods or services unde r ;contracts that do not require board approval. Proof of insurance coverage, such as board forms, required by O C SD for OCSD vendors 'providing certain goods or servic es under l 1 ,co ntracts requiring board approval. r -·rr ------. -------------------- 1128 1c ha in of C us tody Records related to proving ownership or 1 ! 1Records, Laboratory !provenance o f a specimen, solu tion or sample. 1 129 lch;in -of C us tod y i R~cords-acknowledging-receipt of split --- ! Records, Source !sample, taken by a source control ins pe c tor. I ' , C ontrol jl30 ;check R egisters I . 1 Records li s ting individual checks issued , the d ate, payee, amount and purpose of th e I 1expense. r:-.----------.---------··---------I 1131 !Check Requests jFo rm s requesting the issuance of a check of i 1 warrant to pay for OCSD incurred expenses. 113 2 !checks, Cancelled roCSD issued checks cashed by the payee and ; :~e ~e? to OCSD by th e paying financial mslltutlon. 1133 :Checks, Co pies i---·- 1134 ,.Chemi cal In ventory 1 Records I -,------------------ !Copies of OCSD issued checks u sua lly fil ed toge th er b y chec k numbe r. .------------· ---- Records re lated to chemical deliv ery, chemical ,transfers, u sage, manifests worksheets and i nventory logs. :-.,City/County Utility-· 'iiti!ity requests from cities and the Cou11ty~f 1251 ,Requests Orange, Consulting Engineers a11d General , I ! , Correspo11de11ce with Cities (_~ County 1 1135 ;c laim Fi les ----~~~rd s regarding cl ~i~ of ~ro n gdoing by - 1 : 1thc organization or its employees. C laims ! 1 I ,genera ll y re quest compensation for d amage or l oss. C:\OCSD-RIM\AppendixB-Rocord Seri es with Definit ions-Rev 4b.d oc JSkill man/GM -Ad m in 3 Record Series with Definition s 136Fmplaint File;-- ! rmlcompliaoce I Records I I 1Records re lated to complaints filed by the !public regarding the organizations operations or activities. Includes problem reports and I r. ll ... J O ow 11p act1v1t1es. ~------------------· - .Records relating to monitoring the !environment and ensuring compliance with pertinent regulations. Includ es compliance, !monitoring, QA, QC and spill r eports. l -13B fO;~puter--------fR ecords reg arding~o rk activities to main-~ln ·-1 !M a intenance Files 1and ensure continu ed operation of computer 1 :systems and applications. I 139 !Computer System Records re lated to the maintenance of software ' 1Administration '!applications. I !Records r -~--140 !Confined Space !Records related to procedures, permits and , 1Records 1entry into confined spaces. 114lfContlict of Inte rest 1Records relating to conflict of interest filings ' !Filings for candidates for the board, fo r ex.isting board I r -.----- 1142 1Contracts/ I jAgreements I '1 43 jContracts/ ! Agreem ents, Board Approval Required I I ,members, and designated employees. ·Records relating to obli gatio ns defined in contracts and agreements not requiring board lapprovaL Included promissory agreements, .contracts for services, leases and software 1licenses . [Records relating to obli gations defined ~----- contracts and agreements requiring board !approval. Included promissory agreements, 'contracts for services, leases and software !licenses. ~ 44 ,Crane Inspec tion -,Records re lated t~p-eri~di~ -insPe-;;tion-:annual I Records ,certifications, quadrennial proof load test I. ' II 1 reports, and permit to operate cranes and I derricks. r: -------- J45 !Deferred : Compensation 1 .146 lfj)e legation of Authority Records I I I Records of emp loyee contributions and OCSD 1 payments. -r------------- 1Records specifying the person(s) having the •temporary authority to approve specified jactivities or documents durin g the absence of !the individual normally authorized to perform , ,the activities or approve documents . .---------·--------· - 1 147 ·,D e li very Receipts Records documenting receipt of shipped !items. May include delivery shipment receipts 1 1 ., 1 1and registered mail recei pts which may be Jfited with 1'11rclzase Orders. ~. ·----~ -· --------- 1252 D OT R a ndom Drug R ecords of t ests do n e by o uts ide co11tracto r i11 ; 1 1& A lcoh ol Tes t lcomplia11 ce with DOT re quired Random I ,R ecords Drug & A l coh ol Te sting ·-------------------- C:\OCSD-RIM\AppendixB-Rccord Series with De finiti ons -Rev 4b.doc JS killman/GM-Admin 4 Record Series with Definitions 18 IDrawings, As-Built !!Records that graphically depict s p ecifications. Copy of confirmed drawings marked up by !contractors during construction to show how jfacility or component is actually constructed_ Records th at graphically depict specifications for piping and in s trume ntation_ Includes 1control logic diagrams and loop di agrams. 1149 IDrawings, Baseline 1150 r ;;,w ing s, BM Set .!Drawings that -graphically depict ' specifications for the design of buildings, building systems, and s ub syste ms, proposed ;construction or architectural renderings. I I fUa ~D-r_a_w-in_g_s_, j Conformed 1249 r ·-a-w-in_g_s_, -R-ec_o_r_d_ I I The drawings generated for use during the !construction phase of a co11tract from the bid set of co11tract plans that have been updated !with an i11terpretatio11 of changes that have '. ! occurred as a result of addenda issued during ! the bidding period. 1 'The District's best record of the construction l lof a project. Conformed drawings that have been updated with any changes occurring !during the constructio11 of the contract. ~---- 151 'Drawings, Shop -·--I Re ~ords including drawings, diagrams, I I I p 2 r_as_e_m_e_n_ts ___ _ ! 153 'Employee Benefit I Plaas and Program I t iles i 154 l 1 E._n_v_ir_o_nm_e_n_ta __ I __ Impact Report I !illustrations, schedules, performance charts, lbrochures and othe r data that are prepared by jcontractors, manufacturers, suppliers or !distributors and which illustrate some portion 1of the projec t. I [ ------- Records related to the right of access to, and :maintenance of, sewer related properties. i !Records related to all employee b ene fi ts plans, 1 and programs including health in surance, I ' tuition reimbursement, thrift plans, beneficiary designations, eligibility . 1 Records used to prepare the draft and fin a l EIR 1 lpublished by the District and EIR 's submitted I ljrom outside sources for review by the I ID· · I zstr1ct .. fl55 1EOC Activation jRecords related to docwnenting activities of I R ecords e me rge ncy operations center (EOC) during a I I 1declared emergency. --i I I fl5-6 ,1£q ~pme;t -----Reco~ds regard·in--g-m_a_i_n_ta_irun ____ g _O_C_S_D_ 'I Maintenance !equipment and vehicles (excluding crane I. !Records !records) includes daily mainte nance reports, jservice checklist, preventative maintenance I ·schedules, servic e logs and te s t records. ! ' ! I ·--------· C:\OCSD-RIM\AppcndixB-Rccord Series with Definitions-Rev 4b.d oc JSkill man/GM-Admia 5 Record Series with Definitions Ownership including correspondence, drawings, operating : r Equipment 1Records related to ownership of equipment I 1 'instructions, warranties and registrations. 1158 ~E_x_p_e_n-se_R __ e_p_o_rts--'Records relating to the reimbursement of 1 jemployee incurred expenses for travel or other i I ·costs when conducting the organizations !business. 1 1159 1 ~F_in_a_n_c-ia_l _P-la_nnm_· -g-IRecords related to tlze budgeting and planning i ,of the organizations revenues and expenses. ' ~·~F-in_a_n_c-ia_l _____ IRecords stating the financial position and ---i I Statements 1condition of the organization. li611Fixed Asset Re~ords -,Records relating to the acquisition, --- 1 I ,depreciation and accruals of fixed assets. , 1162 IFlow Records jRecords related to tracking influent and -----j 1effluent. I 163 Formation Files 1164 !General Ledger --· !Records documenting the terms under which--! !OCSD was formed, organized, re-organized or I jconsolidated. 1 ·! 1Summary of all financial accounts. Records 1 !relating to the postings to the General Ledger. [i65 1IGrant Records, iRecords regarding unsuccessful grant I Unsu ccessful 1applica tions for federal or state grants. 1 1 166 1 1 Grievance ,,Records includes arbitration b ~tw_e_e_n -~-pl-oy ~~: and employee, grievances, union requests, 1 I ! employee rights, employee rights information, I '! !appeals, sexual harassment information and I 1 civil rights information. _j 1 167 1 ~H-a_z_ar_d_o_u_s_W_a_s-te jRecords rega rding the storage, transport, or ! , 1 Rccords 1handling of h azardous waste. Includes I I : ILockout/tagout and mapping source records. I 1 1168 [Historical Subj ect IRecords retained for the life of the I jFi les !organization due to their enduring value, rather i ! ,than solely for business or legal purposes. ; ! !Records that document th e origination, I I significant events, and strategic planning of the · 1 i \organization. i 1169 : ~I --9-F_o_rm_s __ ---rForrns r equired by the federal govemme-;;t -: • I )under th e requirem ents of the Immigration ' J ! !Reform/Control Act of 1986. • 1170 Incident R·-e-c-or_d_s __ Jincludes records regarding unscheduled ! I !maintenance, or de liberate property damage I I !s uch as theft, arson, vandalism, or other loss of i jOCSD assets. Does not include safety I ·organizations' accident reports. C:\OCSD-RlM\AppcndixB-Rccord Series with De finitions-Rev 4b.doc JSkillman/GM-Admin 6 Record Series with Defmitions 1171 !Industrial Hygiene ~rts and documentation prepared by staff ! j jFiles certified industrial hygienist; includes I I I no mies of the workplace, air sampling, ! 1 I jnoise testing, and workplace contaminants. I 1112 Inspection Records, Records related to inspection of the daily ---1 'I Construction Daily progress of construction activities to ensure i I . Progress quality and compliance with specifications and i I . 1 , 1standards. I I 17J-~pection Records, !Records relates to speci;it}r msPectio~~f-l jconstruction !construction activities to ensure compliance I. I . !Specialty with specifications. Includes welding, ! !vibration analysis, soils analysis and pile i I ! !driving inspections. I rj_Ins_p-ec_ti_o_n_R_e-po_rts_, -!Records related to the comprehensive ;Manhole !evaluation of the wear condition of the I ! manhole structure including frame and cover 1 ,replacement records. l. 175 1 11nsurance Policies 1Records related to insurance policies i 1 !purchased by OCSD, including the policies ! I land any amendments. I 116 j1nvestment Records !Records relating to inve~tments including the 1 1 I !purchase of stocks, bonds or other equities, 1 j ownership and account statements. j246 Irr Backup Tapes !Computer tapes used for Disaster Recovery I I I I ! 1purposes 1 ------r----------------------·; 1 177 /Job Descriptions iRecords describing the duties and ! : !responsibility of each job position and the ! ! ! !expectations for performance. i I 178 !!Journal Entries !Account postings with supporting ------·-: ! , jdocumentation. ; ri79~boratory Records -[Records rel~;d to laboratory activities-----·-·; I, 1• !including data logs, lab equipment j• j maintenance and sterilization, QA and QC 1 l . !records. l fi8o !Legislation File;· ----,Records regarding local, state .and federal . ; I !legislation, session bills, lobbying files and ! !summaries of bills that may affect OCSD's I 1 joperations or organization. 1243 lLine Maintenance fvid~o tapes and other records._o_f_m_am_·_te_nan_c_e_ ! /Files land inspection of sewer lines. !181 !Litigation Files ~cords related to possible or actual litigation I i lor government investigations. Includes court ! I jproceedings records, pleadings, discovery, ! ! I Jwork product, exhibits and final judgments. I --------·---------------------------~--------1 C:\OCSD-RIM\AppendixB-Record Series with Definitions-Rev 4b.doc JSkillman/GM-Admin 7 Record Series with Definitions 1A document listing activities, items, :individuals and noting the same information !about each entity. Log entries generally occur Jin chronological order. fl83 !Logs, Cont;ol ---- 1 iB ound notebooks describing ~tivities~ item_s _ l I jCenter or individuals regarding plant operations. Log I 1 1entries generally occur in chronological order. i l aster/Strotegic j'Report describing long range pro~am or -: Plans major projects planning and goals ofOCSD. I , !Includes strategic plans. flgs Material Safety Data !Records relating to the description ~~d u se ~f ; I Sheets Jhazardous substances. ; 186 IMedical Files 1 1Records related to the medical history of -- l ernployecs, including injury and illness , ,records. I Meeting Minutes,! ~M-ee_t_in_g_rrun_·_u_t_e_s_, a-dm--iru-.-strative reZc;~<ls ___ . - Administrative :regarding the agenda and description of the • !decisions made or actions taken during the ! i 1meeting, for meetings not board-related. r-j Meeting Minute ~·:--jR~c ords regarding agend;, meeting minutes , : Board ·resolutions, actions and decisions, of the Board . jof Directors. Includes administrative orders, 1 ,minute orders and minute actions. . fi89 1Meetin_g_Min_.-u--te-s,--!Records regarding agenda, ~eet~g-rni1:mtes:- I Board Committees !resolutions, actions and d ec isions of a board I I !committee. [l90 1J Monthly Reports !Records related to operating and status I 1in forma tion used to complete OCSD annual I ~reports. fi91 10perating Journals !Daily entries documenting activitiesi~'di;trfd I 1operations. Includes crew schedu les. ' 1192 IOperating Records /Record s related to district operatio;;;-In~ludes ; 1data books, operating reports, o ve rtim e, crew j / sch edules and daily lab reports. i !193 IOpinions ------·--,Writte~ legal ~pinions re sulting from ~esearch I on a given topic. , 1i94-10rdinances -------[Re~l;tions en~ted by-b-oard-action-~d I--. jrelated r ecords. Includes local limits report. [i 95 10SHA Comp l iance 1Records describing procedures f~ -I Records !emergencies. Includes disaster recovery 1 'procedures. rlPayro ll Records IRecords i~~-lu_d_i_n_g_t-im-es h eets, unempley~11;1u : le/aims, g arnishments and the payment of I ' labor costs including salaries, wages, and I deductions. C:\OCSD-RfM\AppcadixB-Rccord Series wi th Definitions-Rev 4b.doc J Skillman/GM-Admin 8 Record Series with Defin itions ji97 Penni~------iRecords including permits to operate plants, I !machinery, equipment and v e hicle permits. J iAlso includes right-of-way records and sewe r 1 connection permits. Does not include NPDES I !or AQMD permits or p erm its grante d to th e !EAC. fl98 ,Permits, AQMD ·-i Rec~-rds-r-el-at-~d-to pe ~ts g~ted by.AQMD -·I j ,to operate vanous eqmpment and engmes. 1 r Permits, Building ____ !R;cords rela ted to plans , s i gns,gra~g :----1 and Construction !encroachment, including blueprints and ! I !specifications. Approva l to construct or I J renovate property. I 1200 !Permits, NPDES---~ecords relating to th~-~pp l ication for a permit I .(section 301H Waiver) to discharge pollutants, 1 I I iin compliance with th e C lean Water Act. I !Includes the permit. ! fWl !Permittee Files ----!Records related to monitoring businesses with -i I 1 !discharge permits and urban runoff. r202 fers~nnel-File~ --·-fR~~~rds relating to individual employe~~ ! Records may include employment j ! !applications, pe rformance evaluations, salary ' jinformation, and separation documents . !203 ,PettY Cash-R~cords I I ------··----· -- 'R ecords documenting replenis hment of cash iand disbursements of cash from the petty cash !fund. lr204 Policies/Procedures ll Reco~d s p;o ~iding documentation on the - Adminis trati ve ,impl ementation o f managem e nt and 1 !administrative policies and directions for I :various organiza tional functions. p os--Poli~ies/Pro~~dur-;;;,-··Rec~rds .providing documentation on the -- Op erating and !implementation of tec hnical and operat ing Maintenance !policies and directions for various operational ' 1 func ti o ns. Includes technical, vendor and engineering manuals. r-r: -·~------------------- 124 7 IProblem R eports f or Communications,;,, any m edia , rece ived as a ' Collection System s :result of a c:o/lec:tio 11 system problem . j206 !Proj ec t Files --~c ords re lated to acti vities of l imited duration ! j(de fin ed start and end date), as opposed to !activities of an ongoin g nature. Can include a !wide variety of documents gathered for 'I !refere nce on a specifi c proj ect. A lso ref erred I 1to as j ob or contract files. 1 r:;o:-r--· ----·.-·-· ----------------I 1 207 IProof of Publication, jR eco rds related to proving that required public i Ordinances 'n otices have be en published in prescribed I !publications. i I f245 1Public Comment--Communications , written, voice and digital -I Files \from the public on District matters I C:\O CSD-RIM\Appeadix.B-Rccord Series with Defi niti ons-Re v 4b.doc 9 JSkillmaa/GM-Admio Record Series with Definitions i Public Re-;;~rrl --iR.~~ord; rejle~ting Public Record Requests , Requests iinc/11ding letters, memo's, e -mails and Public , , IRecord Request Forms i Public Relati~ns 'Records re lated to preparing public Records ;information, brochures de scribing O CSD 1activities, photographs and graphics used. 1209-,'Publications ·!Records re lated to providing information to the 1 public and to staff about OCSD activities. 1 I Includes internal newslette rs and news I !clippings. t 1210 1~~h~~ .. O~d~~----'.Rec ords m~nito ring th e-procu~-;;,;;n ~fg~ods -; j Flies ;and/or servic es. I 1 211 !Purchase Requisition ~'Zords re lated to the request for procurement I Files rl 1o f goods or services. Records initiating the I purchasing process. [212 11Rate Advisory -F ds re-la-te-d-to-d-et_e_rnurun __ -_-g_r_a-te_s_a-nd fees . I Committee Re cords !cha rged by OCSD. rz13~~ Records -~cords related to r~~fo r-p;chase~ -: j2 14 Re corded -----!The offtcial~ersion of a document r ecorded by ·j I D ocuments '.th e County Recorders office. Includes notice !of completio n, deeds an d easements. r--------- 1215 Records Des tru ction ;Documents certifying (confirming) the I Certificates 1destruction of official r ecords that h ave been ! 'approved for des truction. The certificat io n 'attests to the fact that d es truction was iaccomplished in accordance with applicable 1 • iprocedures. [216,R ecords -· _____ i_R_e-co_r_ds-re_g_a-rdin _____ g _th_e_m_an_a_g._e_rn_e_n_t -of-OCSD ' 1 Management Files 'records , including reco rd s mainte nance and i I itransfer r ecords . Does not include the i ; :retention schedule or d estruction certificates. 1217 ~cords R ete ntion -[T he document that lists ;a ch record series and I jSche dules ;the associated retention times, characteristics, ' 1 1. I ;respons ib le division, and legal ci tations, if .applicable. I !2 18 IRecruitment Records )Records regarding the advertisement of --; I !available pos itions of r equireme nts for s pecific ! I i'skill s, or the interview and s election process I 1 for prospective employees, includes job fair I records, j ob pos tin gs, advertising, interviews, r 1resumes, applications, an d testing.. , 12 i9-I R efereoce Files ro~-~~;~t., publis he d by outside -1 I ;organizations, used for reference, study and I 'research. Usually library-typ e (published) !d ocuments (i.e. b ooks, tec hnica l journals, I lperiodicals) or reference materials kept only !until superced ed by the next editio n. C:IOCSD·RlM\Appcndi xB-Record Series with De finition s-Rev 4b.doc JSkillman/GM-Admin 10 Record Series with De finition s ;220 !Reports, F inancial I I I Records relating to financial, fi s cal and '.monthly reports. May include worksheets, spreadsheets, analysis and reports of fmancial or inves tment results. rn 1 22 } 11Jlq,·-orts-,-G-e_n_e_ra_I __ -R-e-co_r_d ; gene rated inte~all y_an_d_p_eri_odi-. c~"tty:. 1relating to the s tatus or progress of routine ;ac tiviti es or statistics. l. ,222 F eports, Technical 1Records related to the preparation of technica l lor management reports based on studies, the complcted re port or study. 1244 Research/Reference 1 Mat-e-ri-al_u_s_e_d-~s-re-f~r-en_c_e_m_· _d_e_v_e-lo_p_m_e_n_t of . ' '. Files ,c urre nt matters or projects j223 ~R-e-so_l_u-tio_ns_, -B-o-ar_d_ Fonnal expression of th e will , opinion and 1 ;intent voted by th e Board o f Directo rs, • ,legislative-typ e actions. f224 1Risk Management ·Report re cords related to_O_C_S_D_c-la-ini-s, loss 1 'run s, federal OSHA forms, loss analysis and 1rc lated records. -' j22 5 -S-al_ary_R-ec-o-rd-s---.-R-ec-ords related to O CSD employees deduction !authoriz ation , beneficiary designations. ~----------. --------------- 1 226 Security Clearance Records related to authorizing employees or Records, Computer !contractors to have access to an OCSD 1 Sys tems computer syste m, system module or the data I 'stored in a computer system or sy stem module. , ?27 !Sewer _L_in_e_R_;~~;ct; :R~~o~d;· r-e l-a~<l-t;;"-;e_w_e;-op~rati~~s and. -. 1 1 j 1mamte nance. Includes easements, atlas, sewer ·lin e videotapes and sewer index maps. -----------------··------------·-- 1228 !Software Records related to software applications I !Application Fil es 1owned by OCSD. Inclu des software I I i229 ~pe cifi cations l ·registrations. -~ecord s o.(th-e -pr_e_c_i~e detai ls and description - of the service or proj ect to be completed, or ithe item to be ordered, as approved by th e Board of Directors. i 230 -fpeech~ --. 1Records related to th e p r;iaration of I Presentations presentation materials by OCSD employees or l ! board me mbe rs . Includes text of speech, 1 presentation materia ls or computer l 'presentation software files . !23 1 !s ubjec t Files -----Records ~elated to topics and issues filed b y - I I 1th e subject of the records . May include I ·stu~~~· report s and other resul ts of res earch ,actt v 1t1 es. '-----'--------·--·-----·-... ----- C:\OCSD-RJM\AppcndixB -Rccord Series with Defini tions-Rev 4b .doe JSk illman/GM-Adm in 11 Record Series with Definitions j232 ~bmittals, Design .Plans and specifica tions submitted by 1 I I !contractors for OCSD's review and approval at I : 1s pecified completion stages (e.g. 30%, 60%, '. l ! !90%, 100%) of the engineering design phase. ; [ 233 IT ax R~co;ds ______ -:Reconls relating to th e mainte.,.;,~e of-----: :info rmation a bout tax liabilities, withholding I !and payment of taxes, records related to I fpayment of State and Federal taxes including I I !forms 1096 and W-2. [234 ,Tax Records, 'Records rel ated to reporting to the IRS, I . l099'S miscellaneous income paid to vendors and ! I \contractors. j235 jTraining Records Records re lating to th e training and orienu;t~~ i I 11 . jo f employ ees, except for safety training. Records may include class atte ndance sheets, I I 1schedul es, classes offered and records of class , !curriculum or syllabus, training m ateri a ls ! ; !development. 