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2004-12-15
phone: (714) 962-2411 fax: (714) 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 Member Age ncies • Citie s 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 Sanitary Districts Costa Mesa Midway City Wa t e r Districts Irvine Ranch ORANGE COUNTY SAN ITAT ION DISTRICT December 8 , 2004 NOTICE OF MEETING BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, December 15, 2004-7:00 P.M. DISTRICT'S ADMINISTRATIVE OFFICES 10844 Ellis Avenue Fountain Valley, California 92708 The Regular Meeting of the Board of Directors of the Orange County Sanitation District will be held at the above lo c ation , time and date . GWR SYSTEM STEERING COMMITTEE -Monday, January 10, 2005 at 5:30 p.m. @OCWD STEERING COMMITTEE -Wednesday, January 26, 2005 at 5:00 p.m. To maintain world·class leadership in waste water and water resource management. BOARD MEETING DATES Board Meeting January 26, 2005 February 23, 2005 March 23, 2005 April 27, 2005 May25, 2005 June 22, 2005 *July 20, 2005 August24,2005 September 28, 2005 October 26, 2005 *November 16, 2005 *December 21, 2005 *Meetings are being held on the third Wednesday of the month H:\dept\admin\BS\Agenda\2004 Meeting Notices\MN12.2.doc How to Register 1. Call to RSVP Today -Space is Limited League of California Cities -OC Division: 714-972-0077 2. Fill out the enclosed Registration Form and mail it by January 7, 2005 to: Orange County Leadership Symposium C/O League of California Cities -OC Division 600 W. Santa Ana Blvd., Ste. 214 Santa Ana, CA 92701-2442 Or fax to: 714-972-1816 Or fill out the form online at www.occities.org Total cost for the two-night Symposium is $ __ for members of sponsorying agencies, and $ __ for other participants. Registration includes symposium materials, lodging, and meals. Due to the program format and capacity limits at the conference center, symposium participants are discouraged from bringing guests. Regis- tration does not include transportation or lunch on January 14. IV ((This year promises to be the best yet!' Carmen Vali-Cave Ali so Viejo City Co uncil Member & Sa n Joa quin Hill s Tra nsportati on Corridor Age ncy Boar d of Member -·-.,._....,.... ~•m a @ ..__,,.._ • OCTA w {§.) . . MINUTES OF THE OPERATIONS, MAINTENANCE AND TECHNICAL SERVICES COMMITTEE Orange County Sanitation District Wednesday, December 1, 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 December 1, 2004, in the District's Administrative Office. (1) ROLL CALL The roll was called and a quorum declared present, as follows: OMTS Directors Present: Carolyn Cavecche, Chair Anna Piercy, Vice Chair Don Bankhead Doug Davert Cathy Green Paul Walker James M. Ferryman, Board Vice Chair OMTS Directors Absent: Steve Anderson, Board Chair Staff Present: Blake Anderson, General Manager Bob Ghirelli, Director of Technical Services Bob Ooten, Director of Operations & Maintenance Patrick Miles, Director of Information Technology Nick Arhontes, Manager of Regional Assets and Services Penny Kyle, Committee Secretary Lilia Kovac, Assistant Committee Secretary Rich Castillon ·~ George Robertson Mark Tomko Simon Watson Others: Dr. Steve Weisberg, SCCWRP (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR Committee Chair Cavecche had no report. Minutes of the Operations, Maintenance and Technical Services Committee Page2 December 1, 2004 (5) REPORT OF THE GENERAL MANAGER The General Manager reported that the Orange County Business Council Board of Directors has invited him to join their Executive Committee. This opportunity will afford OCSD a forum to educate the customers about the position of the District's infrastructure. (6) CONSENT CALENDAR ITEMS a. The minutes of the November 3, 2004 Operations, Maintenance and Technical Services Committee meeting were approved as drafted and ordered filed. b. OMTS04-58 Receive and file Technical Services Monthly Report, which focuses on regulatory, biosolids and performance, measures for the Technical Services Department. c. OMTS04-59 Receive and file Operations & Maintenance Monthly Report, which focuses on compliance, financial data and performance measures for the Operations and Maintenance Department. d. OMTS04-60 Recommend to the Board of Directors to: ( 1) Authorize the General Manager to renew the contract with Cytec Industries for the Purchase of Anionic Polymer, Specification No. C-149, for the period of January 1, 2005 through August 31, 2005, providing for a unit price increase of $0.56 per active pound, for a total unit price of $2.30 per active pound, for an estimated increase of $21,000, increasing the estimated annual cost through August 31, 2005 to $235,000; and, (2) Authorize the General Manager to conduct anionic polymer performance trials in preparation for bidding and awarding a contract for anionic polymer effective September 1, 2005. e. OMTS04-61 Approve a Consulting Services Agreement with AKM Consulting Motion: Engineers for a Dig Alert Technician, Specification No. CS-2004-202, for an amount not to exceed $117,000, plus a contingency of $32,400, for an annual amount not to exceed $149,400, and providing for three one-year extensions. Moved, seconded and duly carried to approve the recommended actions for items specified as 6(a) through (e) under Consent Calendar. (7) ACTION ITEMS a. OMTS04-62 Recommend to the Board of Directors to adopt Resolution No. OCSD 04- _, approving the Sixth Amended Joint Powers Agreement with Southern California Coastal Water Research Project Authority (SCCWRP), providing for the initial term of the agreement for one year, with a total term of four '· Minutes of the Operations, Maintenance and Technical Services Committee Page3 December 1, 2004 Motion: years, including extensions effective July 1, 2005 through June 30, 2009, with the District's contribution not to exceed $1,399,527 over the four-year term. Dr. Steve Weisberg of SCCWRP presented results of an extensive study of wastewater effects on humans, and the types of new tests being developed to better monitor discharges and its effects. Dr. Weisberg was asked to make a similar presentation to the Board of Directors on the study results. The committee also requested that reports be given to the committee as they become available. Moved, seconded and duly carried to recommend approval to the Board of Directors. b. OMTS04-63 The General Manager is requesting initial direction from the OMTS Motion: Committee on how to proceed in evaluating air emission risk reduction options for District employees. This item was deferred to be addressed at a later time for further evaluation of data. (8) INFORMATIONAL ITEMS a. OMTS04-64 Information Security Management Patrick Miles, Director of IT and Rich Castillon reported that staff is implementing an information security management and monitoring program that safeguards information assets against unauthorized use, disclosure, modification, damage or loss. Some concern was expressed by the Directors about security exposure to the District's vulnerability by broad internal accessibility to sensitive information. Rich Castillon explained the crossover of security systems which minimize this possible exposure. Policies are being presented to the Board of Directors for adoption, and certification of security management is being pursued after all systems are in place and training is completed. (9) REPORT OF DIRECTOR OF INFORMATION TECHNOLOGY Director of Information Technology had no report. (10) REPORT OF DIRECTOR OF OPERATIONS AND MAINTENANCE The Director of Operations and Maintenance reported the District received three CWEA awards that will be presented at the Board meeting in December. Minutes of the Operations, Maintenance and Technical Services Committee Page4 December 1, 2004 Mr. Ooten also advised a request would be made at the December Board meeting to clarify polymer being purchased and an increase in the unit price. (11) REPORT OF DIRECTOR OF TECHNICAL SERVICES Bob Ghirelli, Director of Technical Services, reported that December 31, 2004 is the deadline for compliance with AQMD requirements for emissions. The District currently meets requirements except for one pollutant, oxides of nitrogen. Studies have been made to reduce emissions using existing technology, but have taken longer than expected. Staff is requesting a hearing for variance for an additional six months to meet the emission regulation. Approval is expected and the hearing is scheduled for December 22, 2004. Nine proposals were received for the long-term management of Biosolids. Interviews with the vendors are scheduled in mid-December, and results should be finalized after the first of the year. The Biosolids Advisory Committee will also review the proposals and prepare a report with their recommendations. The Consent Decree for meeting full secondary treatment in 2012 has been finalized and the public comment period will end on December 26, 2004. It was noted that an earmark of $800,000 for secondary treatment is contained in the FY 2005 U.S. EPA spending bill. (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 February 2, 2005 at 5 p.m. I' Minutes of the Operations, Maintenance and Technical Services Committee Page5 December 1, 2004 (15) CLOSED SESSION There was no closed session. (16) ADJOURNMENT The Chair declared the meeting adjourned at 6:15 p.m. Submitted by: H:\dept\agenda\OMTS\2004\ 1204\ 120104 OMTS Minutes.doc DRAFT MINUTES OF PLANNING. DESIGN. AND CONSTRUCTION COMMITTEE MEETING Orange County Sanitation District Thursday, December 2, 2004, at 5 p.m. A meeting of the Planning, Design, and Construction Committee of the Orange County Sanitation District was held on Thursday, November 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: Tod Ridgeway, Chair Alice Jempsa, Vice Chair John Collins Norm Eckenrode Patsy Marshall Jim Ferryman, Board Vice Chair Directors Absent: Steve Anderson, Board Chair Alberta Christy Beth Krom Paul Yost (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 Tod Haynes, Engineering Supervisor Chris Cervellone, Engineering Supervisor Larry Gibson, Engineering Supervisor Pam Koester, CIP Project Manager Jennifer Cabral, Senior Public Information Specialist Gail Garrett, Committee Secretary OTHERS PRESENT: James Donich, Counsel Wahid Karam, Carollo Rich ten Bosch, Black & Veatch Committee Chair Tod Ridgeway did not make a report. PDC Committee Minutes Page2 December 2, 2004 (5) REPORT OF THE GENERAL MANAGER General Manager was not present. (6) REPORT OF THE DIRECTOR OF ENGINEERING Jim Herberg. Engineering Manager, informed the Directors that the District will be sending out another letter notifying residents along the 405 Freeway in Costa Mesa of encroachments onto OCSD easements. Tod Haynes, Engineering Supervisor, presented the Bushard monthly progress report for November. He briefed the committee on the Geotechnical report prepared by Geo Matrix under attorney/client privilege. The final report will be finalized in the next few weeks and made public and published on the website. Director Alice Jempsa requested that an executive summary of the report be provided to all the directors, with the full report made available if requested. David Ludwin, Director of Engineering, gave a brief report on his meeting this morning with the General Manager, General Counsel and the Bushard contractor, Rados. Jennifer Cabral, Senior Public Information Specialist, provided an update on the outreach activities for the Bushard project and the 14th and "A" Street Pump Station project. Efforts continue to provide outreach services to residents and to address individual concerns. OCSD staff was interviewed by Jim Sinasek, NBTV regarding our Ocean Monitoring Program, Water Quality, Urban Runoff and the "Nerissa 11 , OCSD's new Ocean Monitoring Vessel. The program is scheduled to run the beginning of December through mid-January on Adelphia and Cox Channels 3 and 30. Contact Jennifer at (714) 593-7581 if your city is interested in covering a similar topic on your cable station. (7) REPORT OF GENERAL COUNSEL Mr. Ludwin introduced James Donich from General Counsel's office. He did not give a report. (8) CONSENT CALENDAR {Items a-k) a. MOVED, SECONDED AND DULY CARRIED TO: Receive, file, and approve draft minutes of the November 4, 2004 Planning, Design, and Construction Committee Meeting. f. PDC04-98 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 2 to Secondary Treatment Facilities Process Upgrades at Plant No. 2, Job No. P2-47-3, with Morrow-Meadows Corporation, authorizing an addition of $12,765, increasing the total contract amount to $4,930,668. g. PDC04-99 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Ratify Change Order No. 4 to Effluent Pump Station Annex, Job No. J-77, with J.F. Shea Construction, Inc., authorizing an addition of $17 4,549, increasing the total contract amount to $43,461,297; and (2) Approve out-of-country travel for two employees to Japan for the purpose of witnessing factory tests associated with pumps, variable frequency drives, PDC Committee Minutes Page3 December 2, 2004 and motors that will be installed at the new Effluent Pump Station Annex. Director Patsy Marshal questioned the necessity for shipping the motor and drives to Japan for testing. Matt Smith, Engineering Manager, explained the importance of conducting the test of the entire pump/drive assembly at the pump manufacturing facility in Japan. h. PDC04-100 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve a budget amendment of $116,086, for Plant Nos. 1 and 2 Facilities Modifications for Odor Control, Job No. J-71-3, for a total budget of $3,760,596; and (2) Ratify Change Order No. 3 for Plant Nos. 1 and 2 Facilities Modifications for Odor Control, Job No. J-71-3, with J.F. Shea Construction, Inc., authorizing an addition of $116,086, increasing the total contract amount to $2,223,883. i. PDC04-101 MOVED, SECONDED AND DULY CARRIED TO: Ratify Change Order No. 2 to Gas Compressor Building Upgrades, Job No. P2- 79-1, with Adams/ Mallory Construction Co. Inc., authorizing an addition of $19,239, and 90 calendar days, increasing the total contract amount to $504,848. This item is for PDC approval per Delegation of Authority by Board Resolution No. 04-08. j. PDC04-102 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 9 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 $527 ,005, increasing the total contract amount to $15,976,454. k. PDC04-103 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 16 to Primary Clarifiers 16-31 and Related Facilities, Job No. P1-37, with Margate Construction, authorizing a deduction of $160, 121, decreasing the total contract amount to $71,217,259. END OF CONSENT CALENDAR Consideration of items deleted from Consent Calendar, if any. I. PDC04-104 Recommend to the Board of Directors to approve Amendment No. 4 to the Professional Services Agreement with MDS Consulting to provide additional funds for Surveying Services, Specification No. PSA-2001-34BD, for FY2003/04 for an additional amount not to exceed $55,000. Mr. Ludwin requested a verbal amendment to the recommended motion be made to more accurately reflect the consultant's PDC Committee Minutes Page4 December 2, 2004 9. a. b. c. d. e. invoices received by the District after the yearly contract had expired. The motion was modified to "Recommend to the Board of Directors to ratify invoices rendered under an expired Professional Services Agreement with MOS Consulting for Surveying Services, Specification No. PSA-2001-34BD, for an amount not to exceed $55,000" Motion: MOVED, SECONDED, AND DULY CARRIED to approve the recommended action, as modified. ACTION ITEM (Item a-g) PDC04-105 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 11 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing a time extension of 49 calendar days, increasing the total contract duration to 607 calendar days. PDC04-106 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to ratify Change Order No. 12 to Bushard Trunk Sewer Rehabilitation, Job No. 1-2-4, with Steve P. Rados, Inc., authorizing a time extension of 27 calendar days, increasing the total contract duration to 634 calendar days. PDC04-107 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to approve a budget amendment for Activated Sludge Plant Rehabilitation, Job No. P1-82, in the amount of $5,559,000, for a total project budget of $50, 128,000. PDC04-108 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve budget amendment for Standby Power and Reliability Improvements, Job No. J-33-1A in the amount of $676,000, for a total budget of $18,319,000; and (2) Ratify Change Order No. 5 to Standby Power and Reliability Improvements, Job No. J-33-1 A, with Southern Contracting Company, authorizing an addition of $931,410 and an addition of 545 calendar days, increasing the contract amount to $ 7,634,611. Chris Cervellone gave an overview of the project timeline for Standby Power and Reliability Improvements for Job No. J-33-1 A and explained the issues which delayed specified contract work included in the J-33-1 A project. James Donich explained District's possible liability with the delays and that Counsel has been involved in the negotiated resolution represented in this Change Order and supports staff's recommended action. PDC04-109 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve a budget increase of $37, 144,000 for PDC Committee Minutes Pages December 2, 2004 Headworks Improvements at Plant No. 2, Job No. P2-66, for a total budget of $266,380,941; (2) Approve a budget transfer of $6,900,000 from Trickling Filters at Plant No. 2, Job No. P2-90, increasing the total project budget to $273,280,941; and (3) Approve a budget transfer of $580,000 from Newport Trunk Sewer and Force Mains and Bitter Point Pump Station to Coast Trunk Sewer, Job No. 5-58, increasing the total project budget to $273,860,941. Pam Koester presented an in-depth update on the Plant 2 Headworks improvements, and outlined the reasons for construction cost increases, which included increased overseas, as well as domestic demands for materials. The final design was completed in November 2004, and the construction cost estimate received. The projected bid period is the first quarter of 2005. Director Collins complimented Ms. Koester on her thorough presentation. f. PDC04-110 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to (1) Approve time extensions to Cooperative Projects Grant Program Contract Nos. 0102 and 0203 with the City of Buena Park, and (2) Approve $35,000 FY 04/05 funding for the flow monitoring and data analysis project proposed by the City of Buena Park. Director Patsy Marshal abstained. g. PDC04-111 MOVED, SECONDED AND DULY CARRIED TO: Recommend to the Board of Directors to authorize the General Manager to enter into a sole source three-year, one-year renewable blanket purchase order agreement with OCB Reprographics, Inc., for Reproduction of Plans, Photocopying and Related Services, for an annual amount not to exceed $225,000. (11) CLOSED SESSION There was no closed session. (11) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY There was none. (12) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. (13) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND STAFF REPORT There were none. PDC Committee Minutes Page6 December 2, 2004 (14) FUTURE MEETINGS DATES The next Planning, Design, and Construction Committee Meeting is scheduled for Thursday, February 3, 2005 at 5 p.m. PDC Chair Ridgeway and Director of Engineering Ludwin thanked Director Collins, who is leaving the Board, for his leadership and guidance to the PDC Committee. Director Collins expressed his appreciation to Engineering staff and complimented them on their professionalism and expertise. He said that he will remain as an alternate on the PDC Committee. (15) ADJOURNMENT The Chair declared the meeting adjourned at 7:00 p.m. Submitted by: ~~ Gail Garrett PDC Committee Secretary C:\Documents and Settings\garrett\local Sellings\Temporary Internet Files\OLK2\120204 PDC Minutes Draft.doc MINUTES OF FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE MEETING Orange County Sanitation District Wednesday, December 8, 2004, 5:00 p.m. A meeting of the Finance, Administration and Human Resources Committee of the Orange County Sanitation District was held on December 8, 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: Roy Moore, Chair Mike Duvall, Vice Chair Patricia Bortle Bill Dalton Darryl Miller Joy Neugebauer James W. Silva Steve Anderson, Board Chair DIRECTORS ABSENT: Jim Ferryman, Vice Board Chair STAFF PRESENT: Blake P. Anderson, General Manager Gary Streed, Director of Finance/Treasurer Carol Beekman, Director of Communications & Administrative Services Lisa Tomko, Director of Human Resources Mike White, Controller Lisa Arosteguy, Human Resources Supervisor Ann Sullivan, Human Resources Analyst Paul Loehr, Senior Human Resources Analyst Rich Castillon, Information Technology Manager Jennifer Cabral, Senior Public Information Specialist Penny Kyle, Committee Secretary Lilia Kovac, Assistant Committee Secretary OTHERS PRESENT: Director Cathy Green Brad Hagin, Assistant General Counsel Layne Baroldi Bob Geggie (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS There were no public comments. (4) REPORT OF THE COMMITTEE CHAIR Committee Chair Moore had no report. (5) REPORT OF THE GENERAL MANAGER Minutes of the Finance, Administration and Human Resources Committee Meeting Page2 December 8, 2004 Blake Anderson, General Manager, reported that the Orange County Business Council Board of Directors has invited him to join their Executive Committee. This opportunity will afford OCSD a forum to educate the customers about the District's infrastructure. The Directors were reminded that the Orange County Leadership Symposium will be held January 14-16, 2005, in Lake Arrowhead. The Directors were encouraged to attend this event. It was also noted that the Orange County Grand Jury will be visiting the District on Monday, December 13, to learn about the District's infrastructure. (6) REPORT OF DIRECTOR OF FINANCE/TREASURER The Director of Finance/Treasurer had no report. (7) REPORT OF DIRECTOR OF HUMAN RESOURCES Lisa Tomko, Director of Human Resources, introduced Paul Loehr, Senior Human Resources Analyst, who will be involved with employee labor relations. (8) REPORT OF DIRECTOR OF COMMUNICATIONS & ADMINISTRATIVE SERVICES The Director of Communications & Administrative Services had no report. (9) REPORT OF GENERAL COUNSEL Assistant General Counsel Brad Hogin had no report. (10) CONSENT CALENDAR ITEMS a. Approve minutes of the November 10, 2004, Finance, Administration and Human Resources Committee meeting, as corrected. b. FAHR04-105 Recommend to the Board of Directors to receive and file Treasurer's Report for the month of November 2004. c. FAHR04-106 Receive and file Certificates of Participation (COP) Monthly Report. d. FAHR04-107 Receive and file Employment Status Report as of November 15, 2004. e. FAHR04-108 Receive and file OSHA Incidence Rates and Workers' Compensation Claims and Costs Report. f. FAHR04-109 Receive and file report of General Manager approved purchases in amounts exceeding $50,000 in accordance with Board purchasing policies. g. FAHR04-110 Recommend to the Board of Directors to adopt Resolution No. OCSD 04- -' amending Resolution No. OCSD 98-33, amending Human Resources Policies and Procedures Manual. ,, Minutes of the Finance, Administration and Human Resources Committee Meeting Page3 December 8, 2004 h. FAHR04-111 Recommend to the Board of Directors to adopt Resolution No. OCSD 04- _, amending Resolution No. OCSD 98-33, amending Human Resources Policies and Procedures Manual re specific IT related policies. i. FAHR04-112 Receive and file informational report on Status and Impact of State MOTION: Property Tax Shift for 2004-05 and 2005-06. It was moved, seconded and duly carried to approve the recommended actions for items specified as 10(a) through (i) under Consent Calendar. END OF CONSENT CALENDAR (11) ACTION ITEMS a. FAHR04-113 Approve a one time only non-base building payment for the Director of MOTION: Technical Services in an amount not to exceed $3,480 for his service as Acting General Manager. Blake Anderson, General Manager, reported the item is being resubmitted to the FAHR Committee for a revised lower amount, after consideration of comments made at the last FAHR Committee meeting. It was moved, seconded and duly carried to recommend approval to the Board of Directors. b. FAHR04-114 In response to the Huntington Beach Conference and Visitors Bureau (HBCVB) proposal, continue to use the planned efforts for community outreach activities and education programs as described in the current Communications and Administrative Services Strategic Plan FY 2004-05. Carol Beekman, Director of Communications & Administrative Services, reported the Steering Committee and staff have reviewed the proposal submitted by the HBCVB. In response to the District's Labor Day weekend effluent discharge to the Santa Ana River and subsequent pre- emptive closing of nearby beaches by the County Health Department, the HBCVB has made a proposal that the District establish a special budget for an advertising campaign that would directly benefit the city's tourism industry. Board Chair Steve Anderson met with the mayors of Huntington Beach and Newport Beach and representatives of HBCVB. The General Manager wrote a memo to Chair Anderson outlining staff recommendations that were presented at the November 17, 2004 Steering Committee meeting. After Chair Anderson's review of the recommendations, he asked that the proposal be submitted to the FAHR Committee for consideration. General Counsel issued an opinion that was shared with the FAHR Committee that the proposal, as written, would constitute an unlawful gift of public funds because it would have a purely private purpose Minutes of the Finance, Administration and Human Resources Committee Meeting Page4 December 8, 2004 MOTION: (prevention of lost revenue to area businesses), and it would vest discretionary spending authority in a private individual, effectively allowing a private individual to spend public funds. Ms. Beekman noted highlights contained in a letter dated November 30, 2004, from the HBCVB, that was provided to the Directors that evening: (1) "We think OCSD should step up to its job for education and outreach and finance a significant regional advertising campaign to tell the story"; and, (2) "It could even be funded as a Supplemental Environmental Project of the Regional Water Quality Control Board using OCSD's fines assessed for the Labor Day sewage spill." It was noted that Dr. Robert Ghirelli, Director of Technical Services and a former Executive Officer of a Regional Water Quality Control Board, had provided his considered opinion that the Regional Water Quality Control Board's supplemental environmental projects are designed for projects to improve water quality and that the HBCVB proposal would not qualify for that reason. Ms. Beekman referred the Directors to review a handout provided that evening listing projects the District has voluntarily initiated since the 1999 Strategic Plan analysis of peak flow management. It was noted more than $700 million has been spent to date to better the District's system and decrease risks of emergency discharge. The Directors entered into a brief discussion and Director Cathy Green was asked for her input. The city is having a difficult time promoting an environmentally friendly city while experiencing beach closures for sewage spills, and construction problems in connection with the Bushard Trunk Sewer project. She asked that the District do more in promoting a positive image and to do more in promoting positive reports to the public. It was moved, seconded and duly carried to continue with the planned efforts for community outreach activities and education programs as described in the current Communications and Administrative Services Strategic Plan FY 2004-05. c. FAHR04-115 Approve the request for proposal for independent financial auditors to conduct the annual financial audit over a five year period beginning with the fiscal year ending 2004-05 and the list of independent auditors to receive the proposal. Mike White, Controller, provided a brief report on the successful audit results of the District's accounting practice. The FAHR Committee directed staff to continue with the existing Audit Committee Policy and Procedure. It was also noted that Moreland & Associates was not to be asked to submit a proposal as they have served as the external auditors for the last ten years; and Moss, Levy & Hartzheim was not to be asked to submit a proposal as they are currently serving as the District's contract internal auditors. ,• Minutes of the Finance, Administration and Human Resources Committee Meeting Page5 December 8, 2004 MOTION: It was moved, seconded and duly carried to recommend approval to the Board of Directors. (12) INFORMATION PRESENTATIONS There were none. (13) CLOSED SESSION There was no closed session. (14) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY The General Manager advised the Directors that General Counsel was sending the Board of Directors a confidential memorandum regarding the Yakima Company. Director Bortle announced that this was her last FAHR meeting. Committee members expressed gratitude for her service to the agency. (15) CONSIDERATION OF UPCOMING MEETINGS The next FAHR Committee meeting is scheduled for February 9, 2005 at 5 p.m. (16) ADJOURNMENT The Chair declared the meeting adjourned at 5:45 p.m. Submitted by: Penny M. le FAHR Committee Seer ry H:\dept\agenda\FAHR\FAHR2004\ 1204\120804 FAHR Minutes.doc ~~f:L::. t\·~': .. ~"\;:'-~ " ~f phone: ~'4714) 962-2411 ~~~\. ·. fax: ~;(~·141 962-0356 ~};~·.-\-.acsd.cam ~~~~::~; ;.~tain Valley, CA ;.;~ :·,. 92728-8127 ~~~,:· ~::/.,,_et address: ~~·Ellis Avenue ~In Valley, CA !:.;-/«:'"' 92708-7018 Member Agencies • Cities Anaheim [t?.':, Bue;;P;:;; '?F·:iountsin Valley t1:~~? · · Fullerton ~~,·,'1.f;srden Grove 'fitnJclngton Beach ~W'>_ Ls :;:,~: ~~::,· Ls Pa~ms ~:d .·:Los Alamitos ~:~;Wewport Besch ~·{. Orange ~;~ : Plscentis f"t°~" '· · Santa Ans '('·" };~ :: . Seal Beach L>:' ''· Stanton ~~:·~ ... ~·.. Tustin ~;:? lfl::,B !':,;! ~of Orange [-~~:.:~~ ~t~~\. ~sftary Districts ~. ·:' Costs Mesa /.. Midway City ~~acer Districts Irvine Ranch :'.-:>.' .. ORANGE COUNTY SANITATION DISTRICT December 8, 2004 Daniel Cozad Acting General Manager Santa Ana Watershed Project Authority 11615 Sterling Avenue Riverside, CA 92503 Subject: Santa Ana River Interceptor Emergency Repairs, Contract No. 2-41-3 Thank you for your letter dated November 10, 2004 regarding the Santa Ana River Interceptor (SARI) emergency repairs. As you are aware, construction of the two grade stabilizers at Areas 1 and 2 are continuing on schedule and are expected to be complete prior to the end of the year. The District has estimated $982,000 as the not to exceed design and construction cost and has informed SAWPA by letter on October 29, 2004. Your Commission's request for additional information is as follows: 1. The estimated design and construction cost includes the following items: Design (ACOE & District) Construction (Jamison, Bonterra, Entrix, RBF, District) Close Out (District) Contingency Total $120,000 $772,000 $ 10,000 $ 80 000 $ 982,000 2. We are also looking into the matter of seeking reimbursement from either or both the County or ACOE, based on the agreement between those agencies for the protection of utilities in the river. 3. The regulatory agencies have given the District authorization to proceed with the emergency repairs without the determination of mitigation measures. Costs for mitigation measures were not known at the time of the estimate and are still subject to negotiation between the District, California Department of Fish and Game (CDFG), and United States Fish and Wildlife Service (USFWS). It is anticipated that most of the mitigation will center on restoration of vegetative habitat. 4. Lessons learned are as follows: a. A reliable survey of field conditions was not done during the spring of 2004, due to continuous rainfall and high flows in the river. Future surveys, however, will continue to be planned to be conducted in the early spring, with any necessary field work scheduled to start in late April. "70 maintain world-class leadership in wastewater and water resource management. " Daniel Cozad December 8 , 2004 Page 2 b. The Army Corps of Engineers (ACOE) construction work immediately behind Prado Dam prevented storage of water, and thereby required flows to pass freely through the gates . These unregulated flows created higher water elevations than usual and prevented surveying crews from accessing the deeper sections within the low flow channel , thus delaying the completion of this year's survey . In the future, the District will coordinate with ACOE to get commitments for lower flow releases , in advance of the field surveying activities . c. In order to assess the effectiveness of the emergency repairs , the District will continue to monitor repairs to verify the replenishment of the soi l cover over the pipeline . We certainly understand the concerns and desire of SAWPA to have such repairs planned well in advance and to minimize the costs . We share those thoughts completely. However, because ultimate control of the rive r rests with Federal , State, and County authorities , our plans and desires are often unable to be met. For example , although the survey may be able to be completed in the spring during fu tu re monitoring events, any planned maintenance or repairs may not be able to be performed within the Least Bell's Vireo nesting season (February 15 to September 15). The nesting season creates a very sensitive period in which any activity within the river is subject to permit conditions from CDFG and USFWS . Also , the lowest flows in this secti on of the Santa Ana River historically occur in the months of September and October. If you have any questions or need additional information , please ca ll Hardat Khublall at (714) 593-7377. Blake P . Anderson General Manager BPA:HK:jo 003783618 c : OCSD Board Members SAWPA Commission Members California Regional Water Quality Control Board Santa Ana Region Q . . . Terry Tamminen Secretary for Environmental Protection 3737 Main Street, Suite 500, Riverside, Cali fornia 92501-3348 Phone (95 1) 782-4 130 -FAX (95 1) 781 -6288 http://waterboards.ca .gov/san taana/ Arnold Schwarzenegger Governor December 13, 2004 Mr. Blake P. Anderson General Manager ORANGE COUNTY SANITATION DISTRICT P.O. Box 8127 Fountain Valley, California 92728-8127 CERTIFIED MAIL RETURN RECEIPT REQUESTED ADMINISTRATIVE CIVIL LIABILITY COMPLAINT NO. RS-2004-0108 Dear Mr. Anderson : Enclosed is a copy of Administrative Civil Liability Complaint No. R8-2004-0108 . The complaint is in response to a violation of an effluent discharge prohibition specified in your waste discharge requirements, Order No. 98-5. It was issued pursuant to California Water Code Section 13385 and proposes the assessment of a penalty of $160,000 for a violation that occurred on September 4, 2004. Should you wish to waive your right to a public hearing on this matter, please sign the enclosed waiver form and submit it, along with the bottom portion of the attached invoice and a check or money order for the amount of civil liability ($100,000) not suspended (see Parts 9 and 11 of Complaint No. R8-2004-0108). Please submit all three items by December 27, 2004 to the address on the invoice. The remainder of the liability imposed ($60 ,000) is suspended, contingent upon OCSD conducting an acceptable supplemental environmental project. Your staff has expressed an interest in completing a suppl emental environmental project to address the suspended portion of the civil liability. As discussed, I will consider allowing up to $60,000 to be used toward a SEP. We expect to meet with you and your staff shortly to identify an acceptable project. Please be advised that if no acceptable project is identified or if the agreed -upon supplemental environmental project is not completed in a timely and acceptable manner, then the amount of liability suspended will become immediately due and payable (see Part 12 of Complaint No. R8-2004-0108). If you do not wish to waive your right to a public hearing on this matter, a hearing will be held before the Regional Board at its regularly scheduled meeting on January 28, 2005 in Santa Ana . California Environmental P rotection Agency y Recycled Paper Blake P. Anderson Complaint No. R8-2004-0108 -2 -December 13, 2004 Should you have any questions, please contact me at (951) 782-3284 , Gary Stewart, Chief of the Board's Surveillance and Enforcement Section, at (951) 782-4379, or Jorge A. Leon , the Regional Board's staff counsel, at (916) 341-5180 . Sincerely, Jf84'kz~1J Gerard J. Thibeault Executive Officer Enclosure: Complaint No. R8-2004-0108 Invoice cc: w/enclosure U.S. EPA -CWA Compliance Office (WTR-7) State Water Resources Control Board -Office of the Chief Counsel, Jorge Leon State Water Resources Control Board -Division of Water Quality Orange County Coastkeeper Lawyers for Clean Water Regional Board jcl/ocsdaclr8-2 004-0108.cov Califomia Environmental Protection Agency y Recycled Pap er California Regional Water Quality Control Board Santa Ana Region IN THE MATIER OF: Orange County Sanitation District 10844 Ellis Avenue P.O . Box 8127 Fountain Valley, California 92708-8127 ) ) ) ) ) YOU ARE HEREBY GIVEN NOTICE THAT: Complaint No. R8-2004-0108 for Administrative Civil Liability 1. Orange County Sanitation District (OCSD) is alleged to have violated provisions of law for which the California Regional Water Quality Control Board , Santa Ana Region (hereinafter Board), may impose administrative civil liability pursuant to California Water Code Section 13385. 2 . A hearing concerning this complaint will be held before the Board within 90 days of the date of issuance of this complaint, unless OCSD waives its right to a hearing. Waiver procedures are specified in Paragraph 13 of this complaint. If the hearing on this matter is not waived, the hearing will be held during the Board's regular meeting on January 28 , 2005 . OCSD or its representative will have the opportunity to appear and be heard and to contest the allegations in this complaint and the imposition of civil liability by the Board. 3. If the January 28 , 2005 hearing on this matter is held, the Board will consider whether to affirm , reject, or modify the proposed adm inistrative civil liability or whether to refer the matter to the Attorney General for recovery of judicial civil liability . 4. At the time of the incident that forms the basis of this complaint, discharges from OCSD 's wastewater treatment plants to the Pacific Ocean were regulated under Order No. 98-5 (NPDES No. CA 0110604), waste discharge requirements adopted by the Board on March 6 , 1998. 5. OCSD is alleged to have violated Discharge Specification A.2. of Order No . 98-5, by discharging approximately 1,569,000 gallons of partially disinfected and treated sewage on September 4, 2004 , into the Santa Ana River on a non-emergency basis. This discharge specification states : "The discharge of wastewater to other than Discharge Serial No . 001 is prohibited, except in the event of an emergency. An emergency is a circumstance that precludes discharging all wastewater to Discharge Serial No . 001 despite proper operations Orange County Sanitation District Page 2 Administrative Civil Liability Complaint No. R8-2004-0108 and maintenance of the discharger's facilities . Such emergencies are limited to situations such as earthquake, flood, and acts of war or terrorism ." 6. This complaint is based on the following facts: A.) OCSD owns and operates a publicly owned treatment works (POTW) that includes wastewater collection system and treatment facilities . The treatment facilities handle waste from twenty-one cities and unincorporated areas of northern and central Orange County. The facilities also receive brines, sewage, and other waste from the western areas of San Bernardino and Riverside Counties through the Santa Ana Regional Interceptor. B.) OCSD operates Reclamation Plant No . 1 (RP-1 ), with a primary treatment design capacity of 108 million gallons per day (MGD) and 96 MGD of secondary treatment capacity, and Treatment Plant No. 2 (TP-2) with a primary treatment design capacity of 168 MGD and 90 MGD of secondary treatment capacity. The OCSD's final effluent is composed approximately of a 40% to 60% blend ratio of primary treated and secondary treated wastewater. C.) The primary/secondary treated wastewater blend produced in RP-1 is sent to TP-2 and commingled with TP-2's effluent blend for disposal in the Pacific Ocean . OCSD discharges its effluent through Discharge Serial No. 001 , which is a 120-inch diameter underwater pipeline that extends approximately 4.5 miles offshore from the mouth of the Santa Ana River, located in Huntington Beach . D.) OCSD may discharge to the Pacific Ocean on an emergency basis through Discharge Serial No . 002 , a deactivated ocean outfall , which is a 78-inch diameter underwater pipeline that extends 1 mile offshore from the mouth of the Santa Ana River, at a depth of 65 feet. In case of an extreme emergency, OCSD may discharge effluent into the Santa Ana River through Discharge Serial No. 003 located immediately upstream from the mouth of the Santa Ana River. Emergencies are limited to situations such as earthquake, flood , and acts of war or terrorism . E .) The Nearshore Zone of the Pacific Ocean is within a zone bounded by the shoreline and a distance of 1,000 feet from the shoreline or the 30- foot depth contour, whichever is further from the shoreline . Water contact recreation is an ex isting beneficia l use of the Nearshore Zone . ' ' Orange County Sanitation District Administrative Civil Liability Complaint No. RB-2004-0108 Page 3 F .) Each OCSD sewage treatment plant includes a Cent ral Power Generating System (CGS) consisting of electrical power generators that provide each plant with sufficient electrical power for their operations. The CGS for OCSD's TP-2 consists of five natural gas- fired generators and one steam turbine . Normally, the steam turbine and three generators will run all day and a fourth generator will be operated during peak flows, leaving the fifth generator as backup. G .) Also, TP-2's CGS is continually connected to the local Southern California Edison (SCE) power grid to sell surplus in-house generated energy to the SCE grid and serve as backup . A 12 kilovolt (12-kV) circuit breaker maintains TP-2's connection to the SCE power grid , and if the grid experiences a malfunction that could threaten to damage the CGS, the 12-kV breaker would open and isolate the CGS from the SCE power grid . Whenever the 12-kV circuit breaker opens to isolate the CGS, a high-voltage technician is needed to restore the connection by physically closing the 12-kV breaker. H.) An OCSD staff investigation determined that, on Saturday, September 4, 2004, a very brief power dip occurred in the neighboring SCE power grid that likely exerted a sudden high demand on the CGS causing the 12-kV circuit breaker to open and disconnect the CGS from the SCE grid to prevent equipment damage. As reported in the CGS power operator's report, around 1320 hours , two out of four gas-fired generators operating at the time shut down , leaving only two gas-fired generators and the steam turbine operating. I.) At this point, because the 12-kV breaker was left open , the SCE power grid could not serve as backup to power TP-2's electrical equipment; therefore, TP-2 was isolated from the SCE power grid. As a result, almost all plant electrical equipment stopped working and only the headworks and the ocean outfall booster station (OOBS) remained operating . As CGS operators began to restart additional generators, the operators of the wastewater treatment plant also began restarting electrical equipment, causing a sudden surge in power demand that tripped the CGS generators (again), which resulted in an internal second power outage at 1415 hours. This time, the pumping of effluent through the 120-inch outfall (Discharge Serial No . 001) ceased when the OOBS pumping station cou ld not be operated and the Foster booster station could not be powered due to a backup diesel-fired generator malfunction. J.) While CGS and wastewater treatment plant operators worked to restart the power generators and key electrical equipment of TP-2 for a second time, the partially treated and disinfected sewage began to Orange County Sanitation District Page4 Administrative Civil Liability Complaint No. RB-2004-0108 backup near the overflow weir of Discharge Serial No. 003 until it overflowed into the Santa Ana River for approx imately 30 minutes. Throughout this period of time, a high-voltage electrical techn ician was not on-site to close the 12-kV breaker and reconnect TP-2 to the SCE power grid to relieve CGS. High-voltage electrical technicians did not regularly work during weekends and none of them could reach the plant in t i me when called upon to assist after hours . K.) According to OCSD operations staff, reserve clarifier basins that could have been used to store sewage and keep sewage flows away from Discharge Serial No. 003 long enough to allow for the powering of the OOBS pumps were not available. The reserve clarifier basins are usually operated during the rain season to handle high peaks . These basins had be e n targeted for maintenance and tags and locks had been placed on their valves . TP-2 operations staff decided not to remove the locks from the valves and use the clarifier basins despite the risk of release . According to the operations supervisor log , the locks and tags were removed from the valves during the day shift of Sunday, September 5, 2004, in the presence of contractors in charge of the maintenance project. L.) As result of th e partially treated sewage release, Orange County Health Care Agency (OCHCA) closed a portion of Newport Beach immediately south of the mouth of the Santa Ana River and a section of Huntington Beach immediately north of th e mouth of the Santa Ana River from the afternoon of Saturday, September 4 through Monday, Septembe r 6, 2004 (Labor Day). M.) OCSD could have prevented the release if proper procedures had been established and followed to promptly reconn ect TP-2 to the SCE powe r grid , effectively coordinate the startup of the treatment plant and CGS to avoid overloading, and reroute sewage away from Discharg e Serial No . 003 to reserve primary clarifiers . T~e combination of operational errors and lack of preparedness likely caused th e disc harge to th e Santa Ana River. 7 . The non-emergency discharge occurred from OCSD 's TP-2 to the Santa An a River. The release impacte d the water contact recreation beneficial use of the Nearshore Zone of a section of Newport Bea ch and Huntington Be ac h immediately south and north of the mouth of the Santa Ana River, respectively. OCSD owns and operates TP-2 and is thus liable for the un authorized discharge of approxi mately 1,569 ,000 gallons of wastes to the Santa Ana River. Pursuant to Section 13385(c), the Board can administratively assess civil liability in an amount not to ex ce ed the sum of the following : ,., ·' , 'r ' Orange County Sanitation District Page 5 Administrative Civil Liability Complaint No. R8-2004-0108 A.) Ten thousand dollars ($10,000) for each day in which the violation occurs and, 8.) Where there is a discharge, any portion which is not susceptible to clean up or is not cleaned up, and the volume discharged but not cleaned up exceeds 1,000 gallons , a liability not to exceed ten dollars ($10) times the number of gallons by which the volume discharged but not cleaned up exceeds 1,000 gallons . 8. In accordance with Water Code Section 13385(c), the maximum liability for the violation cited is $15,690,000. This liability has been calculated as follows : A.) $10,000, for 1 day of discharge, and 8.) $15,680,000, at $10 per gallon for each gallon over 1 ,000 gallons (1,568,000 x $10 = $15 ,680,000). 9. Section 13385 (e) specifies factors that the Board shall consider in establishing the amount of civil liability. After consideration of these factors, the Executive Officer proposes civil liability be imposed on OCSD in the amount of $160, 000 for the violation cited above . 10. OCSD has expressed its interest in performing a supplemental environmental project (SEP) in partial settlement of the proposed liability. A specific SEP has not yet been identified . 11 . The Executive Officer will consider suspending $60,000 of the assessment proposed in Item 9, above, contingent upon OCSD's timely commitment to perform a SEP acceptable to the Executive Officer, and timely completion of the accepted SEP . 12. If the accepted SEP is not timely completed to the satisfaction of the Executive Officer, the amount of liability suspended shall become immediately due and payable. 13 . You may waive your right to a hearing . If you waive your right to a hearing, please sign the attached waiver, which is Page 7 of this complaint, and return it together with a check payable to the State Water Resources Control Board in the amount of the civil liability not suspended (proposed in paragraph 9). An invoice for this amount is enclosed . Orange County Sanitation District Page 6 Administrative Ci v il Liabil ity Complaint No. RB-2004-0108 If you have any questions concerning this complaint, contact the undersigned at (951) 782-3284, Gary D. Stewart, Surveillance and Enforcement Section Chief at (951) 782-4379, Julio C . Lara , staff engineer at (951) 782-4901 or Jorge Leon, the Board 's staff counsel, at (916) 341-5180 . l.2-/5-o4 Date ,.. , t ' California Regional Water Quality Control Board Santa Ana Region IN THE MATTER OF : Orange County Sanitation District ) 10844 Ellis Avenue ) P .O . Box 8127 ) Fountain Valley , California ) _92_7_0_8-_81_2_7~~~~~~~~) Waiver of Hearing Complaint No. R8-2004-0108 for Administrative Civil Liability Orange County Sanitation District (OCSD) agrees to waive its right to a hearing before the Santa Ana Regional Water Quality Control Board with regard to the violation alleged in Complaint No. R8-2004-0108. OCSD has enclosed a check for the amount of civil liability not suspended , in partial settlement of Complaint No. R8-2004-0108. OCSD also commits to the timely and satisfactory completion of an acceptable supplemental environmental project, in partial settlement of Complaint No . R8-2004-0108. Furthermore , OCSD understands that if the supplemental environmental project is not completed in a manner satisfactory to the Regional Board 's Executive Officer, the amount of suspended liability shall become immediately due and payable . Finally, OCSD understands that it is giving up its right to be heard and to argue against allegations made by the Executive Officer in Complaint No . R8-2004-0108, and against the imposition of, and amount of, the civil liability . Date for Orange County Sanitation District Page 7 of 7 CALIFORNIA REGIONAL WATER QUALITY CONTROL BOARD SANTA ANA REGION 3737 MAIN STREET, SUITE 500 RIVERSIDE, CALIFORNIA 92501-3348 NOTICE OF PUBLIC COMMENT PERIOD AND POSSIBLE PUBLIC HEARING Regarding Administrative Civil Liability Complaint No. R8-2004-01080 For Orange County Sanitation District Orange County Sanitation District (OCSD) is alleged to have violated provisions of law for which the California Regional Water Quality Control Board, Santa Ana Region (herei nafter Regional Board), may impose civil liability pursuant to Section 13385 (c) of the California Water Code. OCSD is alleged to have violated a discharge prohibition contained in its waste discharge requirements, Order No. 98-5 (CA 0110604), by discharging , without authorization, approximately 1,569,000 gallons of partially treated and disinfected sewage to the Santa Ana River in the vicinity of Huntington Beach on September 4, 2004 . The non-emergency discharge caused the closure of beaches adjacent to the mouth of the Santa Ana River for more than 48 hours, thus impacting the water contact recreati onal benefi cial use of the Nearshore Zone of the Newport Beach and Huntington Beach areas . On the basis of preliminary staff review and app li cation of lawful standards and regulations, Complaint No . R8-2004-0108 for administrative civil liability was issued to OCSD by the Executive Officer of the Regional Board on November 17, 2004. The Complaint proposes a civil liability of $160,000. The Complaint also proposes to allow OCSD to contribute up to $60,000 of the civil liability amount to a supplemental environmental project, approved by the Executive Officer, in lieu of putting the entire civi l liability amou nt into the State Water Resources Control Board 's Cleanup and Abatement account. The Complaint and related documents may be inspected and cop ied at th e Regional Board offi ce at 3737 Ma in Street, Suite 500, Riverside, California, by appointment between the hours of 9 :00 a.m . and 3 :00 p .m ., Monday through Thursday. Appointments may be scheduled by call ing the Regional Board office at (951) 782-4130 . Interested persons are invited to submit written comments on this matter. Comments must be submitted by January 18 , 2004. Unless OCSD waives its right to a public hearing, a hearing on this matter will be held as follows : DATE: TIME: PLACE: January 28, 2005 9:30 a.m. Santa Ana City Council Chambers 22 Civic Center Plaza Santa Ana, CA If a hearing is held, interested persons are invited to attend and express their views regarding this administrative civil liability complaint. Persons making presentations should confine their statements to the issues addressed in the complaint. Oral statements will be heard , but should be brief to allow all interested persons time to be heard . For the accuracy of the record, all testimony (oral statements) should also be submitted in writing. Any person who is physically handicapped and requires special accommoda tions to partic ipate in this hearing should contact Catherine Ehrenfeld at (951) 78 2-3285 no later than January 19, 2005. Please bring the forego ing to th e attention of an y persons known t o you w h o may ha ve an interest in th is matter. BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CA 92708 REGULAR MEETING December 15, 2004-7:00 P.M. RE: AGENDA ITEM NO. 3 Minute excerpts have been received as set forth below. Pursuant to Regular Agenda Item No . 3, it is app ropriate to receive and file said excerpts : 3. Consideration of motion to receive and file minute excerpts from the following re appointment of active and alternate Directors, as follows: City/Agency Anaheim Cypress Active Dire ctor Harry Sidhu Phil Luebben Alternate Director Bob Hernandez Lydia Sondhi H :\dept\agenda\Board Agendas\2004 Board Agendas\121504 suppleme ntal agenda .doc pho ne : (71 41962-2411 fax: (714) 962-0356 www.oced.c om mailing ad dress: P.O. Box 8127 Fount ain Valley. CA 92728-8127 street address: 10844 Ellis Avenue Fountain Valley. CA 92708-7018 Member Agencies • Cities Anaheim Brea Buena Park Cypress Fountain Valley Fullerton Garden Grove Huntington Beach Irvine La Habra La Palma Los Alem1tos Newport Beach Orange Placentia Santa Ana Seal Beach Stanton Tustin Villa Park Yorba Lmda County of Or ange Sanitary Districts Costa Mesa Midway City Wate r Districts lrvme Ranch O RAN GE COU NTY SANI TATION DI STR IC T December 8, 2004 To the Chair and Members of the Boa rd of Directors Subject: Board Letter Penny Kyle (2 copies no label) Board Secretary The following are items that yo u may find interesting . If you need additional information on an y of the items , please call me . OCSD Seeks SCAQMD Variance for Large Gas-Fired Engines Air emissions from the District's facilit ies are regulated by the South Coast Air Quality Management District (SCAQMD ). SCAQMD Rule 1110.2 requires the District to achieve lower emissions of three pollutants (nitrogen oxides , carbon monoxide, volatile organic compounds) from our large central generation gas-fired engines by December 31, 2004 . The Di strict operates three gas engines at Plant 1 and fi ve g as engines at Plant 2 subj ect to this rul e. Currently our emiss io ns of carbon monoxide and volatile organ ic compounds are substantially below the rule 's requirements; however, emission controls w ill be required to achieve th e nitrogen ox ide standard. In 2002 the District initiated a project to retrofit all 8 gas e ngines to achieve compliance with SCAQMD Rule 1110.2 by the December 31, 2004 due date . A research program was und ertaken to identify the appropriate technology solution for retrofitting the engines . Th e research became significantly more complicated than initially expected . As a result, completion of the retrofit could be delayed 6 -9 months beyond the c ompliance due date. SCAQMD ru les contain a variance procedure that would allow the District to continue to operate our gas e ngines while we work to bring t he gas engines into compliance . The variance is granted by the AQMD Hearing Board -a quasi-j udicial panel authorized by state la w to provide re lief from AQMD re gulations under certain circu ms ta nces. On November 121h the District submitted a variance request to the Hearing Board and a hearing to consider the variance is scheduled for December 22, 2004 . AQMD senior staff supports issuance of the variance . OCSD staff belie ves the Hearing Board will grant the va riance to give us the time necessary to retrofit the engines and meet the rule 's requirements . OCSD Wins Big Th e Santa Ana River Basin Awards Banquet of the California Water Environment Association was held on Saturda y, November 20, 2004. The Orange County Sanitation Dis trict and our staff received numerous awards for its e x ce llen t service and achievements in wastewater management. Once again, OCSD was named "Collection System of the Year-Large System ." To mamtam world-class leaders hip in wastewat er and wa t er resource management . ' Board of Directors Page 2 December 8 , 2004 Staff was also recognized for their dedication. Juan Ambriz was honored with the "Collection System Person of the Year," for his effort in providing innovation and excellence in a "hands-on " position . The award for "Operator of Year" was presented to employees Ken Wong and Robert Morris. OCSD 's Source Control Division added to their list of accolades as Source Control Inspectors Mary Sue Thomp son and Deon Carrico were nominated for the "2004 Pretreatment , Pollution Prevention and Stormwater (P3S) Person of the Year award ". Mary Sue won the P3S award this year. She was recognized for her efforts as the field coordinator of the Distri ct's Urban Runoff/Stormwater Program . The program has become a model for urban runoff programs across the country. D eon was also recognized by CWEA for his valuable field coordination skills on the UltraWheel case. His work resulted in felony convictions on 3 counts of illegal hazardous waste di sposal, a $425,000 settlement, plus another $500,000 spent by the company to achieve compliance. Congratulations to all of the winners! OCSD Receives$ 800 ,000 in Federal Funding for Fiscal Year 2005 On November 23, 2004 , Congressman Christopher Cox announced that Congress had enacted several of his initiatives to benefit Orange County . As a result of the passage of these legislative initiatives on Saturday, November 20, OCSD will receive $800,000 in Federal Funding for Fiscal Year 2005. This funding leve l represented the second highest appropriation for a California entity under the STAG (State Tribal Assistance Grants) account. Congress ' actions to maintain funding of OCSD's top priority, secondary treatment, is an important accomplishment in light of the Administratio n 's demand to limit domestic spending to cu rrent year levels. It places OCSD in a good position to request continued assistance in the upcoming fiscal year budget process that begins when Congress convenes in January. The Orange County cong re ss ional delegation has continu ed to provide unwavering support for OCSD 's legislative priorities . Please contact the delegation members, on behalf on of OCSD, to express appreciation for their repeated assistance . Ocean Monitoring Program on NBTV OCSD staff were inte rviewed by Waterwise host Jim Sinasek , from the City of Newport Beach for NBTV. The interview covered OCSD's Ocean Monitoring Program , Water Quality, Urban Runoff and Nerissa (OCSD 's new ocean monitoring ve ssel ). This program is scheduled to run the beginning of December through mid January, on Newport Beach's Adelphia Channel 3 and Cox Channel 30 . The scheduled time s lots are Mondays and Saturdays at 6 :30 p.m. If your city is interested in covering a similar topic on your c a ble station , please contact Jennifer Cabral at (714) 593-7581. .. Board of Directors Page 3 December 8, 2004 Construction Outreach Survey The Communications division has developed a Community Outreach Survey to better address the concerns of businesses and residents where OCSD construction projects are taking place . The survey is utilized to gather the necessary information to determine if improve ments to the outreach program are needed . The first project this survey went out to was a portion of the Tustin project. A total of 350 surveys were mailed out, of which 64 have been returned. The first seven questions inquired about the content, timeliness , method, knowledge and overall assessment of our construction no tifications. The average score was a 3.3 in a scale of 1-5, with 1 being very unsatisfied and 5 being very satisfied. Only six of the surveys mentioned that the site was not well maintained during construction . We currently have a survey being dis tributed for a Costa Mesa project that has recently been completed . Groundwater Replenishment System Featured in "Flex Your Power" Ad The Groundwater Replenishment (GWR) System is one of several projects featured in a "Fl e x Your Power" ad being featured in Sunday editions of the Orange County Register and other major Ca lifornia newspapers . Fle x Your Power is California 's statewide energy efficiency marketing and outreach campa ign, which operates under the auspices of the California Public Utilities Commission. GWR is cited for providing water at ha lf the present energy cost of importing it from Northern California . A reduced-size version of the advertisement which ran in Sunday, December 51h·s edition of the Register is enclosed. District Publishes Thanksgiving Fats, Oils and Grease Message "Holiday Dinners Stick to Your Ribs and Your Pipes " was the message posted on the District's Web site just prior to Thanksgiving . The notice provided information on the proper disposal of Fats, Oils and Grease (FOG) resulting from holiday meal preparation, and was tied in to the area-wide campaign "The drain is not a dump ." A copy is enclosed . Articles of Interest I have also included several additional published articles that you might find interesting . Board of Directors Page 4 December 8, 2004 Blake P. Anderson General Manager BPA:gg al information on any of the above items , please call me . H.IOEPnAOMIN\GM\LETIERS TO THE BOAR0\041092204 BOARD L TR.DOC Attachments ~ /,\, Jr. i/-. I") .,1 ~ . ~r~· _a ___ I If• SYMPOiIU IV M Mark your calendar now for: ORANGE COUNTY LEADERSHIP SYMPOSIUM IV FRIDAY, JANUARY 14, 2005 THRO SUNDAY, JANUARY 16, 2005 UCLA Conference Center in Lake Arrowhead CHRISTOPHER COX CALIFORNIA CHAIRMAN: HOMELAND SECURITY COMMITTEE ENERGY AND COMMERCE COMMITTEE SUBCOMMITTEES ON: ENERGY AND AIR QUALITY TELECOMMUNICATIONS AND THE INTERNET Mr. Blake Anderson General Manager C!Congress of tbt ltntteb ~tates ;!}oust of l\epresentatibt~ November 23, 2004 Orange County Sanitation District Post Off ice Box 8127 Fountain Valley, California 92728 Dear Mr. Anderson: 2402 RAYBURN House OFFICE BUILDING WASHINGTON, DC 20515-0548 (2021 225-5611 http://cox.house.gov ONE NEWPORT Pl.ACE SUITE 1010 NEWPORT BEACH, CA 92660 (949) 756-2244 CHAIRMAN: POLICY COMMITTEE HOUSE LEADERSHIP STEERING COMMITTEE Earlier this year, you contacted me to ask for my help in securing federal assistance for OCSD. Now that the 109th Congress is concluding its business, I wanted to report back to you with some good news. On November 20, 2004, the House of Representatives approved the final conference report on the Fiscal Year 2005 Consolidated Appropriations legislation, which included $800,000 for OCSD's Secondary Wastewater Treatment program. Thank you for your work on this important project, and be assured that I will continue to work actively in behalf of Orange County in the Congress. CCC:hf E-MAIL: christopher.cox@mail.house.gov Christopher Cox U.S. Representative HOMELAND SECURITY WEBSITE: http://homeland.house.gov ® PRINTED ON RECYCLED PAPER POLICY COMMITTEE WEBSITE: http://policy.house.gov For Immediate Release Contact: Bailey Wood Tuesday, November 23, 2004 202-225-5611 Rep. Cox Wins Last-Minute Passage of Several Bills to Benefit Orange County WASHINGTON (Monday, November 22, 2004)-Rep. Christopher Cox (R-CA), Chairman of the House Policy Committee and Chairman of the Homeland Security Committee, expressed gratitude today that the Congress has enacted several of his initiatives to benefit Orange County. As a result of the passage of these legislative initiatives on Saturday, November 20, they will now go to President Bush for his signature. Each of the following Cox initiatives for Orange County was passed by the Congress this past weekend: Restoring the Upper Newport Bay. Due to Rep. Cox's pro-environmental legislation, the 752- acre State Ecological Reserve will receive $1 million to perform a comprehensive ecosystem restoration in the Upper Newport Bay. The restoration will protect the more than 75 species of fish and nearly 200 species of birds and habitats on the reserve, which is one of the largest--and the last--wetlands in the entire coastal region between Los Angeles and San Diego. Support for the Orange County Integrated Law and Justice Program. Rep. Cox authored legislation to support the Orange County Integrated Law and Justice System, which is administered by the Newport Beach Police Department. The $250,000 in funding provided by the Cox legislation will facilitate data collection and integration efforts of the entire Orange County law enforcement community. The new system will create a seamless web of information among the various city police departments, the County Sheriff's office, and the county courts. It will reduce duplicative paperwork and enhance the efficiency of the county's law enforcement agencies, and provide a model for communities across the nation to implement data sharing programs to fight crime and terrorism. Ocean Protection from Sewage Spills. Rep. Cox has once again won passage of legislation supporting the protection of the beaches and marine resources in Laguna Beach utilized by three million people each year. With $900,000 in support provided in legislation authored by Rep. Cox, the city will guarantee uninterrupted power at two coastal sewage pump stations in the event of an emergency, and complete over 95 miles of sewage collection infrastructure. Expansion of the Emergency Department at UCI Medical Center. Rep. Cox successfully carried legislation to expand the emergency department at UCI Medical Center. Under the Cox legislation, the Center will receive $400,000 for this purpose. Not only is UCI Medical Center one of the busiest emergency departments in the country, it is also the only Level One Trauma Center in Orange County, and it possesses the only burn center in the county. Rep. Cox's funding will help cover capital-related costs of the emergency department expansion, thereby improving UCI Medical Center's ability to handle trauma patients and respond to major disasters in the Orange County area. 