1 f236 1Training Reco rd s, iR ecords relating to the training of employees- ! jSafety in the areas of safety. Records may include ; 1j class attend ance sheets, schedules, classes I 1 !o ffered and records of class curriculum or ; I !syll abus, training materia ls development. j237 Travel Records -,Rec;;ds do ;umentb-ig tra~-;lrequ e;~-. 1 1itineraries, lodging o r transportation I. reserva tions. Expe nse reports are a separate 1 ;record series. !238 1jT;i ;l-Bala~--Records swrunary record ofac;;un t balances I 11 iby debits and cre dits to prove accuracy of 'accounting data. 1 1 239 jUnderground -IRe~~rds related t; the -~aintenance of . -i JStorage Tank Files !underground storage tanks. Includes permit. 1 J24o!Warehouse Records fl:IRecords related to man aging the w-;~house :-- 1 I includin g sa les orders, stock out, s hipping 1 I 1 records, ABC. r14 q waste Hauler Files IRec_o_r_d_s -re--la-t-ed-to_tra_n_s_p_orting waste to or -1 I j !from OCSD plants. Includes mani fests and , iwaste-baule r sched ul es . 1242 [w ork Order-;-·--fR.eco rds related to req ue stin g repairs,. j ! !alteration~, improve men ts , maintenance or ! I !other services; re cords re lated to the i 1completion of the work req uests. ~,----------------------1 1~.)J I Workers 1 Records relating to employee work related 1 ! 1Co mpensation Files !injuries , C :\OCSD-RIM\Appcnd ixB -Rccord Series w ith De fin itions-Rev 4b.doc JSkillman/GM-Admin 12 FAH RCOMMITTEE Meeting Date 3/10/04 AGENDA REPORT Item Number FAHR04-21 Orange County Sanitation District FROM: Lisa Tomko , Director of Human Resources Originator: Lisa Arosteguy, Human Resources Supervisor SUBJECT: STAFFING: RETIREMENT, PLANNED RECRUITMENTS , and "POSITION POOL" GENERAL MANAGER'S RECOMMENDATION To Bd. of Di r. 3/24/04 . Item Number 14.d. 1 . Approve the use of planned recruitments, on an as needed basis, to fill key positions within the organization where an individual hold ing a key position has a specific termination date previously established and has submitted a letter of resignation. 2 . Approve the use of a "Planned Recruitment Position Pool" administered by the Human Resources Department within the Division 540 FTE budget. 3 . Approve the revision s to the Recruitment Policy 6150.00. SUMMARY On July 1, 2005 The Orange County Sanitation District will contract with the Orange County Employee Retirement System (OCERS) to provide the new benefit formula of 2.5% @ age 55; at that time 196 district employees will be el igible at age 50 or older to qualify for retirement. The Human Resources Department is currently gathering information on the probab ility those employees retire. This information combined with the use of planned recruitments will help to ensure a smooth transition of candidates into key positions throughout the organization as individuals begin to retire. Two OCSD employees have communicated the ir intent to retire from the district before the end of Fiscal Year 03/04. The Human Resources Department and the Department Directors of the d ivisions affected believe that it would be beneficia l to initi ate a planned recruitment process approximately 90 days prior to these individuals leaving to ensure proper cross-training and smooth transition of a new candidate into the position. According to current position control parameters and the Recruitment Po licy 6150.00 , Human Resources will not initiate a recruitment unless there is an open, vacant positio n. This creates a need for a pool of vacant positions that can be used to initiate a planned recruitment. To ensure that vacant full-time equivalent (FTE) positions exi st to initiate a planned recruitment, the Human Resources Department requests that two additional FTE's be added to the Division 540 FTE budget. This will act as a "pool" of availabl e positions that the Human Resources Department can use to initiate an early recruitment process which w ill allow for a period of 1-3 months of cross-training once an individual is selected . Once the cross-training is complete, and the new individual officially starts, the position will be returned to the "pool " within the Divi si on 540 FTE budget. H:\deptlagenda\FAHR\FAHR2004\0304\04·21 .1_Ag enda Report_Staffing and Planned Recru ltments0304.doc Revi sed: 06/04103 Page 1 grandmother, grandfather, grandchild, cousin, aunt, uncle, mother-in-law, father- in-law, brother-in-law or sister-in-law. 4.0 POLICY 4.1 It is the District'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. Page 2of10 FAHR COMMITTEE Mee t ing Date 3/10/04 AGENDA REPORT Item Number FAHR04 -21 Orange County Sanitation District FROM: Lisa Tomko, Director of Human Resources Originator: Lisa Arosteguy, Human Resources Supervisor SUBJECT: STAFFING: RETIREMENT, PLANNED RECRUITMENTS , and "POSITION POOL" GENERAL MANAGER'S RECOMMENDATION To Bd. of Di r. 3/24/04 . Item Number 14.d . 1. Approve the use of planned recruitments, on an as needed basis , to fill key posi ti ons within the organization where an individual holding a key position has a specific termination date previously established and has submitted a letter of resignation . 2. Approve the use of a "Planned Recruitment Position Pool" administ ered by the Human Resources Department within the Division 540 FTE budget. 3. Approve the revisions to the Recruitment Policy 8150.00. SUMMARY On July 1 , 2005 The Orange County Sanitation District will contract with the Orange County Employee Retirement System (OCERS) to provide the new benefit formula of 2 .5 % @ age 55; at that time 196 district employees will be eligible at age 50 or older to qualify for re ti rement. The Human Resources Department is currently gathering information o n the probability those employees retire . This information combined with the use of planned recruitments will help to ensure a smooth transition of candidates into key positions throughout the organization as individuals begin to retire. Two OCSD employees have communicated their intent to retire from the d istric t befo re the end of Fiscal Year 03/04. The Human Resources Department and the Department Directors of the divisions affected believe that it would be beneficial to initiate a planned recruitment process approximately 90 days prior to these individuals leaving to ensure proper cross-train ing and smooth transition of a new candidate into the position . According to current position control parameters and the Recruitment Policy 8150 .00, Human Resources will not initiate a recruitment unless there is an open, vacant position. This creates a need for a pool of vacant positions that can be used to initiate a planned recruit ment. To ensure that vacant full -time equivalent (FTE) positions exist to initiate a planned recruitment, the Human Resources Department requests that two additional FTE's be added to the Division 540 FTE budget. This will act as a "pool" of ava ilable positions that the Human Resources Department can use to initiate an early recruitment process which will allow for a period of 1-3 months of cross-training once an individual is selected. Once the cross-training is c omplete, and the new individual officially starts, the position will be returned to the "pool" within the Division 540 FTE budget. H:\dept\agenda\FAHRIFAHR2004\03 04\04·21.1_Agenda Repon_S talfing and Pl anned Recl\Jitments030 4.doc Revised: 06104/03 Page 1 PRIOR COMMITTEE/BOARD ACTIONS N/A PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT D This item has been budgeted . (Line item: D This item has been budgeted. D This item has not been budgeted . [8] Not applicable ADDITIONAL INFORMATION The district participates in the Orange County Employee Retirement System (OCERS). The MOU's, recentl y approved by the Board of Directors for all the bargaining units, include a new retirement benefit formula for current employees that will be 2.5% @ age 55 . Employees are eligible for retirement when they are no longer working in a position requiring them to be a member of OCERS and they meet any of the following criteria : • Age 50 or over with 10 or more yea rs of service credit • Any age with 30 or more years of service credit • Age 70 or over, regardless of service credit The number of employees that are Cl:Jrrently employed by OCSD, and that meet the minimum eligibility requirements as stated above as of July 1, 2005 is 196, or 34.5% of the total workforce. The following are highlights of the planned recruitment process as proposed in the Recruitment Policy 8150.00 additions and revisions: • In instances where an e xisting district employee plans to retire or leave the agency, the Department Head may request to initiate the planned recruitment process by notifying the HR Director or designee. If approved, HR shall begin the recruitment process for the anticipated vacancy using the internal recruitment process. HR must have a minimum of si x months notice to consider a planned recruitment, a signed memo from the existing district employee stating his/her retirement or leave date, and at least one budgeted but vacant position that the district can borrow from. • The Planned Recruitment process will be initiated , as scheduling permits, prior to the retiree leaving the district to allow for an adequate amount of cross training . • If a candidate is selected from the internal recruitment process, the candidate shall remain in his/her e xisting position with the same salary and benefits while cross-train ing in the new position as scheduling permits . • The candidate shall assume the salary, benefits and full range of duties of the vacant position the first business day that the position is vacant. The position used to initiate the H:lntglobal\Agenda Draft Reports\Jolnt Boards\04·21.1_Agenda Report_ Staffing and Planned Recruitments0304.doc Revised : 06/04/03 Page 2 ,. > planned recruitment will then be returned to the "pool" within the Division 540 FTE budget for use with other planned recruitments. • The date the candidate assumes the vacant position shall be the first day of the candidate's six-month probationary period. The six-month probationary period will be utilized as an opportunity for the candidate and district management to assess whether or not the decision was appropriate. The candidate may be returned to his/her previous position if the decision is determined to be inappropriate. • If a candidate is not selected from the internal recruitment process, the position will be posted for external applicants immediately to ensure an adequate amount of time for cross-training. ALTERNATIVES 1. Continue with the current recruiting process as is to fill positions when they become vacant. 2. Authorize Human Resources to initiate the recruiting process without having a vacant position available to fill key positions where cross-training is essential. CEQA FINDINGS N/A ATTACHMENTS 1. Policy B 150.00 Recruitment with: Planned Recruitment additions {Sections 3.4 & 5.8) Hiring of Former Employees additions (Section 6.1.4) Employees on Performance Improvement Plans (PIP) addition (Section 7. 7) H:\ntglobalV\genda Draft Reports\Joint Boards\04-21.1_Agenda Report_Staffing and Planned RectUitments0304.doc Revised: 06104103 Page 3 ' ~ Orange County Policy Number: 8150.00 M~rch 24, 200~ Sanitation District Effective Date: OGtebeF 22, 2003 Subject: Recruitment Supersedes: October 22, :~oo~ f'.ebFuai:y 26, 2003 Approved by: 1.0 PURPOSE 1.1 The purpose of this policy is to establish uniform guidelines and procedures for the District's recruitment activities. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all District 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 Planned Recruitment is the process of recruiting a candidate for a position held by an existing District employee who plans to retire or leave the agency. 3.5 Probationary Period -Initial as defined in applicable MOU provisions, includes at least the first 6 months or 26 weeks of employment with the District 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 District management to assess, over a substantial period of time, whether or not the hiring decision was appropriate. 3.6 Probationary Period -Promotional as defined in applicable MOU provisions, includes at least the first 6 months or 120 days of employment with the District, 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 management to assess, over a substantial period of time, whether or not the decision was appropriate. 11At-will" employees do not serve a promotional probationary period. 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, Page I of 10 grandmother, grandfather, grandchild, cousin, aunt, uncle, mother-in-law, father- in-law, brother-in-law or sister-in-law. 4.0 POLICY 4.1 It is the District'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. Page 2of10 .,,.. t ' 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 District 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. 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 District 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 if 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 An materials (e.g., applications, resumes, interviewer notes, interview packets, packets, etc.) submitted by applicants/candidates during the interview process are confidential and are considered District 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. Page 3of10 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 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. Page 4of10 l 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 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 District 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 background screening firm. 5. 7 .4 When the status change form is approved and the background investigation 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 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. 5.8 PLANNED RECRUITMENT 5.8.1 In instances where an 'existing District employee plans to retire or leave the agency, the Department Head may request to initiate the planned recruitment process by notifying the HR Director or designee. If approved, HR shall begin t_he recruitment process for the anticipated vacancy using the internal recruitment process. HR must have a minimum of six months notice to consider a planned recruitment, a signed memo from the existing District employee stating his/her retirement or leave date, and at least one budgeted but vacant position that the District can borrow from. Page 5of10 5.8.2 The Planned· Recruitment proeess wilf be initiated, as scheduling permits, prior to the retiree leaving the District in order to allow for _an adequate amount of cross.training: 5.8.3 If a candidate is selected from th·e lntemal recruitment proeess, the candidate shall remain in his/her existing position with· the same salary and benefits while cross-training in the new position as sch~duling permits. 5.8.4 The candidate shall assume the salary, benefits ·and full range ofduties of the vacant position the first business day that the position is yacant The position used to initiate the. planned recruitment will th.en be returned to the "pool" within the ·Division 540 full~time equivalent (FT;E) budgettor use _with .oth~r planr:ied recruitm-~l'l,ts• 5.8.5 . The date the.candidate ass~in~s:fhevacant position shall be the.first·<:ta.Y of the candidate's six-month probationary period. The six-month probationary period will be utilized as an opportunity for the 'candidate and· District. management to assess whether or not -the decision was appropriate. The candidate may be returned to his/her previous position if the decisiQn is determined to be inappr9priate; 5.8.6 If a candfdate.is not selected from the internal recruitment process, the position will be posted for external candidates immediately .to ensure an adequate amount of time for cross-training. 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 OCSD policy prohibits the rehire ·of former full~time, regular employees or probationary status employees _who: were terminated for workplace misconduct; resigned while charges were pending against the employee; resigned while serving a suspension; failed to provide two weeks written notice in advance of resignation, unless approved by the Director of . Human Resources or designee; or failed to return to work following an absence .without leave of 40 consecutive work hours without notifying the immediate supervisor or·hum~n resources and providing ~n ·acceptable reason for their absence. Page 6of10 6.1.5 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 the District when the individual possesses knowledge and expertise of unique and particular benefit to the District 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). 6.1.6 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 District 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. 6.1.7 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 District for a period of one year after leaving District's employment. Thereafter, said business entity shall be allowed to contract with the District upon compliance with all resolutions and regulations of the District then in effect, relating to the procurement of services. 6.1.8 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. However, the former employee shall not perform work on District projects for a period of one year after leaving District employment; nor shall such former employee contact District officers or employees for the purpose of attempting to influence any District 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 District relating to procurement. 6.1.9 Any District employee who receives an offer of employment or a request to discuss potential employment from any person or business entity performing services for the District 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. 6.1.1 O 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 to do so. 6.2 EMPLOYMENT OF RELATIVES Page 7 of IO 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 The District 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. 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 lntern 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 District'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. 7 .4 Promoting an individual into a budgeted position requires the approval of the Division Manager, Department Head or General Manager. 7.5 The District retains the right to refuse to place a relative under the direct supervision of a District employee where such has a potential for creating an adverse impact on supervision, safety, security or morale. 7.6 The District 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. Page 8of10 7.7 ·Employees on Pertorrnance.lmprovemeht Plans are nofeligible forpromotion~I opportunities~ 7 .8 INITIAL PROBATIONARY PERIOD 7 .8.1 All persons hired by the District, 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 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. 7 .8.2 The probationary period may be extended by mutual agreement between the District 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 District at any time during the probationary period (including any extension) without cause or reason. 7.8.3 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 District during this period. In the event of release of a probationary employee, the employee shall not be entitled to receive any severance pay. 7.9 PROMOTIONAL PROBATIONARY PERIOD 7 .9.1 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 District management to assess, over a substantial period of time, whether or not the decision was appropriate. 7.10 REFERENCECHECKS 7 .10.1 Employment with the District 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. Page 9of10 7.10.2 The District may verify information contained in the job application of a prospective employee with the prospective employee's authorization. 7 .10.3 Inquiries to District 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 8.5 Policy C180.00, At-Will Policy Page 10of10 ,J \. !;; FAHR COMMITTEE Meeting Date To Bd. of Dir. 3/10/04 3/24/04 ·AGENDA REPORT Item Number Item Number FAH R04-22 14.e. Orange County Sanitation District FROM: Gary Streed , Director of Finance Originator: Marc Dubois , Contracts I Purchasing Manager SUBJECT: PURCHASING RESOLUTION AND DELEGATION OF AUTHORITY GENERAL MANAGER'S RECOMMENDATION Recommend to the Board of Directors the adoption of Resolution No. OCSD 04-08 , Establishing policies and procedures for: the award of purchase orders and contracts ; public works project contracts ; professional services contracts ; and delegatio n of authority to implement said policies and procedures. SUMMARY The last revisions to the Purchasing Resolution and Delegation of Authority were in November 1999, subsequent to cross-discipline and cross-department teams collaborating on improvements to our current processes , procedures , and delegated authorities. The changes proposed tonight are the results of the same type of process . The Steering Committee, the Operations, Maintenance and Technical Services Committee and the Planning, Design and Constructio n Comm ittee have each been requested to give this proposed new Delegation of Authority a first review in accordance your direction last month . A presentation to each of the Standing Committees was appropriate because the Resolution covers a variety of District business matters from public works contracts to the more routine procurement proces ses . Comments from those Committee meetings will be shared at the meeting . The major changes proposed are summarized in the attached f our-page tabl e entitled , "Comparison of Current and Proposed Purchasing Resolution." Many changes can be categorized as housekeeping or as minor improvements. Th e table will be discussed at the meeting . Changes in authority levels are restricted to the capital improvement process. These changes will streamline the approval process and will bring the authority levels into line with those for other procurements. These changes are shown on pages 3 and 4 of the short attachment. PRIOR COMMITTEE/BOARD ACTIONS Resolution No . 