'THINK' Together After-School Program for At-Risk Kids in Orange County. Rep. Cox worked to enact legislation he wrote to support THINK Together, an after-school program in Orange County dedicated to assisting educationally at-risk youth in low-income areas. Under the legislation enacted this week, THINK Together will receive $400,000 in federal support. Rep. Cox has secured a federal investment of more than $1 million for the THINK Together program over the last four years. THINK Together is one of the only after-school programs in the United States that has consistently demonstrated improvement in reading and math skills. Rep. Cox's funding will enable THINK Together to improve existing Orange County sites and add 42 new sites in Santa Ana Unified School District (SAUSD) and seven new sites in the Tustin Unified School District (TUSD). THINK Together plans to staff the new sites with teachers who have been laid off due to district cutbacks. Orange County Regional Firefighting Training and Operations Center. Rep. Cox succeeded in enacting legislation to support the operation of the Orange County Fire Authority's Regional Firefighter Training and Operations Center in Irvine. Under the new law, OCFA will receive $150,000 for the creation of a wide array of emergency classes, including CPR and first aid, fire evacuation planning, and terrorism preparedness at the Public Safety and Education Center. Environmental Protection of San Diego Creek. The Congress has passed a Cox-sponsored initiative to provide funding to a watershed ecosystem restoration study of the creek to determine what damage has been done and how to reverse it. The San Diego Creek flows through the heart of Orange County and drains into the Upper Newport Bay. The bill allocates $86,000 for the project. Environmental Restoration of San Juan Creek. Legislative efforts by Rep. Cox have provided federal support for a watershed and restoration study of the San Juan Creek. Under the Cox law, an additional $50,000 in federal funding will be granted to examine ways to repair previous environmental damage. Clean Water for Orange County. The largest, most advanced water reclamation project in the country will receive .$2.5 million in funding under a Cox-sponsored amendment to a bill the Congress approved this past weekend. When completed, the Orange Countv. Siroundwater Replenishment will create a new, clean water supply for the 2.3 million residents of north and central Orange County. Watershed and Ecosystem Restoration for Aliso Creek. Rep. Cox won passage of his legislation to provide federal support for the Aliso Creek watershed and ecosystem. This environmentally sensitive area, which stretches from the Aliso Creek Wildlife Habitat Enhancement Program's base in Woods Canyon Wilderness Park, upstream to Pacific Park Drive in Aliso Viejo, will be the focus of ecosystem and restoration efforts and measures to ensure the highest water quality. The Cox legislation will provide $265,000 in 2005; County of Orange, as local sponsor, is matching 50 percent of the cost. Santa Ana River Flood Control. Thanks to the resources provided for this project over more than a decade--including $21.85 million this year--construction is approximately 75 percent complete. Rep. Cox's bill for FY 2005 will provide funding for to the project's completion and environmental mitigation programs for the river and its two dams. ; Improved Wastewater Treatment. Under a bill authored by Rep. Cox, the Orange County Sanitation District will receive $800,000 to provide full secondary treatment of wastewater for Orange County. The legislation encourages extensive scientific and technological innovation in our county in the field of wastewater treatment. Clean Drinking Water. Rep. Cox has passed legislation which provides $150,000 for the Municipal Water District of Orange County to conduct an assessment study of the clean water needs of Orange County. The study will seek to determine the reliability and quality of our current water system and lay out a roadmap for future water sources and facilities necessary to provide Orange County with a clean supply of drinking water. Expansion of the Bowers Museum of Cultural Art. Rep. Cox won significant federal assistance for the Bowers Museum of Cultural Art in Santa Ana to complete a 54,000 square foot expansion of its north wing. The new space will hold five new exhibits including the Asian and Pacific Rim Galleries, a Gallery of the Americas, a Pacific Islands Gallery, and the Heritage of California, with a rich collection of California paintings. In addition, the north wing expansion will add a 350-seat auditorium for exhibit-related seminars, films and lectures. These efforts will receive $150,000 in federal support in the coming year as a result of the Cox legislation. _.TH .AN KS ~ --c·A L 1 Fo RN 1 AN s ·~~ Flex Yc:aJr Powi..tr salules the kllSowlng organtr3llOnS tor lhetr c:ommcment and ll'IYellments an energy ettlc::iefw:y saonng energy $BVnQ money and savng Iha envJtonment klr el CMbn.ans Work ng togefher we can al hefi> 10 enSU1e reltab6e Md attofdable onorqy HOMES inCallbm1.1uMC1n1 ·hrdolourJtJ .. stoWWC1.rory -mo11y1oo1.gnorig ~1cosll'Cla11coVJo"""""9 lt••CO'T't?81'118 s 111re~ It-. w~ 1onelpusal s,.,... .,.,\IV #¥1mt"'4y.JI tic.l'lll IOSCH nH tee~ n rq"leM...,.. 19tnJ IQr ctoil'" ...,....,, from"'°' ~iun b' Erie19rEloen:y ~· ~d~~s ID l*M ~ awaren.H.. eow:n NS~ lo A:IWM N4'f ot "' -VV~ cd1n wmhlt'S ~ thlMasnetSll\' 20'" ... in 2005-YWlo) ~tasn'-..ct'l.u..OOma<n~WhtanOl2f"60nlftentf9'1COSIS f Cl.AAUM HOM ES is ... 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M lulu~ .aorn MllWI ~•~lit 0¥ ~~~•lloftllptOQ.CtSrd~S OUASHNIC K TOO l CORP. ~o ... nic.nhUYv~ ~#'llen91'Q)'•~modtts1Nlviot47S•.s.utnttgyllft0 t~ ~ .. 9Ml;1 COS.IS by $ l I 6l)O Dunng !he up(Omlng yt'IU Clua;shr'ldl d~Dmodamu:•Oklc.l_,.,wld'l...._tgy~ ~~,)l'"(J~ GOVERN MENT .,....,..........,,_....., .... ..,.. ..... _,.........,.,....., .... ...,._,_ f SONOMA STATE UNIVE.ASITY 1•ltolt s.t&zat H.--ao ona c ~n1oom and f'llQf"HtCf"t iaooratoty ~ -makrig Uie bcikry .a ~. lnOI'• ettic..ru "-" C.lon.a s kluqi tubn) ~1d$ ~ bf vPQt•On 10 ttoe IX•ty ~.,, ..-..tOJ•n.c..nt ecdong sysrem tcrr"9 conuds f CITY OF SAN JOSE hU ...,..'*'on itnt'VY tn.c.ncy sine• int mict 1980s 1"4 Qry saved ITIOfe lt\Jn 100mlkln 'WtisM't1o.iet113 "*"'in «*Vfc:otlS..-.Cot 2001 b)'~,.Ail(jt ~O"Mft;Ofl\lllf.t;lill~ t•ltOlllb'lg i.gn.-.g .-id MVAC 1rwaang '4!Ml.,llOn ...-.s :111 COl"GllOfW'l91 ,.~M'CJ~~~SIOuM~~by"'1'WIQ otltq'd\~~--·~t'Ol lf'I VS8 t .aQI toot ~s and hiiq'I elboeney gwirig 9of WWOlw'S WATER purrpng and ..... im.n, .... .,,. lilllfl'st Met~Ty tnd UMll W'I C:S.~IOtl"IA l\CCOU'llM"lg IOI ,~ 10-. ot OU• SUIG s total cJen'land UP'I) w•1tr•IN:l9t'llly s.iVfl.tnlHPlllCIOUS .. 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Mf'O-riel n'OICI OIOt'lanoH t>r ,.,,... con~ #'ld~tet!Otilon11Psalef8QUl!emtnlS Bt2010 thl0.M1tCl_,,.IO COl"IWIW an Ado:MIOl'W 600 ltCfe.ae.t :l'1CI hOu!1\ lewc.d pumpong ~ CUlanNalt~ u..-b'(mo'e IJ\Ml 2~Wlh\ ;;:1::~,:':'!:~:==1:-:::;;:: I 1)(00..C... tnOUt)"I V."M tf IOI 14J 000 ~S Nd! yHI alYJ 'Ml reqJJrt htl h I eNt"JV Nt impcwllrlg """''•' l1C>"n Noflhem C.'11olol'l"I• P<•Mnfv <btt I , ..... __ ._,,_, Vdrt-fY~ag'°""""aioaA"'"~'tb.ir~.t.ata'Wn"<ffl io~an~tiralA.lre..aro .am11ro-igy~11PS caM 1Mlitf l«*lt~llO"l l'Omot9-IOfW'IO'P""-~ -..rnovy~~her-'7t'TlMI ,_,,.. .... ~··~-"'""" ...... ~ ..... ....-*.,, •• e~··-' .. _::4_•'"'"' Job• EFP·64·067 Eftlciency Partnen hl p COMr•tulllOtY lnc1;ilrve fT~nt., Vou JC~J 200.& Ntl'Ao"50•~' Ad s cot. 19.!5") • ur 8IW Pr~red by Cr•y Wortdwide AO Wettl(5 CVI Ontblun It Holiday Dinners Stick to Your Ribs and Your Pipes Orange County Sanitation District wants to share some tips on how to keep your plumbing and local sewers free from blockages by properly disposing of fats, oils and grease this holiday season and in the coming New Year. ~,~ ..... ~.-i-n""h"*""· A southern-style deep-fried Thanksgiving turkey. Gravy drippings. Onions sauteed in butter and oil to make the perfect stuffing. All mouth-watering traditions, but most homeowners may be surprised to learn that pouring the remains of these culinary endeavors down the kitchen sink can cause costly, unpleasant sewer blockages. Data gathered by several sanitary sewer agencies in the region indicate, on average, one in thirty homes have a blockage in the main or lateral lines of the sewer system every year. These blockages can and do lead to back-ups directly into the homes of residents. One of the main causes of sewer blockages is grease from residences and restaurants. What happens is pretty simple: It's the build-up of fats, oil and grease in pipes that cause problems. All year long, people pour by-products of cooking down their sink drain. During the holiday season, it is expected that larger quantities of these cooking fats will make their way to the sanitary sewer system via the kitchen sink. Residents may think it is safe to allow a small amount of grease down the drain, but sewer overflows and back ups can cause health hazards too. The results can be very unpleasant: Raw sewage overflow can back up into your home, posing a potential health risk associated with contact to sewage. Back-ups can also require expensive cleanup often incurred by residents, and lead to higher sewer bills for customers due to clean-up costs. This is a problem homeowners never have to worry about if they take some simple steps to reduce the amount of grease that goes into their pipes. The holiday season is a good time to start making changes that will carry into the New Year. There are many things residents can do to minimize potential sewer blockages during the holiday season and in the coming year. Here are just a few simple tips from the Orange County Sanitation District: • Do not put oil, grease or greasy foods down the drain. • Mix cooking oil with an absorbent material such as cat litter or coffee grounds; place it in a covered container and dispose of it in a trash receptacle. • Scrape leftover food and grease into the trash. • If you soak a greasy pan, place a paper towel over the drain basket to catch grease and food particles as you pour the water down the drain. • For turkey fryers, take your 5 gallons of oil in its original container, to your local County of Orange household hazardous waste collection center for proper disposal. Go to www.oclandfills.com for more details. For more information on how to prevent fats, oils, and grease from damaging your home and the environment go on-line to http://www.wef.org/publicinfo/FactSheets/fatfree.jhtml for a copy of "Fat-Free Sewers." Thank you for helping us prevent sewer spills and for remembering that "The drain is not a dump." BRIAN E. COLE ROBERT W. CONTI R. CRAIG SCOTT NANCY RADER WHrrEHEAD PAMELA l. WHITESIDES ANITA YORK DIANE D. STALDER, OF COUNSEL SCOTT & WHITEHEAD November 2004 1301 Dove STREET SUITE 1000 NEWPORT BEACH CALIFORNIA 92660 TELEPHONE: 949-222-0166 FACSIMILE: 949-222-0113 www.employertaw.com California's anti-harassment law, already among the most stringent in the nation, has recently been amended to require that all employers with 50 or more employees provide at least two hours of training in the prevention of sexual harassment to all supervisors. The mandatory training must: 1. Be taught by professionals with knowledge and expertise in the prevention of sexual harassment, discrimination and retaliation; 2. Consist of clear instruction regarding federal and state law mandates; 3. Include an interactive discussion of: (a) legal prohibitions against harassment and discrimination, (b) prevention of harassment and discrimination, ( c) correction of harassment and discrimination, and ( d) remedies available to victims of harassment and discrimination; 4. Utilize practical examples that will give guidance to supervisors in the prevention of sexual harassment, discrimination and retaliation; and 5. Be provided once every two years. The law will take effect as follows: 1. Every individual employed as a supervisor prior to July 1, 2005 must receive training before January l, 2006. Any qualifying training (must meet above-stated requirements) that was provided at any time after January 1, 2003 will fulfill this mandate. 2. Every individual employed as a supervisor at any time on or after July l, 2005 must receive training within six months of being hired as a supervisor. 3. Following the initial training, every supervisor must be trained again no less frequently than once every two years. This new training mandate is in addition to the already-existing requirement that every employer "act to ensure a workplace free of sexual harassment" by implementing certain minimum safeguards, such as displaying the State's anti-harassment poster in a prominent and accessible location in the workplace, distributing a comprehensive anti-harassment information sheet or policy to all employees, and taking all other reasonable steps to prevent harassment from occurring. SCOTT & WHITEHEAD has been providing training in the prevention of harassment to its clients and others for many years. In fact, we strongly encourage all employers, regardless of the number of employees, to provide this invaluable training to supervisors. If it results in the prevention of even one claim, the savings to your organization in both time and resources may be immeasurable. Our attorneys have the knowledge and expertise in the prevention of harassment, discrimination and retaliation to not only fulfill the legal obligation that your supervisors be trained by qualified professionals, but to provide effective, meaningful information and training to your key people. For more information on the new training requirements, to schedule training, to implement or review your anti-harassment policies, or to discuss our cost-effective, comprehensive Employee Handbook service, please call us at 949-222-0166. © Copyright 2004 Scott & Whitehead t City water projects in jeopardy Memo warns of money shortage; delays could lead to fines, lawsuits By Matthew T. Hall UNION-TRIBUNE STAFF WRITER December 2, 2004 San Diego's dire financial situation is no longer so abstract: The city has run out of money to pay for new water and wastewater projects, and it may have to scrap plans to fix fire and lifeguard stations next year. City Manager Lamont Ewell sent a memo to the mayor and City Council 15 minutes before City Hall closed last night, telling them that the city cannot begin an unspecified number of water and wastewater projects, including some that are needed to comply with orders from environmental regulators. Ewell and Mayor Dick Murphy downplayed any immediate effects, but a prolonged stoppage could subject the city to fines from environmental agencies and lawsuits related to unclean drinking water and sewage spills. Curtailing new projects will put the city out of compliance with an order from the state Department of Health Services at the end of this month when the city fails to begin the required replacing of a water main in Otay Mesa. It's unclear what effect that will have, Ewell and Murphy said. "I can't predict what the federal or state government might or might not do, but you'd think state government would understand the problems of limited financial resources," Murphy said last night. The city went public with its fiscal crisis in January when it admitted errors and omissions had been made in 2002 financial disclosures. Now, city finances are the subject of federal investigations, there are allegations of fraud and two annual audits are overdue. Two Wall Street credit-rating agencies also have downgraded the city's rating and a third has suspended it, crippling San Diego's ability to borrow money. "This is a tangible effect of the problems the city's had with its financial statements," Murphy said. "That's a fair characterization. On the other hand, it's just not going to have any impact on the public in terms of water and sewer service." Pump station upgrades and water main and sewer line replacements would have to be put off for five to 10 years for the system to deteriorate noticeably, Ewell said. He expects the city's audits to be done by spring, allowing the city to resume its borrowing. In his memo, he pointed out that if the city is unable to borrow more money by January 2006, staff reductions or furloughs may be necessary. The city obtained a $152 million short-term bond from Bank of America for wastewater projects in June after retreating from a public offering on a $506 million bond in September 2003 because of problems with its financial disclosures. In February, city officials also dropped efforts to refinance up to $195 million in ballpark bonds and $36 million in park bonds. A separate $150 million line of credit from Bank of America is being drawn down now for general government services, but the interim wastewater financing has been spent or committed to existing projects, Ewell said. "There is enough cash available to finish all of those projects that are under way, but I don't have a dollar amount," Ewell said. Ongoing capital projects will continue at the city's three water treatment plants because of the region's needs and a requirement that the work be done on time to comply with the U.S. Environmental Protection Agency. "We must curtail all other elements of the water (capital improvement program) now in order to keep these three projects going," Ewell said in his memo. If the city is unable to borrow more money by the end of fiscal 2006, the city will have to find some other way in the next year to provide $25 million for the treatment plant projects, the memo said. The stoppage of sewer rehabilitation and water line replacement also will affect street resurfacing and pedestrian ramp construction because those projects are budgeted collectively, the memo said. In an interview, Ewell acknowledged that public safety projects also may face delays or derailment. He said a complete analysis of the city's capital projects, including a list of which ones are at risk of being shelved, will be presented at a public hearing to the council in January. A list of ongoing projects and their cost should have been prepared already if the city's management team is saying there is no money for some of them, Councilwoman Donna Frye said. "Somebody's looking at a list to make that statement, so why is it so hard to get?" said Frye, who ran for mayor as a write-in candidate. "I don't know the extent of the problem because it hasn't been identified." Projects that will be put on hold include the replacement of water and sewer pipes and upgrades at the city's pump stations, said Depu ty City Manager Richard Mendes, who oversees the water and wastewater systems. Mendes said the city will stop replacing about 45 miles a year of its 3,000 miles of sewer lines, halt improvements at about 90 pump stations that collectively handle about 180 million gallons of sewage a day, and stop replacing about 10 miles a year of 120 remaining miles of cast-iron water mains, which account for the city's largest number of breaks. "A short-term hiatus is probably not going to be of any great problem to the customer," Mendes said. "We will be able to operate the system, but if this is a prolonged issue over several years, you are going to see the system deteriorate and you are going to see breakdowns." A more immediate effect of the freeze on public improvement spending is that the city cannot settle a 3-year-old lawsuit with San Diego BayKeeper and the Surfrider Foundation over deficiencies in the sewer system. In March 2001, the two environmental groups, who later were supported by the EPA, alleged that leaks and breaks in aged city sewer pipes and storm water drains led to excessive beach closures. Attorneys for the city and both environmental groups recently agreed ·on a draft settlement that would require the city to spend $1.2 billion to upgrade the pipes and other sewer infrastructure. The agreement has been shelved until the city can begin issuing bonds. "It's a shame," said Surfrider attorney Rory Wicks. "The city has placed itself in a position where it can't fund the improvements that it knows it must make to achieve cleaner water." ,;;- " ; AGENDA BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT DISTRICT'S ADMINISTRATIVE OFFICES 10844 ELLIS AVENUE FOUNTAIN VALLEY, CA 92708 REGULAR MEETING December 15, 2004-7:00 P.M. Agenda Posting : In accordance with the requirements of California Government Code Section 54954.2 , this agenda has been posted in the main lobby of the District's Administrative offices not less than 72 hours prior to the meeting date and time above. All written materials relating to each agenda item are available for public inspection in the office of the Board Secretary. Items Not Posted : In the event any matter not listed on this agenda is proposed to be submitted to the Board for discussion and/or action, it will be done in compliance with Section 54954.2(b) as an emergency item or because there is a need to take immediate action , which need came to the attention of the Board subsequent to the posting of agenda , or as set forth on a supplemental agenda posted in the manner as above , not less than 72 hours prior to the meeting date . Accommodations for the Disabled: The Board of Directors Meeting Room is wheelchair accessible . If you require any special disability related accommodations, please contact the Orange County Sanitation District Board Secretary's office at (714) 593-7130 at least 72 hours prior to the scheduled meeti ng . Requests must specify the nature of the d isability and the ty pe of accommodation requested . Items Continued : Items may be continued from this meeting without further notice to a Comm ittee or Board meeting held within five (5) days of this meeting per Government Code Section 54954.2(b)(3). Meeting Adjournment: This meeting may be adjourned to a later time and items of business from th is agenda may be considered at the later meeting by Order of Adjournment and Notice in accordance with Government Code Section 54955 (posted within 24 hours ). 1. Invocation and Pledge of Allegiance 2. Roll Call 3. Consideration of motion to receive and file minute excerpts of member agencies relating to appointment of Directors , if any. (See listing in Board Meeting folders) 4. Appointment of Chair pro tern , if necessary 12/15/04 , Page 2 5. Public Comments : All persons wishing to address the Board on specific agenda items or matters of general interest should do so at this time . As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and remarks may be lim ited to three minutes . Matters of interest addressed by a member of the public and not listed on this agenda cannot have action taken by the Board of Directors except as authorized by Section 54954 .2(b). 6. The Chair, General Manager and General Counsel present verbal reports on miscellaneous matters of general interest to the Directors. These reports are for information only and require no action by the Directors . a. Report of Chair; consideration of Resolutions or commendations , presentations and awards b . Report of General Manager c . Report of General Counsel 7. If no corrections or amendments are made , the minutes for the regular meeting held on November 17 , 2004 will be deemed approved as mailed and be so ordered by the Chair. (Minutes to be distributed at 12115104 Board Meeting.) 8. Ratifying payment of claims of the District , by roll call vote , as follows : ALL DISTRICTS 11/15/04 11/30/04 Totals $10,479 ,642.08 $10 ,336 , 187 .10 DIRECTORS: Pursuant to Government Code Section 84308 , you are required to disclose any campaign contribution greater than $250 received in the past twelve months from any party to a contract involving OCSD . This requires that you identify the contributor by name . Further, you may not participate in the decision making process to award a contract to such party. For reference , you are directed to the Register of Warrants as to all current contractors/vendors with OCSD . For the specifics of Government Code Section 84308 , please see your Director's Handbook or call the office of General Counsel. CONSENT CALENDAR 12/15/04 Page 3 All matters placed on the Consent Calendar are considered as not requiring discussion or further explanation and unless any particular item is requested to be removed from the Consent Calendar by a Director, staff member or member of the public in attendance , there will be no separate discussion of these items . All items on the Consent Calendar will be enacted by one action approving all motions , and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the Consent Calendar shall be considered in the regular order of business . Members of the publ ic who wish to remove an item from the Consent Calendar shall , upon recognition by the Cha ir , state their name , address and designate by number the item to be removed from the Consent Calendar. The Chair will determine if any items are to be deleted from the Consent Calendar. 9. Consideration of motion to approve all agenda it ems appearing on the Consent Calendar not specifically removed from same , as follows : a. Approve Amendment No . 2 to Purchase Order No . 101758-08 for Purchase of Cationic Polymer, Specification No . C-2003-143, issued to Polydyne Inc., to provide for the additional purchase of Mannich cationic polymer for a price increase of $0.23 , increasing the total unit price to $1 .28 per pound , and increasing the total contract amount of $9 13 ,000 by $375 ,000 to an estimat ed annual amount of $1,288,000 for the period ending June 30 , 2005 . b. Accept Abandonment of Airbase Trunk Sewer -California Street , Contract No. 6-13-3, as complete, authorizing execution of the Notice of Complet ion and approving the Final Closeout Agreement with Mike Pr lich and Sons , Inc. END OF CONSENT CALENDAR 10 . Cons ideration of items deleted from Consent Calendar, if any . COMMITTEE REPORTS AND RECOMMENDED ACTIONS 11 . STEERING COMMITTEE Consent Calendar 12/15/04 Page4 a . Order draft Steering Committee Minutes for the meeting held on November 17 , 2004 to be filed . Non-Consent Calendar b. Review and consideration of agenda items considered by the Steering Committee re the December 15, 2004 meeting . c. Consideration of items deleted from Steering Committee Consent Calendar, if any . 12 . OPERATIONS , MAINTENANCE AND TECHNICAL SERVICES COMMITTEE (OMTS) OMTS Consent Calendar a. Order draft Operations , Maintenance and Technical Services Committee Minutes for the meeting held on December 1, 2004 to be filed . (Minutes to b e distributed at 12115104 Board Meeting.) b. (1 ) Authorize the General Manager to renew the contract with Cytec Industries for the Purchase of Anionic Polymer, Specification No . C-149 , for the period of January 1, 2005 through August 31 , 2005 , providing for a un it price in crease of $0 .56 per active pound , for a total unit price of $2 .30 per active pound , for an estimated increase of $21,000 , increasing the estimated annual cost through August 31 , 2005 to $235 ,000 ; and , (2) Authorize the General Manager to conduct anionic polymer performance trials in preparation for bidding and awarding a contract for anionic polymer effective September 1, 2005. c . Approve a Consulting Services Agreement with AKM Consulting Engineers for a Dig Alert Technician, Specification No . CS-2004-202 , for an amount not to exceed $117 ,000 , plus a contingen cy of $32,400, for an annual amount not to exceed $149,400 , and providing for three one-year extensions . d . Adopt Resolution No . OCSD 04 -29, approving the Si xth Amended Joint Powers Agreement with Southern California Coasta l Water Research Project Authority (SCCWRP), providing for the initial term of the agreement for one year, with a total term of four years , including extensions effective July 1, 2005 through June 30 , 2009 , with the District's contribution not to e xceed $1 ,399 ,527 over the four- year term . OMTS Non-Consent Calendar e . Consideration of items deleted from OMTS Committee Consent Calendar, if any 13. PLANNING , DESIGN AND CONSTRUCTION COMMITTEE (PDC ) PDC Consent Calendar 12/15/04 Page 5 a. Order draft Planning , Design and Construction Committee Minutes for the meeting held on December 2, 2004 to be filed. (Minutes to be distributed at 12115104 Board Meeting.) b . Ratify Change Order No . 2 to Secondary Treatment Facilities Process Upgrades at Plant No. 2 , Job No . P2-47-3, with Morrow-Meadows Corporation , authorizing an addition of $12, 765 , increasing the total contract amount to $4 , 930 ,668 . c. (1) Ratify Change Order No . 4 to Effluent Pump Station Annex, Job No . J-77 , with J .F. Shea Construction , Inc., authorizing an addition of $174 ,549, increas ing the total contract amount to $43,46 1,297 ; and (2) Approve out-of-country travel for two employees to Japan for the purpose of w itnessi ng factory tests associated with pumps , variable frequency drives , and motors that will be installed at the new Effluent Pump Station Anne x. d . (1) Approve a budget amendment of $116 ,086, for Plant Nos . 1 and 2 Facilities Modifications for Odor Control , Job No . J-71-3, for a tota l budget of $3 , 760 ,596 ; and , (2) Ratify Change Order No. 3 for Plant Nos . 1 and 2 Facil ities Modifi cations for Odor Control , Job No . J-71-3 , with J.F. Shea Const ruction , In c., authori zi ng an addition of $116 ,086 , increasing the total contract amount to $2 ,223 ,883. e. Ratify Change Order No. 9 for Area Classification Study Implementation Plan , Plant Nos. 1 and 2, Job No . J-35-2 , w ith J .F. Shea Construction , Inc., authorizing an addition of $52 7,005 , increasing the total contra ct amount to $1 5,9 76,4 54. f. Ratify Change Order No . 16 to Primary Clarifiers 16-3 1 and Re lated Facilities , Job No . P1-3 7, w ith Margate Construction , authorizing a dedu cti on of $160 ,121 , decreasing the total contract amount to $7 1,217 ,259 . g. Ratify invoices rendered under an e xpired Profess ional Services Agreement with MOS Consulting for Surveying Services , Specification No . PSA-2 001-34BD, for an amount not to exceed $55 ,000 . h . Rati fy Change Order No. 11 to Bushard Trunk Sewer Rehab ilitatio n , Job No. 1-2-4, with Steve P. Rados, Inc ., authorizing a time extension of 49 cal endar days , increasing the total contract du ration to 607 calendar da ys . i. Ratify Change Order No. 12 to Bushard Trunk Sewer Rehabil ita ti on , Job No . 1-2-4 , with Steve P. Rados , Inc., authorizing a time extension of 27 calendar days , increasing the total c ontra ct duration to 634 calendar days . j . Approve a budget amendment for Activated Sludge Plant Rehabi litation , J ob No . P1-82 , in the amount of $5 ,559 ,000 , for a tota l proj ect budg et of $50 , 128,000. 12/15/04 Page 6 k. (1) Approve budget amendment for Standby Power and Rel iability Improvements , Job No . J-33-1A in the amount of $676 ,000 , for a total budget of $18 ,319 ,000; and , (2 ) Ratify Change Order No . 5 to Standby Power and Reliabi lity Improvements , Job No . J-33-1A, with Southern Contracting Company , authorizing an addition of $931 ,410 and an addition of 545 calendar days , increasing the contract amount to $7 ,634,611 . I. (1) Approve a budget increase of $37 , 144,000 for Headworks Improvements at Plant No. 2 , Job No . P2-66 , for a total budget of $266 ,380 ,941 ; (2) Approve a budget transfer of $6,900 ,000 from Trickl i ng Fil ters at Plant No . 2 , Job No . P2-90 , increasing the total project budget to $273 ,280,941 ; and , (3) Approve a budget transfer of $580 ,000 from Newport Trun k Sewer and Force Mains and Bitter Point Pump Station to Coast Trun k Sewer, Job No . 5-58 , increasing the total project budget to $273 ,860,941 . m. (1) Approve time extensions to Cooperative Proj ects Gran t Program Contract Nos . 