99-23: Establishing Policies and Procedures for the Award of Purchasing Orders and Contracts ; Award of Public Works Project Contracts ; Award of H:ldeptlagenda\Board Agenda Repons\2004 Board Agenda Repons\0304\ltem 14(e) DOAdoc Revised: 06/04/03 Pa ge 1 Professional Services Contracts ; and Delegation of Authority to Implement said Policies and Procedures was approved by the Board of Directors on November 17, 1999. PROJECT/CONTRACT COST SUMMARY These changes are e x pected to save time for staff and the Directors, but the amount and value cannot be quantified . BUDGET IMPACT D This item has been budgeted . (Line item : ) D This item has been budgeted, but there are insufficient funds . D This item has not been budgeted . [XI Not applicable (information item) ADDITIONAL INFORMATION Prev ious Resolution changes have allowed each Department Head to establish separate authority levels for purchases under $10 ,000, providing the organization with the ability to manage routine projects efficiently. Other notable improvements were the Genera l Manager's increased authority to procure operational supplies , services, equipment, and consultant services, along with a contract pre-approval process linked to our annual budget, saving considerable staff time and ancillary administration costs. Allowing the General Manager to award construction contracts up to $100,000 and the PDC Committee to award construction contracts up to $200 ,000 , has improved the efficiency of Engineering Department as they manage their ambitious construction program . The Small Capita l Project task order authority has been key in alleviating a backlog of smaller proj ects that had bui lt up over several years . Eliminating an annual RFP and consultant selection process , staff saved about 350 hours per year and allowed the District to lock in more favorable contract rates , by offering up to a three -year contract period . Although past Delegation of Authority revisions have obviously improved the District's ability to operate more efficiently and effectively , a number of corrections and improvements are still needed . At present, there is an imbalance of approval authority granted to the General Manager for operational supplies, services, equipment, and consultants, versus that granted for Capital project related agreements and addenda . The General Manager's authority for operational supplies, services, equipment, and consultants is capped at $100,000. However, the General Manager's authority for Primary Capital agreements is only $25 ,000 . With our Capital Improvement Program estimated at $1 .8 billion over the ne xt seven years alone, the General Manager's del e gated authority needs a major adjustment in order to meet the challenging demand ahead for major facilities rehabilitation and meeting secondary treatment standards. Routine procedures associated with Public Works projects should also be handled on the staff level. Close-out agreements, Notices of Completion, and Time Extensions (no H:ldepl\On\2101CRANE\FAHRI FAHR2004\M ARCHI04 .22.1_Agenda Report_DOA • FA HR.doc Re111sed : 06/04/03 Page 2 ., ~ 1 \ dollar change) are mostly procedural, however, these processes have not been identified in past Purchasing Resolutions or Delegations of Authority. Staff's ability to increase chemical contracts based upon chemical usage, but with proper Board oversight, is long overdue. Many times operational needs inside and outside the plants require an increased usage of chemical beyond forecasted quantities, resulting in total funding increases. The unit price, which was competitively bid and was the real basis for the vendor selection, remains unchanged in these situations. Staff time and resources to request Board approval or contractual increases caused by operational factors, not price increases, would be eliminated by this proposal. Other minor cleanup and housekeeping measures are also included. Adding terms and definitions for better understanding, clarifying the RFP process, expanding the District's cooperative contracts listing and putting the document in an easier to read format are among several notable improvements. ALTERNATIVES • Continue to utilize Resolution 99-23. • Approve some of the proposed changes, leaving some current practices in place CEQA FINDINGS N/A ATTACHMENTS 1. Comparison Summary Sheet "Current" vs. "Proposed" Delegation 2. Draft Purchasing Resolution MD H:\dept\fin\210\CRANE\FAHR\FAHR2004\MARCH\04.22.1_Agenda Report_DOA. FAHR.doc Revised: 06/04/03 Page 3 •I PDC Comments and Staff Recommendations for Changes to Proposed Delegation of Authority PDC recommendations Staff Proposed Delegation Staff Proposed Delegation Changes or and observations language Objective recommendations Page 15, Section 3.15: Shouldn't No real property of OCSD may be The new language includes two No negotiations concerning the Board discuss sale of real property sold, nor any negotiations leading additional reviewers to ensure sale of real property of OCSD may before it occurs instead of giving to such sale may be made, consistency and clearer lines of be made without prior review from subsequent approval? without prior review from authority. The Board will approve the Contracts/Purchasing Purchasing, Generaf. Counsel, and all real property sales before they Manager and the General subsequent approval of the Board are made. Counsel. No real property of of Directors. OCSD may be sold without prior approval of the Board of Directors. Page 17-18, Section 4.03 D & F: The Board of Directors or The processes to award to the The Contracts/Purchasing The Board or the Contracts/Purchasing Manager next lowest bidder when the low Manager may, on refusal or failure Contracts/Purchasing Manager may, on refusal or failure of the bidder fails to execute a contract of the successful bidder to execute may award to the next lowest successful bidder to execute the or to reject all bids and to rebid the contract, award it to the next bidder or reject all bids. Who contract, award it to the next are procedural. lowest responsive, responsible decides if it is the Board or the lowest responsive, responsible bidder. Contracts/Purchasing Manager? bidder. The new language was intended to cover both Board and non-In his discretion, the In its discretion, the Board of Board approved procurements. Contracts/Purchasing Manager Directors or Contracts/Purchasing may reject any and all bids Manager may reject any and all Any procurement over $100,000 presented and re-advertise for bids presented and re-advertise would be reviewed and approved bids. for bids. by the Board in any case. Page 18, Section 4.04, C: Said contract for supplies, The language proposed applies Said contract for supplies, Contracts/Purchasing Manager materials, equipment or services, only to contracts that have already materials, equipment or services, has approval for multiple one year including Professional Service been approved by the Board and including Professional Service renewal periods. Not comfortable Consultants, has Board of that contain a provision for fixed Consultants, includes Board of giving that much authority without Directors' approval for multiple number of renewals at the Directors' ~re-a1212roval for multiple Board approval. one (1) year renewal periods. All District's option. one ( 1 ) year renewal periods at such contract renewals shall the District's option. All such require the Contracts/Purchasing This language makes it clear that contract renewals shall require the Manager's approval. the Contracts/Purchasing Contracts/Purchasing Manager's Manager can exercise those pre-approval. approved options. Page 1of3 PDC Comments and Staff Recommendations for Changes to Proposed Cele ~ation of Authority PDC recommendations Staff Proposed Delegation Staff Proposed Delegation Changes or and observations language Objective recommendations Page 19, Section 4.07: How do The supplies, materials, The intent was to include The supplies, materials, you inspect a Professional Service equipment or services delivered, professional services or equipment or services delivered, Consultant? Does he/she have to including Professional Service deliverables resulting from a including Qerformance or undress? Consultants performed, shall be professional services contract. deliverables resulting from a inspected to determine their Professional Service Contract, conformance with the shall be inspected to determine specifications set forth in the their conformance with the purchase order or contract. specifications set forth in the Purchasing shall have the purchase order or contract. authority to request professional Purchasing shall have the services, or to require chemical authority to request professional and physical tests of samples services, or to require chemical submitted with bids and samples and physical tests of samples of deliveries which are necessary submitted with bids and samples to determine their quality and of deliveries which are necessary conformance with specifications. to determine their quality and conformance with specifications. Page 24, Section 5.05: Board Thereafter, the Director of This is not a change. The renewal If a change is desired, staff approval for renewals is absent. Engineering (DOE) shall be opportunity language has been in suggests we insert the following authorized to recommend to the place for the past 5 years and is language into A, prior to the General Manager an extension of the result of a recommendation existing renewal language: "The the qualified Professional Design from the PDC at that time. master list of firms will be selected Service Agreement for up to two based upon a solicitation, review (2) additional one (1) year renewal Because of the initial Board of qualifications, and Board periods, for a total of three (3) approval and the maximum approval of the agreements years, with each of the Parties annual payment to a single firm, including ug to two annual OQtional designated on the approved the renewals are the discretion of renewals." master list the General Manager. Page 2of3 .. , PDC Comments and Staff Recommendations for Changes to Proposed Dele ~ation of Authority PDC recommendations Staff Proposed Delegation Staff Proposed Delegation Changes or and observations language Objective recommendations Page 28, Section 5.08 H, For projects that involve small The intent is to eliminate Delete the word "small" from the Subsection 2 viii: For projects that engineering studies where a confusing language in the currently proposed language. The involve "small" engineering consultant is asked to provide a proposed delegation that may proposal was based upon studies, what is small? report not related or leading infer errors and omissions relationship to a project, not the directly to a design project, the insurance is required in all dollar value. General Manager (based upon engineering studies. engineering data from the Department Director), in his Many times errors and omissions discretion, may waive the insurance requirements would be requirement for the consultant to inappropriate for specific studies. provide errors and omissions/professional liability insurance. Page 36, Section 7.02 A: Does Authorization to evaluate Currently the Director of The language could be changed to the Director of Engineering need proposals and execute a Task Engineering can issue a task retain the $50,000 task order and $75,000 authority to execute a Order up to $7 5,000. order up to $50,000 and the $50,000 addenda limits in the task order? General Manager can authorize existing Resolution 99-23, if that is changes up to a combined total of the Committee's desire. $100,000. The proposed increase in the task order amount is offset by a reduction in the General Manager's authority for changes. The combined staff total authority remains at $100,000. Page 38, Section 7 .04 A: Have The approval authorities included To keep the current delegation General Manager limits are difficulty with higher figures. in the Resolution mailed to the limits for construction contracts as $100,000. PDC were reduced by staff after defined in Resolution 99-23 and the mailing and are not proposed. as shown in the FAHR agenda The PDC Committee limits are package. $200,000. Page 3of3 DRAFT12 March 11, 2004 RESOLUTION NO. OCSD 04-XX ESTABLISHING POLICIES AND PROCEDURES FOR: THE AWARD OF PURCHASE ORDERS AND CONTRACTS: PUBLIC WORKS PROJECT CONTRACTS: PROFESSIONAL SERVICES CONTRACTS: AND DELEGATION OF AUTHORITY TO IMPLEMENT SAID POLICIES AND PROCEDURES A RESOLUTION OF THE BOARD OF DIRECTORS OF ORANGE COUNTY SANITATION DISTRICT (DISTRICT OR OCSD) ESTABLISHING POLICIES AND PROCEDURES FOR THE AWARD OF PURCHASE ORDERS AND CONTRACTS; AWARD OF PUBLIC WORKS PROJECT CONTRACTS; AWARD OF PROFESSIONAL SERVICES CONTRACTS; AND DELEGATION OF AUTHORITY TO IMPLEMENT SAID POLICIES AND PROCEDURES; AND REPEALING RESOLUTION NO. OCSD 99-23 WS&S -TLW:pj:0-11 :02123/04:#181821 -REDLINE ARTICLE I: ARTICLE II: ARTICLE Ill: ARTICLE IV: TABLE OF CONTENTS RECITAL OF FINDINGS ..•••..•.••••••••••••..•••...•.••.•••••••.....•..•. Page 5 Section 1.01: Findings: Declaration of Intent. TERMS AND DEFINITIONS •.•••..•.....•.••.••.•.•••••..•••••••••••.•••. Page 6 Section 2.01: Terms and Definitions DELEGATION OF AUTHORITY -GENERAL ••.••••..••••••••• Page 9 Section 3.01: Purpose and Scope. Section 3.02: Authorizing General Manager to Establish Rules and Guidelines. Section 3.03: Procedure for Delegation of Authority > Approval Levels a. Co-signatures b. Procedural Requirements c. Special Consideration for Extraordinary Projects I Events Section 3.04: Purchasing System Adoption Section 3.05: Purchasing Division Delegated Authority Section 3.06: Procurement Card Program Section 3.07: Requisitions Section 3.08: Cooperative Procurement Section 3.09: Purchases: Emergency Section 3.10: Purchases: Sole Sources; Standardized Prices, Specialized Services, and Sole Sources Section 3.11: Purchase Orders Section 3.12: Purchases: Encumbrances of Funds Section 3.13: Blanket Purchase Orders Section 3.14: Surplus Supplies, Materials, and Equipment. Section 3.15: Sale of Real Property. Section 3.16: Recordkeeping OPERATIONAL SUPPLIES, MATERIALS, .•••••••.••.•••••••• Page 16 EQUIPMENT & SERVICES, INCLUDING PROFESSIONAL SERVICE CONSULTANTS (EXCLUDING PUBLIC WORKS CONTRACTS OR PROFESSIONAL DESIGN SERVICE AGREEMENTS) Section 4.01: Purpose and Scope. Section 4.02: Purchases: Bidding Requirements. Section 4.03: Bidding Procedure: Purchases Greater than $50,000. Section 4.04: Purchases between $50,000 and $100,000. Section 4.05: Bidding Procedure: Purchases Less Than $50,000. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE ii ARTICLE V: ARTICLE VI: Section 4.06: Bidding Procedure: Purchases Less Than $5,000. Section 4.07: Inspection and Testing. Section 4.08: Purchases: Negotiated Contracts. Section 4.09: Request for Proposal Procedure. PROFESSIONAL DESIGN SERVICE AGREEMENTS •.. Page 22 Section 5.01: Purpose and Scope. Section 5.02: Retention of Professional Design Consultants. Section 5.03: Facilities Engineering Project. Section 5.04: Facilities Engineering Project: Approval of Plans and Specifications. Section 5.05: Facilities Engineering Project: Annual Budget Approval. Section 5.06: Facilities Engineering Project: Selection of Consultants -Procedure. Section 5.07: Major Capital Project: Approval of Plans and Specifications. Section 5.08: Major Capital Project: Scope of Work a. Proposals-Notice Requesting b. Staff Screening Committee c. Proposal -Contents d. Review of Proposals by Staff Screening Committee e. Procurement & Negotiation of Agreement f. Continuation of Services g. Specialized Services h. Agreement for Services i. Conflict of Interest Section 5:09: Major Capital Project: Selection of Consultants - Procedure. PUBLIC WORKS CONSTRUCTION CONTRACTS ..•••••. Page 30 Section 6.01: Purpose and Scope. a. Notice Inviting Bids b. Bidder's Security c. Bid Opening Procedure d. Rejection of Bids e. Tie Bids f. No Bids g. One Bid h. Emergencies i. Surety Bonds j. Cost Records Section 6.02: Public Works: Bidding Required. Section 6.03: Bidding Procedure: Public Works Construction Greater than $35,000. WS&S-TLW:pj:D-11:02123/04:#181821-REDLINE jjj ARTICLE VII: ARTICLE VIII: ARTICLE IX: AWARD AUTHORIZATION ..••••••••.••••••••••••..•••.•••.••••.•...•• Page 33 Section 7.01 Operational Supplies, Materials, Equipment & Services, Including Professional Service Consultants: A. Primary Agreements & Purchases B. Amendments Section 7 .02 Facilities Engineering Projects: A. Task Orders B. Amendments Section 7.03 Major Capital Projects -Professional Design Services: A. Primary Agreements B. Amendments Section 7.04 Public Works Projects: A. Primary Agreements B. Change Orders C. Close-Out Agreements D. Notice of Completion E. Time Extension to Public Works Contract TRAINING, MEETINGS, AND RELATED TRAVEL EXPENDITURES ••.•••••.•..•••..••.••••••••••...••.•••••••..••••••••••••.• Page 41 Section 7.01: Purpose and Scope. Section 7 .02: General. Section 7.03: Policies and Procedures. MISCELLANEOUS •••.•.••••.••.••••••.•••••••..•••.••••••.•..•.••...•••••. Page 42 Section 8.01: Noncompliance. Section 8.02: Severability. Section 8.03: Effective Date. Section 8.04: Repeal of Prior Resolution. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE iv ARTICLE I RECITAL OF FINDINGS Section 1.01 : Findings: Declaration of Intent. A. California Government Code Section 54202 requires that every local agency shall adopt policies and procedures, including bidding regulations governing purchases of supplies, services, materials and equipment, and that purchases of supplies, services, materials and equipment by the local agency shall be in accordance with said duly adopted policies. B. California Government Code Section 54204 requires that if the local agency is other than a city, county, or city and county, policies provided for in Section 54202 of said Code shall be adopted by means of a written rule or regulation, copies of which shall be available for public distribution. C. In order to establish efficient procedures for the purchase of supplies, services, materials, and equipment, and the letting of public works contracts at the best possible cost commensurate with quality and delivery needs, together with other relevant factors, to exercise positive financial control over purchases, and to clearly define authority for the purchasing function, and to establish bidding procedures, a purchasing system for OCSD beyond what is required by said Sections of the Government Code is desirable and in the best public interest. D. An effective, comprehensive organization needs an administrative structure with support procedures that are logical, efficient, well documented, are understood by the organization's employees and members of the public, and that will enable timely and responsive administrative acquisition of supplies, services, materials. and equipment. The organization should also appropriately delegate authority to those persons and units having responsibility for these activities. E. The Board of Directors has determined that a delegation of authority structure provides for better training of employees which will result in improved efficiency and effectiveness of OCSD's operations. WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 5 ARTICLE II TERMS AND DEFINITIONS Section 2.01 : Terms and Definitions. A. "Amendment or Change Order" shall mean written agreements entered into and between the Professional Service Provider or Contractor and OCSD, properly executed, covering alterations, changes, additions, or deletions to the Contract which are necessary for the proper completion of the work. B. "Capital Facilities" shall mean those public works owned by OCSD that are currently in existence. C. "Capital Facilities Operational Projects" shall mean the routine, recurring, and usual work for the preservation or protection of any public works, as well as any minor repainting, landscape, maintenance, or work performed to keep, operate, and maintain OCSD's water, power and wastewater disposal systems. This work shall include modification or repair, or the replacement of parts, equipment, and facilities. D. "Capital Improvements" shall mean those public works that are to be newly-erected or constructed by OCSD in the future. E. "Change Order" shall mean written agreements entered into and between the Contractor and OCSD, for Public Works Contracts, properly executed, covering alterations, changes, additions, or deletions to the Contract, which are necessary for the proper completion of the work. F. "Competitive Bidding" shall mean the process and procedure whereby OCSD, in accordance with California Public Contract Code Section 20783, prepares Plans and Specifications for the construction of public works; publishes a Notice Inviting Bids, and at a fixed time opens all bids received; and subsequently awards a Construction Contract to the lowest responsive and responsible bidder. G. "Design Agreement" shall mean a contract between OCSD and a Professional Design Consultant who is licensed, certified, or registered by the State of California to perform professional services. For OCSD purposes, these individuals shall be known as "Professional Design Consultants". H. "Facility Engineering Project" shall mean a miscellaneous capital improvement or facility modification, replacement, or repair project, related to plant safety, reliability and efficiency enhancements where professional consulting services are estimated to be in an amount not to exceed $100,000 (inclusive of amendments) for each project. I. "Force Account" shall mean work that is performed solely by OCSD employees which has a cost value, including labor, overhead, parts, and supplies, in an amount not to exceed $5,000 for each Project, except as allowed in WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 6 Subparagraphs (a) and (b) below. It does not mean work performed for OCSD by persons or an entity under contract to OCSD, even when said work may be ordered by OCSD as being outside or beyond the original contract scope of work. OCSD employees may perform work on contracts, without limitation on amount only, for one of the following reasons: (a) It is an emergency and performing the work with OCSD forces is more expedient; or (b) The Board of Directors has rejected all bids and by a four-fifths vote declared that the work can be performed more economically by day labor. A written cost effectiveness analysis must be placed in the contract file. This force account provision shall not apply to sewerage maintenance or repair work. J. "PDC" shall mean the Planning, Design and Construction Committee of the Board of Directors. K. "Major Capital Projects" shall mean the construction, repair, modification, or rehabilitation of OCSD's Capital Facilities, including treatment plants, trunk sewers, pump stations, ocean outfall, administrative and support facilities, and other facilities related to OCSD operations, where the cost of Professional Design and Consultant Services are estimated to be in an amount in excess of $100,000 for any project. These projects may require Selection Committee or Board approvals. L. "Professional Design Consultant" shall mean an individual or firm providing engineering, architectural, environmental, land surveying, construction management, and other similar services which are those professional services associated with development and design for construction, alteration, or repair of public works, as well as incidental services that members of these professions, and those in their employ, may logically or justifiably perform, including studies, investigations, surveys, evaluations, consultations, planning, inspections, shop drawing reviews, sample recommendations, cost estimates, inspections, preparation of operation and maintenance manuals, and other related services, all of which must be incidental to OCSD awarding a contract for the construction of public works. M. "Professional Design Service Agreement" shall mean a Contract between OCSD and a Professional Design Consultant to provide services to OCSD for professional engineering, architecture, environmental, land surveying, and similar services as a non-employee of OCSD. N. "Professional Service Consultant" shall mean an individual or firm (other than a "Professional Design Consultant"), providing professional services to OCSD, such as, but not limited to, accounting and financial services, information technology, general research, evaluation of systems design related to wastewater treatment systems, legislative evaluation and advocacy, human resources consultation and advocacy, and miscellaneous scientific research and consultation. 