0102 and 0203 with the City of Buena Park ; and , (2) Approve $35 ,000 FY 04/05 funding for the flow monitoring and data analysis project proposed by the City of Buena Park . n. Authorize the General Manager to enter into a sole source three-year, one-year renewable blanket purchase order agreement with OCB Reprographics , Inc ., for Reproduction of Plans , Photocopying and Re lated Services , for an annual amount not to exceed $225 ,000 . PDC Non-Consent Calendar o. Consideration of items de leted from PDC Committee Consent Ca lendar, if any 14 . FINANCE , ADMINISTRATION AND HUMAN RESOURCES COMM ITTEE (FAHR) FAHR Consent Calendar a. Order draft Finance , Administration and Human Resources Committee Minutes for the meet ing held on December 8 , 2004 to be fil ed . (Min utes to be distributed at 12115104 Board Meeting.) b. Receive and file Treasurer's Report for the month of November, 2004. c . Adopt Resolution No . OCSD 04-30 , amending Resolution No. OCSD 98-33, amending Human Resources Policies and Procedures Manual. d . Adopt Resolution No . OCSD 04-31 , amend ing Resolution No . OCSD 98-33 , amending Human Resources Policies and Procedures Manual re specific IT related policies . 12/15/04 Page 7 e. Approve a one time only non-base building payment for the Director of Technical Services in an amount not to exceed $3,480 for his service as Acting General Manager. FAHR Non-Consent Calendar f . Consideration of items deleted from FAHR Committee Consent Calendar, if any . 15 . GWR SYSTEM STEERING COMMITTEE (GWRSSC) GWRSSC Consent Calendar a. Order Joint Groundwater Replenishment System Cooperative Committee Minutes for the meeting held on November 8 , 2004 to be filed . b. Approve Amendment No . 5 to the Professional Services Agreement with Montgomery Watson Harza , providing for additional construction management services for the Groundwater Replenishment System , Job No . J-36 , for an additional amount of $214 , 162, increasing the total amount not to exceed $13 ,573 ,246 to be equally shared with the Orange County Water District. GWRSSC Non-Consent Calendar c. Consideration of items deleted from GWRSSC Consent Calendar, if any. NON-CONSENT CALENDAR 16 . Reject bid from J & W Construction Specialties for Hydrogen Peroxide Facility Modifications , Job No . FE02-08 , for non -compliance with the District's insurance requirements . 17 . Closed Session CLOSED SESSION : During the course of conducting the business set forth on this agenda as a regular meeting of the Board , the Chair may convene the Board in closed session to consider matters of pending real estate negotiations , pending or potential litigation , or personnel matters , pursuant to Government Code Sections 54956 .8, 54956 .9 , 54957 or 54957 .6 , as noted . Reports relating to (a) purchase and sale of real property ; (b) matters of pending or potential litigation ; (c) employment actions or negotiations with employee representatives ; or which are exempt from public disclosure under the California Public Records Act , may be reviewed by the Board during a permitted closed session and are not available for public inspection. At such time as the Board takes final action on any of these subjects , the minutes will reflect all required disclosu res of information . a . Convene in closed session , if necessary 12/15/04 Page 8 1. Confer with General Counsel re pending litigation , Santa Ana Watershed Project Authority v. Orange County Sanitation District, Orange County Superior Court Case No. 04CC06197, Government Code Section 54956.9. 2. Confer with General Counsel re pending litigation , Orange County Sanitation District v . Santa Ana Watershed Project Authority , Orange County Superior Court Case No. 04CC011345 , Government Code Section 54956 .9 . 3. Confer with General Counsel -Anticipated Litigation . Significant Exposure to Litigation, Government Code Section 54956 .9(b): Three (3) matters. b. Reconvene in regular session c. Consideration of action , if any, on matters considered in closed session 18. Matters which a Director may wish to place on a future agenda for action and staff report. 19. Other business and communications or supplemental agenda items, if any 20. Future Meeting Date : The ne xt Board of Directors regular meeti ng is scheduled for January 26 , 2005 , at 7 :00 p.m. 21 . Adjournments !'N'ori'cE .. TO ''i)i'RECTO·R·S·; .. T·~··~i~·~·~"i·t·~~·~··~·~ .. th·~ .. ~·~~·~·d~··f~; .. ~·h·~ .. R~-~·~i ~·~ .. M~~·~;·~~ .. ~f·th'~"8~·~;d .. ~f ....................... l 1Dire ctors , items shall b e submitted to th e Board Se creta ry no later than th e cl ose of business 14 days 1 1preceding th e Board meeting . The Board S ecretary shall include on the agenda all items submitted by 1 l Directors, the Gen eral Man ag e r and Ge neral Coun sel and all formal communi cations . l 1Genera l Manag er Bl ake A nd e rson (7 14) 593-71 10 banderson@ocsd .co m 1 )Board Secretary Penny Kyle (714 ) 593-71 30 pkyle@ocsd .co m i i Director/E ngin ee ring David Ludwin (714 ) 593-730 0 d ludwin@ocsd.com ! i Director/Financ e/T reasurer Ga ry Stree d (7 14) 593-7550 q stree d@ocsd .com ! ! Director/Human Res ources Li sa Tomko (714 ) 593-71 45 ltom ko@ocsd.com ! 1 Director/Information Technology Patri ck Miles (714 ) 593-7280 pm il es@ocsd .com ! ) Director/Ope ratio ns & ! i Mai ntenance Bob Oo ten (714 ) 5 9 3-70 20 roo ten@ocsd .com ! !Dire c tor/Tec hn ica l Services Bob G hire ll i (714 ) 5 93-740 0 rghirelli @ocsd.com ! i Director/Co mm un icatio ns & ! 1Adm inistrative Services Caro l Beekman (7 14) 593-7 120 cbeekman@o csd .com 1 ~.~.~D.~.'.~! .. g.~~.~.~.~1 .............................................. I.~.Q.~.~.~ .. ~: .. ~9.9.9.r.!-!.ff ................ (?..~.~L?..?.~.:?.§9.?. ...... t !XY.@ :t:~~-law.com .......................................... J H:\dept\agenda\Board A genda Re po rts\2004 Board A genda & A g enda Reports\ 1204\ 121504 agenda.doc The Board of Directors minutes of the meeting held November 17, 2004 were not available for this mailing. These minutes will be distributed at the December 15, 2004 Board of Directors meeting. Once the minutes are finalized, they will also be available on the District's website (www.ocsd.com). BOARD OF DIRECTORS AGENDA REPORT Orange County Sanitation District FROM: Gary Streed , Director of Finance/Treasurer Originator: Lenora Crane , Executive Assistant Meetin g Date Item Number To Bd . of Di r. 12/15/04 Item Number 8 SUBJECT: PAYMENT OF CLAIMS OF THE ORANGE COUNTY SANITATION DISTRICT GENERAL MANAGER'S RECOMMENDATION Ratify Payment of Claims of the District by Roll Call Vote . CONFLICT OF INTEREST NOTIFICATION Pursuant to Government Code Section 84308 , you are required to disclose any campaign contribution greater than $250 received in the past twelve months from any party to a contract involving the Orange County Sanitation District. Further, you may not participate in the decision making process to award a contract to such party . For reference , you are directed to the Register of Warrants as to all current contractors/vendors with the District. In general, you must disclose the basis of the conflict by identifying the name of the firm or individual who was the contributor. For the specifics of Government Code Section 84308 , please see your Director's Handbook or call the office of General Counse l. SUMMARY See attached listing . PRIOR COMMITTEE/BOARD ACTIONS N/A ATTACHMENTS 1. Copies of Claims Paid reports from 11 /01 /04 -11 /15/04 and 11 /16/04 to 11 /30/04 C:\Doc ume nts and Settings\Ow-Yeang\Loc al Setti ngs\Temporary Internet Files\OLK?AA\ltem 8 ClaimsPaid .doc Revised : 0 6/04 /0 3 Clalms Paid From 11/01/04to11/15/04 Warrant No. Vendor Accounts Payable -Warrants 66392 66393 66394 66395 66396 66397 66398 66399 86400 66401 66402 66403 66404 66405 66406 66407 66408 66409 66410 66411 66412 66413 66414 66415 66418 66417 66418 66419 66420 66421 66422 66423 66424 66425 66428 66427 66428 66429 66430 66431 66432 66433 66434 66435 66436 66437 Abatix Environmental Corp. Advance Business Graphics Agilent Technologies, Inc. Air & Waste Management Assoc. Airgas Safety, Inc. Alhambra Foundry Co., Ltd. American Airlines American Industrial Hygiene Association American Society For Microbiology American Water Works Assoc.IWater Quality David Andrade Aquatic Bioassay And Consulting Labs, Inc. Association of Energy Engineers ARK Technologies AT&T Wireless Services AWSI Bar Tech Telecom, Inc. Basler Electric Battery Spectalties Bee Man Pest Control, Inc. Boyle Engineering Corporation Brenner-Fiedler & Assoc, Inc. BNI Building News Caltrol, Inc. Martin Boyer Co., Inc. c/o Cambridge Carl Warren & Co. Cell2Cell Coast Fire Equipment Cole-Panner Instrument Company Columbia Analytical Services, Inc. Communications Perfonnance Group, Inc. Compressor Components of California Computer Protedlon Technology, Inc. Con-Way Western Express Consolidated Elect. Distributors, Inc. Consumers Pipe & Supply Co. Cooper Camaron Corporation Corporate Express Counterpart Enterprises, Inc. County Wholesale Electric Co. Culligan of Orange County CDW Government, Inc. CEPA Company CH2MHlll CR&R, Inc. CRG Marine Laboratories, Inc. $ H:\dept\fin\EXCEL.dfa\220\APSHARE\Claims Paid Repart\03-04\Clalms Paid Report -111504.xls fln1?1nn,. Amount 448.78 110.29 319.00 150.00 376.44 6,174.08 2,479.50 166.00 153.00 98.50 90.00 1,960.00 45.00 10,336.00 3,002.07 90.06 3,244.04 2,400.00 273.08 150.00 15,333.29 189.90 81.20 3,625.33 6,625.00 300.00 52.09 383.12 3,072.68 270.00 12,161.76 5,301.30 460.00 302.98 620.22 175.70 5,264.76 3,487.32 1,583.14 339.24 40.00 553.58 125.00 2,765.10 2,835.00 5,175.00 Description Hardware Printing Services -Business Cards & Stationery Lab Parts & Supplies Membership Safety Supplies Manhole Frames & Covers Travel Services Membership Membership Membership Meeting/Training Expense Reimbursement Toxicity Testing Membership Programming Services Wireless Phone Services Department of Transportation Program Management & Testing Telephone Equipment Maint. & Service Training Registration Batteries Pest Control Engineering Services 1-2-4 Instrument Parts & Supplies Publlcatlon Eledrlcal Parts & Supplies Prof. Services -Workers' Compensation Claims Insurance Claims Administrator Phones & Accessories Fire Extinguishers Instrument Parts & Supplies Analysis of Blosollds and Wastewater Prof. Servs. -Emergency Response Plan & Hazardous Energy Control Procedures Check Valves Computer Mainl. Agreement Freight Services Electrical Supplies Plumbing Supplies Engine Supplies Office Supplies Mechanical Parts & Supplies Electrical Parts & Supplies Malnt. Agreement -Cen Gen Water Softener System Eledrfcal Parts & Supplies Lab Fume Hood & Biohazard Hood Certifications Professional Services J-40-7 Container Rentals Lab Analysis EXHIBIT A Paae 1 ofQ 11Mnl?nl\4 Clalms Paid From 11/01/04 to 11/15104 Warrant No. 66438 66439 66440 66441 66442 66443 66444 66445 66446 66447 66448 66449 66450 66451 66452 66453 66454 66455 66456 66457 66458 66459 66460 66461 66462 66463 66464 66465 66466 66467 66468 66469 66470 68471 66472 66473 68474 68475 66476 66477 68478 66479 66480 66481 66482 66483 66484 Vendor CSMFO CWCI -California Workers' Compensation CWEA Membership Dapper Tire Co. David's Tree Service Davis lnotek Instruments, L.L.C. Del Mar Analytical Dharrna Consulting Dickson's, Inc. Dlonex Corporation Dwyer Instruments, Inc. E. Sam Jones Distributors, Inc. Edinger Medical Group, Inc. Employee Benefits Specialists, Inc. Enchanter, Inc. ENS Resources, Inc. Fisher Scientific Fluor Enterprises, Inc. Fountain Valley Paints, Inc. Franklin Covey Fred C. Gilbert Co. Fry's Electronics Full Spectrum Analytics, Inc. City of Fullerton G. E. Supply Ganahl Lumber Company Garratt-Callahan Company George T. Hall Gerhardt's, Inc. Getinge castle Glertlch-Mltchell, Inc. Global Environmental Network, Inc. Goldenwest Window Service Grainger, Inc. Graybar Electric Company Great Westem Sanitary Supplies GHD, L.L.C. Hach c/o Ponton Industries Harold Primrose Ice Harrington Ind. Plastics Harrington Industrial Plasllcs, Inc. HascoOllCo., Inc. Herb's Blackforest Bakery & Dell Home Depot Tim H. Hopkins Hub Auto Supply Hydrotex H:\dept\fin\EXCEL.dfa\220\APSHARE\Clalms Pald Report\03-04\Clalms Paid Report -111504.xls finl?1nnr Amount 100.00 199.25 97.00 357.42 4,365.00 115.00 1,046.00 15,000.00 668.05 343.54 398.06 45.26 1,400.00 788.85 6,300.00 10,000.00 8,184.80 8,488.24 153.38 745.30 792.43 1,089.02 600.00 231.43 5,836.48 674.10 3,662.43 157.58 7,840.75 418.52 5,784.12 559.00 550.00 440.08 36.21 33.36 2,780.00 1,540.89 111.00 1,077.50 2,088.34 200.18 14.00 766.62 90.00 685.18 1,042.16 Description Membership Publications Membership -Calif. Water Environment Assoc. Truck Tires Tree Malnt. Service Instrument Calibration Service Analysis of Blosollds and Wastewater Professional Services -Strategic Planning & EMT Development Electrical Supplles Lab Parts & Supplies Instrument Parts & Supplies Electrical Supplies Medical Screenings Reimbursed Prepaid Employee Med. & Dep. Care and Postage Fees for Status Letters Ocean Monitoring & Outfall Inspection & Maintenance Professional Services -Legislative Advocate Lab Parts & Supplles Electrical Equipment Refurbishment & Protection SP-81 Paint Supplies Office Supplies Pump Supplies Computer Supplies Lab Instrument Service Water Use Electrical Parts & Supplies Lumber/Hardware Chemicals Electrical Supplies Engine Supplies Lab Supplies Mechanical Parts & Supplies Training Registration Celling Tile Clean-Up at Plant 2, Maintenance Bldg. Mechanical & Janitorial Supplies Electrical Parts & Supplies Janitorial Supplies On-Site Training -Advanced Asset Management Lab Parts & Supplies Ice For Samples Chemically Compatible Hoses Mechanical Parts & Supplies Lube Oil Meeting Expenses Misc. Repair & Maintenance Material Meeting/Training Expense Reimbursement Vehicle Parts & Supplles Torque Fluid Paae 2 of9 EXHIBIT A. 11f.U11?~ Clalms Paid From 11/01/04to11/15104 Warrant No. 66485 66486 66487 66488 66489 66490 66491 66492 66493 66494 66495 66496 66497 66498 66499 66500 66501 66502 66503 66504 66505 66506 66507 66508 66509 66510 66511 66512 66513 66514 66515 66516 66517 66518 66519 66520 66521 66522 66523 66524 66525 66526 66527 66528 66529 66530 66531 Vendor ldexx Impulse Industrial Dlstribullon Group Industrial Metal Supply Industrial Threaded Products, Inc. lnfilco Degremont, Inc. Inorganic Ventures, Inc. Intergraph Corporation IBM Corporation lnterocean Systems, Inc. Interstate Batteries of Cal Coast Iron Mountain Off-Site Data Protection lsco, Inc. J & B Auto Parts Jamison Engineering Contractors, Inc. Johnstone Supply K.P. Lindstrom, Inc. Karcher Insulation, Inc. League of California Cities Lehigh Valley Safety Supply Co., Inc. Lucci's Gourmet Foods, Inc. LINJER Maintenance Technology Corp McKenna Engineering & Equipment Co., Inc. McMaster-Carr Supply Co. McRay Industries, Inc. Measurement Variables, Inc. Medlin Controls Co. Milltronics, Inc. John Mirkovich Mitchell Instrument Co. MCR Technologies, Inc. MOS Consulting Mine Safety Appliances Company National Plant Services, Inc. Neal Supply Co. NetlQ Corporation Neutronic Stamping & Plating New Dimension Solutions, Inc. Newark Electronics Ninyo & Moore Corporate Accounting The Norco Companies Nu-Way Laser Engraving Office Depot Business Services Div. Omega Industrial Supply Inc. OneSource Distributors, Inc. Oracle Corp. H:\dept\fln\EXCEL.dta\220\APSHARBClalms Paid Report\03-04\Clalms Paid Report • 111504.xls fl"l?1nnr Amount 5,344.40 344.27 1,467.60 634.10 969.29 5,534.96 315.26 6,296.91 5,186.43 995.41 446.78 234.00 445.27 298.08 9,500.00 469.16 3,751.00 4,519.00 75.00 2,870.03 1,751.55 4,987.01 541.44 276.32 4,364.19 4,408.98 659.97 434.98 814.59 46.00 471.53 809.92 19,207.50 1,393.37 2,875.00 15.41 830.00 140.90 4,000.00 1.454.88 13,673.25 178.88 553.83 1,313.78 1,620.80 3,138.22 728.62 Description Lab Parts & Supplies Instrument Parts & Supplies Mechanical Parts & Supplies Metal Mechanical Parts & Supplies Brake Motor & Parts Lab Parts & Supplies Software Malnt. Agreement Maintenance Agreement AS-400 Port Supplies Batteries for Vehicles & Carts Offsite Back-Up Tape Storage for NT Server Mechanical Parts & Supplies Auto Parts & Supplies Motor Replacement Mechanical Parts & Supplies Environmental Consulting Services MO 12-9-90 Repairs & Maintenance Service -Insulation Safety & Health Division Meeting Registration Mobile Safety Shoe Service Meeting Expense Professional Service -DART MO 9-22-99 Welding Supplies Filters Mechanical & Safety Supplies Mechanical Parts & Supplies Electrical Supplies Instrument Supplies Valves Meeting/Training Expense Reimbursement Lab Parts & Supplies Calibration & Certification Services Prof. Services -Surveying Various Capital Projects Instrument Parts & Supplies Vacuum Truck Seivices Plumbing Supplies Software Reconciliation User Fee Refund Check Reissue Training Registration Electrical Parts & Supplies Professional Services -Materials Testing, Inspection & Geotechnical Engrg. Mall Delivery Service Steel Tags Office Supplies Janitorial Supplies Electrical Parts & Supplies Software Support Paae 3 of9 EXHIBIT A 111-.nt?nM Claims Paid From 11/01/04 to 11/15104 Warrant No. 68532 66533 66534 68535 66536 66537 66538 66539 66540 66541 66542 66543 66544 66545 66546 66547 68548 66549 66550 66551 66552 66553 66554 66555 66556 66557 66558 66559 66560 66561 66562 66583 66564 66565 66586 66567 68568 66589 86570 66571 66572 66573 66574 66575 66576 66577 66578 Vendor Orange County Vector Control District Orange Fluid System Technologies, Inc. Osterbauer Compressor Oxygen Service Company P.L. Hawn Company, Inc. Parker Supply Company Perkin Elmer Corporation Petroleum Engineering, Inc. Pixelpushers, Inc. Ponton Industries, Inc. Primavera Systems, Inc. PrinterGuy Profit Techniques, Inc. Prudential Overall Supply Pump Engineering PAC (Petroleum Analyzer Company, LP.) PCG Industries PCS Express, Inc. R. L. Abbott & Associates Red Wing Shoes Restek Corporation Retrofit Parts & Components, Inc. Ryan Herco Products Corp. RPM Electric Motors RS Hughes Co, Inc. RTM Lighting & Electronics, Inc. Safety-Kleen Darren J. Schuler SchwingAmerica, Inc. Scottel Voice & Data, Inc. Seaventures Sewer Equipment Company of America Shureluck Sales & Engineering Skalar, Inc. Skil!Path Seminars Skookum Smith Pipe & Supply, Inc. South Coast Air Quality Management Dist. Southwest Air Balance Corp. Spex Certlprep, Inc. Summit Steel Sunset Ford Sunset Industrial Parts Sy Nielson Service, Inc. Systems Source, Inc. SAR BS SC Fuels H:\dept\fln\EXCEL.dta\220\APSHARE\Claims Paid Report\03-04\Clalms Paid Report -111504.xla f!"l?1nn,. Amount 644.63 546.99 1,212.07 3,152.65 30.77 2,110.61 1,150.72 945.00 5,630.00 266.23 9,486.31 2,345.54 500.00 2,438.33 3,080.15 592.63 900.00 244.00 3,000.00 347.39 479.95 742.47 52.97 1,923.18 284.95 530.07 533.36 90.00 7,220.28 2,284.80 5,590.00 1,357.51 1,798.76 1,413.68 199.00 296.85 609.20 909.34 1,251.83 128.11 1,798.80 185.47 1,108.44 980.00 2,187.30 270.00 22,975.78 Description Pest Control Plumbing Parts & Supplies Mechanical Parts & Supplies Specialty Gases Electrical Supplies Mechanical Parts & Supplies Lab Parts & Supplies Spill Bucket Prof. Serv. -Design, Implement, Construct & Install a Corporate Intranet Site Instrument Parts & Supplies Software Malnt. Printer Maintenance Professional Services -O & M Manager Coaching Uniforms Pump Supplies Instrument Parts & Supplies Repairs & Maint. Service -Shaft Seals Courier Service Kem County Blosollds Consulting Services Safety Shoes Lab Parts & Supplies Mechanical Parts & Supplies Plumbing Parts & Supplies Repair & Maintenance Service Paint Supplies Electrical Parts & Supplies Parts Washer Lease & Service Meeting/Training Expense Reimbursement Pump Supplies Telephone System Maintenance Ocean Monitoring Vessel Services Sewer Hose Mechanical Parts & Supplies Lab Parts & Supplies Training Registration Port Supplies & Equipment Plumbing Suppl!es Annual Emission, Operation & Misc. Fees Professional Services P1-37 Lab Parts & Supplies Metal Auto Parts & Service Mechanical Supplies Lab Equipment Cal!brat!on & Balance Services Ergonomic Office Furniture & Fixtures Training Registration Diesel Fuel Paae4of9 EXHIBIT A 111~/?~ .. , Claims Paid From 11101/04to11/15104 Warrant No. 66579 66580 66581 66582 66583 66584 66585 66586 66587 66588 66589 66590 66591 66592 66593 66594 66595 66596 66597 66598 66599 66600 66601 66602 66603 66604 66605 66606 66607 66608 66609 68610 68611 68612 68613 68614 68615 68616 68617 68618 68619 68620 68621 68622 68623 68624 68625 Vendor SETAC SPEC Services, Inc. SPX Valves & Control Tasco Pacific Fire Protection Teletrac Inc. Tenninix International The JG Press, Inc. Thompson Industrial Supply, Inc. ThyssenKrupp Elevator Corporation Tony's Lock & Safe Service & Sales Transcat Trimble Navigation, Ltd. Tropical Plaza Nursery, Inc. Truck & Auto Supply, Inc. U.S Postal Servlce(AMS-TMS) Ultra Scientific UnlvarUSA Universal Specialties, Inc. Valin Corporation Varian, Inc. Verne's Plumbing Vortex Corp. VWR Scientific Products The Wackenhut Corporation Water 3 Engineering, Inc. Waxie Sanitary Supply West Coast Switchgear, Inc. West-Lite Supply Company, Inc. Weston Solutions, Inc. Xerox Corporation Yale/Chase Materials Handling, Inc. Paulus Engineering, Inc. Patrick B. Carnahan Leandra P. Catacutan Kimberly C. Christensen James E. Colston Voided Check David R. Heinz John Kavoklls Jin H. Kim Efren G. Lucena Charles D. McGee Roland T. McReynolds Michael D. Moore Fred J. O'Brien Balachandra P. Rao Wendy T. Sevenandt H:\dept\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Claims Paid Report -111504.xls flnt?1nn,. Amount 145.00 16,045.40 1,698.84 3,081.32 245.00 835.00 129.00 4,844.86 1,280.00 10.78 2,272.55 1,934.11 830.00 209.15 5,000.00 345.13 1,036.48 3,025.62 593.79 5,410.45 125.00 1,029.95 2,188.09 6,092.58 2,615.04 143.66 500.00 7,527.60 8,725.00 5,694.69 453.30 18,357.66 118.82 877.29 288.44 272.43 379.34 289.34 516.60 738.75 336.87 1,302.55 622.52 1,305.20 250.00 384.22 Description Membership Engineering Services J-33-1A Actuator Annual Fire Sprinkler Inspection, Maint. & Cert. at Pits 1 & 2; Repair Pit. 1 Fire Door Monthly Air-Time Service Fee & Software/Hardware Maint. for Vehicle Tracking Sys. Pest Control Subscription Mechanical Paris & Supplies Elevator Maintenance Locks& Keys Electrical Supplies & Tools Computer Software/Hardware Contract Groundskeeping MO 5-11-94 Automotive Supplies Postage Lab Supplies Chlorine Faucets Mechanical Paris & Supplies Lab Paris & Supplies Service Contract -Testing & Cert. Backflow Devices al Pits. 1 & 2 & Pump Sta. Maintenance Agreement -Plant 2 Roll-Up Doors Lab Paris & Supplies Security Guards Engineering Services J-67 Janitorial Supplies Electrical Paris & Supplies Electrical Parts & Supplies Toxicity Analyses Copier Leases & Maintenance Automotive Paris Construction 5-22-R1 Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement EXHIBIT A Paae5ofQ 11Mnt?nn4 Clalrns Paid From 11/01/04to 11/15104 Warrant No. 66626 66627 66628 66629 66630 66631 66632 66633 66634 66635 66636 66637 66638 66639 66640 66641 66642 66643 66644 66645 66646 66647 66648 66649 66650 66651 66652 66653 66654 66655 66656 66657 66658 66659 66660 66661 66662 66663 66664 66665 66666 66667 66668 66669 66670 66671 66672 Vendor Matthew P. Smith Simon L. Watson Ernest N. Yeboah Halff Associates, Inc. Knotfs Berry Farm Orange County Sanitation District Basic Chemical Solutions, L.L.C. Black & Veatch Corporation Brown & Caldwell Carollo Engineers IPMC clo Parsons J R Filanc Construction JPL Compressor Service, Inc. Kemiron Companies, Inc. Malcolm Pirnie, Inc. Orange County Water District Pacific Investment Management Co. Pioneer Americas, Inc. Polydyne, Inc. Sancen Engineering, Inc. Science Applications International Tule Ranch/Magan Farms U.S. Metro Group, Inc. U.S. Peroxide, L.L.C. Waste Markets Corp. ARB, Inc. Dalke & Sons Constructions, Inc. DenBoer Engineering & Construction J F Shea Construction, Inc. Paulus Engineering, Inc. Steve P Rados, Inc. Union Bank of California Union Bank of California IPMC clo Parsons Brown & Caldwell Consolidated Elect. Distributors Dwyer Instruments, Inc. Industrial Distribution Group Omnimark Instrument Corp Sunset Ford SPX Valves & Control Orange County Sanitation District CH2MHlll Air-Sea Forwarders, Inc. Air Products & Chemicals Occidental Energy Marketing, Inc. Orange County Water District H:\dept\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report-111504.xls t1"1?1nn,. Amount 1,408.50 897.95 684.69 6,467.54 2,858.00 1,353.27 27,651.35 525,381.60 68,909.71 188,208.73 882,975.00 52,721.91 132,393.52 109,308.06 219,823.00 2,236,311.47 176,071.00 198,027.75 34,532.22 139,420.00 79,769.60 175,694.69 26,785.00 41,389.08 30,584.42 850,789.43 44,280.45 54,595.62 188,751.94 57,643.41 340,942.50 37,882.50 94,532.16 32,554.00 860.21 1,834.06 285.52 674.18 94.64 25.17 79.20 1,174.28 59,959.45 3,493.26 27,267.39 136,722.80 82,411.39 Description Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Legal Services 1-2-4 Employee Deposit Transfer Petty Cash Relmb. Sodium Bisulfite & Sodium Hydroxide Engineering Services P1-76 & P1-102 Professional Services P1-37 & 2-41 Professlonal Services P2-66 Professional Services -Integrated Program Management Repair & Maint. Serv. -Packing Media Replacement -Scrubbers 5, 6, 8, D1, D2 & D3 Repair & Maint. Serv. -Overhaul Gas Compressors 1 & 2 at Pit. 1; and 1, 2 & 3 at Pit. 2 Ferric Chloride MO 9-27-95 Professional Services P2-80 Joint GWRS Project J-36 Investment Management Service Res. 95-97 Sodium Hypochlorite Cationic Polymer MO 3-11-92 Construction -Manhole Rehabilitation Program Ocean Monitoring MO 6-8-94 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 Construction 7-39 & 7-41 Construction J-89 Construction SP-74 Construction J-71-3 Construction 5-22-R1 Construction 1-2-4 Construction 1-2-4, Retention Construction 7-41, Retention Professional Services-Integrated Program Management Professional Services 2-41 Electrical Parts & Supplies Electrical Parts & Supplles Mechanical Parts, Supplles & Locks Lab Parts & Supplies Auto Parts & Supplies Freight Charges Petty Cash Relmb. Professional Services J-40-6 Shipping & Handling -ZSnder Foam Media 0 & M Agreement Oxy Gen Sys MO 8-8-89 Natural Gas GAP Water Use EXHIBIT A Paae6of9 111~1?. ., Claims Paid From 11/01/04 to 11/15/04 Warrant No. 66673 66674 66675 66676 68677 66678 66679 66680 66681 66682 66683 66684 66685 66686 68687 66688 66689 66690 66691 66692 66693 68694 66695 66696 66697 66698 66699 66700 66701 66702 66703 66704 66705 66706 66707 66708 66709 66710 66711 66712 66713 66714 66715 66716 66717 66718 66719 Vendor RemedyTemp, Inc. Southern California Edison The Vantage Group, L.L.C. Orange County Sanitation District Accounting Options, Inc. Airgas Safety, Inc. American Telephone & Telegraph Corp. BMC: Business Machines Consultants, Inc. Casual Gourmet City of Tustin Coastal Marine Surveying & Consulting Court Order Compressor Components Of California Consumers Pipe & Supply Co. County of Orange -Auditor Controller County of Orange -Auditor Controller County of Orange -Auditor Controller Court Trustee CSI Computational Systems Department of Child Support Services Doug Horwood Supply Driver Alliant Insurance Service, Inc. Employee Benefits Specialists, Inc. Court Order Eledrlcal Reliability Services, Inc. FedEx Corporation Franchise Tax Board Galls Incorporated Hagemeyer North America City of Huntington Beach Internal Revenue Service Internal Revenue Service IBM Corporation Intl. Union of Oper. Eng AFL-CIO Local 501 Irvine Ranch Water Distrid IECOC J & B Auto Parts Johnstone Supply Kforce, Inc. League Of CA Cities-Remit Addr. Los Angeles County LRP Publications McMaster-Carr Supply Co. Court Order Motion Industries, Inc. CA 55 National Bond & Trust National Plant Services, Inc. H:\dept\fin\EXCEL.dla\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report -111504.xls finl?1Rllr Amount 29,100.84 75,890.97 25,720.00 36,974.15 23,938.54 5,763.51 178.74 16,083.34 232.09 221.85 627.00 150.00 2,793.91 2,130.39 182.14 35.00 1,015.00 69.12 839.85 188.50 796.49 23,235.00 9,717.38 445.00 2,300.00 12.63 100.00 37.15 3,636.54 16,949.90 300.00 200.00 90.75 3,885.86 7.80 55.00 660.04 374.56 21,070.08 25.00 1,172.50 407.50 2,976.79 225.00 1,418.50 2,462.28 5,530.80 Description Temporary Employment Services Power Temporary Employment Services Worker's Comp. Relmb. Temporary Employment Services Safety Supplies Telephone Service Multifunctional Copier/Scanners with Stapler/Stackers & Maintenance Meeting/Training Expense Water Use Prof. Serv. -Insurance Valuation Survey & Report Re OCSD Monitoring Vessel Wage Garnishment Repair & Maintenance Service Plumbing Supplies Wage Garnishment Encroachment Pennlt 11-22 Encroachment Pennlt 7-39 Wage Gamlshment Truck Parts & Supplies Wage Gamishmenl Stamp Machine Repairs Insurance Premium -Watercraft Pollution Reimbursed Prepaid Employee Medical & Dependent Care Wage Garnishment On-Site Transformer Testing Freight Services Wage Gamlshment Safety Supplies Prescription Safety Glasses Water Use Wage Gamlshment Wage Gamlshment Maintenance Agreement AS-400 Dues Deduction Water Use Source Control Division Meeting Registration Auto Parts & Supplies Water Heater & Tools Temporary Employment Services Communications Division Meeting Registration Sewer Service Conn. Agreement MO 9123198 Books & Publications Mechanical Parts, Supplies, Tools & American Flags Wage Garnishment Hose Kits U.S. Savings Bonds Payroll Deductions Vacuum Truck Services Paae7 of9 EXHIBIT A 11Mnl?l\M Clalms Paid From 11/01/04to11/15104 Warrant No. 66720 66721 66722 66723 66724 66725 66726 66727 66728 66729 66730 66731 66732 66733 66734 66735 66736 66737 66738 66739 66740 66741 66742 66743 66744 66745 66746 66747 66748 66749 66750 66751 66752 66753 66754 66755 66756 66757 66758 66759 66760 66761 66762 66763 66764 66765 Vendor City of Newport Beach Nextel Communications NATEC International, Inc. 0 C Tanner Recognition Company Orange Fluid System Technologies, Inc. OXygen Service Company OCEA Parker Hannmn Corporation Court Order Peace Officers Council of CA Roberto's Auto Trim Shop Shureluck Sales & Engineering Court Order So. Cal. Gas Company Southern California Water SBC SBC Long Distance Thompson Industrial Supply, Inc. Teksystems Ultra Scientific The Unisource Corporation United Parcel Service United Way Urban Alternatives Verizon California WEF Xerox Corporation Xyon Business Solutions, Inc. Court Order Layne T. Baroldi Carta D. Diiion Warren S. Hawkins Linda Losurdo William M. Moline Ernest N. Yeboah County of Orange -Auditor Controller Dunmore, Frederick Employee Activity Committee GeomAtrix Consultants, Inc. Halff Associates, Inc. Miller, Tom PARMA SAR BS Mini Mailers, Inc. South Coast Air Quality Management Dist. South Coast Air Quality Management Dist. Total Accounts Payable -Warrants $ H:\dept\fin\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report -111504.xla fi"t?1nn,. Amount 72.42 1,078.09 85.00 985.12 570.81 108.30 626.36 268.44 296.00 1,611.00 193.16 855.50 721.50 23,259.35 96.50 2,544.76 293.13 4,197.49 20,899.00 195.83 501.72 64.66 245.00 2,056.00 814.54 139.00 353.23 11,592.00 597.50 180.70 407.00 190.00 100.70 170.00 474.60 210.00 2,082.78 10,000.00 14,011.39 7,546.28 1,460.77 375.00 100.00 2,053.50 902.13 902.13 8,335,953.77 Description Water Use Cellular Phones & Air Time Training Registration Employee Service Awards Program Plumbing Parts & Supplies Specialty Gases Dues Deduction Mechanical Parts & Supplies Wage Garnishment Dues Deduction Repairs & Maintenance Services -Admln Patio Cloth Umbrellas Mechanical Parts & Supplies Wage Garnishment Natural Gas Water Use Telephone Services Long Distance Telephone Services Mechanical Supplies Temporary Employment Services Lab Parts & Supplies Office Supplies Parcel Services Employee Contributions Community Outreach Consulting & Support 1-10 Telephone Services Membership -Water Environment Federation Copier Leases Temporary Employment Services Wage Garnishment Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Employee Computer Loan Program Service Award Expense Legal Services 1-2-4 Legal Services 1-2-4 Employee Computer Loan Program Accounting Division Meeting Registration & Membership Plant No. 2 Operations Division Meeting Registration Mailings for CEQA & Public Outreach -Wastewater Treatment/Collection Sys. Program Filing Fee -Hearing Board Re Variance for OCSD Pits. 1 & 2 Fiiing Fee -Hearing Board Re Variance for OCSD Pits. 1 & 2 EXHIBIT A Paae 8of9 11Mnl?tft Warrant No. Vendor Payroll Disbursements 35821 -35926 Employee Paychecks 35927 -35928 Employee Paychecks 104591 -105133 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments OCSD Payroll Taxes & Contributions Chase Manhattan Bank Lloyds TSB Bank pie JP Morgan Chase Bank JP Morgan Chase Bank Total Wire Transfer Payments Total Claims Paid 11/01/04-11/15/04 Claims Paid From 11/01/04to11/15/04 Amount $ 148,706.62 361.70 1,042,861.93 $ 1, 191,930.25 $ 652,531.20 71,993.63 67,964.96 58,451.68 100,816.59 $ 951,758.08 $ 10,479,642.08 Description Biweekly Payroll 11/10/04 Interim Payroll -Dlredors 11/10/04 Biweekly Payroll 11/10/04 Biweekly Payroll 11/10/04 Commitment Fee on Series 2000 Certificates of Participation (08/01/04-10131/04) Ur. of Credit Fee/Standby Agrmt. 1992 Certificates of Participation (08/01/04 -11/01/04) October Interest Payment on Series 1993 Certificates of Participation Soclete Generale Odober swap Payment on 1993 Series Certificates of Participation ~·. A H:\dept\fin\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report • 111504.xls Paaa 9 of9 EXHIBIT A fin/?1n11,. 11Mn/.,l\M Clalms Paid From 11/16/04to11/30/04 Warrant No. Vendor Accounts Pavable -Warrants 66766 66767 66768 66769 66770 66771 66772 66773 66774 66775 66776 66777 66778 66779 66780 66781 66782 66783 66784 66785 66786 66787 66788 66789 66790 66791 66792 66793 66794 66795 66796 66797 66798 66799 66800 66801 66802 66803 66804 66805 66806 66807 66808 66809 66810 66811 American Express ADS Environmental Services, Inc. Black & Veatch Corporation Brown & Caldwell Camp Dresser & McKee, Inc. Environmental Engineering & Contracting Hill Brothers HOR Engineering, Inc. Malcolm Pirnie, Inc. Mellon Trust MWH Americas, Inc. P.L. Hawn Company, Inc. Parsons Water & Infrastructure, Inc. Red Wing Shoes Synagro Technologies, Inc. SPEC Services, Inc. Tule Ranch/Magan Farms U.S. Metro Group, Inc. U.S. Peroxide, L.L.C. UBS Financial Services, Inc. J F Shea Construction, Inc. J R Filanc Construction Margate Construction, Inc. Morrow-Meadows Corp Olsson Construction, Inc. Southern Contracting Company Torrey Pines Bank Air-Sea Forwarders, Inc. Airgas Safety, Inc. American Fildelity Assurance Company Analysts, Inc. Aquatic Bioassay And Consulting Labs, Inc. ARK Technologies American Telephone & Telegraph Corp. AT&T Universal Biller AWSI BioMerieux Vitek, Inc. Bush & Associates, Inc. C.S.U.F. Foundation California Auto Collision California Special Districts Carollo Engineers Cingular Wireless Airtime City of Irvine Columbia Analytical Services, Inc. Compressor Components Of California $ H:\depl\fln\EXCEL.dta\220\APSHARE\Clalms Paid ReporNl3-04\Clalms Paid Report -113004.xls f!ft/?1nn,. Amount 29,219.82 49,613.10 56,650.14 106,484.73 199,730.23 28,000.00 60,687.74 234,072.04 54,392.02 27,758.95 107,558.85 26,221.11 48,469.41 26,812.24 249,289.52 36,636.15 229,139.22 26,785.00 33,832.68 28,788.44 1,629,998.14 2, 153, 763.00 735,578.60 217,701.00 182,329.00 85,910.00 239,307.00 4,408.29 15.64 254.90 734.80 1,095.00 10,336.00 555.99 2,374.05 2,125.44 162.70 5,652.00 11,079.50 568.32 25.00 14,799.86 11,173.43 800.00 870.00 1,248.00 Description Purchasing Card Program, Misc. Supplies & Services Professional Services J-73-2 Engineering Services J-77 & J-71-3 Professional Services -CMOM-WDR Program Engineering Services J-71-8 Prof. Serv. -Comprehensive Industrial Wastewater Treatment Operator Training Course Chemicals -Odor & Corrosion Control -Newport Trunkline Prof. Serv. -P1-82, P2-82, HVAC Repl. at Pit. 2 & Eng, Studies & Const. Design & Support Professional Services J-79 Investment Custodian Bank Professional Services P2-7 4 Air Filters Professional Services J-35-1 Safety Shoes Residuals Removal MO 3-29-95 Engineering Services SP-94 Residuals Removal MO 3-29-95 Janitorial & Floor Maintenance at Plants 1 & 2 Odor & Corrosion Control Treatment for Coll. Sys.; Hydrogen Peroxide & Ferrous Chloride Remarketing Fee -Series 1993 Refunding Certificates of Participation Construction J-71-3, J-77, J-35-1 & J-71-3 Construction P1-76 Construction P1-37 & J-67 Construction P2-47-3 & Waste Sidestream Pump Sta. VFD Replacement Construction P2-82 Construction J-33-1A Construction P1-76, Retention Shipping & Handling -Zander Foam Media Safety Supplies Employee Cancer Insurance Oil Test Kit & Analyses Whole Effluent Toxicity Testing Programming Services Telephone Conference Services Telephone Service Department of Transportation Program Management & Testing Lab Supplies Professional Services P1-76 Membership -Center for Demographic Research Vehicle Repair Service -V-403 Publication Prof. Serv. -Coordinated Commercial Enterprise Study & P2-60 Wireless Services Permit Fee 7-21 Analysis of Wastewater, Industrial Wastewater & Biosolids Repair & Malnt Services -Ignition Coils EXHIBITS Paae 1 of8 1'J/Al'JM4 Claims Paid From 11/18/04to11/30/04 Warrant No. 66812 66813 68814 66815 66816 66817 66818 66819 66820 66821 66822 66823 66824 66825 66826 66827 68828 66829 66830 66831 66832 66833 66834 66835 66836 66837 66838 66839 66840 66841 68842 66843 66844 66845 66846 66847 66848 66849 66850 66851 66852 66853 66854 66855 66856 66857 66858 Vendor Cooper Cameron Corporation Corporate Business Interiors Corporate Express Corporate Image Maintenance, Inc. County of Orange -Auditor Controller County Wholesale Eledrlc Co. Cytec Industries, Inc. De Guella Glass Co., Inc. Del Mar Analytical Department of Transportation Eledra-Bond, Inc. Eledrical Reliability Services Element K Journals Employers Group Enchanter, Inc. Executive Software FedEx Corporation Fisher Scientific Company Flat & Vertical, Inc. Fluor Enterprises, Inc. Forkert Engineering & Surveying, Inc. Franklin Covey Frasco Profiles Geomatrix Consultants, Inc. Grainger, Inc. GHD, L.L.C. Harold Primrose Ice Hilti, Inc. Home Depot Hub Auto Supply Hydrotex I. D. Industries, Inc. Industrial Distribution Group Industrial Metal Supply Inside CAUEPA Iron Mountain James '7ex" Cllmie Jay's Catering Johnson Ukropina L & N Uniform Supply Co. Lab Safety Supply, Inc. Labware, Inc. Lehigh Valley Safety Supply Co., Inc. Lock N Stitch Lucci's Gourmet Foods, Inc. Mandie Motors Mc.Junkin Corporation H:\depl\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report -113004.xls fln/?1nnr Amount 598.35 330.00 4,697.07 160.00 239.00 319.32 18,191.70 422.63 499.00 21,000.00 2,262.75 3,976.00 99.00 5,126.00 5,400.00 7,035.00 267.28 5,518.81 305.50 8,705.16 4,777.50 49.51 492.00 1,250.00 463.59 23,030.00 129.50 1,767.08 169.80 814.55 1,032.49 269.40 1,057.68 502.66 635.00 91.14 678.00 1,550.82 7,000.00 145.60 92.19 4,000.00 1,929.37 4,668.55 67.98 325.00 5,870.22 Description Engine Supplies Human Resources Workstation Modifications Office Supplies Custodial Services Spec. No. 9899-09 Encroachment Permits 7-3 Electrical Parts & Supplies Anionic Polymer Window Repairs Analysis of Biosolids Caltrans Paving Projed Repairs & Maintenance Services Professional Services-Eledrical Acceptance Testing for Capital Projects Subscription Supervisory Training Ocean Monitoring & Outfall Inspection & Maintenance Software Maint. Agreement Freight Services Lab Parts & Supplies Concrete Cutting Engineering Services J-84 Engineering Services P2-66 Office Supplies Human Resources Background Checks Professional Services 1-2-4 Fiberglass Extension Ladders Professional Services -Asset Management Pradices in CIP Development Ice For Samples Drop-In Anchors Misc. Repair & Maintenance Material Vehicle Parts & Supplies Lube Oil Mechanical Parts & Supplies Padlocks Metal Publication Storage Fee-Bid Documents P1-37 Prof. Serv. -Ocean Monitoring Vessel Final System Check & Technical Specs Review Meeting Expenses Professional Services -Corporate Identity Program OCSD Medical Team Jackets Safety Parts & Supplies Training Registration Mobile Safety Shoe Service Repair & Malnt Services -Compressor Meeting Expense Towing Services Replace and Set Up llmitorque Gear Operator Paae 2 of& EXHIBITJf 1?/R/.,nnA Claims Paid From 11/16/04to 11/30/04 Warrant No. 66859 66860 66861 66862 66863 66864 66865 66866 66867 66868 66869 66870 66871 66872 66873 66874 66875 66876 66877 66878 66879 66880 66881 66882 66883 66884 66885 66886 66887 66888 66889 66890 66891 66892 66893 66894 66895 66896 66897 66898 66899 66900 66901 66902 66903 66904 66905 Vendor Meinhard Glass Products Midway Mfg & Machining Co. Motion Industries, Inc. National Seminars Group Neal Supply Co. Nlnyo & Moore Corporate Accounting Office Depot Business Services Div. OneSource Distributors, Inc. Orange County Register Orange Fluid System Technologies, Inc. Oreo Construdion Supply Oxygen Service Company OCB Reprographlcs Paul Pill PenValve Pixelpushers, Inc. Port Supply Praxair Distribution, Inc. Pre-Paid Legal Services, Inc. Primary Source Office Fumishings, Inc. Prudential overall Supply PCS Express, Inc. PS Tek, L.L.C. PSI Raney Industries Reliastar Bankers Security Life Ins. Ricoh Business System Roto Rooter -N.O.C.#11 Shamrock Supply Co., Inc. Shureluck Sales & Engineering Sloan Eledric Company Smardan Supply Company Smith-Emery Company Southern California Edison Sparling Instruments, Inc. State Board of Equalization Summit Steel Sunset Ford Tetra Tech, Inc. The Walking Man, Inc. Time Warner Communications Times Community News Tony's Lock & Safe Service & Sales Truck & Auto Supply, Inc. Underground Service Alert of So. Calif. The Unisource Corporation US Afrcondltlonlng Distributors, Inc. H:\depl\ffn\EXCEL.dta\220\APSHARE\Clalms Paid Reportm-04\Clalms Paid Report -113004.xts fln1?1nn,. Amount 808.00 5,461.38 2,676.37 398.00 325.84 413.64 3,648.67 58.33 5,380.31 66.17 97.82 1,250.84 76.81 5,050.70 76.85 6, 115.00 802.86 14.95 433.55 970.83 3,627.74 227.00 659.39 131.94 1,280.00 11,132.07 1,623.90 401.48 13.30 2,649.52 16,488.78 1,157.04 456.00 1,801.91 2,871.61 150.00 520.53 56.90 7,366.42 425.00 40.47 50.00 94.83 22.71 1,390.23 1,218.03 7.99 Description Lab Paris & Supplies Repair & Maintenance Services Motor Training Registration Plumbing Supplies Professional Services P1-37 Office Supplies Electrical Paris & Supplies Reconciliation User Fee Refund Program Plumbing Paris & Supplies Marking Paint Specialty Gases Printing Service-MO 1126/00 Professional Services SP-7 4 Plumbing Paris & Supplies Prof. Serv. -Design, Implement, Construct & Install a Corporate Intranet Site Boat Supplies Demurrage Employee Legal Service Insurance Premium Window Blinds al Lab Uniforms & Miscellaneous Supplies Courier Service Mechanical Paris & Supplies Repair & Maintenance Services -Pressure Washer Repair & Maintenance Service -Lower Drain Pipes Employee Life Ins. Premium, Short-Term Dlsabllily & Cancer Ins. Payroll Dedudlons Color Copier Lease CCTV, Engineering lnspedlon & Unclogging Sewer Laterals Hardware Mechanical Parts & Supplies Motor Repairs Plumbing Supplies Professional Services J-77 Power Flow Meter Annexation Fee Metal Auto Paris & Service Professional Services 7-37 Public Notice Printing & Malling Services -7-39 Cable Services Notices & Ads Locks& Keys Truck Supplies Membership Office Supplies & Stationery Eledrlcat Supplies Paae3of6 EXHIBITS 1?/Al?M4 Clalms Paid From 11/16/04 to 11130/04 Warrant No. 66906 66907 66908 66909 66910 66911 66912 66913 66914 66915 66916 66917 66918 66919 68920 68921 66922 66923 66924 66925 66926 66927 66928 66929 66930 66931 66932 66933 66934 66935 66936 66937 66938 66939 66940 66941 66942 68943 66944 66945 66946 66947 66948 66949 66950 66951 66952 Vendor Valin Corporation Varian, Inc. Verizon California The Wackenhut Corporation Western States Control WEF Zee Medical California Bank & Trust Orange Community Bank Miriam Angold Darrin L. Canen Deon M. Carrico Timothy D. Foley James R. Harris Deirdre E. Hunter Dustin Le Voided Check Tom B. Meregillano Jamiann M. Questa Michael Reldeler Christopher Tetzlaff Mary S. Thompson Jane H. Tran Orange County Sanitation District Johannesson, Chandra City of Anaheim Occidental Energy Marketing, Inc. Southern California Edison Xerox Corporation AccuStandard Airgas Safety, Inc. Analysts, Inc. American Telephone & Telegraph Corp. American Telephone & Telegraph Corp. Bell Pipe & Supply Co. City of Fountain Valley City of Tustin Court Order Consumers Pipe & Supply Co. County of Orange Court Trustee Court Trustee Dell Computer Department of Child Support Services Employee Benefits Specialists, Inc. Employment Development Dept. Court Order H:\depl\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report-113004.xls fln1?1nnr Amount 1,425.60 2,689.52 530.08 19,749.81 981.91 455.00 1,459.15 9,546.00 20,259.00 321.46 271.97 323.13 244.22 258.77 495.74 154.82 561.04 255.13 204.82 170.00 289.22 268.97 758.33 370.00 74,573.80 158,159.66 96,614.57 39,575.10 150.22 1,390.94 444.40 781.94 108.43 314.95 730.00 82.26 150.00 76.29 182.14 454.49 69.12 6,687.83 188.50 9,653.38 4,237.00 445.00 Description Electrical Parts & Supplies Instrument Repairs & Malnt. Telephone Services Security Guards Repair & Maintenance Material Membership -Water Environment Federation First Aid Supplies Construction J-33-1A, Retention Construction P2-82, Retention Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Meeting/Training Expense Reimbursement Petty Cash Relmb. Meeting/Training Expense Reimbursement Cooperative Projects Reimbursement Program Natural Gas Power Copier leases Lab Supplies Safety Supplies Oil Analysis & Testing Kits Telephone Conference Services Telephone Service Mechanical Parts & Supplies Fire Department Permit Water Use Wage Gamlshment Plumbing Supplies Wage Garnishment Wage Gamlshment Wage Garnishment (4) Dell Desktop Computers Wage Garnishment Reimbursed Prepaid Employee Medical & Dependent Care State Unemployment Tax Wage Garnishment Paae4Qf8 EXHIBITS 1?1Al?n1ti Claims Paid From 11/18/04to11/30/04 Warrant No. 66953 66954 66955 66956 66957 66958 66959 66980 66981 66982 66983 66984 66985 66986 66987 66968 66969 66970 66971 66972 66973 66974 66975 66976 66977 66978 66979 66980 66981 66982 66983 66984 66985 66986 66987 66988 66989 66990 66991 66992 66993 66994 66995 66996 66997 66998 66999 Vendor FedEx Corporation First American Real Estate Solutions Franchise Tax Board Fry's Eledronics Hagemeyer North America Harrington Industrial Plastics, Inc. Health Science Associates Industrial Metal Supply Internal Revenue Service Internal Revenue Service Intl. Union of Oper. Eng. AFL-CIO Local 501 Irvine Ranch Water Distrid J & B Auto Parts J.J. Keller & Associates Johnstone Supply K.P. Lindstrom, Inc. L & N Uniform Supply Co. Llfecom-Safety, Inc. McMaster-Carr Supply Co. Court Order Motion Industries, Inc. Mine Safety Appliances Company National Bond & Trust New Dimension Solutions, Inc. New Horizons CLC of Santa Ana The Orange County Register Orange Fluid System Technologies, Inc. OCEA Pacific Investment Management Co. Parts Unlimited Court Order Patriot Video Produdions Peace Officers Council of CA PenValve PeopleSoft USA, Inc. Pump Engineering Retrofit Express Science Applications International Shureluck Sales & Engineering SklllPath Seminars Smith-Emery Company Court Order Snap-On Tools So. Cal. Gas Company Southern California Edison Southern Counties Lubricants Southland Envelope Company, Inc. H:\depl\fln\EXCEL.dta\220\APSHARE\Clalms Paid Reporl\03-04\Clalms Paid Report -113004.xts flnt?1n11,. Amount 270.26 381.50 100.00 10.63 79.17 66.81 200.00 598.12 300.00 200.00 3,885.86 38.02 14.35 59.58 37.42 3,487.50 439.18 3,274.66 364.23 225.00 230.35 464.07 2,462.28 975.78 2,625.00 95.94 418.19 635.61 3,682.00 305.94 296.00 370.84 1,611.00 164.54 1,050.00 36.24 3,725.00 1,816.44 659.71 149.00 1,247.25 721.50 120.40 6,097.49 28.23 1,339.33 474.02 Description Freight Services On-Line Orange County Property Information Wage Garnishment Computer Supplies Prescription Safety Glasses Plumbing Parts, Supplies & Tools Professional Services -Ozone Analysis Metal Wage Garnishment Wage Garnishment Dues Deduction Water Use Auto Parts & Supplies Publication Electrical Supplies Environmental Consulting Services, 11-26 & J-40-10 Uniforms & Miscellaneous Supplies Safety Equipment Repairs Mechanical & Plumbing Parts & Supplies Wage Garnishment Hose Kit Instrument Parts & Supplies U.S. Savings Bonds Payroll Deductions On-Site Training -Reliability Centered Maintenance Training Registration Notices & Ads Plumbing Parts & Supplies Dues Deduction Investment Management Service Res. 95-97 Truck Supplies Wage Garnishment Video Dues Deduction Plumbing Parts & Supplies Training Registration Freight Charges Waterfree Urinal Installations Prof. Serv. -Support for Deployment of Monitoring Buoy & Development of S&P's Mechanical Parts & Supplies Training Registration Soils, Concrete & Other Materials Testing -1-2-4 Wage Garnishment Tools Natural Gas Power Engine Oii Reverse Flap Payroll Envelopes Paae5of6 EXHIBITB 1?1Al?M4 Warrant No. 67000 67001 67002 67003 67004 67005 67006 67007 67008 67009 67010 67011 67012 67013 67014 67015 67016 67017 67018 67019 67020 67021 67022 67023 67024 67025 Vendor Summit Steel Surveyor Services SBC Thompson Industrial Supply, Inc. Time Motion Tools Tropical Plaza Nursery, Inc. United Parcel Service United Way USC-FCCCHR Verizon Califomia VWR Scientific Products Water Environment Federation Westem States Controls WEF WEF Publications Wage Garnishment Patrick M. Carrillo Ronald L. Wade County of Orange -Auditor Controller County of Orange -Auditor Controller County of Orange Evangelista, Jerry Bondlogistix, L.L.C. Ganahl Lumber Company Ponton Industries, Inc. SBC Total Accounts Payable -Warrants Payroll Disbursements 35929 -36228 Employee Paychecks 36229 -36327 Employee Paychecks 36328 -36340 Employee Paychecks 105134-105672 Direct Deposit Statements Total Payroll Disbursements Wire Transfer Payments OCSD Payroll Taxes & Contributions U.S. Bank Total Wire Transfer Payments Total Claims Paid 11/16/04-11/30/04 Claims Paid From 11/16/04 to 11/30/04 $ Amount 125.48 67.75 3,876.41 2,608.77 471.76 7,935.79 1,607.66 245.00 1,340.00 4,504.14 103.42 15,690.10 94.61 139.00 7.75 597.50 225.91 417.01 120.00 750.00 650.00 1,938.53 6,209.56 96.98 2,350.25 2,540.68 7. 768,669.17 $ 201,378.39 168,850.57 4,911.34 1,123,604.99 $ 1,498,745.29 $ 973,859.95 94,912.69 $ 1,068, 772.64 $ 10,336, 187.10 Description Metal Compass Repairs Telephone Services Motor Lighted, Folding Magnifier Contract Groundskeeplng MO 5-11-94 Parcel Services Employee Contributions Membership & Training Registration (USC-Foundation for Cross-Connection Control) Telephone Services Lab Parts & Supplies Professional Services -Blosolids Audit Instrument Parts & Supplies Membership -Water Environment Federation Shipping Charges Wage Garnishment Meetingfrraining Expense Reimbursement Meelingfrralning Expense Reimbursement Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Administrative Processing Fee for Supplemental Sewer Fee Adjustments/Cancellations Encroachment Permit Employee Computer Loan Program Prof. Serv. -Preparation of lnterlmArbHrage Rebate Report, Series 2000 B, COPs Lumber/Hardware Lab Instrument Telephone Services Termination Check & Merit Retro Payroll Biweekly Payroll 11/24/04 Interim Merit Increases & OCERS Refund Biweekly Payroll 11124/04 Biweekly Payroll 11124/04 November Interest Payment for Serles 2000, A & B Certificates of Participation H:\dept\fln\EXCEL.dta\220\APSHARE\Clalms Paid Report\03-04\Clalms Paid Report-113004.xls fln1?1nnr EXHIBITB Paae6 of6 1?tAt?n.~ BOARD OF DIRECTORS Mee ting Date AGENDA REPORT I tem Number Orange County Sanitation Di strict FROM: Robert J . Ooten , Director of Operations and Maintenance Originator: Victoria Francis , Process Engineer Update : Barbara Collins , Principal Ana lyst SUBJECT: CATIONIC POLYMER CHEMICAL CONTRACT AMENDMENT, SPECIFICATION NO . C-2003-143 GENERAL MANAGER'S RECOMMENDATION To Bd . of Dir. 12-15-04 Item Number 9(a) Approve Amendment No . 2 to Purchase Order No. 101758-0B for Purchase of Cationic Polymer, Specification No . C-2003-143 , issued to Polydyne Inc., to provide for the additional purchase of Mannich cationic polymer for a price increase of $0 .23 , increasing the total unit price to $1 .28 per pound, and increasing the total contract amount of $913 ,000 by $375 ,000 to an estimated annual amount of $1,288 ,000 for the period ending June 30 , 2005 . SUMMARY • The purpose for this Agenda Report is to clarify that staff are purchasing two products from the vendor and to correct (decrease) the estimated authorized contract amount with Polydyne Inc . by $163 ,700. This will correct action taken by the September Board under OMTS 04-45 September 2004 Cationic Polymer Chemical Contract Amendment No . 1. • Staff use a cationic polymer chemical to improve efficiency in the treatment plants solids thickening and dewatering unit processes . • In the spring of 2003 , the Water District experienced a toxicant in the secondary effluent coming from th e Sanitation District Plant No . 1. The to xicant was coming from the ammonia compounds used to make the Mann ich cationi c polyme r. The term Mannich refers to a particular type of chemical formulation process that uses ammonia . • For this reason , staff ran laboratory tests on polymers from the e xisting vendor, Polydyne Inc ., and found a water-based cationic polymer that performed well in the laboratory tests and did not have the problem ammonia compounds in the chemical formulation . Staff substituted the water-based polymer, which solved the Orange County Water District problems . However , the substituted wate r- based polymer did not perform as well in the field as it had in the laboratory testing . H \depl \agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 9(a) Cationic Polymer doc Revised 06/04/03 Page 1 • Staff now uses two polymers. The Mannich cationic polymer is used in applications that don 't influence the Water District and the water-based polymer is used for applications that do influence the Water District. • The cost correction staff requests is that the Board increase the existing estimated contract cost with Polydyne of $913 ,000 by $375,000 to an estimated total cost of $1 ,288,000 instead of what was requested in the September Board Cationic Chemical Contract Amendment. In September , staff had incorrectly stated the existing chemical budget cost as $1 ,076 ,700 , thereby mis-stating the new cost as $1,451 ,700 . PRIOR COMMITTEE/BOARD ACTIONS OMTS03-57 Cationic Polymer Contract, Specification No . C-2003-143 (December 2003) Change in contract amo unt for new water-based polymer chemical. OMTS 04-45 Cationic Polymer Contract Specification C-2003-143 (September 2004) Amendment No . 1 adding a second type of polymer increased the unit price for the second polymer and increased the estimated total cost. PROJECTICONTRACTCOSTSUMMARY The original contract is for a chemical unit cost of $1 .05 per pound of chemical , plus tax. The cost for the new chemical is $1 .28 per pound of chemical , plus ta x. The District contract cost for cationic polymer chemical was $913 ,000. This amendment does not change the requested $375,000 authorization cost increase or the unit price increase . BUDGET IMPACT D This item has been budgeted. (Line item : ) 1ZJ This item has been budgeted , but there are insufficient funds . D Th is item has not been budgeted . D Not applicable (information item) ADDITIONAL INFORMATION ALTERNATIVES None CEQA FINDINGS This p roject is catego rically exempt from CEQA requirements . ATTACHMENTS H:ldeptlagenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 9 (a ).Cat1on1c Polymer doc Revised 06/04/03 Page 2 • -..J , BOARD OF DIRECTORS AGENDA REPORT Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Milind Joshi , Project Manager Meeting Date Item Number SUBJECT: ABANDONMENT OF AIRBASE TRUNK SEWER -CALIFORNIA STREET , CONTRACT NO . 6-13-3 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 12/15/04 Item Num ber 9(b) Accept Abandonment of Airbase Trunk Sewer -California Street, Contract No. 6-13-3 , as complete , authorizing execution of the Notice of Completion and approving the Final Closeout Agreement with Mike Prlich and Sons , Inc. SUMMARY Background • This contract is for the abandonment of two existing sanitary sewer lines including manholes on California Street and the installation of new 72-inch manholes located on the exiting sewer li ne that is to remain in place. • Boyle Engineering Corporation prepared the Plans and Specifications and the construction contract was awarded to Mike Prlich and Sons, Inc . on February 25 , 2004 . 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 Job Completion This contract is now 100% complete. PRIOR COMMITTEE/BOARD ACTIONS April 15 , 2004 September 21 , 2004 2 October 12 , 2004 October 12 , 2004 0 This contract was awarded by the Board of Directors on February 25 , 2004 . Please refer to the attached Change Order Status Report for more information . Revised 06/04/03 Page 1 PROJECTICONTRACTCOSTSUMMARY Original Contract Price Previously Authorized Changes Change Orders to Date Percent Increase to Date Amended Contract Price BUDGET IMPACT $ 507 ,610 15 ,680 15 ,680 3.09 % $ 523 ,290 [gJ This item has been budgeted . (Line item : FY04/05 , Section 8 , Page 33 , Capital Improvement Program , Collections Facilities Relief Sewer, Contract No . 6-13-3 ) 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 The project is needed because of the condition of the sanitary sewers being abandoned . The sewers have deteriorated internally and can no longer be cleaned . These sewers produce excessive odors due to the overall condition of the sewers and due to the low flows in the sewers. The increase in the construction cost (3 .09 %) is due to the unexpected field work arising during the course of construction . ALTERNATIVES None CEQA FINDINGS This project was included in the 1999 Strategic Plan Program Environmental Impact Report certified on October 27 , 1999 . A Notice of Determination was filed on October 29 , 1999. ATTACHMENTS 1. Budget Information Tabl e 2 . Change Order Status Report HK :BP :ba:lc H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 9(b).6-13-3 .doc Revised 06/04/03 Page 2 • --, PROJECTiPHAS! 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 $ NOTE: - - - 794,000 55,000 20,157 106, 136 975,293 BUDGET INFORMATION TABLE ABANDONMENT OF AIR BASE TRUNK SEWERS -CALIFORNIA STREET CONTRACT NO. 6-13-3 '., ;,. $ -$ -$ $ $ $ -$ -$ $ -$ -$ $ 52,000 $ -$ 52,000 ..... $ 52,000 $ -$ ·;, $ 777,000 $ -$ 777,000 ' $ 762,000 $ -$ $ 10,000 $ -$ 10,000 $ 10,000 $ $ 22,000 $ -$ 22,000 $ 22,000 $ $ 264,000 $ -$ 264,000 $ $ $ 1,125,000 $ -$ 1,125,000 $ 846,000 $ -$ 11 975,293 $ 1,125,000 $ -$ 1,125,000 $ 846,000 $ PSA/Contract -$ -$ -$ -$ -$ -$ 682,000 $ 570,000 $ -$ 570,000 $ 523,290 $ -$ The Phase 1 through Phase 3 for this project were completed as a part of the Design Contract No. 6-13. EDMS: 003782501 ,..., -$ 0% -$ 0% 52,000 $ 51,007 98% 762,000 $ 490,976 64% 10,000 $ 4,341 43% 22,000 $ 0% -$ 0% 846,000 $ 546,324 65% 546,324 -$ - -$ 350,184 ... -( ;.., ·' CHANGE ORDER STATUS REPORT ABANDONMENT OF AIRBASE TRUNK SEWER -CALIFORNIA STREET CONTRACT NO. 6-13-3 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED AUTHORIZED TIME ITEM DATE COST TO DATE INCREASE TIME TO DATE (DAYS) (DAYS) CONTRACT 4/15/2004 $507,610 $507,610 160 160 *CO NO. 1 11/1/2004 $10,400 $518,010 2.05% 80 240 *CO NO. 2 11/1/2004 $5,280 $523,290 3.09% 0 240 * GM Approval EDMS: 003781846 l_ MINUTES OF STEERING COMMITTEE MEETING VVednesday,November17,2004 A meeting of the Steering Committee of the Orange County Sanitcttion District was held on Wednesday, November 17, 2004 at 5 p.m., in the District's Administrative Office. (1) The roll was called and a quorum declared present, as follows: STEERING COMMITTEE MEMBERS: Directors Present: Jim Ferryman, Vice Chair Carolyn Cavecche, Chair, OMTS Committee Tod Ridgeway, Incoming Chairman, PDC Committee Roy Moore, Chairman, FAHR Committee Jim Silva, County Supervisor Shirley McCracken, Past Board Chair Directors Absent: Steve Anderson, Chair (2) APPOINTMENT OF CHAIR PRO TEM No appointment was necessary. (3) PUBLIC COMMENTS OTHERS PRESENT: Thomas L. Woodruff, General Counsel Don Hughes STAFF PRESENT: Blake Anderson, General Manager Bob Ghirelli, Director of Technical Services Bob Ooten, Director of Operations and Maintenance Carol Beekman, Director of Communications and Administrative Services Gail Garrett, Committee Secretary There were no comments by any member of the public. (4) RECEIVE. FILE AND APPROVE MINUTES OF PREVIOUS MEETING The minutes of the October 27, 2004 Steering Committee meeting were approved as drafted. Minutes of the Steering Committee Page2 November 17, 2004 (5) REPORT OF THE COMMITTEE CHAIR Committee Vice Chair Jim Ferryman announced that Chair Steve Anderson was in Washington, DC, doing the rounds with members of the Orange County delegation. Information packets are available for the Directors for the 2005 CASA Mid-Year Conference at the Palm Springs Hilton, January 19 through January 22. If Directors plan to attend, please let Gail Garrett know as soon as possible. Vice Chair Ferryman made the following announcements. Director Tom Ridgeway has been appointed Chair of the Planning, Design and Construction (PDC) Committee, effective immediately. Vice Chair Ferryman thanked Director Donahue for his service as the PDC Committee Chair this past year. Vice Chair Ferryman has been appointed to both GWRS and the Council of Governments (COG), and Director Darryl Miller to GWRS. The Steering Committee will adjourn to Conference Rooms A and B at 6:30 p.m. for Wes Bannister's reception to congratulate him on his appointment as Chairman of the Metropolitan Water District of Southern California. He is only the second Orange County chairman to attain this honor in the agency's 75-year history. The District has received its new ocean discharge permit from EPA and the Consent Decree was formally filed in the United States District Court in Santa Ana. Finally, Vice Chair Ferryman announced the standing committee meeting dates for December. The Urban Runoff Ad Hoc Committee quarterly meeting is scheduled for December 1st at 3 p.m. and due to the holidays, the Board will meet one week earlier, on December 15th. (6) REPORT OF THE GENERAL MANAGER General Manager Blake Anderson reported on: A. Legal Services General Manager Blake Anderson gave an overview of the report provided by Mr. Darrell Cohoon, an independent management consultant, on the scope of legal services, relative costs, and overall level of performance. He outlined the steps that have been taken in the last six months to review cost monitoring and possible cost savings measures with each of the Departments. General Counsel Tom Woodruff commended Ms. Olga Cervantes on her performance at the District as Principal Contracts Administrator. Her presence at the District has reduced and will continue to reduce General Counsel services, thereby resulting in significant cost savings to the District. Director Jim Silva questioned the high cost of legal services for last year. Mr. Woodruff responded that this was largely due to recent litigation. Director Ridgeway requested that General Manager Anderson and the Director of Finance, Gary Streed, submit a report on the breakdown of all legal services. Director Carolyn Cavecche expressed concern regarding conflicts that may arise with General Counsel, and noted that having in-house attorneys would erase all _ .. Minutes of the Steering Committee Page 3 November 17, 2004 possible conflicts. Supervisor Silva and Director Ridgeway concurred. General Manager Anderson advised that Mr. Streed would provide a mid-year report on the breakdown of legal costs for each Department. Vice Chair Ferryman requested that staff circulate the audit results once again. B. Status of Response to the Huntington Beach Visitors and Convention Center Request (HBVCB) for PR Fund General Manager Anderson reported that Chairman Anderson met with the mayors of the beach cities. Mr. Anderson submitted a memo to Chair Anderson re staff recommendations vis-a-vis the HBCVB proposal, including estimated associated costs. Director Cavecche objected to forming another coalition and suggested joining an established coalition. Director Ridgeway named several and noted that Supervisors Wilson and Silva are both on the Orange County Coastal Coalition (OCCC) Board. Don Hughes, Supervisor Silva's assistant, will send a copy of the OCCC membership roster to Director Ridgeway and General Manager Anderson. (7) REPORT OF GENERAL COUNSEL General Counsel Tom Woodruff did not make a report. (8) DISCUSSION ITEMS (Items A-B) A. The Agenda Items scheduled to be reviewed by the Board's working committees in December were reviewed. General Manager Blake Anderson alerted the Steering Committee that, since January is a dark month for the PDC, an additional item, OCSD Collection System Model and Strategic Plan Update, Job. No. J-101, will be going directly to the Board for consideration in January. B. The agenda items scheduled to be presented to the Board at tonight's meeting were reviewed. (9) OTHER BUSINESS. COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS. IF ANY There was no other business discussed. (10) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A SUBSEQUENT MEETING There were none. (11) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE AGENDA FOR ACTION AND/OR STAFF REPORT Minutes of the Steering Committee Page4 November 17, 2004 There were none. (12) CONSIDERATION OF UPCOMING MEETINGS Due to the holidays, the Steering Committee and Board will meet one week earlier next month, on December 15th at 5 p.m. and 7 p.m. respectively. (13) CLOSED SESSION The Committee convened at 5:40 p.m. in Closed Session, pursuant to Sections 54956.9, 54956.7, and 54956.9(c) to discuss four items. 