0. "Professional Service Consultant Agreement" shall mean a contract between OCSD and a Professional Consultant to provide services to OCSD as a non-employee of the District. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 7 P. "Public Works" shall mean all buildings, structures, facilities, improvements, or works that are owned or operated by OCSD for the benefit of the public and which were or are being constructed, altered, demolished, or repaired under contract and paid for, in whole or in part, out of public funds. Q. "Public Works Contract" shall mean an Agreement between OCSD and another party for the erection, construction, alteration, repair, or improvement of any public works of any kind. Public Works projects estimated more than $35,000 must adhere to the provisions of the California Public Contract Code. WS&S-TLW:pj:D-11 :02/23/04:#181821 -REDLINE 8 ARTICLE Ill DELEGATION OF AUTHORITY -GENERAL Section 3.01 : Purpose and Scope. In an effort to remove barriers that prevent OCSD employees from performing their jobs at the highest level of efficiency, a delegation of authority structure will appropriately provide staff with information on its increased responsibility and ownership, hence, it will contribute to the improved efficiency and effectiveness of OCSD. Section 3.02: Authorizing General Manager to Establish Rules and Guidelines. The levels of authorization to award purchase orders and contracts to acquire services, including professional services, supplies, materials, and public works project contracts, are as more particularly specified in Article VI I herein. The General Manager of OCSD is hereby authorized to establish rules and guidelines to implement Board policies and to delegate to Staff, signature authority to initiate the procurement process, as specified in Articles IV through VII herein. Section 3.03: A. Procedure for Delegation of Authority. These procedures establish the framework and boundaries within which a delegate can operate, and also provide Management with a mechanism to evaluate implementation and hold the delegate accountable for his I her actions. Upon delegation of authority by the General Manager, each Department shall be authorized to further delegate to respective employees within the Department. The delegation shall be effective upon the Department Head setting forth, in writing, the name of the delegated employee, the job position, and specific level of delegated authority as Staff Level A, 8, or C, respectively (as set forth in Section 7.01 A below), and filing it with the Contracts I Purchasing Manager. The General Manager shall establish procedures to implement further delegated authority into the organization. To commence the procurement process for acquisition of operational supplies, services, materials, and equipment, public works contracts governed by state law and professional and design service agreements, signature authority is hereby established as set forth in Section 7.01A below. The functional authority level listed describes the highest level of signature approval needed. Intermediate management approval between the initiator I requester and listed approval level must also be obtained. The General Manager may delegate authority for all purposes under this Resolution to an appropriate designee to act in the General Manager's absence. WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 9 B. Co-Signatures. In addition to the signature of the Delegated Authority: 1. To ensure that all policies and procedures governing purchase orders and contracts are followed, all contracts and purchase orders will be signed by the Contracts I Purchasing Manager, or his designee upon approval of the delegated authority specified in Section 7.01A. 2. All purchases for computer hardware, software, copiers, faxes, and communication equipment will be pre-approved by the Information Technology Director, or his designee. C. Procedural Requirements. All policies and procedures adopted by the Board of Directors or promulgated by the General Manager governing the procurement of supplies, materials, equipment or services, will apply, and shall be complied with. Budgeted funds must be available prior to the acquisition of goods or services. Upon the identification of goods or services needed that are not originally budgeted, either a budget transfer request form must be completed demonstrating that adequate funds are available to cover the acquisition, or the Board of Directors must authorize a budget amendment, at which time, the item being acquired would fall into the budgeted category. D. Special Consideration for Extraordinary Projects I Events. The Board of Directors, at its discretion, may temporarily increase the General Manager's purchasing approval and amendment I change order authority due to circumstances it finds critical to the operation. In addition, the Board may also allow the replenishment of the General Manager's amendment I change order authority, once exhausted, back to its original level, if necessary. Section 3.04: Purchasing System Adoption. The procedures and authority set forth in this Resolution are intended to operate in concert with and supplemental to the delegation of authority granted by the governing Board of Directors in the adoption of this Resolution. Full compliance with the provisions of all Articles in this Resolution is required. Section 3.05: Purchasing Division Delegated Authority. There is hereby vested in the Purchasing Division (hereinafter referred to as "Purchasing"), under the general supervision and direction of the Director of Finance, the authority for the purchase of supplies, services, materials, and equipment; letting of public works contracts; and the establishment of rules, procedures, and administrative policies relative thereto. The Director of Finance may delegate or assign any or all of the following duties to the Contracts I Purchasing Manager: A. To purchase or contract for supplies, services, materials, and equipment required by any Department or Division, in accordance with purchasing procedures prescribed by this Resolution; such administrative regulations as Purchasing WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 1 Q P. "Public Works" shall mean all buildings, structures, facilities, improvements, or works that are owned or operated by OCSD for the benefit of the public and which were or are being constructed, altered, demolished, or repaired under contract and paid for, in whole or in part, out of public funds. a. "Public Works Contract" shall mean an Agreement between OCSD and another party for the erection, construction, alteration, repair, or improvement of any public works of any kind. Public Works projects estimated more than $35,000 must adhere to the provisions of the California Public Contract Code. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 8 ARTICLE Ill DELEGATION OF AUTHORITY -GENERAL Section 3.01 : Purpose and Scope. In an effort to remove barriers that prevent OCSD employees from performing their jobs at the highest level of efficiency, a delegation of authority structure will appropriately provide staff with information on its increased responsibility and ownership, hence, it will contribute to the improved efficiency and effectiveness of OCSD. Section 3.02: Authorizing General Manager to Establish Rules and Guidelines. The levels of authorization to award purchase orders and contracts to acquire services, including professional services, supplies, materials, and public works project contracts, are as more particularly specified in Article VI I herein. The General Manager of OCSD is hereby authorized to establish rules and guidelines to implement Board policies and to delegate to Staff, signature authority to initiate the procurement process, as specified in Articles IV through VII herein. Section 3.03: A. Procedure for Delegation of Authority. These procedures establish the framework and boundaries within which a delegate can operate, and also provide Management with a mechanism to evaluate implementation and hold the delegate accountable for his I her actions. Upon delegation of authority by the General Manager, each Department shall be authorized to further delegate to respective employees within the Department. The delegation shall be effective upon the Department Head setting forth, in writing, the name of the delegated employee, the job position, and specific level of delegated authority as Staff Level A, 8, or C, respectively (as set forth in Section 7.01A below), and filing it with the Contracts I Purchasing Manager. The General Manager shall establish procedures to implement further delegated authority into the organization. To commence the procurement process for acquisition of operational supplies, services, materials, and equipment, public works contracts governed by state law and professional and design service agreements, signature authority is hereby established as set forth in Section 7.01A below. The functional authority level listed describes the highest level of signature approval needed. Intermediate management approval between the initiator I requester and listed approval level must also be obtained. The General Manager may delegate authority for all purposes under this Resolution to an appropriate designee to act in the General Manager's absence. WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 9 B. Co-Signatures. In addition to the signature of the Delegated Authority: 1. To ensure that all policies and procedures governing purchase orders and contracts are followed, all contracts and purchase orders will be signed by the Contracts I Purchasing Manager, or his designee upon approval of the delegated authority specified in Section 7.01A. 2. All purchases for computer hardware, software, copiers, faxes, and communication equipment will be pre-approved by the Information Technology Director, or his designee. C. Procedural Requirements. All policies and procedures adopted by the Board of Directors or promulgated by the General Manager governing the procurement of supplies, materials, equipment or services, will apply, and shall be complied with. Budgeted funds must be available prior to the acquisition of goods or services. Upon the identification of goods or services needed that are not originally budgeted, either a budget transfer request form must be completed demonstrating that adequate funds are available to cover the acquisition, or the Board of Directors must authorize a budget amendment, at which time, the item being acquired would fall into the budgeted category. D. Special Consideration for Extraordinary Projects I Events. The Board of Directors, at its discretion, may temporarily increase the General Manager's purchasing approval and amendment I change order authority due to circumstances it finds critical to the operation. In addition, the Board may also allow the replenishment of the General Manager's amendment I change order authority, once exhausted, back to its original level, if necessary. Section 3.04: Purchasing System Adoption. The procedures and authority set forth in this Resolution are intended to operate in concert with and supplemental to the delegation of authority granted by the governing Board of Directors in the adoption of this Resolution. Full compliance with the provisions of all Articles in this Resolution is required. Section 3.05: Purchasing Division Delegated Authority. There is hereby vested in the Purchasing Division (hereinafter referred to as "Purchasing"), under the general supervision and direction of the Director of Finance, the authority for the purchase of supplies, services, materials, and equipment; letting of public works contracts; and the establishment of rules, procedures, and administrative policies relative thereto. The Director of Finance may delegate or assign any or all of the following duties to the Contracts I Purchasing Manager: A. To purchase or contract for supplies, services, materials, and equipment required by any Department or Division, in accordance with purchasing procedures prescribed by this Resolution; such administrative regulations as Purchasing WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 1 Q shall adopt for the internal management and operation of Purchasing; and such other rules and regulations as shall be adopted by the Board of Directors. B. To negotiate and recommend execution of contracts for the purchase of supplies, services, materials, and equipment; for construction of public works projects; and for the disposition of surplus property and by-products of the sewage treatment process. C. To submit to General Counsel for review or approval, as necessary, contracts, purchase orders, and other related documents. The Board Secretary shall be the designated Custodian of all original executed copies of contracts, purchase orders, and other related documents which are approved by the Board of Directors. The Purchasing Department shall be the designated Custodian of all other executed contracts. D. To discourage uniform bidding and endeavor to obtain as full and open competition as possible on all purchases and sales. E. To prepare rules, regulations, procedures, and administrative policies, and revisions thereto, governing the purchase of supplies, services, materials, and equipment; for the letting of public works construction contracts in accordance with the provisions of state law; and disposition of surplus property and by-products of the sewage treatment process. F. To prepare rules, regulations, procedures, and administrative policies, and revisions thereto, governing the warehousing of inventories. G. To keep informed of current developments in the field of purchasing, including but not limited to prices, market conditions, and new products. H. To prescribe and maintain such forms as are reasonably necessary for the implementation of this Resolution and other rules and regulations of OCSD. I. To review and recommend specifications to establish minimum standards for all purchases. J. To supervise the inspection of all supplies, services, materials, and equipment purchases to insure conformance with specifications. K. To provide for the transfer of surplus or unused supplies and equipment between Departments, as needed. L. To have custodianship and control of all inventories and surplus property. M. To maintain a bidders' list, vendors' catalog file, and records needed for the efficient operation of the Purchasing Division. N. To review, approve, and maintain active insurance documents for all OCSD procurements. WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 11 0. To revise all records to reflect the sale, transfer, or reorganization of a supplier's business, or a change in the supplier's name for doing business, so long as all other terms and conditions of the original agreement remain the same. In such event of an assignment of the purchase order or contract by the supplier, OCSD shall not be bound until it has given its consent in writing, which consent shall not be unreasonably withheld. An amendment to the original agreement shall be prepared authorizing and consenting to the assignment and shall be executed by the General Manager, or his designee on OCSD's behalf. P. To undertake such other and future duties as, in the Director of Finance's discretion, are incidental and necessary to the conduct of the Division. Section 3.06. Procurement Card Program. OCSD has established a Procurement Card ("Procard") Program allowing specifically authorized employees to purchase goods and services with a total dollar value less than $1,000, thereby eliminating the purchase requisition, purchase order, invoice, and check requirements for these purchases. Approval for use of a Procard must first be obtained from OCSD's Procard Administrator, with the concurrence of the Contracts I Purchasing Manager and appropriate Department Head. All employees authorized by the Finance Department to use a Procurement Card shall do so only in accordance with OCSD's Procurement Card Policies and Procedures. Section 3.07: Requisitions. All OCSD employees who need or require supplies, services, materials, or equipment to carry out the defined duties of their positions, shall submit requisitions, in advance, for purchases or warehouse requisitions to Purchasing, in accordance with the adopted rules, regulations, procedures, and policies of the Purchasing Division. Usage of OCSD's procurement cards shall be exempt from this requirement. Section 3.08: Cooperative Procurement. A. OCSD, through Purchasing, may participate in or sponsor, conduct, and I or administer a Cooperative Procurement Agreement for the acquisition of procured items or services with any other public agency purchasing unit, or public agency alliance, in accordance with an agreement between OCSD and the other public agency. B. OCSD, through Purchasing, may sell to, acquire from, or use any property (other than real property) belonging to another public agency, including the cooperative use of supplies or services. C. Purchasing may, at its discretion, procure from the County of Orange Cooperative Purchasing Program, the State of California Multiple Award Schedules Program and the Department of General Services Program, the California Association of Public Purchasing Officers Program, the Western States Contracting Alliance, the County of Los Angeles' Cooperative or Piggyback Programs, and U.S. Communities Alliance, without obtaining bids and following procedures set forth below, if WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 12 the Contracts I Purchasing Manager determines that goods or services procured through said Programs are cost-favorable to OCSD. Section 3.09: Purchases: Emergency. Whenever an emergency arises which is, or may be, a threat to the continued required operations of the wastewater treatment plants and facilities owned by OCSD, or when purchases are immediately necessary for the preservation of life or property, or to avoid a threat to the public health or safety, the Division may purchase supplies, services, materials, or equipment required for immediate use, in an amount greater than One Hundred Thousand ($100,000) Dollars without observing the procedures set forth in this Resolution. The General Manager or his designee, shall advise the OCSD Chair and I or Vice Chair, as appropriate, of the action taken, and such action shall be ratified by the Board of Directors at its next regular meeting. Section 3.10: Purchases: Standardized Prices, Specialized Services. and Sole Sources. A. The Purchasing Division may make purchases of supplies, materials, equipment or services without observing the bidding and Board approval procedures of Section 4.13 below when: 1. Items to be purchased have a demonstrated uniformity in price; or 2. An emergency arises which is, or may cause, a threat to the continued required operations of Reclamation Plant 1 or Treatment Plant 2; or 3. Purchases are immediately necessary for the preservation of life or property, or to avoid a threat to the public health or safety; or 4. The Provider of goods or services is determined to be uniquely qualified to provide specialized goods or perform specialized services. 5. It is determined that there is a sole source Provider that has goods and services available immediately that might not otherwise be available at such time purchasing procedures could be completed, and Staff determines such items are critical to OCSD's operations; a. For sole sources greater than $100,000, the General Manager, or his designee, shall advise the OCSD Chair and I or Vice Chair, as appropriate, of the action taken, and such action shall be ratified by the Board of Directors at its next regular meeting. b. Sole sources between $50,000 and $100,000 shall be approved by the General Manager and reported to the Board of Directors quarterly. c. All sole sources shall require pre-approval from the requesting Department Head, the Contracts I Purchasing Manager and the Director of Finance. WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 13 Section 3.11 : Purchase Orders. Purchases of all supplies, services, materials, or equipment shall be made by purchase order through use of a requisition, and may also require a formal written contract when determined necessary or appropriate by the Contracts I Purchasing Manager. To ensure that all policies and procedures governing purchase orders and contracts are followed, all contracts or purchase orders will be executed by the Contracts I Purchasing Manager, or as delegated by the Contracts I Purchasing Manager. Employees requisitioning supplies and equipment shall be responsible that requisitions are in conformity with the spirit and intent of this Resolution and that no purchase has been broken into smaller units to evade any requirement of this Resolution. In accordance with OCSD's Records Retention Policy, Purchasing shall retain in its files one (1) copy of all purchase orders issued during the two (2) years preceding, on which copy of the purchase order there shall be a list of bidders and prices bid for the materials or equipment purchased, or if no bids or quotations were taken or received, a full statement as to the reason therefor. Section 3.12: Purchases: Encumbrances of Funds. Except in cases of emergency, no purchase order shall be issued for any supplies, services, materials, or equipment, unless there exists a sufficient budget item against which said purchase is to be charged, and which is not pledged towards any other specific purchase. Section 3.13: Blanket Purchase Orders. The Purchasing Division may issue annual blanket purchase orders for recurring purchases of miscellaneous supplies that: A. Are not carried in stock in OCSD's warehouse because of economic considerations; B. Are stock items that have been designated as appropriate so'e source acquisitions; C. Have been competitively bid because Purchasing determines it is in the best interests of OCSD to issue a blanket order for inventory items; or D. Are for miscellaneous supplies, services, materials and equipment where such purchase may be procured from a single vendor during the budget year, without observing the procedures prescribed in Section 4.03 below when, in the Purchasing Division's discretion, it is determined that such blanket purchase orders are at a cost favorable to OCSD and will result in a more efficient procurement of such items. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 14 Blanket purchase orders shall be in conformity with the spirit and intent of this Resolution. The Purchasing Division shall, at the beginning of each budget year, file a list of such purchase orders and the estimated annual amount with the Director of Finance. Section 3.14: Surplus Supplies. Materials. and Equipment. All Departments and I or Divisions shall submit to Purchasing, at such times and in such form as Purchasing shall prescribe, reports showing all supplies, materials, and I or equipment which are no longer used or which have become obsolete or worn out. Purchasing shall have the authority, as deemed appropriate by the Contracts I Purchasing Manager, to sell, exchange for, or trade in on new supplies, materials, and equipment, or dispose, as deemed appropriate, of all supplies, materials, and equipment which cannot be used by any other Department or Division, or which have become unsuitable for OCSD use. Section 3.15: Sale of Real Property. No negotiations concerning the sale of real property of OCSD may be made without prior review from the Contracts/Purchasing Manager and the General Counsel. No real property of OCSD may be sold without prior approval of the Board of Directors Section 3.16: Record keeping. A record of all sales of surplus property and by-products shall also be maintained by Purchasing upon or in which is maintained, the record of the bids received for the property or by-products sold, or if bids were not taken or received, a full explanation thereof. Such records shall be maintained for two (2) years after the sale. WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 15 ARTICLE IV OPERATIONAL SUPPLIES, MATERIALS, EQUIPMENT & SERVICES, INCLUDING PROFESSIONAL SERVICE CONSULTANTS (EXCLUDING PUBLIC WORKS CONTRACTS OR PROFESSIONAL DESIGN SERVICE AGREEMENTS) Section 4.01 : Purpose and Scope. In order to establish efficient procedures for the purchase of supplies, materials, equipment and services, including Professional Service Consultants, at the best possible cost, commensurate with quality and delivery needs and other relevant factors; to exercise positive financial control over purchases; to clearly define authority for the purchasing function; and to establish bidding procedures pursuant to Section 54202 of the Government Code of the State of California, a purchasing system is deemed necessary. This Article does not apply to Professional Design Service Agreements and Public Works Contracts, which are defined and governed by Articles V and VI below. Section 4.02: Purchases: Bidding Requirements. Except as hereinafter provided, purchasing of supplies, materials, equipment or services, including Professional Service Consultants, shall be by bid procedures as set forth in this Article IV, when the purchase is estimated to have a value greater than Five Thousand ($5,000) Dollars; the supplies or services may be obtained from more than one vendor; are not standardized as to price; and no emergency exists. Section 4.03: Bidding Procedure: Purchases Greater Than $50,000. A. Award to Lowest Bidder. Except as otherwise provided in this Article IV, purchases of supplies, materials, equipment or services, including Professional Service Consultants, of an estimated value greater than $50,000 shall be by written contract or purchase order with the lowest responsive and responsible bidder (unless a Request for Proposal solicitation instrument is utilized), pursuant to the procedures prescribed herein. B. Award Approval. Purchases of supplies, materials, equipment or services, including Professional Service Consultants, that are identified and have appropriate not to exceed contractual pre-approvals, as outlined in each Fiscal Year's annual budget, to include capital equipment, shall be bid and awarded directly by the Contracts I Purchasing Manager, or as delegated by the Contracts I Purchasing Manager in accordance with the procedures in this Section 4.03. Supplies, materials, equipment or services, including Professional Service Consultants, not budgeted, or which exceed the Board or pre-approved amount, or subsequent increases to the contract above the original amount identified and approved in the budget year the contract was awarded (both pre-approved or Board approved), or which WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 16 affect policy recommendations or ratifications, or are sole source contracts exceeding $100,000, and all applicable public works contracts, shall require Board of Directors' approval prior to issuance or award of a purchase order or contract, except as provided in Section 7.01 (B). C. Notice Inviting Bids. A Notice Inviting Bids shall be published and include a general description of the articles or services to be purchased or sold, shall state where bid forms and specifications may be secured, and the time and place for opening bids. 1. Published Notice. The Notice Inviting Bids shall set a date for the opening of bids. The publication or posting of the Notice shall be at least ten (10) days before the date of opening the bids. Notice may be published in a newspaper of general circulation, printed and published within OCSD's jurisdiction; or by electronic bulletin board procedures designed to reach the industry or market of supply; or through OCSD's Internet Web Site. 2. Bidder's List. Purchasing may also solicit sealed bids, or receive bids electronically, from all qualified, responsible prospective suppliers whose names are on the Bidders List maintained by OCSD, or who have requested their names to be added thereto. 3. Bulletin Boards. Purchasing may also advertise pending purchases or sales by a notice posted on a public bulletin board in the Purchasing Division Office, and by electronic bulletin board, as deemed appropriate by the Contract's Purchasing Manager. D. Bidder's Security. When deemed necessary by Purchasing, a bidder's security may be prescribed in the contract specifications or in the Notice Inviting Bids. Purchasing, or those assigned by Purchasing, shall maintain said bidders security. Bidders shall be entitled to the return of a bid security upon the full execution of an awarded contract or issuance of a purchase order by the successful bidder. A successful bidder shall forfeit its bid security upon refusal or failure to execute the contract within the prescribed time after the Notice of Award of Contract has been delivered to the bidder, unless OCSD is responsible for a delay in the prescribed time. The Contracts I Purchasing Manager may, on refusal or failure of the successful bidder to execute the contract, award it to the next lowest responsive, responsible bidder. If the Contracts I Purchasing Manager awards the contract to the next lowest bidder, an amount of the lowest bidder's security equal to the difference between the low bid and the awarded bid shall be forfeited to OCSD, and the surplus, if any, shall be returned to the lowest bidder. E. Bid Opening Procedure. Sealed or electronically received bids shall be submitted to the Contracts I Purchasing Manager and I or Secretary of the Board of Directors, and shall be identified as a bid on the envelope or the electronic bulletin board. Bids shall be opened in pubic by the Contracts I Purchasing Manager, or his designated representative, at the time and place stated in the public notices. A tabulation of all bids received shall be available for public inspection during regular business hours for a period of not less than thirty (30) calendar days after the bid opening. In cases wherein the Request for Proposal ("RFP") instrument is utilized, all WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 17 RFP's will be opened, and only the name of the Proposer shall be read aloud at the time and place set forth therein. F. Rejection of Bids. In its discretion, the Contracts I Purchasing Manager may reject any and all bids presented and re-advertise for bids. If all bids are rejected, the Contracts I Purchasing Manager may declare that the materials or supplies may be acquired at a lower cost by negotiation in the open market and authorize the purchase in that manner. G. Tie Bids. If two or more bids received are for the same total amount or unit price (with quality and service being equal), and if the public interest will not be best served by a delay of re-advertising for bids, the Board of Directors or Contracts I Purchasing Manager may accept the one it chooses or accept the lowest bid made by negotiation with the tie bidders at the time of the award. H. Performance Bonds. Purchasing shall have the authority to require a Faithful Performance Bond, a Labor and Materials Bond, and I or a Warranty Bond, before entering into a contract in an amount as it shall find reasonably necessary to protect the best interests of OCSD. If the Purchasing Division requires any of these Bonds, the form and amount of the Bond shall be described in the Notice Inviting Bids and in the Contract Specifications. Section 4.04: Purchases between $50,000 and $100,000. Purchasing may award a contract to purchase supplies, materials, equipment or services, including Professional Service Consultants, in an amount greater than $50,000 and less than $100,000, without obtaining bids and following the procedures all as more particularly set forth in Section 4.03 above when the Contracts I Purchasing Manager determines that: A. By purchasing immediately, it can avoid an imminent price increase or realize a substantial price discount that is available on a short-term basis only; or B. It can obtain supplies, materials, equipment or services, including Professional Service Consultants, immediately that might not otherwise be available at such time as purchasing procedures could be completed; or C. Said contract for supplies, materials, equipment or services, including Professional Service Consultants, includes Board of Directors' approval for multiple one (1) year renewal periods at the Districts option. All such contract renewals shall require the Contracts I Purchasing Manager's approval; or D. The supplies, materials, equipment or services, including Professional Service Consultants, are only available from a sole source; or E. Whenever an emergency arises which is, or may cause, a threat to the continued required operations of Reclamation Plant 1 or Treatment Plant 2, or when purchases are immediately necessary for the preservation of life or property, or to avoid a threat to the public health or safety. WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 18 Section 4.05: Bidding Procedure: Purchases Less Than $50,000. Purchases of supplies, materials, equipment or services, including Professional Service Consultants, of an estimated value in the amount of $50,000 or less on which bidding is not required by state law, may be made by Purchasing in the open market without observing the same procedures as prescribed by Section 4.03 above. The procedures to be used for these purchases are as follows: A. Minimum Number of Bids. Open market purchase shall, whenever possible, be based on at least three (3) bids and shall be awarded to the lowest responsive and responsible bidder, and shall be by written contract or purchase order. B. Solicitation of Bids. Bids shall be solicited by written requests to prospective vendors or purchasers and I or by telephone, facsimile transmission, electronic bulletin board, and I or by public notice posted on a public bulletin board in the Purchasing Division Offices. C. Receipt of Bids. Bids shall be submitted to Purchasing, which shall keep a public record of all open market orders and bids for a period of two (2) years after the submission of bids or the placing of orders. D. Exceptions. Purchasing may purchase supplies, materials, equipment or services, including Professional Service Consultants, without observing the procedures prescribed in Subparagraphs A, B, and C above, if supplies, materials, equipment or services, including Professional Consultant Services are only available from a sole source. All such purchases shall be approved by the Director of Finance, the requesting Department Head, and the Contracts I Purchasing Manager. Section 4.06: Bidding Procedure: Purchases Less Than $5,000. Purchasing may purchase supplies, materials, equipment or services, including Professional Service Consultants of a value in the amount of $5,000 or less per purchase order, without observing the procedures prescribed in Section 4.05 when, in the Contracts I Purchasing Manager's discretion, it is determined that observing such procedures would not result in a lower overall cost to OCSD. Record of such decision shall be fully stated in the purchase order file as to the reason therefor. Section 4.07: Inspection and Testing. The supplies, materials, equipment or services delivered, including performance or deliverables resulting from a Professional Service Contract, shall be inspected to determine their conformance with the specifications set forth in the purchase order or contract. Purchasing shall have the authority to request professional services, or to require chemical and physical tests of samples submitted with bids and samples of deliveries which are necessary to determine their quality and conformance with specifications. Section 4.08: Purchases: Negotiated Contracts. WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 19 Notwithstanding other provisions of this Resolution, the Board of Directors may, when it appears in the best interests of OCSD, authorize the Staff to negotiate and award a contract for the purchase of supplies, materials, equipment or services, including Professional Service Consultants, without observing the procedures prescribed in Sections 4.03, 4.04 and 4.05 above. A. When such authorization has been granted for the purchase of supplies, materials, equipment or services, including Professional Service Consultants, of an estimated value in the amount of $100,000 or greater, the Staff shall obtain the concurrence of OCSD Chair and I or Vice Chair, as appropriate, prior to awarding such purchase. B. Whenever any contract for supplies, materials, equipment or services, including Professional Service Consultants, has been entered into between OCSD and a person or entity, and Purchasing determines that it is in the best interest of OCSD to continue said contract with such person or entity, Purchasing may, in its discretion, negotiate an extension of such contract without observing the bidding procedures prescribed in Sections 4.03 and 4.05 above; provided, the original contract contains provisions for subsequent extension periods; has been approved and awarded by the Board of Directors; and I or has prior contractual pre-approval, as provided in Section 4.03. Section 4.09: Request for Proposal Procedure. As deemed appropriate by the Contracts I Purchasing Manager, a Request for Proposal ("RFP") solicitation process may be employed in lieu of the competitive bidding process. The RFP process may be used for goods or services that prove difficult to quantify or describe. Therefore, Proposers are offered the opportunity to offer solutions. Award shall be based upon criteria which provide the "best value" received by OCSD, which is not solely determined by price. A. All Purchases -All Levels. Except as otherwise stated below, the RFP process shall follow bidding thresholds and procedures as outlined in Sections 4.03 and 4.05 above. B. Purchasing shall solely prescribe the Request for Proposal (RFP) procedure and award criteria. OCSD's RFP procedure shall be on file and available with the Contracts I Purchasing Manager or designee. C. The Contract I Purchasing Manager shall solely prescribe and approve all RFP Evaluations team members. D. In order to avoid actual or perceived conflicts of interest, members of the Board of Directors are prohibited from participating in the RFP Evaluation process, except in those instances where the potential provider shall directly serve and report to the Board or its respective Committee( s) or when approved to do so by the Board Chair. E. OCSD maintains a Conflict of Interest Code pursuant to California Government Code Sections 87100 et seq., which governs the activities and performance WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 20 of duties of its Directors, officers, employees, or agents in the conduct of project work for OCSD. F. No Director, officer, employee, or agent of a Professional Service Consultant under contract with OCSD, shall solicit or accept rebates, kickbacks, favors, or other unlawful consideration from any individual or firm on behalf of any firm that may be potentially selected as a qualified firm to provide professional consulting services to OCSD. Acceptance of food and refreshments of a nominal value on infrequent occasions, and acceptance of gratuities or gifts shall not be deemed a violation of this provision, provided that if said items exceed $340, or the amount as fixed by California Government Code Section 89503, or California Code of Regulations Title 2, Section 18940.1, in a calendar year, the Director, officer, employee, or agent may be disqualified from participating in the decision pursuant to Article Ill of OCSD's Conflict of Interest Code; and provided, further, that any Director, officer, employee, or agent, as a designated employee under OCSD's Conflict of Interest Code, shall report any amount of gifts on his I her annual Statement of Economic Interests, as required by said Code. G. Any firm seeking selection under these procedures that violates OCSD's Conflict of Interest Code shall be automatically disqualified. H. Any firm solicited to violate the Code must report said solicitation to the Board of Directors, or it will be automatically disqualified. WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 21 ARTICLE V PROFESSIONAL DESIGN SERVICE AGREEMENTS Section 5.01 : Purpose and Scope. OCSD, in the interest of uniformity, fairness, and cost effectiveness desires to establish policies and procedures for the selection and procurement of professional engineering, architectural, environmental, land surveying, and construction management services. Section 5.02: Retention of Professional Design Servise Consultants. This Resolution establishes a procedure to be followed in the selection and retention of Professional Design Consultants in the areas of engineering, architecture, environmental, land surveying, and construction management services. Professional Design Consultants are those individuals or firms providing engineering, architectural, environmental, or land surveying services which are those professional services associated with research, development, design and construction, alteration, or repair of real property, as well as incidental services that members of these professions and those in their employ may logically or justifiably perform, including studies, investigations, surveys, evaluations, consultations, planning, programming, conceptual designs, plans and specifications, cost estimates, inspections, shop drawing reviews, sample recommendations, preparation of operation and maintenance manuals, and other related services, all of which must be incidental to OCSD awarding a contract for Construction or Public Works. Services for product testing are excluded. It is recognized that no two individuals or firms have equal skills, training. or experience, and that the qua\ities of such firms vary. Accordingly, Professional Design Consultants shall be selected based upon OCSD's discretion and opinion as to which particular Consultant is best qualified to perform the work (hereinafter referred to as the "project") in question. For purposes of this Resolution, 11 firm" shall mean any individual, firm, partnership, corporation, association, or other legal entity permitted by law to practice the profession of architecture, engineering, environmental services, land surveying, or construction project management. Evaluation and selection of a consultant firm will include, but not be limited to, the following: A. The firm shall be of high ethical and professional standing, its members being of good moral character, and it shall be prepared to submit references from persons of known repute. B. The principal and other responsible members of the firm must be registered in the State of California, as required by law. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 22 C. A principal member of the firm's staff must have the minimum appropriate experience in responsible charge of work of the type involved in the project. The appropriate experience required will solely be determined by OCSD staff. D. At least two (2) additional members of the firm's staff must have appropriate experience in responsible charge in the field or fields required by the project. The appropriate experience required will solely be determined by OCSD staff. E. The firm shall be capable of performing the work within the prescribed time limitations considering the current and planned workloads of the firm. F. If all other factors are equal, preference shall be given to a locally based firm when more than one firm is being considered. G. If the project is funded, either in whole or in part, by state or federal funds that require, as a condition of establishing or maintaining eligibility for state or federal funds, that firms working on the project maintain an affirmative action employment program, then the firm selected for the project must certify to having such a program. OCSD also recognizes that the scope of services and the qualifications of consultants can differ significantly between major capital facilities projects and facilities engineering projects. The criteria set forth in Paragraphs C and D above may be waived by OCSD for Facilities Engineering Projects. The procedures set forth in this Resolution shall govern the retention of Professional Design Consultants. Section 5.03: Facilities Engineering Project: "Facilities Engineering Project" is defined as a miscellaneous capital improvement or facility modification, replacement, or repair project, related to plant safety, reliability or efficiency enhancements where professional design consulting services are estimated to be in an amount not to exceed $100,000 ($75,000 for original Task Order and $25,000 for any additional amendments) for each project. Section 5.04: Facilities Engineering Project: Annual Budget Approval. Upon approval by the Board of Directors of an annual budget, OCSD's Director of Engineering or OCSD's Contracts I Purchasing Manager, or their designees, shall be authorized to solicit contract proposals from professional engineering, architectural, environmental, land surveying, and construction management firms to perform the required services for the approved Facilities Engineering Projects, as defined and prescribed herein. Section 5.05: Facilities Engineering Project: Selection of Consultants-Procedure. A. OCSD's Staff shall compile a master pre-approved list of not less than 5, nor more than 1 O firms having the required expertise to perform the required WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 23 professional service for a Facilities Engineering Project. The master list of firms will be selected based upon a solicitation, review of qualifications, and Board approval of the agreements including up to two annual optional renewals. Upon selection and approval, the Professional Design Consultant shall execute the District's Professional Design Service Agreement. The original term of the agreement shall be for one (1) year. Thereafter, the Director of Engineering (DOE) shall be authorized to recommend to the General Manager, an extension of the qualified Professional Design Service Agreement for up to two (2) additional one (1) year renewal periods, for a total of three (3) years, with each of the Parties designated on the approved master list. The Professional Design Service Agreement for each Party on the master list shall be forwarded to the Purchasing Office. The Engineering Department Staff shall prepare the appropriate requisition documentation to insure future payment to the consultant. B. As a need for an individual specific Facilities Engineering Project arises, OCSD will implement the Agreement by issuing a Task Order identifying the specific project by name and number, and include the approved scope of work required of the consultant for the project. There is a maximum annual fiscal year contract limitation of $200,000 for each Professional Design Service Agreement under the provisions of this Section 5.05. C. The DOE shall first obtain at least two (2) price proposals from consultants before the Task Order is awarded to a consultant. This requirement may be waived at the discretion of the DOE, where a determination is made that the subject work is unique such that only one (1) consultant is available to perform the work, or where significant time constraints or emergency conditions dictate that one (1) consultant be solicited for a price proposal. The DOE, or his designee, shall review the proposals specifically addressing cost and ability to meet OCSD schedule requirements. Based on the evaluations, the DOE is authorized to award the original Task Order. D. Once the Professional Design Consultant is selected for the award of a Facilities Engineering Project and the Task Order is executed by OCSD, the DOE shall issue the Notice to Proceed. Section 5.06: Facilities Engineering Proiect: Approval of Plans and Specifications. The Board of Directors delegates to the Director of Engineering (DOE), as a Professional Registered Engineer, the authority to approve the design, plans, and specifications for the construction of a new or modified OCSD facility that is deemed a Facilities Engineering Project, as defined in Section 5.03 above. Section 5.07: Major Capital Project: Scope of Work. A. For every project approved by the General Manager, the PDC Committee, or the Board of Directors, and for which outside professional consulting services are required, OCSD Staff shall develop a comprehensive scope of work. B. The scope of work shall define the extent of the services and the time required. WS&S-TLW:pj:0-11:02123/04:#181821 -REDLINE 24 Section 5.08: Maior Capital Project: Selection of Professional Design Consultants -Procedure. For the employment of any Professional Design Consultant or Professional Service Consultant for major capital projects budgeted and approved by the Board of Directors, the following procedures shall apply: A. Proposals -Notice Requesting. Staff shall prepare a Request for Proposal ("RFP") or a Request for Qualifications ("RFQ"), for the scope of work which shall include a request for the firm's qualifications, personnel capability, demonstration of firm's capabilities, identification of personnel assigned to the project, estimate of number of hours for each aspect of the project, fee proposals, and conflict of interest disclaimer. The Request for Qualifications' process may be used, at Staff's discretion, to narrow the field of firms submitting proposals on the project. OCSD shall maintain a comprehensive list of professional consultants' demonstrated competence. Optionally, notice may be given by publication in professional journals or publications of general circulation. B. Staff Screening Committee. A Screening Committee of at least two (2) Staff Members, as chosen by the Department Director, shall review all submitted proposals and prepare a recommendation for selection of the best qualified consultant to the PDC Committee as described in Paragraph D below. In order to avoid actual or perceived conflicts of interest, members of the Board of Directors are prohibited from participating in the RFQ Evaluation process except in those instances where the potential provider shall directly serve and report to the Board or its respective Committee(s) or when approved to do so by the Board Chair. C. Proposals -Contents. Proposals submitted shall: 1. Acknowledge the scope of the project and extent of the services required. 2. Include a description of the firm's qualifications for performing the proposed work. 3. In the case of a proposal for construction management services, each firm shall provide evidence that its personnel that will carry out on-site responsibilities have expertise and experience in construction project design review and evaluation, construction mobilization and supervision, bid evaluation, project scheduling, cost-benefit analysis, claims review and negotiation, and general management and administration of a construction project. 4. 5. within the time allotted. 6. project. Include past performance records of the firm. Demonstrate the firm's capabilities to complete the work Identify the specific key personnel to be assigned to the WS&S-TLW:pj:0-11 :02/23/04:#181821 -REDLINE 25 7. Provide an estimate of the number of hours involved in each aspect of the scope of work for such personnel. 8. Be accompanied by a sealed fee proposal estimate which shall not be opened until the firm is selected as being qualified. Thereafter, it shall be the basis for procurement negotiations. The form of the fee proposal shall be as described in Subsections E2 and E3 below. 9. Contain a conflict of interest disclaimer. 10. Provide any other information required to properly evaluate the firm's qualifications and familiarity with the types of problems applicable to the project. D. Review of Proposals by Staff Screening Committee 1. The Staff Screening Committee shall review, and evaluate proposals, negotiate fees, and determine and make recommendations to the PDC Committee as to which firm is deemed to be fully qualified to provide services sought by OCSD based on the firm's demonstrated competence and qualifications. 2. The Staff Screening Committee, upon making a determination of the fully qualified firms, shall rank the firms considered, based upon the qualifications and in order of preference. E. Procurement and Negotiation of Agreement. To determine the firm to be selected and the compensation for the services sought, the following procedures will be strictly adhered to: 1. The Staff Screening Committee will, at its discretion, invite the firm that is considered to be the best qualified to appear before the Staff Screening Committee. 2. The proposal for fees associated with the services, as submitted by the selected firm, shall be presented in sufficient detail to enable the Staff Screening Committee to adequately ascertain the level of effort associated with the scope of work and to determine whether the firm has thoroughly identified the efforts associated with the services and thoroughly understands the work required. 3. The basis of the fee shall be cost plus a fixed fee with a maximum amount; per diem rate(s) with a maximum amount; or a lump sum (fixed) fee. 4. If it is the decision of the Staff Screening Committee to use methods for compensation other than the lump sum or cost plus a fixed fee with a maximum, or the per diem rates with a maximum, justifications for this decision shall be made by the Staff Screening Committee in its recommendation to the PDC Committee and the Board of Directors. 5. The Staff Screening Committee shall review the compensation requested by the firm which shall be compared with the maximum fee as previously established. WS&S-TLW:pj:0-11:02123/04:#181821 -REDLINE 26 6. The final negotiated fee, as recommended to the PDC Committee and Board of Directors, shall be certified by the Staff Screening Committee as reasonable for the services requested and not resulting in excessive profits for the firm. 7. If agreement is not reached, the negotiations should be terminated and similar interviews should then follow with the next ranked firm. 8. All such negotiations shall be on a strictly confidential basis, and in no case shall the compensation discussed with one firm be discussed with another. F. Continuation of Services. 1. In some instances when a qualified firm has satisfactorily completed one phase in the development of a project, Staff shall, based on an outline and recommendation of the scope of additional work, obtain Board approval to negotiate with the same firm for additional services related to other phases of the project. 2. Continuation of services may arise when a firm has completed a feasibility report or a preliminary engineering report, and the services for said work are satisfactory to the Board and the procedure of examining other firms for subsequent phases is not deemed necessary or cost effective. 3. In the event that satisfactory negotiations for price cannot be concluded under these circumstances, negotiations should be terminated and the provisions set forth hereinabove for selection of a firm would apply. G. Specialized Services. 1. In the event that specialized professional services are required, where it is determined that only one (1) qualified firm can best perform the services for a specific project for professional fees estimated to be in an amount greater than $50,000, the Staff Screening Committee wm negotiate a Professional Design Service Agreement or Professional Consultant Service Agreement, make recommendations to the PDC or other Standing Committee, and upon action by such Committee, present it to the Board of Directors for approval. 2. The basis of selection of the specialized firm or individual under Subparagraph G{1) above, along with the negotiated fee, shall be presented to the Board of Directors for consideration. H. Agreement for Services. 1 . Upon approval by the Board of Directors of a negotiated agreement for professional services, a contract shall be executed in a form approved by the General Counsel. 2. The contract shall include, but not be limited, to the following terms: WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 27 (i) A statement on the scope of the project. (ii) The basis and individual elements of the fees. (iii) The basis for payment to the firm. (iv) The time limits in which the services must be performed. (v) Provisions for fee adjustments, should there be changes in the scope of work. (vi) If it is determined by the Standing Committee that OCSD may be caused to incur a penalty or liability, or suffer a loss because of the failure of the firm to perform the work within specified time limits, the contract shall include a clause setting forth penalties for such nonperformance or delayed performance, in amounts to be determined by the Standing Committee. (vii) For projects exceeding $50,000 in fees or in other cases, as determined by OCSD, errors and omissions insurance in an amount recommended by the General Counsel or OCSD's Risk Manager (based upon engineering data from the Department Director) shall be required, unless the Standing Committee or Board of Directors, as the case may be, waives said insurance. (viii) For projects that involve engineering studies where a consultant is asked to provide a report not related or leading directly to a design project, the General Manager (based upon engineering data from the Department Director), in his discretion, may waive the requirement for the consultant to provide errors and omissions I professional liability insurance. I. Conflict of Interest. 1. OCSD maintains a Conflict of Interest Code pursuant to California Government Code Sections 87100 et seq., which governs the activities and performance of duties of its Directors, officers, employees, or agents in the conduct of project work for OCSD. 2. No Director, officer, employee, or agent of a Professional Design Consultant under contract with OCSD shall solicit or accept rebates, kickbacks, favors, or other unlawful consideration from any individual or firm on behalf of any firm that may be potentially selected as a qualified firm to provide professional consulting services to OCSD. Acceptance of food and refreshments of a nominal value on infrequent occasions, and acceptance of gratuities or gifts shall not be deemed a WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 28 violation of this provision, provided that if said items exceed $340, or the amount as fixed by California Government Code Section 89503, or California Code of Regulations Title 2, Section 18940. 1, in a calendar year, the Director, officer, employee, or agent may be disqualified from participating in the decision pursuant to Article Ill of OCSD's Conflict of Interest Code; and provided further, that any Director, officer, employee, or agent, as a designated employee under OCSD's Conflict of Interest Code, shall report any amount of gifts on his I her annual Statement of Economic Interests, as required by said Code. 3. Any firm seeking selection under these procedures that violates OCSD's Conflict of Interest Code shall be automatically disqualified. 4. Any firm solicited to violate the code must report said solicitation to the Board of Directors or it will be automatically disqualified. Section 5.09: Major Capital Project: Approval of Plans and Specifications. The procedure and authority for the approval of the design plans and specifications for construction of new or modified OCSD major capital projects are as follows: A. For any project, if the engineer's estimate for the construction contract, as provided by the Director of Engineering or OCSD's consulting design engineer, is greater than the approved construction budget for the project, the Director of Engineering shall submit the project to the PDC Committee for recommendation, and based thereon, to the Board of Directors for approval of the Plans and Specifications. B. For any project, if the engineer's estimate for the construction contract, as provided by the Director of Engineering or OCSD's consulting design engineer is equal to or less than the approved construction budget for the project, the Director of Engineering shall submit the plans and specifications to the Board of Directors for approval, and thereafter may advertise for bids, and upon receipt, the lowest responsive bid of a responsible bidder will be submitted to the Board of Directors for approval, as provided for in Article Vl. WS&S -TLW:pj:D-11 :02123/04:#181821 -REDLINE 29 ARTICLE VI PUBLIC WORKS CONSTRUCTION CONTRACTS Section 6.01 : Purpose and Scope. Public works contracts are herein defined as contracts with duly licensed contractors in the State of California for the furnishing of labor, materials, equipment, and permits, as deemed necessary for the erection, construction, alteration, repair, or improvement of wastewater collection, treatment and disposal facilities, and any other public building, structure, or improvement necessary to the operation of OCSD, in an amount greater than $35,000, as per California Public Contract Code Sections 20783 et seq. Section 6.02: Public Works: Bidding Required. When the expenditure required for a public works construction project exceeds $35,000, it shall be contracted for and let to the lowest responsive and responsible bidder, in accordance with the provisions of California Public Contract Code Section 20783. Section 6.03 : Bidding Procedure: Public Works Construction Greater Than $35,000. Procedures for soliciting bids and awarding contracts for public works projects for more than $35,000 shall be in accordance with applicable provisions of California Public Contract Code Section 20783. A. Notice Inviting Bids. The Notice Inviting Bids shall specifically describe the work to be performed, shall state where Bid Forms, Specifications, General and Special Provisions may be secured, and the time and place for receiving and opening sealed bids. 1. Published Notice. Pursuant to California Public Contract Code Section 20783, the Notice Inviting Bids shall set a date for the opening of bids. The first publication or posting of the Notice shall be at least ten (10) calendar days before the date for the opening of bids. The Notice shall be published at least two (2) times, not less than five (5) days apart, in a newspaper of general circulation, printed and published within the jurisdictional boundaries of the District. 2. Bidders' List. The District may also solicit sealed bids from all qualified, responsible, prospective suppliers whose names are on a Bidders' List that may be maintained by OCSD. B. Bidder's Security. When deemed necessary by the Purchasing Division, a bidder's security may be prescribed in the Contract Specifications and in the public Notice Inviting Bids. Bidders shall be entitled to the return of the bid security upon full execution by the successful bidder of an awarded contract by OCSD. A successful bidder may forfeit its bid security upon refusal or failure to execute the WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 30 Contract within the prescribed time after the Notice of Award of Contract has been delivered to the bidder, unless OCSD is responsible for the delay in the prescribed time. The Board of Directors may, on the refusal or failure of the successful bidder to execute the contract, award it to the next lowest responsive, responsible bidder. If the Board of Directors awards the Contract to the next lowest bidder, an amount of the lowest bidder's security equal to the difference in an amount between the low bid and the awarded bid shall be forfeited to OCSD, and the surplus, if any, shall be returned to the lowest bidder. C. Bid Opening Procedure. Sealed bids shall be submitted to the Director of Engineering, or Contracts I Purchasing Manager, or their designee, or the Secretary of the Board of Directors, as identified in the bid document, and shall be identified as a bid on the envelope. Bids shall be opened in public, at the time and place stated in the public notice. A tabulation of all bids received shall be available for public inspection during regular business hours for a period of not less than thirty (30) calendar days after the bid opening. D. Bid Equal or Less Than Construction Budget. For any project, upon receipt of bids for construction, if the lowest responsive bid of a responsible bidder is equal to or less than the approved construction budget for the project, the bid will be submitted to the Board of Directors. The Board of Directors may award a contract. E. Bid Greater Than Construction Budget. For any project, upon receipt of bids for construction, if the lowest responsive bid of a responsible bidder is greater than the approved construction budget for the project, Staff shall present the bid and a recommendation to the PDC Committee for review and recommendation to the Board of Directors. F. Rejection of Bids. In its discretion, the Board of Directors may reject any and all bids presented and re-advertise for bids. If, after the opening of bids, all bids are rejected, the Board of Directors, on a Resolution adopted by a four-fifths (4/5ths) vote, may declare that the work can be performed more economically by force account, if in accordance with applicable provisions of California Public Contract Code, or the materials or supplies furnished at a lower price in the open market and may have the work done in a manner stated in the Resolution in order to take advantage of this lower cost. G. Tie Bids. If two (2) or more bids received are for the same total amount or unit price (with quality and service being equal), and if the public interest will not be best served by a delay or re-advertising for bids, the Board of Directors may accept the one it chooses, or accept the lowest bid made by negotiation with the tie bidders at the time of the award. H. One Bid. When only one bid is received in response to a Notice Inviting Bids (NIB), the bid may be considered and accepted if a determination is made that (a) the specifications used in the NIB were not unduly restrictive, (b) the required competition was solicited and it could have been reasonably assumed that more than one bid would have been submitted, (c) the price is reasonable, (d) the bid is otherwise in accordance with the NIB, and {e) all processes and procedures have been