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 6:20 p.m., the Committee reconvened in regular session. (14) ADJOURNMENT The Chair declared the meeting adjourned at 6:20 p.m. Submitted by: 0µ~ Gail Garrett Steering Committee Secretary H:\dept'lagenda\Steering Commirtee\04\SC Minutes Form.5.doc The OMTS minutes of the meeting held December 1, 2004 were not available for this mailing. These minutes will be distributed at the December 15, 2004 Board of Directors meeting. Once the minutes are finalized, they will also be available on the District's website (www.ocsd.com). ,. OMTS COMMITTEE Meeti ng Date 12/1/04 AGENDA REPORT Item Number OMTS04 -60 Orange County Sanitation District FROM: Robert J. Ooten , Director of Operations and Maintenance Originator: Mark Tomko , Engineer SUBJECT: ANIONIC POLYMER CHEMICAL CONTRACT SPECIFICATION C-149 GENERAL MANAGER'S RECOMMENDATION To Bd . of Dir . 12/15/04 Item Number 12(b) 1. Authorize the General Manager to renew the contract with Cytec Industries , for the Purchase of Anionic Polymer, Specification No. C-149, for the period January 1, 2005 through August 31, 2005, providing for a unit price increase of $0.56 per active pound , for a total unit price of $2.30 per active pound , for an estimated increase of $21,000, increasing the estimated annual cost through August 31 , 2005 to $235 ,000 . 2. Authorize General Manager to conduct polymer performance trials in preparation for bidding and awarding a contract for anionic polymer effective September 1 , 2005. SUMMARY • Anionic polymer has historically been used as a coagulant to enhance the efficiency of solids removal in the primary clarifiers . • Cytec has been supplying this polymer at the current contract price of $1. 7 4 per pound since September 2001. • Cytec is unable to hold the current unit price after December 2004 due to an increase in raw material costs , transportation costs, and oil and natural gas price increases. The new proposed unit price is $2 .30 per pound , which is a 32 % increase over the current price. Staff have received manufacturing data that substantiates the price increase. • Staff will conduct polymer trails for the next contract year. The primary reasons for conducting polymer trials are , at the end of a contract, when the polymer is not performing , or when there is a substantial price increase. The process of conducting polymer trials to se lect a vendor takes about six months to complete and costs up to $50 ,000 in staff time. Polymer trials are unique in that each vendor after testing their products selects one polymer to submit and then staff conducts jar testing of each polyme r o ver a one-month period. • The net impact of the price increase on the FY 04-05 an ion ic polymer cost is based on the projected use is $21 ,000. The increase in the unit price will not result in exceeding the anionic budget for fiscal year 2004-05 , due to decreased usage at Plant No . 2. Revised 06/04103 Page 1 PRIOR COMMITTEE/BOARD ACTIONS Contract for Annual Blanket P .O. No . 101058 was awarded in September 2001 to Cytec Industries for anionic polymer. PROJECT/CONTRACT COST SUMMARY The current anionic polymer chemical contract is $235,000 resulting from projected usage at $1 . 7 4 per part not including tax. The current anionic polymer chemical budget is $190 ,500 . The current annual usage is estimated to be $108 ,000 . The decrease in usage is due to reduced usage at Plant No . 2 . Staff are researching the need for this chemical at Plant No. 2 . BUDGET IMPACT r;gj This item has been budgeted . (Line item : Se ction 6, Page 12) 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 At Plant 1, staff uses anionic polymer with ferric chloride for settling in the primary clarifiers . Anionic polymer is not used at Plant 2 in the primary clarifiers on the B and C side because the addition of chlorine makes the polymer ineffective. Plant 2 can use polymer on the A-side since chlorine is not used . In 2001 , the District competitively bid anionic polymer by conducting polymer trials and Cytec was awarded the contract. Since the inception of the contract in September 2001 , there have been no price increases . The estimated quantity in Specification C- 149 was 150 ,000 lbs of dry active polymer per year. The District is projected to use approximately 70 ,000 lbs of active polymer during fiscal year 2004-05 , which is a 53% decrease from the estimated quantity. The budget for fiscal year 2004-05 was based on using anionic polymer at both plants ; therefore , an increase in the cost of anionic polymer will not exceed the budget. In October, Cytec notified the District that they would hold the unit price at $1.74 until the end of December 2004. Cytec provided market data that shows a raw material cost increase as much as 15 % during the last year. There have also been increases in natural gas and oil that play a role in manufacturing and transportation costs . These factors over the last three years resulted in a 32 % increase in the anionic polymer unit price to the District. Based on the chemical and utility pricing data prov ided by Cytec , the price increase is fair and commensurate with the current polymer market. Revised 06/04/03 Page 2 ~ I f ALTERNATIVES None CEQA FINDINGS This project is categorically exempt from CEQA requirements. ATTACHMENTS None Revised: 06/04/03 Page3 \ l ··-OMTS COMMITTEE Meeting Date To Bel. of Di r. 12/1/04 12/15/04 AGENDA REPORT Item Number Item Number OMTS04-61 12(c) Orange County Sanitation District FROM: Robert J . Ooten , Director of Operations and Maintenance Originator: Nick Arhontes, Manager -Regional Assets and Services Division SUBJECT: Award of Consulting Services Contract for Dig Alert Technician GENERAL MANAGER'S RECOMMENDATION Approve a Consulting Services Agreement with AKM Consulting Engineers for a Dig Alert Technician , Specification No . CS-2004-202 for an amount not to exceed $117,000 plus a contingency of $32,400 for an annual amount of $149,400 , with three one year extensions . SUMMARY • The Dig Alert team within the Division is responsible for protecting the District's sewer collection system assets outside of the treatment plant sites from potential harm caused by construction excavation . California state law requires utility owners , like the District, to surface mark the location of underground utilities when they are in conflict with excavation . • California Government Code section 4216 (the "Dig Alert Statues") requires that we have a program . The Underground Service Alert (USA) organization or Dig Alert , which we subscribe to , provides utility owners like the District with advance construction notice. Section 4216 requires utility owners to mark or locate their underground utilities within two working days prior to the start of construction. Owners are also required to use the American Publi c Works Association (APWA) Color Codes to mark their utilities and do so within a tolerance z one of 24-inches on either side of the buried utility . A signifi cant amount of office time is spent in coordinating this effort in addition to time spent in the field . • Staff has developed a scope of work and received proposals and intends to contract with a n Engine ering firm (Consultant) for t he s ervi ces of on e (1) part- time Dig Alert Technician (Technician ) for an estimated 24 to 30 hours per week of office support. The Technician will be responsible for re ce iv ing , interpreting, researching and process ing Dig Alert excavation t ickets . This also includes tickets for street surface overlay type work in conjunction with our member cities , CalTrans , and County of Orange's ongoing street resurfacing p rograms . Under the work direction of the S r. Engineer who manages the Program , the Tec hni cian will identify potentially confli cting Dig Alert tickets for the fi eld crew to locate or "stake-out" underground District utilities in compliance with Californ ia Government Code section 4 2 16. Revise d: 06/04/0 3 Page 1 • An RFP was sent to 12 firms . AKM Consulting Engineers responded to the RFP and will provide the part-time professional support for $75 per hour of on-site time worked . The other consultants listed various reasons for declining to propose including : lack of in -house staff with the necessary expertise or qualifications , a guarantee of 40 hours of weekly work needed , in-house staff not cost effective or cost competitive ; and , could not commit in-house staff for the term of the contract. Staff recommends using AKM for an estimated 30 to 40 hours weekly , but not on District holidays . Staff recommends that the Board authorize a total amount including contingency of $149,400 which is based on a not to ex ceed usage of 40 hours weekly for 52 wee ks pe r year times the hourly rate . There is no minimum hour guarantee included . PRIOR COMMITTEE/BOARD ACTIONS None PROJECT/CONTRACT COST SUMMARY Staff budgeted $75 ,000 for these services for this Fisca l Year which may be adequate for the remainder of the year. Next years budget will be prepared based on the $149,400 amount but current usage will be monitored to determine if a lower budget amount would be acceptable . BUDGET IMPACT IZ! This item has been budgeted . (Lin e item : Di v. 420 -Profession a l Serv ices acct. 532 4 0) 0 Th is item has been budgeted , but there are insufficient funds in the Division 's budget. 0 This item has not been budgeted . 0 Not applicable (information item) ADDITIONAL INFORMATION Increasing workload of reviewing street re-surfacing coordination w ith the member cities , the County and CalTrans is also a new part of the Division 's responsibilities . Recent changes in the statute which require that staff provide an affirmative response by fa x or voice to all contractor notifications are also adding to t he daily workload . The same field team that assists with the Dig Alert Prog ram is also trying to re-start the formal manhole inspection program . This activity was stopped as a result of the staff downsizing in the mid-1990 's Re vi sed : 06/04 /03 Page 2 ( I • . . J j-·- ALTERNATIVES None possible for this fiscal year. Another feasible alternative for FY 05/06 to be evaluated would be to hire a District staff member at the Sr. Engineering Associate level to perform these duties. CEQA FINDINGS This type of work is maintenance related and exempt from CEQA. ATTACHMENTS None Revised: 06/04/03 Page3 OMTS COMMITTEE Mee tin g Date To Bd . of Dir . 12/1/2004 12/15/2004 AGENDA REPORT Item Number Item Num ber OMTS04-62 12(d } Orange County Sanitation District FROM: Robert P. Ghirelli , D.Env., Director of Technical Services Originator: George Robertson , Senior Scientist for Environmental Assessment Division SUBJECT: SIXTH AMENDED JOINT POWERS AGREEMENT WITH THE SOUTHERN CALIFORNIA COASTAL WATER RESEARCH PROJECT AUTHORITY (SCCWRP) GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 04-29 , approving the Sixth Amended Joint Powers Agreement with Southern California Coastal Wate r Research Project Authority (SCCWRP), providing for the initial term of the agreement for one year, with a total term of four years, including extensions effective July 1, 2005 through June 30 , 2009 , with the District's contribution not to exceed $1 ,399 ,527 over the four-year term . SUMMARY • The Southern California Coastal Water Research Project (SCCWRP) was established in 1969 under a joint powers agreement (JPA) by five southern California wastewater ocean dischargers to study the effects of discharging treated effluent to the marine environment. • This JPA has been renewed five times , the last being on July 1, 2001 . This sixth JPA (Attachment 1) will begin on July 1, 2005 , and extend until June 30 , 2009 . • OCSD , along with its sister agencies that make up the SCCWRP Comm ission , directly benefits from its involvement in SCCWRP in several ways: • regional environmental research and monitoring , • staff training and development, and • ass istance in the collect ion and analysis of environmental samples. • SCCWRP is viewed as an objective and effective environmental research group . This recognition has garnered the respect and support from local , state and federal agencies , independent researchers , the environmental community , and the media . • Dr. Stephen Weisberg , Executive Director of SCCWRP , will update the OMTS committee this evening on recent findings related to coastal water quality . PRIOR COMMITTEE/BOARD ACTIONS Board Meeting, November 15. 2000 (Item 12 c.) Adopt Reso lution No . OCSD 00-28 , approving the Fifth Amended Joint Powers Agreement with Southern California Coastal Water Research Project (SCCWRP), providing for initial term of the agreement of one year with a total term of four years including extensions effective J uly 1, 2001 through June 30 , 2005 with District's contribution not to exceed $1 ,223 ,000 over the four-year term . H \deptlageoda\Board Agenda Reports\2004 Board Agenda 8 Agenda Reports\1204\ltem 12(d) SCCWRP doc Revised 06/04/03 Page 1 PROJECTICONTRACTCOSTSUMMARY OCSD's annual membership fee in FY 2005-06 is shown below with a 2.6% consumer price index adjustment added in each of the following three years of the term of the JPA: Fiscal Year FY2005-2006 FY2006-2007 FY2007-2008 FY2008-2009 TOTAL: BUDGET IMPACT OCSO Funding Amount $ 336,528 $ 345,278 $ 354,255 $ 363,466 $ 1 ,399,527 Division 610, Research & Monitoring ~ This item has been budgeted . (Line item : 53340) 0 This item has been budgeted, but there are insufficient funds . 0 This item has not been budgeted . 0 Not applicable (informatio n item) ADDITIONAL INFORMATION Background : In the 1960's five southern California publicly owned treatment works (POTW) recognized a common mission to protect the coastal environment. These agencies decided to create a joint powers agency (JPA) that would better address this common mission by pooling resources and knowledge . The Southern California Coastal Water Research Project Authority (SCCWRP) was created in 1969 by the Orange County Sanitation District (District), the County Sanitation Districts of Los Angeles County, the City of Los Angeles, the City of San Diego, and the Ventura Regional Sanitation Districts (which has since withdrawn). Overall, SCCWRP's goal was , and sti ll is , to gather high-quality, scientific data and to ensure that the information and recommendations are effective ly distributed to decision-makers, scientists and the public. SCCWRP was reorganized in 1990 to include representatives from the U .S . Environmental Protection Agency, the State Water Resources Control Board, and three coastal Regional Water Quality Control Boards (Los Angeles, Santa Ana, and San Diego). More recently, SCCWRP has added storm water agencies from the counties of Ventura and Los Angeles as non-voting , Associate Members. Orange County has signaled its intent to become an Associate Member in the near future . SCCWRP's Commission , which is made up of representatives from these agencies , represents a unique partnership of members, dischargers and regulators , working together to protect the marine environment. Since its creation in 1969, SCCWRP's mission has been to answer the following questions about the southern California ocean environment: • Is it safe to swim? • Is it safe to eat the fish? • Is the ecosystem healthy? • Are the natural resources being protected? To address these questions, SCCWRP has developed, coord inated , and participated in a vast array of projects and programs designed to understand coastal ecological systems and to H·ldept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 12(d) SCCWRP.doc Revised 06/04/03 Page 2 .J I document relationships between these systems and human activities. These activities are documented in their annual research plans and publications and presentations. Benefits: The primary benefit to the District for continued funding of SCCWRP is its research and monitoring activities. SCCWRP conducts both basic and applied research on the impacts of humans to the coastal environment that can then be used by the District. Examples include the development of new or revised environmental indices such as the Benthic Response Index (BRI) that are used by the District and our regulators to evaluate the impact of our discharge to the local receiving waters. SCCWRP's efforts to support coordinated regional monitoring now provides the District with comparative data from a much larger spatial area than we could ever collect on our own. Additional direct benefits derived from the District's association with SCCWRP include staff development in the form of seminars and training sessions held by SCCWRP and direct assistance in the form of SCCWRP staff that help in the collection and analysis of field samples. Finally, the District benefits indirectly from SCCWRP's reputation. Over the years they have proven themselves to be an innovative, cost effective and objective environmental research group and their work and researchers have earned both nationally and internationally recognition and respect. Today, local, state and federal agencies, as well as various environmental groups and print media, look to SCCWRP to provide objective analyses of problems and issues associated with the urbanized coastal zones, such as Orange County. Examples of on-going SCCWRP and District co-operative efforts include: • Bight'03 Regional Monitoring: SCCWRP has coordinated the 2003 regional monitoring of the Southern California Bight (Point Conception to the US-Mexican border) that allows the District to place their ocean monitoring findings into a regional perspective. District representatives sit on the project Steering Committee and on the associated technical sub-committees. • Co-operative studies: SCCWRP and the District continue to work on co-operative studies to evaluate different sampling and data analysis methods. These include using water temperature and salinity as a tracer of the District's submerged plume and a long-term analysis of the local fish community. • Oceanography/Modeling: SCCWRP is a member agency to the Southern California Coastal Ocean Observation System (SCCOOS) and as such can represent the District's needs in collecting and analyzing ocean currents along the coast of southern California. Proposed future SCCOOS monitoring will include real-time oceanographic measurements and predictive models. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 12(d).SCCWRP.doc Revised: 06/04/03 Page3 SCCWRP Funding: Funding (Table 1) is based upon a formula that maintains a funding ration of 50/50 between POTW and contract funds. The POTW commitment is shared equally among the four wastewater signatories with Associate Members (non-voting) paying a lesser amount. Table 1. POTW funding requirements for the 6th Southern California Coastal Water Research Project Authority Joint Powers Agreement Agency FY 05/06 FY 06/07 FY 07/08 FY 08/09 Total JPA City of Los Angeles Orange County Sanitation District City of San Diego Los Angeles County Sanitation Districts Ventura County Watershed Protection District County of Los Angeles, Department of Public Works Total ALTERNATIVES CEQA FINDINGS Not Applicable. ATTACHMENTS NONE i 3361528 m 3451218 m 3541255 $ 3361528 $ 3451278 $ 354.255 i 3361528 m 3451218 3541255 $ 3361528 $ 3451278 $ 3541255 i 761950 i 781950 $ 811000 § 761950 i 781950 $ 811000 §115001012 ~115391012 §115791020 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 12(d).SCCWRP.doc Revised 06/04/03 i 363i466 §113991527 $ 363A66 $113991527 § 363i466 i113991527 $ 363A66 $113991527 m 831100 i 3201000 m 831100 ~ 3201000 ~116201064 ~612381108 Page4 The PDC minutes of the meeting held December 2, 2004 were not available for this mailing. These Minutes will be distributed at the December 15, 2004 Board of Directors meeting. Once the minutes are finalized, they will also be available on the District's website (www.ocsd.com). ' .. PDC COMMITTEE Meeting Date To Bd . of Dir. 12/02/04 12/15/04 AGENDA REPORT Item Number I tem Number Orange County Sanitation Di strict FROM: David Ludwin , Director of Engineering Originator: Bob Schirripa , Project Manager SUBJECT: SECONDARY TREATMENT FACILITIES PROCESS UPGRADES AT PLANT NO . 2 , JOB NO . P2-47-3 GENERAL MANAGER'S RECOMMENDATION PDC04-98 Ratify Change Order No . 2 to Secondary Treatment Facilities Process Upgrades at Plant No. 2 , Job No. P2 -47-3, with Morrow-Meadows Corporation , authorizing an addition of $12,765 , increasing the total contract amount to$ 4 ,930 ,668 . SUMMARY • Job No. P2-47-3 provides for the rehabilitation of electrical equipment, instrumentation , and controls at the Activated Sludge Treatment Process (Secondary Treatment Plant) located at Plant No. 2 . • Lee & Ro prepared the plans and specifications and the contract was awarded to Morrow-Meadows Corporation on November 6 , 2003. 13(b) • This change order includes seven items of added work and two items of deleted work to Job No. P2-47-3. There is one omission and no errors associated with this change order. The contract includes liqu idated damages at $2 ,000 per day and 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 Revised 06/04/03 November 6 , 2003 March 4 , 2005 2 March 4 , 2005 N/A N/A Page 1 Change Order No. 2 Content Item Description Amount Days Type No . 1 Additional Racking at Kennison $20 ,393 0 Design Change Tunnel and Added Programming 2 Fiber Optic Communication Tube $15 ,876 0 Design Change Cable Modification 3 Removal of Abandoned Blower Line $5 ,546 0 Design ChanQe 4 Replacement of Stormwater Pump $3 ,219 0 Design Change Control Panel 5 Additional Junction Boxes and Fiber $2 ,688 0 Omission Optic Conduit 6 RASM/AS Pump Programming $2 ,840 0 Design Change Changes 7 Deletion of Variable Frequency Drives ($33 ,026) 0 Changed Condition 8 Deleted Mixer Motor Rebuild Work ($25 ,328) 0 Changed Condition 9 Addition of 20 Sludge Va lve Actuator $20,557 0 Design Change Exten sions Total Change Order No. 2 $12,765 0 Item 1 provides additional supports to re-route conduit under the pump rooms and in the Kennison Tunnel. It also provides added programming work needed to bring additional data to the operators. This design change was required by District staff to facilitate future maintenance needs and to improve process monitoring. Item 2 rep laces the contract specified fiber optic cab le with rodent and crush resistant fiber optic cable. The design change was required by District staff in order to extend the life and protect the integrity of the fiber optic communication network cable . Item 3 removes an existing abandoned blower suction li ne located under the West RASM/AS Pump Control Room. This design change was required by District staff to facilitate future maintenance needs . Item 4 rep laces the stormwater pump control panel located in the East RAS Area . The existing panel is severely corroded due to extended exposure to the near ocean environment. The required change was necessary to provide a functional and reliable fa c ility. Item 5 adds two jun ction boxes and replaces one 2-inch contract specified conduit with two1 -inch conduits. This change was req uired to comply with current National Electrical Code requirements . Revised 06/04/03 Page 2 Item 6 provides programming modifications deemed necessary to better safeguard pumping operations and provide additional monitoring data to operations personnel. District staff required the design changes. Item 7 deletes all work associated with the replacement of two Waste Activated Sludge (WAS) Variable Frequency Drives (VFDs). District staff recently replaced the two WAS VFDs. This contract specified work is no longer required. The condition of the VFDs warranted their replacement prior to the start of this project. Item 8 deletes all work associated with the rehabilitation of 16 Aeration Mixer Motors. District staff recently overhauled all of the mixer motors requiring service. This contract specified work is no longer required. The condition of the mixer motors warranted this work be accomplished prior to the start of this project. Item 9 adds 20 sludge valve actuator extensions and credits the District for the fabrication, delivery, and installation of 20 individual sludge valve control panels required pursuant to the contract documents. The design change was requested by maintenance staff to facilitate maintenance of the equipment. Job Completion The project is now 65% complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on November 6, 2003. Please refer to the attached Change Order Status Report for information on all previous change orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change (add)(deduct) Change Orders to Date Percentage Increase to Date Amended Contract Price BUDGET IMPACT $ 4,712,000 $ 205,903 $ 12,765 $ 218,668 4.64% $ 4,930,668 ~ This item has been budgeted. (Line item: Section 8-Page 64) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) Revised: 06/04/03 Page 3 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 H:\ntglobal\Agenda Draft Reports\PDC\P2-47-3 AR CO #2 120204.doc Revised 06/04/03 Page4 Phase 1 -Prolect Development Phase 2 -Preliminary Design Phase 3 -Deskin Phase 4 -Construdlon Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contlnaencv PROJECT TOTAL !Reimbursable Cosl8 PROJECT NET Design PSA Construdlon Contract EDMS # 003782011 BUDGET INFORMATION TABLE SECONDARY TREATMENT FACILITIES PROCESS UPGRADES AT PLANT NO. 2 P2-47-3 ORIGINAi/): ·. ClJWNf · •;·.A ...•.• UTHORI .. ·ze.·.P.'Ti.. . PROJECT ' · ..::: auoo~t ·'' .'. · · au_ooet< $ -$ -$ -$ -'\ $ -$ .~· .. · .. $ 6,000 $ 6,000 $ -$ 6,000 $ 6,000 s -$ $ 677,002 $ 677,002 $ -$ 677,002 $ 677,002 s -$ .. $ 6,697,000 $ 6,697,000 $ 6,697,000 $ 5,997,688 s 12,785 $ $ 158,906 $ 158,908 $ -$ 158,906 ' $ 102,780 s -$ $ 39,977 $ 39,977 $ -$ 39,977 ,: $ 56,128 $ -$ ,,, $ 1,124,115 $ 1,124,115 $ 1,124,115 $ -$ -$ ·.··., $ 8,703,000 $ 8,703,000 $ 8,703,000 ;','. $ 6,839,594 $ 12,765 $ LI $ 8,703,000 $ 8,703,000 $ 8,703,000 $ 6,839,594 $ 12,785 $ PSA/Contract ·:. $ 637,709 $ 637,709 $ -$ 637,709 .,· $ 637,709 $ -$ c: $ 5,817,217 $ 4,917,903 $ 12,785 $ 4,930,668 I:+ $ 4,917,903 $ 12,785 $ '' '.. -$ 259 0% 6,000 $ 6,464 108% 677,002 $ 684,944 98% 6,010,451 $ 3,691,950 61% 102,780 $ 3,537 3% 56,126 $ 0% -$ 0% 6,852,359 $ 4,367,154 84% 0% 6,852,359 $ 4,367,154 64% 637,709 0% 4,930,688 $ -0% CHANGE ORDER STATUS REPORT SECONDARY TREATMENT FACILITIES PROCESS UPGRADES AT PLANT NO. 2 JOB NO. P2-47-3 APPROVAL CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED ITEM DATE COST TO DATE INCREASE TIME (DAYS) CONTRACT 11/6/2003 $4.712.000 $4.712.000 0.00 485 *CO NO. 1 10/27/2004 $205,903 $4,917,903 4.37 0 ccn~o.2· ,· : . ·>:H'-.'· ';, '' ·· -"·s12~1as ·.G·'f.~ M..~~o~ea1f !'{" :;4_64., . TWi}: .· ... ; ·,;;· ()' ._: : ' Pending. '' ' *Approved by POC Committee per delegated authority by Board Resolution 99-23 EDMS 003782067 AUTHORIZED TIME TO DATE (DAYS) 485 485 ·>' ,.,,_'485 '. Contractor: Job: Consultant: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Date: Secondarv Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Lee & Ro Page 1of7 Two (2) December 15. 2004 Amount of this Change Order (Add)(Dedb1Gt) $12.765.00 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 -ADDITIONAL RACKING AT KENNISON TUNNEL AND ADDED PROGRAMMING This item is for labor, material, and equipment required to provide additional racking under the east and west Return Activated Sludge/Waste Activated Sludge (RAS/WAS) Pump Control Rooms and in the Kennison Tunnel. This item also adds minor programming work required to add signals to the Dissolved Air Floatation Programmable Logic Controller (OAF PLC) required by District staff. The additional work included; 190 feet of %-inch stainless steel rods, 220 feet of slotted strut, 180 feet of extra deep slotted strut, 30 feet of double tiered deep strut, and miscellaneous anchors, washers, and supports necessary to complete the installation. District's staff determined that additional racking was required to facilitate enough headroom around the existing elevators in order to move equipment for future maintenance needs. District staff also required the Contractor to re-locate circuits located in the OAF Electrical Room associated with the RAS/WAS Data Concentrator to the OAF PLC. The required modification required approximately 25 additional hours of programming work. The added signals were required by Operations staff in order to improve process monitoring. The proposed modifications were not part of the original contract work. The costs associated with this item were negotiated with the Contractor pursuant with Division 1, Section 44. 8.1 of the General Requirements. Reference is made to the District's Request for Proposal dated, March 10, 2004. Reference is also made to the Contractor's Jobsite Cost Proposal, dated April 9, 2004 and Field Change Order No. 14, dated April 19, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 2-FIBER OPTIC COMMUNICATION TUBE CABLE MODIFICATION $20,393.00 O Calendar Days This item is for material substitution required to upgrade 1,000 feet of type LWS (corrugated foil type) tube cable to type TLA (galvanized flex conduit) tube cable. Type LWS tube cable is rodent resistant. Type TLA is rodent and crush resistant. The design change was required by District staff in order to extend the life and protect the integrity of the fiber optic communication network cable. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 44.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated October 8, 2004, and Field Change Order No.15, dated May 5, 2004. ADDED COST THIS CHANGE ORDER ITEM: $15,876.00 Contractor: Job: Consultant: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Date: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-4 7-3 Lee & Ro TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 3 -REMOVAL OF ABANDONED BLOWER LINE Page 2of7 Two (2) December 15. 2004 0 Calendar Days This item is for labor, material, and equipment required to remove an abandoned blower suction line (approximately 50 feet of 8-inch galvanized ductwork) under the West RAS/WAS Pump Control Room. The contract documents call for routing a new rack, conduit, and cable tray under the existing blower suction line. District staff required removal of the abandoned blower suction line in order to maintain a minimum clearance of 7' 6" needed to facilitate future maintenance needs (i.e., movement of large equipment through the area). This item was accomplished by the Contractor's force account in accordance with Division 1, Section 44.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated October 10, 2004, and Field Change Order No. 16, dated May 7, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 4-REPLACEMENT OF STORMWATER PUMP CONTROL PANEL $5,546.00 0 Calendar Days This item is for labor, material, and equipment required to provide and replace the (8"x14"x16") stormwater pump control panel (fiberglass enclosure) located in the East RAS Area. The existing local control panel for stormwater pumps 1 and 2 was severely corroded due to extended exposure to the ocean close environment. District staff has determined that it is appropriate to replace the local control panel now, prior to the start-up of the East Side Aeration Basins. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 44.8.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated October 1, 2004, and Field Change Order No. 21, dated June 29, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $3,219.00 0 Calendar Days Contractor: Job: Consultant: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Date: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Lee & Ro ITEM 5 -ADDITIONAL JUNCTION BOXES AND FIBER OPTIC CONDUIT Page 3of7 Two (2) December 15. 2004 This item is for labor, material, and equipment required to provide and install two additional junction boxes (under the UPS Panel and the OASES Panel). It also required the Contractor to install two 1-inch PVC coated aluminum conduits (40 feet) in lieu of the one 2-inch PVC coated aluminum conduit (20 feet) conduit as specified in the contract documents between the two panels. The changes were required in order to avoid a conduit fill violation of the National Electrical Code and to provide a safe work environment. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 44.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated October 4, 2004, and Field Change Order No. 22, dated June 29, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 6 -RAS/WAS PUMP PROGRAMMING CHANGES $2,688.00 0 Calendar Days This item is for programming changes deemed necessary to better safeguard pumping operations and to provide additional information for the CRISP display summaries to Operations staff in order to provide additional data for improved process monitoring and control. The programming changes were not part of the original contract programming requirements. The Contractor was required to perform programming changes for each of the RAS/WAS Pumps (10 pumps) necessary to provide flow deviation alarms as requested by Operations staff. Each alarm required deviation alarm logic, a C12F template, and alarm summing logic. This item was accomplished by the Contractor's force account in accordance with Division 1, Section 44.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, August 4, 2004, and Field Change Order No. 23, dated June 29, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $2,840.00 0 Calendar Days Contractor: Job: Consultant: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Date: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Lee & Ro ITEM 7 -DELETION VARIABLE FREQUENCY DRIVES Page 4of7 Two (2) December 15. 2004 This item deletes all work associated with the purchase, fabrication, delivery, and installation of the two (East Side) Waste Activated Sludge Variable Frequency Drives (WAS VFD's), as required pursuant to the contract documents. The District's Maintenance Department has already purchased and installed the two specified WAS VFD's included in this project. The contract specified work is therefore no longer required. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1, Section 44.B.1 of the General Requirements. Reference is made to the District's Request for Proposal/Credit dated, March 1, 2004. Reference is also made to the Contractor's Jobsite Cost Proposal, dated April 30, 2004 and Field Change Order No. 24, dated June 29, 2004. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 8 -DELETED MIXER MOTOR REBUILD WORK ($33,026.00) 0 Calendar Days This item deletes work associated with the rehabilitation of the East Side Aeration Mixer Motors. The Contractor was required to delete the following contract specified work: 1. Set up hoist unit 2. Remove 16 existing mixers & motors 3. Transport 16 existing mixers & motors 4. Reinstall 16 existing mixers & motors 5. Couple and align 16 existing mixers & motors During the bidding period of this project, the District's Maintenance Department overhauled all existing mixer motors in the aeration basins that required servicing. All of the mixer motors are now operational, and the aforementioned contract specified work is therefore no longer required. The costs associated with this change order were negotiated with the Contractor pursuant with Division 1 , Section 44.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated August 26, 2004 and Field Change Order No. 31, dated September 22, 2004. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ($25,328.00) 0 Calendar Days Contractor: Job: Consultant: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Date: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Lee& Ro ITEM 9-ADDITION OF VALVE ACTUATOR EXTENSIONS Page 5of7 Two (2) December 15. 2004 This item is for labor, material, and equipment required to add eight 14-inch and twelve 60-inch extensions for the 20 sludge withdraw valves equipped with actuators. This item also deletes all work required to fabricate, deliver, and install the 20 control panels associated with the 20 sludge withdraw valves and actuators required pursuant to the contract documents. The District's maintenance staff requested extensions of the sludge withdraw valves to facilitate maintenance of the equipment. The extension eliminates the need to re-locate or modify existing structural pipe supports and replaces the need of a control panel for each valve at ground level and at operator height. The credit associated with the work required to install the control panels was included in this change order item. This item Wi:iS negotiated with the Contractor in accordance with Division 1, Section 43.B.1 of the General Requirements. Reference is made to the Contractor's Jobsite Cost Proposal, dated September 17, 2004, and Field Change Order No. 33, dated September 22, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COST THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $20,557.00 0 Calendar Days $12,765.00 0 Calendar Days Contractor: ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Morrow-Meadows Corporation C.O. No.: Page 6of7 Two (2) Date: December 15. 2004 Job: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Consultant: 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 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: November 6, 2003 485 Calendar Days March 4, 2005 0 Calendar Days 0 Calendar Days 485 Calendar Days March 4, 2005 Not Applicable Not Applicable Original Contract Price Prev. Authorized Changes This Change (AQQ) (Deduct) Amended Contract Price $4.712.000 $ 205.903 $ 12,765 $4.930,668 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: Morrow-Meadows Corporation C.O. No.: Two (2) Page 7of7 Date: December 15, 2004 Job: Secondary Treatment Facilities Process Upgrades at Plant No. 2 Job No. P2-47-3 Consultant: Lee & Ro Board Authorization Date: December 15, 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: MORROW-MEADOWS CORPORATION Contractor EDMS 003782029 Date Date Date PDC COMMITTEE Meeting Date To Bd . o f Dir . 12/02/04 12/15/04 AGENDA REPORT Item Number Item Number Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Umesh Murthy, CIP Project Manager SUBJECT: EFFLUENT PUMP STATION ANNEX JOB NO . J-77 GENERAL MANAGER'S RECOMMENDATION PDC04 -99 (1) Ratify Change Order No. 4 to Effluent Pump Station Annex , Job No . J-77 , with 13(c) J .F. Shea Construction , Inc ., authorizing an addition of $174 ,549 , increasing the total contract amount to $43,461 ,297 ; and (2) Approve out-of-country travel for two employees to Japan for the purpose of witnessing factory tests associated with pumps , variable frequency drives and motors that will be installed at the new Effluent Pump Station Annex. SUMMARY • Effluent Pump Station Annex (ESPA), Job No. J-77 , will replace the existing Foster Booster Pump Station with a new pumping facility that is capable of providing adequate backup capacity to the existing Ocean Outfall Booster Station (OOBS) during excess flow events and routine maintenance. EPSA will also accommodate the pumping of secondary treated water exclusively through the 78-inch outfall during excess flow events . This project also includes the construct ion of a standby power facility which will provide backup power to EPSA. • Black and Veatch prepared the plans and specifications for this project and the construct ion contract was awarded to J .F. Shea Construction , Inc. on September 24 , 2003 . • This change order includes ten items of additional work , and no deleted work. There are three omissions and no errors associated with this change order. There is no time extension associated with this change order. Liquidated damages on this project are $5 ,000 per day and there are no bonus provisions . • Staff recommends that the Board approve out-of-country travel for two District employees (Project Manager and Electrical Engineer) to Japan for the purpose of inspecting factory tests for equipment that will be installed on this project. Equipment that will be tested includes the pumps , variable frequency drives and motors. Revised· 06/04/03 Page 1 Contract Schedule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Completion Date Actual Completion Date Days Subject to Liquidated Damages November 24 , 2003 June 30, 2007 4 June 30 , 2007 N/A 0 Change Order No . 4 Content Item Description Amount Days Type No. 1 Telephone Conduit Modifications at PDF Building $2 ,668 0 Desiqn Change 2 Re-Route Conduit in CenGen $2 , 190 0 Omission 3 Demo Abandoned Vault and Ductbank $11,493 0 Chanqed Condition 4 Electrical Support Additions in Hunt Tunnel $23 ,625 0 Omission 5 Relocate Dewatering Electrical Feed $5 , 188 0 Design Change 6 Extra FRP Fittinqs $10 ,215 0 Design Change 7 HVAC Equipment Modifications $6 ,615 0 Desiqn Change 8 Uninterruptible Power Supply (UPS) Change $16 ,461 0 Omission 9 Relocate/Demo Unforseen Existing Utilities $71 ,234 0 Changed Condition 10 Revise Finish Hardware $24 ,860 0 Desiqn Change Total -Change Order No. 4 $174,549 0 • Item 1 is for two added underground telephone conduits between Brereton Tunnel and the PDF Building . This modification was requested by staff to accommodate future installations . • Item 2 is for modification of medium voltage conduit in one section of the 12 kv switchgear in the CENGEN building . This item was required due to an omission in the project plans . • Item 3 is for demolition of an abandoned electrical vault and ductbank to allow installation of new manholes. This item was required due to the discovery of an unforeseen vault and ductbank where the specified new ductbank and manholes are to be installed . • Item 4 is to install supports for new electrical condu it in the Hunt Tunne l. Plans called for mounting new conduits on existing supports which do not exist in the field . • Item 5 is for moving the power feed for dewatering pumps . The source of power had to be moved to allow another contract's work to be done. Revised 06/04/03 Page 2 } • Item 6 is for the purchase of added FRP conduit/fittings to have on-site to avoid project delays due to long procurement time. Staff anticipates several unforeseen conflicts with existing and abandoned utilities in this "old" section of the plant. • Item 7 is for increasing capacity of cooling equipment because switchgear heat loads were higher than anticipated during design. • Item 8 is for a 3 kva UPS which was called for in the plans but no specifications were given for it. • Item 9 is for demolition and removal of three concrete-encased ductbanks and one 10-inch water line to allow installation of new ductbanks and manholes. This item had to be performed to accommodate the specified new ductbank. • Item 10 is to add panic hardware on 17 exterior doors and install levers in lieu of knobs on 22 doors. State of California Disabilities Act requires panic hardware on exterior doors of this type of building. Job Completion The project is now 25% complete. PRIOR COMMITTEE/BOARD ACTIONS The construction contract was awarded to J.F. Shea Construction, Inc. by the Board of Directors on September 24, 2003. Please refer to the attached Change Order Status Report for more information on previous Change Orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change (Add) Change Orders to Date Percentage Decrease to Date Amended Contract Price BUDGET IMPACT $44,735,518 $(1,448,770) $ 174,549 $(1,274,221) (2.85%) $43,461,297 ~ This item has been budgeted. (Line item: Section 8, Page 81) D This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) Revised: 06/04/03 Page 3 ADDITIONAL INFORMATION The factory test for the pumping system (including the pumps, variable frequency drives, and motors) is scheduled during the first quarter of 2005 in Japan. Three pumps of 120 mgd capacity each will be factory tested and installed on this project. The pumps are factory tested to ensure that the specified performance and quality requirements have been met at the factory prior to installation in the field. Factory test results aid in identifying potential problems prior to installation and prevent delays associated with installation, startup and commissioning of the pumps in the field. The procurement costs for the pumping system is approximately $4,000,000. The pump manufacturing and testing facility is located in Haneda, Japan and has some of the world's largest test facilities such as pump test stations for large capacity pumps. It also has a research section which includes model testing for hydraulic turbines, fans, pumps and intake sumps. Since the pumping system is critical for the proper operation of the new effluent pump station, staff recommends witnessing the factory test in Japan. Factory tests for each set of pumps will be performed depending on the availability of the test facility at the factory. There could be a maximum of three trips by staff to witness the factory tests. Staff will evaluate other alternatives such as live web casts and third party inspections during their first visit to reduce the number of trips to the factory. Travel costs including transportation and subsistence is estimated to be $5,000 per trip and is included in the project budget. ALTERNATIVES None CEQA FINDINGS The rehabilitation of Foster Pump Station (FPS) was included in the 1999 Strategic Plan Environmental Impact Report (EIR). The EIR was certified on October 27, 1999, and a Notice of Determination was filed on October 29, 1999. A supplemental EIR (SEIR) was completed for update of the Program EIR to reflect replacement of FPS rather than the rehabilitation indicated in the Strategic Plan. The SEIR was approved by the Board in December 2002. ATTACHMENTS 1. Budget Information Table 2. Change Order Status Report 3. Change Order 4. Location and Photo Description of Change Order TB:dm:ba H:\ntglobal\Agenda Draft Reports\PDC\J-77 AR CO #4 120204.doc Revised 06/04/03 Page4 BUDGET INFORMATION TABLE Effluent Pump Station Annex JOB NO.J-77 , . , :; .· .. . :r ,,. '. :;':l~ . :"' . . .'::::·;, · ·' ;,:fi .· ,;,. · :;: :rH\r:; ,} : c ... ,. : . , : · · . • ,, oRro•NAL. cuRRENr .. PRqPe>se~ PROPOaeQ; ·,· . FU~Dirs' · miS ·1. : • I ~ . · · ,. • ea11MA.TI:o:>: :: . EsTIMATEo ·.· ;, . iw::::D .. ;= '; s .. :. :~.: .. ·,~_: .. _._~ .. _'._· ... ·'._ .. ·••.~. !':'_·~.-.t.~.·· .. i.·=.:.:.D.:_:.:\ .. ·'.r .. •.Q ;~,,.,; \~~~ ~=RE .:~~!~ .;; ·:i: T .. · .:, ;;: · . ·""·'·' :••'. . ~-, "· . . .";:·0,,, · ':·:':.> . '.: .,.". .''',:·! '..: . ~P~ha-se~1~-~P~m~~-d~-----+----------+---------+-..;,,..;-------1i---------..m.t Develooment $ 21,000 $ 3,000 Phase 2 -Preliminary Deslan $ 1258,000 $ 61,000 Phase 3 -Desian $ 3 501 000 $ 4417,000 Phase 4 -Construction $ 43,745000 $ 52.221,388 $ 174,549 Phase 5 -Commissionlna $ 376000 $ 374000 Phase 6 -Close-Out $ 94,000 $ 95,000 Phase 7 -Continaencv $ 1.762.000 $ 4,166,612 $ (174,549) PROJECT TOTAL $ 50,757,000 $ 61,338,000 $ - I Reimbursable Costs PROJECT NET $ 50,757,000 $ 61,338,000 $ Desian/Const. Suaaort PSA $ 2 208.810 $ 6,164,240 $ - Construction Contract $ 44,735.518 $ 43 286.748 $ 174.549 EDMS 003782234 $ $ 3000 ··~$;:;..._ __ ~3=0=00;:;..+-________ ---f~$0......... ____ ~3~00~0-t--$ ____ ~3~00~0-+-__ 1~0--0% __ --t 61,000 ~s~ __ 6"""'1"""".oo=o.;;;;..+-=-s----------+-'s:;....._ ____ 6 ..... 1 __ oo_o-+--s ____ 6 ..... 1 __ oo_o-+-__ 1_0_0% __ --1 $ 4,417,000 $ 4,387 823 $ 4 387 823 $ 4 387,823 100% $ 52,395,937 $ 48,282,296 $ 17 4.549 $ 48,456,845 $ 11,300,000 23.3% $ 374000 $ 374,000 $ 374000 $ 0% $ 95000 $ 95,000 $ 95000 $ 0% $ 3,992 063 $ -$ $ 61,338,000 $ 53,203, 119 $ 174,549 $ 53,377,668 $ 15,751,823 30% 174,549 $ 53,377,668 $ 15,751,823 30% PSAIContract ; $ 6164240 ' $ 6,164240 $ -$ 6.164240 $ 4,700000 76% $ 43461297 ' s 43 288 748 $ 174.549 $ 43.461 297 $ 11.000 000 25% APPROVAL ITEM DATE CONTRACT 9/24/2003 CO N0.1 2/25/2004 CO NO. 2* 7/1/2004 CO NO. 3 9/22/2004 CON0.4 Pending CHANGE ORDER STATUS REPORT EFFLUENT PUMP STATION ANNEX JOB NO. J-77 -Change Order No. 4 CONTRACT CONTRACT COST CUMULATIVE COST TO DATE PERCENTAGE INCREASE/DECREASE 44,735,518 $44,735,518 0.00 -1,967, 158 $42, 768,360 (4.40) 185,000 $42,953,360 (3.98) 333,388 $43,286, 7 48 (3.24) 174,549 $4314611297. (2.85). .. * PDC approval per OCSD Resolution 04-08 EDMS:003782083 AUTHORIZED AUTHORIZED TIME TIME TO DATE (DAYS, (DAYS, 1315 1315 0 1315 0 1315 0 1315 ', : 0 . ·· .. · .:;; 1315 .· ' Page 1 of7 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J.F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch Amount of this Change Order (Add) (Ded1:1st) $174.549.00 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 -TELEPHONE CONDUITS MODIFICATIONS AT PDF BUILDING This item is for labor, material and equipment to furnish and install one 2-inch and one 3-inch galvanized rigid steel telephone conduit from the Brereton Tunnel under the street to the PDF Building, stub them out and cap them. The contract specifies the installation of one 2-inch telephone conduit in the tunnel. Since the tunnels are already very congested with piping and conduits, District's Operations and Maintenance staff requested that we use an existing twenty-five pair telephone cable and install the two new conduits for future expansion. The costs associated with these changes were negotiated with the Contractor pursuant to Section 43 (B) (1) of the General Requirements. Reference FCO No. 10 and J.F. Shea's cost proposal dated August 20, 2004. ADDED COST THIS CHANGE ORDER ITEM: $2,668.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 2 -RE-ROUTE CONDUIT IN CENGEN This item is for re-routing of medium voltage conduit and modification of section 2C of the 12kv switchgear in the central Power Generation Building (CENGEN). This work had to be performed in order to fit the new circuits and breakers into section 2C of the 12kv switchgear and was omitted from the conduit/cable identifications table P2A and P2B in the original contract documents. The costs associated with this change were negotiated with the Contractor pursuant to Section 43 (B) ( 1) of the General Requirements. Reference FCO No. 11 and J. F. Shea's cost proposal dated September 23, 2004. ADDED COST THIS CHANGE ORDER ITEM: $2,190.00 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 Page2 of7 Contractor: J. F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch ITEM 3 -DEMO ABANDONED VAULT AND DUCTBANK This item is for labor, materials and equipment to demolish and dispose of an abandoned electrical vault and ductbank found in the road south of the existing Bleach Station (not shown or identified on as-builts or original contract drawings). This is in the location where the new 12kv manholes Nos. 12, 20 and 4 are to be installed per contract drawing E0-1005. The work associated with this change order was accomplished on a force account basis, so as not to delay the project, pursuant to Section 43 (B) (2) of the General Requirements. Reference FCO No. 15 and J.F Shea's cost proposal dated July 29, 2004. ADDED COST THIS CHANGE ORDER ITEM: $11,493.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 4 -ELECTRICAL SUPPORT ADDITIONS IN HUNT TUNNEL This item of work is to install approximately 100 lineal feet of vertical Unistrut support rack in the Hunt Tunnel to support new conduit and a new electrical pull box per detail 2 on Drawing E4-3001. Drawing E4-1003 refers to detail 3 on Drawing E4-3002 that shows supporting new pull box and conduit on existing vertical unistrut racks, which do not exist in the field. This work was negotiated with the Contractor pursuant to Section 43 B (1) of the General Requirements. Reference FCO No. 17 and J.F. Shea's cost proposal dated July 27, 2004. ADDED COST THIS CHANGE ORDER ITEM: $23,625.00 TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 5 -RELOCATE DEWATERING ELECTRICAL FEED O Calendar Days This change order item is to relocate the source of the electrical feed for the dewatering pumps from Power Building A to the Plant Water Facility. Project J-33-1A will be working on and changing out some of the switchgear where the feed is now located, which will cause interruption of the power to this project's dewatering pumps. In order to prevent disruption of power and allow the other contract's \ ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page3of7 Contractor: J.F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch rehab work to take place, the electrical feed will have to be moved to a spare breaker in the Plant Water Facility. This work was negotiated with the Contractor pursuant to Section 43 B (1) of the General Requirements. Reference FCO No. 18 and J.F. Shea's cost proposal dated September 23, 2004. ADDED COST THIS CHANGE ORDER ITEM: $5,188.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 6 -EXTRA FRP FITTINGS This item of work is to purchase extra electrical Fiberglass Reinforced Plastic (FRP) transition fittings consisting of four hundred and twenty five 5-inch adapters, couplings and elbows; fifty 4-inch adapters, couplings, and elbows; sixty four 3-inch adapters, couplings and elbows, and one hundred and thirty 2-inch adapters, couplings and elbows. Based upon the large number of unforeseen obstacles encountered during early installation of electrical ductbanks and manholes associated with the Pump Station and the long lead time to procure change-of-direction fiberglass fittings, District staff determined that we should have the Contractor purchase these fittings to have on-site when needed, to avoid time delays to the project. Any of these fittings which are not used during this project will be transferred to the District. This work was negotiated with the Contractor pursuant to Section 43 B (1) of the General Requirements. Reference FCO No. 26 and J.F. Shea's cost proposal dated August 20, 2004. ADDED COST THIS CHANGE ORDER ITEM: $10,215.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days ITEM 7-HVAC EQUIPMENT MODIFICATIONS 0 Calendar This item is for the extra costs to provide modifications to the Heating Ventilation and Air Conditioning (HVAC) equipment in both the EPSA Electrical Building and the Standby Power Facility. The Contract documents gave the Contractor several options for electrical switchgear for these two facilities and the capacity of the HVAC units was based upon estimated heat loads. The designer determined from switchgear submittals that the heat loads will be higher than anticipated which requires increase in size of condensers, fan motors and electrical breakers. This work was negotiated with the Contractor pursuant to Section 43 B (1) of the General Requirements. Reference FCO No. 27 and J.F. Shea's ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page4 of7 Contractor: J.F. Shea Construction, Inc. C.O. No.: Four (4) Job: Effluent Pump Station Annex, Job No. J-77 Consultant: Black & Veatch cost proposal dated August 30, 2004. ADDED COST THIS CHANGE ORDER ITEM: $6,615.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days Date: December 15. 2004 O Calendar 1. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page5of7 Contractor: J. F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch ITEM 8 -UNINTERRUPTIBLE POWER SUPPLY (UPS) CHANGE This change order is to furnish and install an upgraded 3 Kva Uninterruptible Power Supply (UPS) for the Effluent Pump Station. A UPS for the 3 Kva system was called for in the contract documents, however no specification was included and the basic UPS proposed by the Contractor and included in the bid price was deemed inadequate by District staff. This change order is for difference in cost for the upgraded 3 Kva unit. This work was negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements. Reference FCO No. 14 and J.F. Shea's letter dated July 22, 2004. ADDED COST THIS CHANGE ORDER ITEM: $16,461.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days ITEM 9-RELOCATE/DEMO UNFORSEEN EXISTING UTILITIES 0 Calendar This item of work consists of exploratory potholing to locate and identify existing utilities and other obstacles in this older section of the plant to determine if the utilities were active or abandoned. The contract drawings for these areas did not include profiles for existing utilities, hence, many unforeseen existing utilities were uncovered which were not shown on any available As-built drawings. This change order was issued to allow the Contractor to coordinate these obstacles with District staff to first identify the item, determine if it is active and if it has to remain in service or be demolished, so as not to cause time delays to the project when installing new electrical ductbanks and manholes. The abandoned utilities uncovered during excavations included three (3 foot wide x 2 foot deep) concrete- encased reinforced electrical ductbanks approximately forty feet long. Removal and relocation of one 1-inch diameter water line (approximately 30 feet in length) which had to be performed to allow installation of new electrical ductbanks and manholes. Also included was removal of an abandoned monitoring well, and backfill and compaction of the area (approximately 10 foot square x 10 foot deep) to allow installation of a new electrical manhole in the area. A 1-inch conduit at the OOBS wet well between bubbler panels 1 and 2 {approximately 20 foot in length) had to be relocated in this area as well. Approximately 20 cubic yards of concrete slurry had to be placed over two15 foot long sections of abandoned ductbank to provide compacted base to allow one of the new manholes to be installed. Approximately two hundred and thirty cubic yards of additional concrete and reinforcing steel debris was generated from these unforeseen obstacles which had to be trucked off-site. This work was done on a force account basis pursuant to Section 43 B (2) of the General Requirements. Reference FCO No. 21 and J.F. Shea's cost proposal dated October 5. 2004. ADDED COST THIS CHANGE ORDER ITEM: $71,234.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page6of7 Contractor: J.F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15, 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days 1. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 7 of7 Contractor: J. F. Shea Construction. Inc. C.O. No.: Four (4) Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch ITEM 10-REVISE FINISH HARDWARE (PANIC HARDWARE) The original contract documents did not specify panic devices for the doors in the EPSA Pump Building, EPSA Power Building and the Standby Power Facility. California Disabilities Act requires that panic hardware be installed on all exterior doors in this type of buildings. Panic hardware was installed on nineteen doors. Operations also requested that the knobs called out for twenty-two other doors in these buildings be changed to levers to match all of the doors in existing buildings. This item of work was negotiated with the Contractor pursuant to Section 43 8 (1) of the General Requirements. Reference FCO No. 31 and J.F. Shea's cost proposal dated October 8, 2004. ADDED COST THIS CHANGE ORDER ITEM: $24,860.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days TOTAL ADDED COST THIS CHANGE ORDER $174,549.00 TOTAL TIME EXTENSION THIS CHANGE ORDER: Days 0 Calendar 0 Calendar 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.: Four (4) Page8 of7 Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch The additional work contained within this change order can be performed incidental to the prime work and within the time allotted for the original contract and any extensions to the contract time made by this change order 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 the 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: November 24, 2003 1315 Calendar Days June 30, 2007 0 Calendar Days 0 Calendar Days 1315 Calendar Days June 30, 2007 NIA NIA Original Contract Price Prev. Authorized Changes This Change (Add) (Dedblst) Amended Contract Price $ 44.735,518 $ ( 1.448. 770) $ 174.549 $ 43.461 .297 ' 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.: Four (4) Page9of7 Date: December 15. 2004 Job: Effluent Pump Station Annex. Job No. J-77 Consultant: Black & Veatch Board Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: Umesh N. Murthy, P.E. CIP Project Manager Approved by: David A. Ludwin P.E. Director of Engineering Accepted by: J.F. Shea Construction, Inc. Contractor EDMS 003782066 Date Date Date PDC COMMITTEE AGENDA REPORT Orange County Sanitation Di strict FROM: David Ludwin , Director of Engineering Originator: Bob Schirripa , Project Manager Meeting Date 12/02/20 04 Item Number PDC04 -100 SUBJECT: PLANT NOS. 1 AND 2 FACILITIES MODIFICATIONS FOR ODOR CONTROL, JOB NO . J-71-3 GENERAL MANAGER'S RECOMMENDATION T o Bd . of Dir . 12/15/20 04 Item Num ber 13(d) (1) Approve a budget amendment of $116 ,086 for Plant Nos. 1 and 2 Facilities Modifications for Odor Control , Job No. J-71-3 , for a total budget of $3 ,760 ,596 ; and (2) Ratify Change Order No. 3 for Plant Nos . 1 and 2 Facilities Modifications for Odor Control, Job No. J-71-3 , with J .F. Shea Construction , Inc., authorizing an addition of $116 ,086 , increasing the total contract amount to $2,223 ,883 . SUMMARY Background • This project makes improvements to eliminate odor sources at both plants to minimize odor complaints from neighbors . These improvements include better foul air treatment for the wastehauler dump station and solids dewatering buildings "C" and "M " at Plant No . 1 , and junction structures at Plant No. 2 . • The plans and specifications were prepared by Black and Veatch and the contract was awarded to J.F. Shea Construction , Inc. on July 23 , 2003 . • Change Order No . 3 includes four items of added work . There is one omission and no errors associated with this change order. Liquidated damages on this contract are $1,000 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 Projected Contract Completion Date Actual Completion Date Days Subject to Liquidated Damages H \deptlagenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 13(d) J -7 1-3.doc Revised 06/04/03 September 9 , 2003 August13,2004 3 September 12 , 2004 February 28 , 2005 N/A N/A Pag e 1 Change Order No. 3 Content Item Description Amount Days Type No. 1 8" Foul Air Duct at Plant No . 2 1,304 0 Design Change 2 Mo dify HVAC Duct at Build ing "C" at 79 ,920 0 Design Change Plant No . 1 3 Tree Re location and concrete Berm 5 ,523 0 Design Change Modification at Plant No . 1 4 Biofil ter Fence En c losure at Plant 29 ,339 0 Omission No . 1 Total -Change Order No . 3 $116,086 0 Item 1 changes the diameter of the foul air duct at Junction Box No . 1 at Plant No . 2 to prevent interference w ith unforeseen exis ting underground uti lities . Item 2 relocates the new odor control fiberglass main duct and branch ductwork to the underside of the roof at Dewatering Building C to avoid interference with existing utilities inside the building . District Operations Department requested this change to improve accessibility to existing utilities. Item 3 in cl udes the removal of a small section of concrete off the top of the northerly and southerly concrete berms at the Plant No . 1 Wastehauler Station to ease access of wast ehau ler t rucks . Four trees were re located to provide a clean line of sight from the guard shack to the Wastehau ler Station . This item also includes the removal of asphalt. Item 4 constructs a new welded iron fence around the Biofilter at Plant No . 1 to provide secur ity around t he new facil ity. The b iofilter is located outside the secured treatment p lant process area . Job Completion This project is 95 % complete . PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on July 23 , 2003 . Please refer to the attached Change Orde r Status Report for information on all previous change orders . H \dept\agenda\Boatd Agenda Repcrts\2004 Board Agenda & Agenda Reports\1204\llem 13(d) J..71-3 doc Revised 06/04/03 Page 2 PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change Change Orders to Date Percentage Increase to Date Final Contract Price BUDGET IMPACT $ 1,899,875 $ 207,922 $ 116,086 $ 324,008 17.05% $ 2,223,883 D This item has been budgeted. (Line item: Section 8 -Page 89) [gl This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) A budget increase of $116,086 is being requested. Additional funds are being requested to cover costs for this change order 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 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 RS:JF:ba H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 13(d).J-71-3.doc Revised: 06/04/03 Page 3 PROJECTIPHASE Phase 1 -Proiect Develooment Phase 2 -Preliminary Design (Studies & Permitting Phase 3 -Desian Phase4- Construction/Installation Phase 5 Commissioning Phase 8 -Close-Out Contingency PROJECT TOTAL I Reimbursable Costs PROJECT NET Desian PSA Construction Contract EOMS/003777976 ORIGINAL AUTHORIZED BUDGET $ 1000 $ 667,000 $ 123,674 $ 30,918 $ 236,738 $ 1,059,330 $ 1,059,330 $ 594.000 $67,378 BUDGET INFORMATION TABLE FACILITIES MODIFICATIONS FOR ODOR CONTROL II JOB NO. J-71-3 cURRENT . · PROPOSED BUDGET PROPOSED REVISED BUDGET: .· PROJECT INCREASE BUDGET JD EC REASE $ 1000 $ -$ 1,000 $ 1,000 $ $ 667 000 $ 667,000 $ 667,000 - $ 2,623000 $ 76,840 $ 2,699.840 $ 2,516,465 $ 183,375 / $ 124.000 $ 124,000 $ 30,000 $ 30,000 $ 200,000 $ (16 8401 $ 123160 $3,845,000 $ -$ 3,845,000 $ 3,184,465 $ 183,375 11 $ $ $ $ $ $ $ $3,845,000 $ 3,845,000 3,184,465 $ 183,375 $ PSA/Contract $ 613873 $ 613,873 :, $ 613,873 $ $1,924,422 $ 183375 $ 2,107,797 $ 1,924,422 $ 183.375 $ 1.000 $ 604 0% 667,000 $ 667,328 100% 2,699.840 $ 1,949541 72% -$ 37 -$ 3,367,840 $ 2,617,510 78% 3,367,840 $ 2,817,510 78% 613873 2,107,797 APPROVAL ITEM DATE CONTRACT 9/9/2003 CO N0.1* 6/16/2004 CONO. 2 9/22/2004 CO NO. 2 Pending CHANGE ORDER STATUS REPORT FACILITIES MODIFICATIONS FOR ODOR CONTROL JOB NO. J-71-3 CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED COST TO DATE INCREASE OR TIME DECREASE (DAYS) $1,899,875 $1,899,875 0.00% 340 $24,547 $1,924,422 1.29% 0 $183,375 $2,107,797 10.94% 30 $116,086 $2,223,883 17.05% 0 * This item was approved by GM approval per Resolution 99-23. EDMS:003782497 AUTHORIZED TIME TO DATE (DAYS) 340 340 370 370 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J F Shea Construction. Inc. C.O. No.: Date: Job: Facilities Modifications for Odor Control II. Job No. J-71-3 Consultant: Black & Veatch Page 1of4 Three (3) December 15. 