followed in accordance with the Public Contract Code. WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE 31 I. No Bids. If no bids are received, OCSD may have the work done by force account, may re-advertise for bids pursuant to the procedures herein, or may select a contractor by negotiation. J. Emergencies. Whenever an emergency arises which is, or may be, a threat to the continued operation of the wastewater facilities, support facilities, and I or administrative facilities operated by OCSD, a Contract for the repair or replacement of the public facility may be ordered by the General Manager without complying with the provisions of this Resolution or the California Public Contract Code. This authority is hereby delegated to the General Manager, or his designee, by the Board of Directors pursuant to the authority of California Public Contract Code Section 22050. In such event, the General Manager shall advise the OCSD Chair and I or Vice Chair, as appropriate, of the action taken, and such action shall be confirmed by a four-fifths (4/5ths) vote of the Board of Directors at its next regular meeting. K. Surety Bonds. The Purchasing Division shall require a Faithful Performance Bond and a Labor and Materials Bond. A Warranty Bond may be required before entering into a Contract in an amount up to one hundred ( 100%) percent of the amount of the Contract, as it shall find reasonably necessary to protect the best interests of OCSD. The form and amount of the Bond shall be described in the Notice Inviting Bids, or in the Contract Specifications. Original Bonds for public works construction contracts shall be kept in the official OCSD file which is maintained by the Board Secretary. L. Cost Records. Cost records shall be kept in the manner provided in Sections 4000 to 4007 inclusive, of the California Government Code. WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 32 ARTICLE VII AWARD AUTHORIZATION 7.01 OPERATIONAL SUPPLIES, MATERIALS, EQUIPMENT & SERVICES, INCLUDING PROFESSIONAL SERVICE CONSULTANTS A. Primary Agreements & Purchases B. Change Orders 7.02 FACILITIES ENGINEERING PROJECTS A. Primary Agreements B. Amendments 7.03 MAJOR CAPITAL PROJECTS-PROFESSIONAL DESIGN SERVICES A. Primary Agreements B. Amendments 7.04 PUBLIC WORKS PROJECTS A. Primary Agreements B. Change Orders C. Close-Out Agreements D. Notice Of Completion E. Time Extension To Construction Contract Agreement WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 33 Section 7.01: OPERATIONAL SUPPLIES, MATERIALS, EQUIPMENT & SERVICES, INCLUDING PROFESSIONAL SERVICE CONSULTANTS: A. Primary Agreements & Purchases The award and execution of an Agreement or Purchase Order, by the Contracts I Purchasing Manager, for operational supplies, materials, equipment and services, including Professional Service Consultants on behalf of OCSD, shall be made in accordance with the following delegations of authority: "Delegated Authorized Authority" Staff Level C Staff Level B Staff Level A Division Manager Department Director General Manager Board of Directors WS&S -TLW:pj:D-11 :02/23104:#181821 -REDLINE 34 Authorized Action Authorization to approve budgeted purchases less than or equal to $2,000. Authorization to approve budgeted purchases from $2,001 through $5,000. Authorization to approve budgeted purchases from $5,001 through $10,000. Authorization to approve budgeted purchases from $10,001 through $25,000. Authorization to approve budgeted purchases from $25,001 through $50,000. Authorization to review and approve budgeted purchases between $50,001 and an amount not to exceed $100,000. Items to be reported to the Board of Directors on a quarterly basis. Authorization to approve purchases over $100,000, with the exception of pre-approved purchases pursuant to Section 4.03 and emergency items pursuant to Section 4.4 herein. B. Amendments for Operational Supplies, Materials. Equipment and Services. Including Professional Service Consultants Agreements: The award and execution for any amendments to operational supplies, materials, equipment and services, including Professional Service Consultants, on behalf of OCSD shall be made in accordance with the following: Authorized Authority Department Head General Manager Board of Directors WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE Authorized Action 35 Authorization to make recommendation to the General Manager. Review recommendation of Department Head and approve amendments provided that the total contract shall not exceed $100,000 (includes original contract and all amendments). General Manager shall be authorized to approve all amendments for chemical contracts, unless contract unit price has been changed from original Board award. If the original chemical contract was approved in the budget pre-approval process, a unit price increase exceeding the unit price awarded in the budget pre-approval year would require Board approval. Contracts awarded in the pre- approval process based upon a not to exceed amount, not unit price, may be increased up to the amount pre-approved in the budget year the contract was awarded. Receive recommendations of Staff, General Manager, and Standing Committees and approve all amendments for Board approved contracts or purchases, and for contracts or purchases that exceed $100,000. Section 7.02: FACILITIES ENGINEERING PROJECTS: A. Task Orders The award and execution of a Task Order shall be made in accordance with the following Delegation of Authority: Authorized Authority Director of Engineering B. Amendments Authorized Action Authorization to evaluate proposals and execute a Task Order up to $50,000. The award and execution of an amendment to an issued Task Order shall be made in accordance with the following Delegation of Authority: Authorized Authority Director of Engineering General Manager Authorized Action Authorization to negotiate amendments and make recommendations to the General Manager. Receive recommendation of DOE and approve each amendment to the Task Order in an amount up to $50,000. When the total combined value of the Task Order and all amendments equals or exceeds $100,000, the General Manager's amendment authorization limit has been satisfied. Section 7 .03: MAJOR CAPITAL PROJECTS-PROFESSIONAL DESIGN SERVICES: A. Primary Agreements Primary Agreement: The award and execution of an agreement for Professional Design Consultant Services on behalf of OCSD, shall be made in accordance with the following Delegation of Authority: Authorized Authority Director of Engineering Or Purchasing WS&S-TLW:pj:D-11:02/23/04:#181821 -REDLINE Authorized Action Solicitation of Requests for Qualifications (RFQ) and Requests for Proposals (RFP). 36 G General Manager OMTS, PDC, or FAHR Committees ("Standing Committees") Board of Directors B. Amendments Authorization to evaluate proposals and to execute a Professional Design Service Agreement up to $100,000. Receive recommendations of Staff and General Manager, and approve a Professional Design Service Agreement from $100,001through200,000. Receive recommendations of Staff, General Manager, and Standing Committees and approve a Professional Design Service Agreement in amounts greater than $200,000. The award and execution of an amendment to a Professional Design Service Agreement on behalf of OCSD shall be made in accordance with the following: Authorized Authority Director of Engineering or Purchasing General Manager OMTS, PDC, or FAHR Committees ("Standing Committees") Board of Directors WS&S -TLW:pj:D-11:02/23/04:#181821 -REDLINE Authorized Action Authority to negotiate addenda and make recommendations to the General Manager. Receive recommendation of the Department Head and approve contract amendments in an amount up to $100,000 per Professional Design Service Agreement. When the total combined value of all amendments approved by the General Manager, the Standing Committee and I or Board of Directors for the Professional Design Consultant Agreement equals or exceeds $100,000, the General Manager's authorization limit has been satisfied. Receive recommendations of Staff and the General Manager, and approve contract amendments from $100,001 through $200,000 per Professional Design Service Agreement. When the total combined value of all amendments approved by the General Manager and Board of Directors for the Professional Design Service Agreement equals or exceeds $200,000, the Standing Committee's authorization limit has been satisfied. Receive recommendations of Staff, General Manager, and Standing Committees and 37 approve contract amendments in amounts over $200,000. Section 7.04: PUBLIC WORKS PROJECTS: A. Primarv Agreements The award and execution of an original Construction Contract shall be made in accordance with the following delegations of authority: Authorized Authority General Manager PDC Committee Board of Directors B. Change Order. Authorized Action Authorization to execute a construction contract less than or equal to $100,000. Authorization to execute a construction contract from $100,001 through $200,000. Authorization to execute a construction contract over $200,000. The award and execution of a Change Order shall be made in accordance with the following delegations of authority: Authorized Authority General Manager Authorized Action Receive recommendation of the Department Head and approve contract changes in an amount up to $100,000 per Public Works contract. When the total combined value of all Change Orders approved by the General Manager, the PDC Committee and I or Board of Directors equals or exceeds $100,000, the General Manager's authorization limit has been satisfied. Note that this is the total amount of Change Order additions (not net amount of change order). Total cumulative amount for all Change Order additions not to exceed 5% of the original contract amount or $100,000, whichever is less. WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 38 PDC Committee Board of Directors Receive recommendation of the General Manager and approve contract changes from $100,001 through $200,000 per Public Works contract. When the total combined value of all Change Orders approved by the General Manager, the PDC Committee and I or Board of Directors equals or exceeds $200,000, the PDC's authorization limit has been satisfied. Note that this is the total amount of Change Order additions (not net amount of Change Order). Total cumulative amount for all Change Order additions not to exceed 10% of the original contract amount or $200,000, whichever is less. Approve Change Order additions in amounts over 10% of the original contract amount, or greater than $200,000. C. Close-Out Agreement. The approval and execution of an original Close-Out Agreement shall be made in accordance with the following delegations of authority: Authorized Authority General Manager PDC Committee Board of Directors D. Notice of Completion. Authorized Action Original Close-Out Agreement up to $200,000. Original Close-Out from $200,001 through $400,000. Original Close-Out Agreement over $400,000. The approval and execution of an original Notice of Completion shall be made in accordance with the following delegations of authority: Authorized Authority Director of Engineering or Purchasing WS&S-TLW:pj:D-11:02123/04:#181821 -REDLINE 39 Authorized Action Authority to approve and execute all Notices of Completion. E. Time Extension to Public Works Contract. The approval and execution of an original Time Extension to Construction Contract shall be made in accordance with the following delegations of authority: Authorized Authority General Manager WS&S -TLW:pj:D-11 :02/23/04:#181821 -REDLINE 40 Authorized Action Authority to approve and execute construction contract time extensions. ·~ ~I \y J ATTACHED ARE PAGES 41AND42 OF THE DELEGATION OF AUTHORITY RESOLUTION WHICH WERE INADVERTENTLY OMITTED FROM THE BOARD PACKAGE I j ,J ~/ ARTICLE VIII TRAINING, MEETINGS AND RELATED TRAVEL EXPENDITURES Section 8.01 : Purpose and Scope. . This Article sets forth the procedures and scope of delegated authority by which OCSD employees are authorized to incur expenses for budget-approved meetings and training in furtherance of OCSD business. Section 8.02: General. A. Training or meetings exceeding $500 will be itemized, as well as possible, in the approved budget. It is recognized that some meetings and training cannot be pre-planned during the budget process. B. All out-of-country travel {excluding Canada and Mexico) requires approval by the Board of Directors. C. Training or meetings requests exceeding $2,000 will be approved by the Department Director. D. Training or meetings requests less than $2,000 will be approved by the Division Manager. E. Established approvals must be received prior to arrangements for meetings or training being made. Section 8.03: Policies and Procedures. All policies and procedures governing training or meetings, such as the use of OCSD forms and justification, will be followed. 41 ARTICLE IX MISCELLANEOUS Section 9.01: Noncompliance. Any transaction fai ling to comply with this Resolution in any respect is voidable.£ the discretion of the Board of Directors, and any employee willfully and knowingly violating any provision of this Resolution may be subject to disciplinary action . Section 9.02: Severability. If any section , subsection , subdivis ion, sentence, clause , or phrase of this Resolution is for any reason held to be unconstitutional or otherwise invalid , such invalidity shall not affect the validity of the entire Resolution or any of the remaining portions thereof. The Board of Directors hereby declares that it would have passed this Resolution , and each section , subsecti on , subd ivi sion , senten ce, clause , and phrase thereof, irrespective of the fact that any one or more sections, subsections, subdivisions, sentences, clauses, or phrases be declared unconstitutional or otherwise invalid . Section 9.03: Effective Date . This Resolution No. OCSD 04-XX shall take effect immediate ly upon adoption by the Board of Directors. Section 9.04: Repeal of Prior Resolution . Resolution No . OCSD 99-23 is hereby repealed in its entirety. PASSED AND ADOPTED at a regular meeting of the Board of Directors held March 24 , 2004. CHAIR ATIEST: BOARD SECRETARY 42 l I MINUTES OF THE COOPERATIVE PROJECTS GRANTS COMMITTEE Orange County Sanitation District January 21, 2004 A meeting of the Cooperative Projects Grants Committee was held on Wednesday, January 21, 2004 at 5:00 p.m. at the District's Administrative Office. 1. The roll was called and a quorum declared present, as follows: COMMITTEE MEMBERS: Directors Present: Steve Anderson, Committee Chair Brian Donahue, Director Jim Silva, Director Jim Ferryman, Director Shirley McCracken, Board Chair Directors Absent: Brian Brady, Director STAFF PRESENT: Blake Anderson, General Manager Jim Herberg, Division Manager Nick Arhontes, Division Manager Ann Tobin, Engineer OTHERS PRESENT: Thomas Woodruff, District General Counsel Don Hughes, County of Orange Les Jones, Garden Grove Sanitary District Bill Roseberry, City of Fullerton Jeanette Brown, City of Fullerton Jim Biery, City of Buena Park Ken Vecchiarelli, Yorba Linda Water District Ronny M. Liddell, Midway City Sanitary District John Bahorski, City of Seal Beach Todd Broussard, City of Huntington Beach Doug Stack, City of Brea Steven Hauerwaas, City of Fountain Valley Don Greek, DGA Consultants Antonia Castro, City of La Habra 2. APPOINTMENT OF CHAIR PRO TEM. IF NECESSARY This was not required. 3. PUBLIC COMMENTS There were no public comments. 4. REPORT OF COMMITTEE CHAIR Committee Chair Steve Anderson welcomed the Committee members and local agency representatives. Director Anderson explained that the District is committed to working as partners with the local agencies. 5. REPORT OF GENERAL MANAGER The General Manager did not make a report. 6. REPORT OF DIRECTOR OF ENGINEERING The Director of Engineering did not make a report. January 21, 2004 7. REPORT OF GENERAL COUNSEL The General Counsel did not make a report. 8. CONSENT CALENDAR ITEMS The minutes of the June 30, 2003 Guidance Review Committee meeting were ordered to be received and filed. 9. DISCUSSION ITEMS (Staff Report) a. Overview and Status of Program -Jim Herberg reviewed Program goals and reported on Program status. He presented preliminary results of the Long Term Flow Monitoring Program (LTFM) and also discussed Infiltration and Inflow (I/I) and the District's peak flow reduction goal. He discussed the District's technical and funding role in the Program and in other watershed and water quality areas. b. Future Direction and Funding Priorities -Jim Herberg presented an approach focusing on inflow for most cost-effective peak flow reduction as outlined in the staff report dated January 12, 2004. Director Ferryman suggested that the District might consider sharing costs at higher than 50% for Cooperative projects which addressed particular areas of concern in a cost-effective manner. A cost-effective measure to reduce inflow is to plug manholes in locations prone to street flooding. The District has provided manhole plugs to local agencies at no cost to encourage plugging. c. Open Discussion -The goals of the Waste Discharge Requirements (WDR) and the Cooperative Projects Program were discussed. Areas of overlap between the WDR and the Cooperative Projects Program include Closed Circuit Television Inspections (CCTV), condition assessments and grease ordinances. Now that the WDR have been adopted, there may be opportunities to streamline the Cooperative Projects requirements and funding guidelines. 10. ACTION ITEMS a. MOVED, SECONDED AND DULY CARRIED TO: Recommend approval of time extensions for Cooperative Projects Program contracts CP-0124 with City of Huntington Beach, CP-0206 with City of Garden Grove, CP-0129 and CP-0130 with City of Orange, and CP-0213 with Sunset Beach Sanitary District. b. MOVED, SECONDED AND DULY CARRIED TO: Authorize the City of Huntington Beach to proceed with the Ross Quarter Section Sewer Rehabilitation Project as agreed under CP-0124. c. The Committee discussed the County of Orange request for funding of Irvine Park Septic to Sewer Conversion Project. Staff was directed to approach the Steering Committee on whether the District could provide funds for septic tank conversions for publicly-owned facilities. d. MOVED, SECONDED AND DULY CARRIED TO: Recommend approval of additional funding for new projects in City of Anaheim, Garden Grove Sanitary District, Midway City 2 I January 21, 2004 Sanitary District, and the City of Santa Ana pending completion of funding applications and modification of the City of Anaheim request for CCTV inspection. According to the Program guidelines, funds for CCTV inspection are to be allocated for pipe installed prior to 1960 only. 11. CLOSED SESSION There was no closed session. 12. OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY There were none. 13. MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING Director Ferryman requested that staff report on lagging projects. 14. MA TIERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT Staff was directed to approach the Steering Committee on whether the District could provide funds for septic tank conversions for publicly-owned facilities. 15. FUTURE MEETING DATES The next Cooperative Projects Grants Committee Meeting will be scheduled in April. 16. ADJOURN The chair declared the meeting adjourned at 7:20 p.m. Submitted by: JDH:AT:sa EDMS 003764813 3 \ , .. MINUTES OF MEETING OF GROUNDWATER REPLENISHMENT SYSTEM STEERING COMMITTEE OF THE ORANGE COUNTY SANITATION DISTRICT AND THE ORANGE COUNTY WATER DISTRICT . February 9, 2004, 5:30 p.m. Following the Pledge of Allegiance to the Flag, Chair Philip Anthony called to order the meeting of the Joint Cooperative Committee for the Groundwater Replenishment System in the Boardroom of the Orange County Water District. The following persons were present: OCSD Committee Members & Alternates Norman Eckenrode, Vice Chair Shirley McCracken Brian Donahue {absent) Brian Brady, Alternate No. 1 (absent) Paul Walker, Alternate No. 2 {absent) Steve Anderson, Alternate No. 3 OCSD Directors John Collins OCSD Staff Bob Ghirelli, Director of Technical Services Bob Ooten, Director of O&M Wendy Sevenandt, Project Manager Carol Beekman, Communications Manager Others Present Paul Brown, Camp Dresser & McKee, Inc. Bruce Chalmers, Camp Dresser & McKee, Inc. Dick Corneille, Camp Dresser & McKee, Inc. Debra Burris, DOB Engineering Abdul Rashidi, Montgomery Watson Harza Brenda Deeley, Porter Novelli CONSENT CALENDAR OCWD Committee Members & Alternates Philip Anthony, Chair Paul Cook Lawrence Kraemer, Jr. Kathryn Barr, Alternate No. 1 Brett Franklin, Alternate No. 2 {absent) Richard Chavez, Alternate No. 3 (absent) OCWD Directors Wes Bannister Denis Bilodeau Jan Debay OCWD Staff Virginia Grebbien, General Manager Craig Miller, Assistant General Manager Michael Markus, Program Manager Shivaji Deshmukh, Senior Engineer Laura Thomas, Engineer Anthony Manzano, Principal Engineer Sharon Koike, Chief Financial Officer Mike Wehner, Director of Technical Services Ron Wildermuth, Director of Communications Marilyn Kuga, Recording Secretary Upon motion duly made, seconded and carried, the Consent Calendar was approved as follows: 1. Minutes of Previous Meeting The Minutes of the January 12, 2004 Joint Cooperative Committee meeting were approved as mailed. · 2. Revision of Minutes of December 1, 2003 Joint Groundwater Replenishment System Cooperative Committee Meeting The Minutes of the December 1, 2003 Joint Cooperative Committee Meeting were approved as revised. MATTERS FOR CONSIDERATION 3. Integrated Information System -Request for Proposals for Task 26 Design and Program Management Engineer Laura Thomas explained that she would be presenting a general overview, from an informational and systems approach, of the development plan of the five major stages of the Integrated Information System (llS ), and reiterated that the whole point of an llS is to be able to share information between agencies and within systems in the agencies. She reported that Task 25, the planning stage, is complete and within its budget of $290,000, that staff is now ready to proceed to the design element, Task 26, estimated at $1,450,000, for detail process modeling, further defining of the system, and development of the Request for Proposals (RFP) for the systems integrator, the software developer, and maintenance program developer. She added that one consulting firm would be capable of providing support for Task 26, and that the project manager and a key support person would continue to perform program management duties until completion of the project. Ms. Thomas explained that Task 27 (Acquisition), Task 28 (Installation), and Task 29 (Operation) will follow, and that the total llS budget is estimated at $6,600,000. She further explained that the additional handout (Revised RFP) merely provides more information from the actual Acquisition plan and does not change the RFP. Upon motion made by Director Anderson, seconded by Director Cook and carried, the Committee recommended that the OCWD Board, at its February 18, 2004 meeting, authorize the issuance of Request for Proposals for Task 26 Design and Program Management of the Integrated Information System. 4. Committee Name Change Director Anthony explained that changing the name of this Committee to the GWR System Steering Committee more clearly identifies its purpose to outside stakeholders. Upon motion duly made, seconded and carried, the Committee recommended that the OCWD Board, at its February 18 meeting, and the OCSD Board, at its February 25 meeting, approve changing the name of the "Joint Cooperative Committee" to the "GWR System Steering Committee." INFORMATIONAL ITEMS 5. Project Schedule and Budget Update Mr. Markus updated the Committee on the status of the seven major contracts that comprise the Groundwater Replenishment System Project as follows: Southeast Barrier Pipeline -This may be the last update on this project as it was successfully completed and accepted by the Board last month. OCWD has been utilizing this project for the last two months with the delivery of 5.5 mgd of potable water into the barrier. 2 ., ' ,. Initial Microfiltration/Site Power Distribution -This project is currently being constructed on site by Kiewit Pacific and is approximately 65% complete, with completion expected one to two months ahead of schedule. GWR Unit 3 Pipeline -A dedication/groundbreaking ceremony is scheduled for February 19, 2004. GWR Unit 2 Pipeline -This project has been awarded, pipe installation has been scheduled for October 2004, and completion of this project is expected in August 2006. Barrier Wells & Facilities -In order to qualify for grant monies offered by Metropolitan Water District of Southern California (MWD) under the Local Resources Program (LRP), bidding on this project was delayed, with bidding by four bidders scheduled to take place on March 3, 2004. GWR Unit 1 Pipeline -Six bids are expected at bid opening scheduled for tomorrow, February 10, 2004 .. Advanced Water Treatment Facility (AWTF) -Bid opening has been delayed to March 16, 2004, with three general contractors expected to bid on this project. Mr. Markus then briefly summarized that expenditures for last month were approximately $4 million, and that approximately $50 million has been spent on the GWR System since April 2001, 6. Construction Projects Progress Mr. Markus reported on the status of the Initial Microfiltration/Site Power Distribution Project and the Unit Ill Pipeline Project. The Committee requested that staff schedule for next month another walking tour of the GWR System, as well as a full report regarding the Joint Campus Concept. Ms. Grebbien noted that a work plan for the education center is currently being put together. In an effort to mitigate noise and vibration issues in the Ward Street neighborhood, Mr. Markus reported that staff is currently conducting, on a 24-hour basis for seven days, a study that will measure existing noise and vibration along six different points on Ellis Avenue and Ward Street. He added that, as a follow-up to this data gathering, a task order has been issued for a noise consultant to develop mitigating measures that would address these issues. He also reported that staff is looking into using alternate pile-driving equipment (hydraulic hammer) and installing acoustical barriers adjacent to the construction site to minimize noise and vibration. 7. Monthly Change Order Update The Committee reviewed the January 2004 Change Order Report for the Initial Microfiltration Facility, Contract No. GWRS-2003-1 3 8. Status Report • Public Information and Education Update - Mr. Wildermuth reported that sustained outreach continues; that the Grand Jury Report is supportive of the GWR System; that Engineers' News Record will do a short update article and may later do a larger story this year; that Gary Brown will do an article in an environmental magazine, Coast Keeper, that staff continues to focus on scheduling talks with PT As and churches; that a Filipino magazine will cover the Unit 3 Pipeline Dedication; that as a result of a presentation to the Friends of Balsa Chica, a 4' by 8' panel has been offered at the Huntington Beach Shipley Nature Center to talk about water, water efficiency, and the GWR System; that staff is assembling for the Committee an information packet on the revitalized San Diego water reuse project; that President Bilodeau has recently briefed the Villa Park City Council; and that a meeting of the Ward Street neighbors was held for them to recommend ideas for landscaping the power station. Director Collins commented that the Neighbors Bulletin written by Kira Erquiaga, Community Liaison, was very well written and clearly addressed the issues of the Ward Street neighborhood. Mr. Wildermuth added that the GWRS Unit 3 Pipeline Dedication/Groundbreaking Ceremony is scheduled for Thursday, February 19, 2004, at noon. DIRECTORS' ANNOUNCEMENTS/REPORTS Director Anthony announced that staff has prepared a letter inviting Governor Schwarzenegger to attend groundbreaking for the Advanced Water Treatment Facility (AWTF). In response to Director Anthony's request for consultants' comments, Paul Brown of Camp Dresser & McKee announced Dick Corneille's transition from the design phase, and Bruce Chalmers' transition to the construction phase of the GWR System Project. Director Collins commented that he is impressed with the detail provided in the Monthly Progress Report prepared by Abdul Rashidi of Montgomery Watson Harza. Director Collins also commented that he is pleased with the efforts for mitigating change orders and keeping costs down. Director Debay suggested that staff look into preparing temporary sign/story boards for tours. GENERAL MANAGERS' ANNOUNCEMENTS/REPORTS General Manager Virginia Grebbien recognized and thanked Dick Corneille of Camp Dresser & McKee for his contribution during the design phase of the GWR System. 4 -• .-. "' Ms. Grebbien reported as follows: (1) Director of Technical Services Mike Wehner was recently able to get a preview copy of a tentative order of our permit from the Regional Water Quality Control Board (RWQCB) regarding action levels, that the provisions appear to be reasonable, and that March 12, 2004 has been set for the hearing; (2) That the Metropolitan Water District (MWD) is currently on schedule with processing the Local Resources Program (LRP) rebate program, that MWD is expected to disclose a list of the recommended projects during the last week of February, and we should learn of the status of our application by early March; (3) That the President's Budget included $2 million for the GWR System (although $7 million was requested), and that we should learn of our appropriation by December 2004; (4) That progress has been made on HR1156, which would increase authorization from $20 million to $80 million. She added that this bill has cleared Subcommittee and is scheduled for full Committee markup, and that Congressmen Calvert and Dreyer have requested that this bill be scheduled for the next working session of the Committee; and (5) That an Orange County Luncheon hosted by directors from OCWD, MWDOC, OCSD and MWD will be held in Washington, D.C. on February 25, 2004. DETERMINATION OF ITEMS TO BE PLACED ON CONSENT CALENDAR FOR THE FEBRUARY 18, 2004 BOARD MEETING Items No. 3 and 4 were approved for the Consent Calendar for the February 18, 2004 Board Meeting. ADJOURNMENT The meeting was adjourned at 6:40 p.m. 5 BOARD OF DIRECTORS Meeting Date AGENDA REPORT I tem Number Orange County San itation District FROM: David Ludwin, Director of Engineering Originator: Wendy Sevenandt, Associate Engineer Ill SUBJECT: GROUNDWATER REPLEN ISHMENT SYSTEM , JOB NO. J-36, GROUNDWATER REPLENISHMENT SYSTEM UNIT I PIPELINE PROJECT GENERAL MANAGER'S RECOMMENDATION To Bcf. of Dir. 03/24/04 Item Number 16.b. (1) Find that pursuant to California Environment Quality Act Guidelines Section 15164, that some minor changes or additions to the Environmental Impact Report/Environmental Impact Statement (EIR/EIS) on the Groundwater Replenishment System certified in March 1999, are necessary, but none of the conditions described in Public Resources Code Section 21166 and/or in Section 15162 have occurred that would require the preparation of a Subsequent Environmental Impact Report or Negative Declaration; (2) Approve Addendum No. 3 to the EIR/EIS prepared by Environmental Science Associates; and (3) Authorize award of a construction contract by the Orange County Water District (OCWD) to Ken Thompson , Inc ., for construction of Groundwater Replenisl'lment (GWR) System Unit I Pipeline Project, Contract No. GWRS-2003-5, for an amount not to exceed $26 ,672,045, with OCWD and Orange County Sanitation District paying equal shares of $13,336,022.50. SUMMARY • In November 2003, the GWR System Steering Committee (formally known as the Joint Cooperative Committee) approved the plans and specifications for the GWR System Unit I Pipeline Project with an engineer's estimate of $29,400 ,000 . • This project involves installation of appro ximately 31,400 linear feet of 78-inch , 72-inch , and 66-inch diameter pipe that extends from the Plant No. 1 site in Fountain Valley east along Garfield Avenue to the Santa Ana River, and north in the west bank of the Santa Ana River to just north of 17th Street in Santa Ana. • Six bids were received on February 10, 2004. and bids are as follows: Project Budget (GWR System) Construction Budget (Unit I) Engineer's Estimate Low Bid High Bid Number of Bids H:lntglobal\Agenda Draft Reports\Jolnt Boards\GWRS J·36 Award Uni t 1 032404.doc Revi sed : 06/04/03 Summary information on the budget $ 453,900,000 $ 29 ,400 , 000 $ 29,400,000 $ 26,672,045 $ 35 ,398,590 6 Page 1 • A tabulation of the si x bids is included in the attached Agenda Item Submittal from the March 8 , 2004 GWR System Steering Committee meeting. • On March 8 , 2004, the GWR System Steering Committee recommended awarding the contract to the lowest responsive bidder, Ken Thompson , Inc., for the corrected bid amount of $26,672 ,045. • On December 1, 2003, the GWR System Steering Committee took actions to receive and file Addendum No. 3 to the GWR System EIR/EIS for minor revisions to the project. • Prior to taking actions to award a contract for GWR System , the OCSD Board must approve Addendum No. 3 to the EIR/EIS. PRIOR COMMITTEE/BOARD ACTIONS GWR System Steering Committee approved the Plans and Specifications for Unit 1 Pipeline Project on November 10, 2004. GWR System Steering Committee received and filed Addendum No. 3 to the Groundwater Replenishment System Environmental Impact Report (EIR) on December 1, 2003. PROJECT/CONTRACT COST SUMMARY See the attached Budget Information Tabl e. The value of the contract awarded with this action is $26 ,672 ,045, with OCWD and OCSD paying equal shares of $13 ,336,022.50. This bid is less than the engineer's e stimate . Authorization of $13 ,336,022.50 for construction is being requested. BUDGET IMPACT r8] This item has been budgeted. (Line item: Section 8, Page 139) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) No change to the project budget is being requested as shown on the attached Budget Informati on Tabl e. ADDITIONAL INFORMATION The Groundwater Replenishment (GWR) System design was completed in November 2003 . Because the final design had minor changes from the project as certified in the Environmental Impact Report (EIR), an Addendum No. 3 to the GWR System EIR was prepared. These updates included added hydrogen peroxide facilities , foundations of H :lntglobaMgenda Dral1 ReportSIJoinl Boards\GWRS J -36 Award Unit 1 032404 .doc AeVlse<I: 06/04/03 Page2 structures requiring piling, two additional injection wells, and a tie-in Santa Ana River discharge line with the OCSD outfall. The tie-in to OCSD's outfall will provide the abilitY to discharge treated GWR System microfiltration effluent during facility testing. None ·of these changes have an effect on the project budget. These changes were determined to pose no significant impact. The CEQA Guidelines, Section 15164, indicate that an Addendum is the appropriate document to identify and analyze minor modifications to a proposed project for which a Final EIR has been prepared and certified. An Addendum may be prepared if the minor modifications do not pose additional significant impacts or require the preparation of a Subsequent or Supplemental EIR. The three criteria that require a Subsequent EIR were not met; therefore an Addendum was the appropriate CEQA document to address the changes. At the December 1, 2003, Joint Cooperative Committee (now called the GWR System Steering Committee as of February 25, 2004) the Committee took the following actions: 1. Receive and file Addendum No. 3 to the Groundwater Replenishment System EIR after establishing a finding that no subsequent EIR or supplement to the previously certified EIR is required: (a) No substantial changes are proposed in the project, which will require major revisions in the previous EIR due to the involvement of new significant environmental effects, or a substantial increase in the severity of previously identified significant effects. (b) No substantial changes occur with respect to the circumstances under which the project is undertaken which will require major revisions of the previous EIR due to the involvement of new significant environmental effects or a substantial increase in the severity of previously identified significant effects. (c) No new information of substantial importance, which was not known and could not have been known with the exercise of reasonable diligence at the time the previous EIR was certified as complete, shows any of the following: (i) The project will have one or more significant effects not discussed in the previous EIR; (ii) Significant effects previously examined will be substantially more severe than shown in the previous EIR; (iii) Mitigation measures or alternatives previously found not to be feasible would in fact be feasible and would substantially reduce one or more significant effects of the project, but the project proponents decline to adopt the mitigation measure or alternative; or (iv) Mitigation measures or alternatives which are considerably different from those analyzed in the previous EIR would substantially reduce one or more significant effects on the environment, but the project proponents decline to adopt the mitigation measure or alternative. H:\ntglobal\Agenda Draft Reports\Joint Boards\GWRS J-36 Award Unit 1 032404.doc Revised: 06/04/03 Page3 Prior to the award of a-new contract for the GWR System, the Board must take actions \ / regarding the Addendum No. 3 EIR. The award of the Unit 1 Pipeline contract is the · \) first contract to be awarded since the JCC took action regarding this Addendum No. 3 to 'f the EIR. The project change included in the Addendum No. 3 to make the connection to the OCSD outfall is a construction activity in the Unit 1 Pipeline contract. The breakdown of total construction costs between the separate contracts is shown in the following table. Each agency is responsible for a 50% share of these costs. Summary of Current Construction Budgetary Costs by Contract ID Contract Budget Awarded Completed No. 1 Theo Lacy Pipeline Reach, GWR Portion 1,430,000 1,430,000 2 GWR Pipeline -Reach 1 29,400,000 26,672,045 3 GWR Pipeline -Reach 2 16,100,000 16,084,005 4 GWR Pipeline -Reach 3 16,989,000 16,989,000 5 Temp MF/Site work/Site Power 17,140,000 17,139,646 6 Southeast Barrier Pipeline 3,774,000 3,381,000 7 West End Barrier Pipeline 265,000 265,000 8 Advanced Water Treatment Facility 253,600,000 9 SCE Work for Permanent Substation 2,396,000 2,396,000 10 Barrier Well Drilling/Monitoring 13,100,000 Wells/Well head Facilities/Pipelines 11 GWR Team Temp Offices/Trailers 807,000 783,990 12 Southern California Water Co. Well 1,635,000 13 Vendor Design Submittals for MF and 862,000 750,000 UV 14 Emerson Process Control System 2,800,000 2,793,363 15 Integrated Information System 4,860,000 16 Owner Controlled Insurance Program 7,400,000 7,384,937 Current Construction Total $372,558,000 $96,068,986 The cost breakdown for the final design and construction phases of the Groundwater Replenishment System (GWRS) budget to be cost shared is: Construction: Engineering, Legal Administration: Project Contingency: Total: $372,558,000 $ 57,300,000 $ 24.042.000 $453,900,000 The Orange County Sanitation District (OCSD) Capital Budget is: GWRS Final Design and Construction Cost Shared Costs: OCSD Preliminary Design and Non-cost Shared Costs: Total Capital Costs to OCSD Grants Net Costs after Grants H:\ntglobal\Agenda Draft Reports\Joint Boards\GWRS J·36 Award Unit 1 032404.doc Revised: 06/04/03 $ 226,950,000 $ 9,256,000 $ 236,206,000 $ (45.000.000) $ 191,206,000 Page4 $1,430,000 3,773,561 2,396,000 807,000 861,526 $9,268,087 ALTERNATIVES There are no recommended alternatives to awarding to the lowest responsible bidder." CEQA FINDINGS The Environmental Impact ReporVEnvironmental 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 on March 28, 2001. Addendum No. 2 was approved by OCSD on January 23, 2002, and by OCWD on January 16, 2002. ATTACHMENTS 1. Budget Information Table 2. Agenda Item Submittal to the GWR System Steering Committee re: Award of Contract No. GWRS-2003-5, Groundwater Replenishment System Unit I Pipeline Project WTS:ba:jo:ba H:\ntglobal\Agenda Draft Reports\Joint Boards\GWRS J-36 Award Unit 1 032404.doc Revised: 06/04103 Page5 ORIGINAL PROJECT/PHASE AUTHORIZED BUDGET Phase 1 -Proiect Develooment $ 700,000 Phase 2 -Preliminary Design Phase 3 -Design $ 9,849,000 Phase 4 -Construction $ 98,481,000 Phase 5 -Commisslonlna Phase 6 -Close-Out Phase 7 -Contingency $ 12,895,000 PROJECT TOTAL $ 121,925,000 Reimbursable Costs $ $ $ $ $ $ BUDGET INFORMATION TABLE GROUNDWATER REPLENISHMENT (GWR) SYSTEM JOB NO. J-36 CURRENT. PROPOSED PROPOSED FUNDS THIS PROJECT BUDGET REVISED AUTHORIZED TO AUTHORIZATION BUDGET. INCREASE BUDGET. DATE REQUEST /DECREASE 4,000 $ 4,000 $ 4,000 3,313,000 $ 3,313,000 $ 3,300,000 $ - 20,957,000 $ 20,957,000 $ 18,898,222 201,932,000 $ 201,932,000 $ 47,449.110 $ 13,336,023 $ - $ - 10,000,000 $ 10,000,000 236,206,000 $ -$ 236,206,000 $ 69,651,332 $ 13,336,023 $ 45,000,000 $ 45,000,000 PROPOSED ESTIMATED . TOTAL EXPENDITURE AUTHORIZATION TO DATE $ 4,000 $ 10,000 $ 3,300,000 $ 3,317,000 $ 18 898,222 $ 14.300.000 $ 60.785,132 $ 9,500,000 $ -$ - $ -$ - $ - $ 82,987,354 $ 27,127,000 $ 5,000,000 PROJECT NET $ 121,925,000 $ 191,206,000 $ 191,206,000 $ 69,651,332 $ 13,336,023 $ 82,987,354 $ 22,127,000 PSA/Contract Design PSA $ 15,921,453 $ -$ 15,921.453 $ 15,921.453 $ -$ 15,921,453 Construction Contract $ 187,746,097 $ -$ 187,746,097 $ 34,962,019 $ 13.336023 $ 48298.042 H:\ntglobal\Agenda Draft Reports\Jolnt Boards\[GWRS J·36 Award Unit 1.attch-1.xlsJUnif. 1 H :\ntglobal\Agenda Draft Reports\Joint Boards\GWRS J-36 Award Unit 1.attch-1.xls . ESTIMATED EXPENDED TO DATE(%) 250% 101% 76% 16% 0% 0% 0% 33% 27% AGENDA ITEM SUBMITTAL Meeting Date: March 8, 2004 To: Groundwater Replenishment System Steering Committee From: Virginia Grebbien Blake Anderson Staff Contact: Shivaji Deshmukh Budgeted: Yes Funding Source: OCWD/OCSD/Grants Program/Line Item No.: 501-5049-722.60-01 Cost Estimate: $29,400,000 General Counsel Approval: N/A Project Report Approved: Yes CEQA Compliance: Yes Subject: AWARD OF CONTRACT NO. GWRS-2003-5, GROUNDWATER REPLENISHMENT SYSTEM UNIT I PIPELINE PROJECT SUMMARY Six bids for Contract No. GWRS-2003-5, Groundwater Replenishment System Unit I Pipeline Project, were received and opened on February 10, 2004. Following evaluation of the bids, staff recommends awarding the contract to the lowest responsive bidder, Ken Thompson, Inc., for the corrected bid amount of $26,672,045. RECOMMENDATION Agendize for the March 17 OCWD and March 24 OCSD Board meetings: 1) Receive and file Affidavit of Publication of Notice Inviting Bids; 2) Ratify issuance of Addenda Nos. 1 -4; and 3) Accept bid and award Contract No. GWRS-2003-5, Groundwater Replenishment System Unit I Pipeline Project, to the lowest responsive bidder, Ken Thompson, Inc., for $26,672,045. DISCUSSION/ANAL VSIS In November 2003, this Committee approved plans and specifications and authorized solicitation of bids for the Groundwater Replenishment System Unit I Pipeline Project. This project involves installation of approximately 18,400 linear feet of 78-inch pipe; 9,500 feet of 72-inch pipe; 3,500 linear feet of 66-inch pipe; 1,900 feet of 54-inch pipe; and 200 feet of 48-inch pipe. This project includes ten major street and highway crossings and it will also connect the treatment plant to the pipeline. The pipeline alignment will be in the west bank of the Santa Ana River and includes tunnels at each street and freeway under crossing. \. .I I v The Notice Inviting Bids was published on November 11, 2003, and four addenda were issued on November 26, 2003, December 18, 2003, January 15, 2004, and January 27, 2004, which provided minor clarifications to the plans and specifications. Bids were opened on February 10, 2004, and a total of six bids were received. The companies that submitted bids and their respective bid amounts were as follows: Ken Thompson, Inc. L.H. Woods & Sons Inc. Mladen Buntich Construction Co., Inc. Colich & Sons, LP. ARB, Inc Colich Construction, LP & Steve P. Rados (J.V.) $ 26,672,045 $ 27,799,000 $ 30,434, 175 $ 31,793,509 $ 33, 172,213 $ 35,398,590 Staff has evaluated the bid of Ken Thompson, Inc. and found it to be complete and responsive. Ken Thompson, Inc. has the appropriate State contractor's license, which is current and in good standing. References have also been checked and found acceptable. The low bid that was received was$ 2,727,000 under the Engineer's estimate, and this amount has been transferred to the program contingency, which maintains the overall program budget of $453.9 million adopted by this Committee and both Boards of Directors. PRIOR COMMITTEE ACTIONS November 10, 2003 -Approval of plans and specifications and solicitation of bids. H:\ntglobal\Agenda Draft Reports\Joint Boards\GWRS J-36 Award Unit 1 032404.attch 2.doc