2004 Amount of this Change Order (Add) $116.086.00 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: AIR DUCT CHANGES AT PLANT NO. 2 The Contractor was directed to change the size of the Schedule 80 PVC foul air duct pipe at Junction Box No. 1 at Plant No. 2 from 12-inch to 8-inch diameter and add an 8-inch U-tube at the junction box. Also a new 4-inch drain was added from the biofilter fans and connected to an existing 4-inch drain on the west side of the biofilter pad. The contract specified 12-inch foul air duct could not be installed due to a conflict with several existing underground utilities. The U-tube was added to prevent flooding of the foul air duct when the water level rises above the duct inlet elevation in junction box no. 1 and was not shown on the contract drawings. This item includes a credit for the difference in cost between the new 8-inch and contract specified 12-inch PVC pipe. This work was not included in the original contract and was accomplished by Contractor's Force Account pursuant to Section 49 B. 2) b) of Division 01, General Requirements. (Reference FCO No. 6) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 2: MODIFY VENTILATION DUCTWORK AT BUILDING C AT PLANT NO. 1 $1,304.00 0 Calendar Days The Contractor was directed to relocate the new 36"x34" FRP odor control ductwork to the underside of the roof at Dewatering Building C. Extend branch ductwork down to each of four hood locations and modify each fiberglass hood ductwork. The work included fabricating and installing 60 linear feet of 36"x34" and 36"x1811 fiberglass duct and 8 new roof hangers on the underside of the roof and connecting to the existing 36"x34" ventilation duct. Also included was the fabrication and installation of 30 linear feet of 18"x36" fiberglass branch ductwork to each hood location from the main 36"x34" main supply duct mounted on the underside of the roof. The main 36"x34" main ventilation duct was shown on the contract drawings as being installed in the basement of Building. This main ventilation duct was not able to be installed as shown on the drawings due to numerous conflicts with existing valves, piping, pipe clamps and basement access within the building. This work was negotiated with the Contractor pursuant to Section 49 (B) 1) of the General Requirements, Division 01. (Reference FCO No. 14) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: Days $79,920.00 0 Calendar 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.: Date: Job: Facilities Modifications for Odor Control II. Job No. J-71-3 Consultant: Black & Veatch Page 2of4 Three (3) December 15. 2004 ITEM 3: LANDSCAPING CHANGES AND CONCRETE BERM MODIFICATION AT PLANT NO. 2 The Contractor was directed to remove 1-inch of concrete off the top of the northerly and southerly concrete berms at the Plant No. 1 Wastehauler Station. The work included grinding and removing 1" of concrete from the top of each berm for a total length length of 80 linear feet. The contract drawings show a 6" high berm. However, the 6" high berm obstructed a number of the wastehauler truck outriggers. The Contractor was directed to perform the following landscape changes: 1. Remove and relocate 1 each 36" box camphor tree 2. Remove and relocate 3 each 24" box Carolina cherry tree 3. Add 3 sprinkler heads The trees were relocated at the request of OCSD Source Control staff in order to provide open observation from the guard shack to the wastehauler station. The sprinkler heads were added to provide better coverage of the landscaped grass area. The above work was not shown on the contract drawings. This work was not included in the original contract and was accomplished by Contractor's Force Account pursuant to Section 49 B. 2) b) of Division 01, General Requirements. (Reference FCO Nos. 15 and 18) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 4: BIOFILTER FENCE ENCLOSURE AT PLANT NO. 1 $5,523.00 O Calendar Days The Contractor was directed to construct a new fence around the Biofilter at Plant No. 1 as follows: 1. Construct 160 linear feet of new 7' high iron fence and two access gates around the perimeter of the new biofilter pad at Plant No. 1. Sandblast and paint the fence and gates. 2. Construct new concrete sidewalk around new fenced area. 3. Modify new landscaping and irrigation system as required to route around sidewalk addition. The new fence was required to provide security around the new Biofilter installation at Plant No. 1 and was not shown on the contract drawings. This work was negotiated with the Contractor pursuant to Section 49 (B) 1) of the General Requirements, Division 01. (Reference RFP No. 5 and FCO No. 21) ,· / \ I ~ I ' 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.: Date: Job: Facilities Modifications for Odor Control II. Job No. J-71-3 Consultant: Black & Veatch ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: Page 3of4 Three (3) December 15, 2004 $29,339.00 O Calendar Days $116,086.00 0 Calendar Days The additional work contained within this change order can be performed incidental to the prime work and within the time allotted for the original contract and any extensions to the contract time made by this change order. It is therefore mutually agreed that a 0 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: September 9, 2003 340 calendar days August 13, 2004 0 calendar days 30 calendar days 370 calendar days September 12, 2004 N/A N/A Original Contract Price Prev. Authorized Changes This Change (Add) Amended Contract Price $1 .899.875.00 $ 207,922.00 $ 116,086.00 $2,223,883.00 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.: Date: Job: Facilities Modifications for Odor Control II. Job No. J-71-3 Consultant: Black & Veatch Board of Directors Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John Linder, P.E. Construction Manager Approved by: David Ludwin P.E. Director of Engineering Accepted by: J F Shea Construction, Inc. Contractor EDMS: 003782554 Date Date Date Page 4of4 Three (3) December 15. 2004 ) \ v PDC COMMITTEE Meeting Date 12/02/04 AGENDA REPORT Item Number PDC 04-102 Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Umesh Murthy, CIP Project Manager SUBJECT: AREA CLASSIFICATION STUDY IMPLEMENTATION PLAN PLANT NOS . 1 AND 2 , JOB NO . J-35-2 GENERAL MANAGER'S RECOMMENDATION To Bd . of Dir . 12/15/04 Item Number 13(e) Ratify Change Order No . 9 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 $527,005 increasing the total contract amount to $15 ,976 ,454. SUMMARY • This project implements a study of Plant Nos. 1 and 2 to comply with the National Electrical Code (NEC) and NFPA 820 Standards . The work includes modification of ventilation systems to meet the code requirements , replacement or modification of electrical systems , installation of a fire alarm system in the tunnels , and replacement/relocation of digester and natural gas piping . • The plans and specifications were prepared by Parsons/Lee & Ro, and the contract was awarded to J .F. Shea Construction , Inc. on June 26 , 2002 . • Change Order No . 9 includes four items of added work. There is one error and two omissions associated with this change order. Liquidated damages on this contract are $3 ,000 per day and there are no bonus provisions . Contract Schedule Contract Start Date 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 June 17, 2005 9 June 17, 2005 N/A N/A Page 1 Change Order No . 9 Content Item No. Description Amount Days Type 1 Mechanical and Electrical $157,475 0 Design Change Modifications at Plant Nos . 1 and 2 2 Mechanical and Electrical 0 Omiss ion Additions at Plant Nos . 1 and 2 $159 ,204 Part A 3 Mechanical and Electrical 0 Omission Additions at Plant Nos . 1 and 2 $198 ,011 Part B 4 Mechanical Additions at Plant $ 12 ,315 0 Error Nos . 1 and 2 Total Change Order No. 9 $527 ,005 0 Item 1 involves various electrica l and mechan i cal modifications at Plant Nos. 1 and 2 requested by District's Operations and Ma intenance staff or due to new District standards . Item 2 is for additional mechanical and electrical work at Plant Nos. 1 and 2 due to omissions (typical) by the design consultant. Item 3 is for additional mechanical and electrical work at Plant Nos . 1 and 2 due to omissions by the design consultant. The District is negotiating with Parsons Engineering regarding reimbursement for portions of these atyp ical omissions . Item 4 involves various mechanical additions at both treatment plants . These additions involve rework and the District will be seeking reimbursement from the design consultant. Job Completion This project is 91 % complete . PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on June 26 , 2002 . Please refer to the attached Change Order Status Report for information on all previous change orders. Page 2 PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change Change Orders to Date Percentage Increase to Date Final Contract Price BUDGET IMPACT rgj This item has been budgeted. Section 8, page 130 $ 14,066,442 $ 1,383,007 $ 527,005 $ 1,910,012 13.58% $ 15,976,454 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 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 project's change order percentage is currently 13.58% and the project is 91 % complete. Staff estimates the total change order percentage on this job to be approximately 26% of the construction contract. The breakdown of current and pending change orders as a percentage of the construction contract is as follows: Design Changes: Errors: Omissions -typical* Omissions -atypical ** Total 7.50% 0.14% 7.56% 10.80% 26.00% *Typical omissions -Certain work or information to complete the construction has been omitted from the contract documents. The added work is necessary to make a functional facility. **Atypical omissions -Omissions in the design documents due to the design consultant's lack of quality control during the design phase that caused changes and additional design work during the construction phase. District staff is currently in negotiations with Parson Engineering Science to seek reimbursement for a portion of the atypical omissions on this project. Staff will update the PDC committee and the Board about these negotiations in future meetings. Page 3 ., ALTERNATIVES t 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 GH:dm:ba H:\ntglobal\Agenda Draft Reports\PDC\J-35-2 AR CO #9 120204.doc Page4 PROJECTIPHASE ':· Phase 1 -Prolect Development Phase 2 -Prellmlnarv Deskin Phase 3 -Design Phase 4 -Construction Phase 5 -Commlsslonlna Phase 6 -Close-Out Phase 7 -Contlngencv PROJECT TOTAL I Reimbursable Coals PROJECT NET Design PSA Construction Contract EDMS 003782231 BUDGET INFORMATION TABLE AREA CLASSIFICATION STUDY IMPLEMENTATION PLAN AT PLANT NOS. 1 & 2 JOB NO. J-35-2 ORIC,;INAL · ... AUTHORIZED auoo&T $ 106,000 $ 682,000 $ 3,745,000 $ 21,307,170 $ 281,328 $ 70,332 $ 3,153,170 $ 29,345,000 $ 29,345,000 $ 3,411,411 $ 14,066,442 $ $ $ $ $ $ $ $ $ $ $ 152,000 $ 672,000 $ 3,061,000 $ 20,048,000 $ -$ 381,000 $ -$ 270,000 $ -$ 699,000 $ -$ 25,283,000 $ -$ 25,283,000 $ -$ 3,951,021 $ 17,583,053 $ -$ : 152,000 672,000 3,061,000 20,048,000 381,000 270,000 699,000 25,283,000 11 25,283,000 ,;, . : . ,, r~~·>lt :: .·· . : .. irt:·i:~ .'rffia , :.::": f~,PROPOSED.TOTAL , EsTI~TED. :. isfliAreo , AUTH0R1zeo ro AllJHOR1%AT•oN, : Aurl-loRiiAtraN· . Eil'er.01Tu& :~~.~~I;!~~ 10 . DAJ,~f :: ·. <i:·> flEQueat:'.·:"::: ... , ... ::,· ,,,,, ,, ;i'~;~~t~:<t \;1;:~~~~l%, ,.· · $ 152,000 $ 152,000 $ 152,000 100% $ 672,000 $ -$ 672,000 $ 672,000 100% $ 3,061,000 $ 3,061,000 $ 3,061,000 100% $ 18,565,043 $ 527,005 $ 19,092,048 $ 17,000,000 89% $ 381,000 $ 381,000 $ 227,000 60% $ 270,000 $ 270,000 $ 231,000 86% $ -$ $ 23,101,043 $ 527,005 $ 23,628,048 $ 21,343,000 90% $ 23,101,043 $ 23,628,048 $ 21,343,000 90% PSA/Contract .. 3,951,021 $ 3,951,021 $ -$ 3,951,021 $ 3,900,000 99% 17,583,053 $ 15,449,449 $ 527,005 $ 15,976,454 $ 14,200,000 89% APPROVAL ITEM DATE CONTRACT Sept16,02 CO NO. 1* May 01, 03 CONO. 2 Sept04,03 CO NO. 3 Oct221 03 CO NO. 4 Nov 19, 03 CON0.5 Feb 25 1 04 CO NO. 6 Mar24, 04 CONO. 7 Apr28, 04 CO NO. 8 Sept. 22, 04 CON0.9 Pendina CHANGE ORDER STATUS REPORT Area Classification Study Implementation Plan, Plant Nos. 1 and 2 JOB NO. J-35-2 CONTRACT CONTRACT COST PERCENTAGE AUTHORIZED COST TO DATE INCREASE TIME (DAYS) $14,066.442 $14,066,442 0.00% 1006 $115,280 $14, 181, 722 0.82% 0 $83,195 $14,264,917 1.41% 0 $269,345 $14,534,262 3.33% 0 $197,094 $14,731,356 4.73% 0 $214,954 $14,946,310 6.26% 0 $142,606 $15,088,916 7.27% 0 $194,205 $15,283, 121 8.65% 0 $166,328 $15,449,449 9.83% 0 ·.· $527,005 ·: .. $15~976,454 ... · ' 13.58%.: . ' ·o . ; :::}~: *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS:003781988 AUTHORIZED TIME TO DATE (DAYS) 1006 1006 1006 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 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Page 1of14 Date: December 15, 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Amount of this Change Order (Add) (Deeblct) $527.005.00 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 -MECHANICAL AND ELECTRICAL MODIFICATIONS AT PLANT NOS. 1 AND 2 Quantity Cost Reference a) Plant No. 2 Digesters I, J, K, Land M. Additional labor and materials to install seals on existing conduits. Materials included 60 feet of %-inch rigid PVC coated conduit, 40 feet of PVC coated aluminum conduit, 20 feet of one %-inch PVC coated aluminum conduit, 52 %-inch seals, three 1-inch seals, one %-inch seal, twenty four %-inch PVC coated aluminum unions and tees, and nine 1-inch PVC coated aluminum unions and tees. 1 b) Plant No. 2 Digesters E/H, l/J, N/O, and T Pump Rooms. Provide labor and materials to install new wall mounted remote digester sludge level indicators and gas pressure indicators in pump rooms for the 7 digesters. Items included approximately 840 feet of wire, 60 feet of %-inch conduit, and 15 level and pressure loop powered indicators on the pump room walls. No. 115 c) Plant No. 2 Gas Compressor Building. Overtime charge for one electrician for installation of new breaker in the Gas Compressor Building MCC on Sunday, September 26, 2004. 1 d) Plant No. 2 Digester l/J Pump Room Galleries. Additional labor and materials to relocate an existing bubbler panel by Digester J in an existing Class 1 Div .1 area approximately 1 O feet to an unclassified area. Additional work included installing 10 feet of %-inch PVC coated aluminum conduit, 20 feet of #12 wire, 40 feet of %-inch $47,441 FCO No. 107 1 $36,699 FCO $ 974 FCO No. 205 - " Page 2of14 O 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.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro and %-inch stainless steel tubing and fittings. 1 $ 2,623 FCO No. 219 Quantity Cost Reference e) Plant No. 2 Primary Clarifiers J/K, N/O & UM. Provide labor to remove three air supply fan inlet hoods from primary clarifiers J/K, N/O, & UM and set them on ground until they are modified under FCO No. 307. 1 $ 665 FCO No. 238 f) Plant No. 1 Digesters 5/6, 7/8, 9/10 Pump Rooms. Provide labor and materials for temporary power for new air supply fans. Work includes installing 500 feet of temporary 3 phase insulated power cables, 3 pilot-push to test lights, 3 temporary manual motor starters for fans and one circuit breaker in MCC unit for power. 1 $10,460 FCO No. 245 g) Plant No. 1 Digester 7/8. Provide labor and materials to replace existing corroded/damaged mixing valve control station with similar control station. Materials include two 3 gang enclosure hand stations and one open/close indicator light, one on/off light, and 8 feet of #12 stranded wire. 1 $ 2,471 FCO No. 255 h) Plant No. 2 Digesters C-T domes. Provide labor and materials for eighteen 20-inch manometers on digester domes, installation of seventeen digester gas condensation coils and 51 quick disconnects for new Contract provided level and pressure transmitters relocated to digester pump room roofs. Contractor provided credit for not furnishing and installing 10-inch manometers and seventeen 3-way stainless steel valves specified in Contract. 1 $ 6,215 FCO No. 266 i) Plant Nos. 1 and 2 Digesters. Provide labor and materials to furnish and install twelve 1-inch 316 stainless steel strainers including 316 stainless steel screens in front of new High Pressure Digester Gas (HPDG) condensate solenoid valves. 1 $ 5,519 FCO No. 270 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Page 3of14 Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Quantity Cost Reference j) Plant No. 1 Power Building, 3A and Metering & Diversion Structure. Provide labor and materials for addition of new fiber optic cables between existing and new PLC/RIO panels and fiber optic interface modules in new and existing PLC panels rather than specified fiber optic interface panels. Work includes installation of approximately 800 feet of 18 strand fiber optic cable, 60 feet of 4 cell cable, 4 WEED optical repeaters, WEED optical interface modules, 1 N-TRON chassis w/OPC firmware and power supply, 1 fiber optical termination shelf, and miscellaneous fittings and components. Credit was received for 1 Cisco switch, 4 WEED Optical Interface Modules, 4 WEED Electrical Interface Units, and 4 WEED Power Supplies and Racks. 1 $27,903 FCO No. 337 k) Plant No. 2 Power Building C, and Digesters E/H, UM, & T MCC. Provide labor and materials for addition of new fiber optic cables between existing and new PLC/RIO panels and different fiber optic interface modules in new and existing PLC panels than specified fiber optic interface panels. Work includes furnishing and installation of 10 WEED optical repeaters, 2 WEED optical interface modules, 2 N-TRON chassis w/OPC firmware and power supply, 1 fiber optical termination shelf, and miscellaneous fittings and components. Credit was received for 1 Cisco switch, 18 WEED Optical Interface Modules, 12 WEED Electrical Interface Units, and 12 WEED Power Supplies and Racks. 1 $16,505 FCO No. 338 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 4of14 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Consultant: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Parsons/Lee & Ro Item a installed seals on existing conduits which were not included in Contract plans and specifications. Pump room classifications changed from previous upgrade in J-35-2 Contract. Item b, J-35-2 Contract relocated all pump room level and pressure indicators to pump room roofs to remove gas piping from rooms. Operations' staff requested remote indicators be added to pump rooms to eliminate need for operators to go to pump room roof to verify CRISP level and pressure readings with local level and pressure sensor readings. Item c, work was done on Sunday at District's request while Gas Compressor MCC was scheduled to be down for other District maintenance work in order to minimize gas compressor shutdowns at Plant No. 2. Item d, this change was a design improvement recommended by District staff which eliminated installing explosion proof equipment and reduces future maintenance costs of maintaining equipment in explosion proof box. Item e, these rainhoods were removed for modification at OCSD staff request in order to reduce the impact of these new fan rainhoods on the limited work area of the primary clarifier pump room roofs. Item f, power for new fans installed under J-35-2 project was not available due to District requested design changes to fan controls and MCC's which have resulted in delays in getting permanent power for new fans installed per J-35-2 Contract. The fans are needed to provide ventilation in these existing three pump rooms that have no positive ventilation without new fans. Ventilation is needed for routine maintenance by District staff. Item g, this corrosion was either not evident or occurred after plans and specifications were prepared for this project and replacement was needed due to state of condition of existing components at the time of construction. Item h, Plant No. 2 Operations and Maintenance staff requested these changes to improve readability of manometers due to larger scale and to reduce time needed to calibrate and maintain digester level and pressure bubbler systems on digesters. Item i, District's Operations staff requested strainers be installed based on past experience with solenoid valves plugging on HPDG line. Strainers will reduce maintenance problems. Items j and k, the District changed its standards for fiber optic connections after the completion of the design for Project J-35-2. The District now requires WEED optical equipment rather than Cisco switches. The District had previously installed all fiber optic cables. Since the completion of the design for this project District policy is to no longer install fiber optic cable for installations of this length. The additional work for items a, b, f, h, j and k were negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements, Division 01. The remaining additional work items were accomplished by the Contractor pursuant to Section 43 (8) 2 of the General Requirements, Division 01. Reference listed FCO numbers. ADDED COST THIS CHANGE ORDER ITEM: $157,475.00 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 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Page 5of14 Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 2 -MECHANICAL AND ELECTRICAL ADDITIONS AT PLANT NOS. 1AND2 PART A Quantity Cost Reference a) Plant No. 2 Digester R/S Electrical Room. Additional labor and material for installation of 20 amp breaker in existing MCC bucket for alarm and safety light relay panel. 1 $ 663 FCO No. 123 b) Plant No. 1 Primary Clarifiers 3 and 4. Provide labor and materials to replace wire routing through existing junction box and removing and replacing the existing NEMA 3 junction box with NEMA 4X junction box. 1 $1,412 FCO No. 151 c) Plant No. 2 Digesters Q & R Dome. Provide 2 new 10-inch x 10-inch x 8-inch 316 stainless steel pipes Tee fittings for installation on Digesters Q and R. 1 $ 741 FCO No. 160 d) Plant No. 2 Gas Compressor Building outside wall. Additional labor to relocate existing warning light beacon on outside wall including one 5 foot piece of %-inch PVC coated rigid conduit. 1 $ 757 FCO No. 173 e) Plant Nos.1 and 2 New Fire Alarm Panel Tagging. Additional labor, engineering, and materials to install wire tags, labels for new tag numbers for 9 fire alarm panels and UPS power supplies. 1 $1,511 FCO No. 188 f) Plant No. 1 Digesters 9-10 and 11-14 Pump Rooms. Additional labor and materials to relocate existing %-inch conduit junction box in Digesters 9-10 pump room. Remove and relocate 1 light fixture and add 10 feet of %-inch conduit in digester pump rooms 11-14. 1 $1,690 FCO No. 207 g) Plant No. 2 Digester F/G Pump Room Roof. Additional Labor and materials to remove 10 feet of existing conduit and one receptacle in classified area, relocating receptacle, adding 20 feet of %-inch PVC coated rigid conduit to unclassified area on roof and installing new aluminum stantion for receptacle. 1 $1,723 FCO No. 213 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.: Nine (9) Page 6of14 Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro h) Plant No. 1 Gas Compressor Building Basement. Additional labor and materials to relocate new emergency light fixture Quantity Cost Reference installed. 1 $1,620 FCO No. 224 i) Plant No. 1 Metering and Diversion Facility. Additional materials and work to remove 1-inch stubbed out PVC conduit from ground and replace with 1 O feet of 1-inch PVC coated rigid conduit. Replace removed asphalt with concrete. 1 $1,207 FCO No. 239 j) Plant No. 2 Digesters A/B, P/Q, R/S & T Pump Room Roofs. Additional labor to remove conduit and wires from MCC in electrical rooms to 4 existing exhaust fans removed under J-35-2 Contract. 1 $ 2, 103 FCO No. 247 k) Plant No. 1 Gas Compressor Building Main Floor. Additional labor and materials to replace 3 existing emergency light units with 3 new explosion proof emergency light fixtures. 1 $13,002 FCO No. 248 I) Plant Nos. 1 and 2 tunnel cover plate, beams and angles. Additional labor and materials to furnish 20 feet of 2-inch angles, 120 feet of 3-inch angles and 170 feet of 8-inch channels, all 316 stainless steel, a total of 35 individual pieces. Price includes re-submittal drawing costs for these steel pieces. 1 $31,673 FCO No. 273 m) Plant No. 1 FRP Fittings, Digesters 5-16, WSS, and Bin Loading Building. Provide labor and materials for fabrication and installation of 31 FRP 45 and 90 degree elbows for pipe between 8 inches and 24 inches in diameter and 62 field bond kits to connect these elbows to the FRP ducts. These additional elbows were needed to allow pipe to be installed and not interfere with or require relocation of existing piping and electrical conduits and lights in the buildings. 1 $89,699 FCO No. 301 ; 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.: Nine (9) Page 7of14 Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Quantity Cost Reference n) Plant No. 1 Gas Compressor Building. Provide 12 explosion proof double throw, double pole pressure gages for FRP duct ventilation system instead of specified explosion proof single pole gage. Deduct provided for specified gage not installed. 1 $ 4,923 FCO No. 342 o) Plant Nos. 1 and 2 Warning Light Tags. Provide additional labor and materials to change drawings, prepare resubmittal for warning lights and install 84 new stainless steel tags for 84 warning lights indicating fans are in operation or are off. 1 $ 6,480 FCO No. 346 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 8of14 ! Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Item a, breaker reserved for J-35-2 work too large for intended use. New 20 amp breaker required. Item b, contract documents only required replacing junction box cover plate. District guidelines require NEMA 4x box in this area due to it being an extreme washdown area. Item c, existing Tee pipe fitting is 8-inchx1 O-inchx8-inch. New piping required 1 O-inchx1 O-inchx8-inch pipe to mate up with new 10-inch stainless steel low pressure digester gas piping. Item d, beacon located on drawings under new 20-inch pipe. Beacon relocation needed to install 20-inch pipe properly. Item e, District standards require all fire alarm panels and remote power supplies to have identification tags. No tag numbers were provided on drawings. Item f, conduit and junction box in conflict with FRP duct installation. Relocation needed to install FRP duct. Item g, contract drawings left non-explosion proof receptacles and unsealed conduit in Class I, Div. 2 area. Relocation required to meet classification requirements. Item h. existing non-explosion proof light fixture replaced under FCO No. 39. New light was not yet installed when it became apparent new light had to be relocated to avoid conflict with new 36-inch FRP duct. This FCO cost is only for additional conduit and labor for new light location. Item i, District design guidelines require all PVC pipe within 18 inches of surface to be concrete encased or replaced with rigid conduit. This requirement was not included in the contact documents. Item j, District guidelines are to remove abandoned or unused conduit and wire when electrical equipment is removed. Drawings did not note removal of abandoned conduit wire. Item k, contract plans did not show replacement of these 3 non-exposion proof lights. Class 1, Div. 2 area of GC building main floor requires explosion proof emergency lights. Item I, contract typical drawing details for stainless steel checkered plating did not provide details for attachment of stainless plate to digester walls and for stainless steel checkered plate supports for pump gallery openings greater than 5 feet wide. Item m, FRP ducts not capable of being installed as shown on plans and required additional fittings to allow ducts to be installed. Item n, specified gage not compatible with switch listed in specifications. Item Q, District standards require all warning lights and remote power supplies to have identification tags. No tag numbers were provided on drawings. The additional work for items a, c, i, I, m, n and o were negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements, Division 01. The remaining additional work items were accomplished by the Contractor pursuant to Section 43 (8) 2 of the General Requirements, Division 01. Reference listed FCO numbers. ADDED COST THIS CHANGE ORDER ITEM: $159,204.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days O Calendar , ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 9of14 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro ITEM 3 -MECHANICAL AND ELECTRICAL ADDITIONS AT PLANT NOS. 1 AND 2 PART B Quantity Cost Reference a) Plant No. 2 Gas Compressor Building. Provide labor and materials for 2 stainless steel pipe supports, including shop drawing details for attaching 20-inch LPDG pipe to compressor building wall where wall is offset 12 inches from where shown on drawings. 1 $ 3,127 FCO No. 135 b) Plant No. 1 Influent Pump Room Basement. Additional labor and materials to install ten %-inch conduit seals, replace 5 existing pressure switches with explosion proof pressure switches, 40 feet of #12 wire and replace one non-explosion proof receptacle with an explosion proof receptacle. 1 $ 8,757 FCO No. 177 c) Plant No. 1 Digesters 7 and 8 Pump Room Roofs. Additional labor and materials to locate new fan disconnect switches from mounting on fan in Class 1, Div. 2 area to non-classified area on roof. Materials included miscellaneous parts and fittings and 1 new aluminum stanchion to support the disconnect switch. 1 $ 1,561 FCO No. 180 d) Plant Nos. 1 and 2 tunnel and pipe gallery plates. Additional labor and materials for furnishing and installing various sizes of 316 stainless steel sleeves and caulking material in stainless steel tunnel cover plates for sealing around pipes and conduits penetrating the covers at Plant Nos. 1 and 2. Included are 17 sleeves at Plant No. 1 and 95 sleeves at Plant No. 2 with sleeves ranging size from 1 to 14 inches. 1 $28,827 FCO No. 184 e) Plant No. 2 Digesters A/B Pump Room Roof. Additional labor and materials for 150 feet of %-inch PVC coated aluminum conduit, 10 feet of 2-inch PVC coated rigid conduit, twenty one %-inch seals, 180 feet of #14 wire, relocating 1 photo light cell and 1 receptacle out of the classified area. 1 $18,913 FCO No. 191 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 10 of 14 ! Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Consultant: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Parsons/Lee & Ro Quantity Cost f) Plant No. 1 Bar Screen Building Exterior. Additional labor and materials to replace and or relocate non-explosion proof items in classified area on and around bar screen building including 1 exterior wall mounted light, 1 disconnect switch, 2 junction boxes, 2 control stations, 3 junction boxes, 1 receptacle, 3 wall mounted emergency lights and relocation of 20 feet of one %-inch conduit. Work also included adding 90 feet of % -inch conduit, 20 feet of 1-inch conduit , installing 75 feet of #2 wire and 36 feet of #10 Reference wire, adding three %-inch seals, and eight 1-inch seals. 1 $ 26, 198 FCO No. 197 g) Plant No. 1 Primary Clarifiers 3 and 4 Pump Room. Additional labor and materials to replace 3 existing open/closed hand stations with pilot lights and replace 2 existing start/stop hand stations with new stations with factory seals meeting Class 1, Div. 2 area classification. Work includes engineering and submittals for stations. 1 $ 7,845 FCO No. 223 h) Plant Nos. 1 and 2 Digester Bridge Lighting. Provide labor and materials including conduit and wire, light supports, and new lighting fixtures for 10 lights at 3 new Plant No. 1 digester bridges and 8 lights at 2 new Plant No. 2 digester bridges. Work includes 1,970 feet %-inch, 180 feet of one %-inch PVC coated aluminum conduit, twelve %-inch seals, eighteen 1 %-inch seals, 6,650 feet of #12 wire, 17 bridge and digester galvanized pole mounts and supports, 17 pole mounted explosion proof light fixtures and 1 explosion proof wall mounted explosion proof light fixture. 1 $102,783 FCO No. 317 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 11of14 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Item a, contract drawing typical detail could not be used for 20-inch pipe support. Special pipe support had to be fabricated to fit building offsets. Item b, contract drawings did not show all seals and switch replacements needed to meet pump room classification. Item c, contract drawings and specifications did not adequately provide directions to Contractor that non-explosion proof fan disconnect switch could not be mounted on fan in Class 1, Div. 2 area. Item d, contract drawing detail only called for caulking around pipe or conduit where it penetrated 'Xs-inch thick stainless steel plate. Sleeves needed to provide sufficient thickness of caulking (2-inch) to ensure seal is gas tight. Item e, existing conduit and receptacles on roof did not meet area classification and required relocation and replacement. In addition some existing conduit (approximately 50 feet) was corroded and required replacement. Item f, contract drawings did not include any of these items that are needed to meet area classification requirement of bar screen building exterior. Item g, contract drawings did not provide for replacement of existing handstations and start/stop handstations with required Class 1, Div. 2 equipment. Item h, contract drawings did not include lights on new bridges installed by J-35-2 contract. Lighting needed to provide a safe work area for Operations staff during night time rounds. The additional work for items a, d and h were negotiated with the Contractor pursuant to Section 43 (8) (1) of the General Requirements. Division 01. The remaining additional work items were accomplished by the Contractor pursuant to Section 43 (8) 2 of the General Requirements, Division 01. Reference listed FCO numbers. ADDED COST THIS CHANGE ORDER ITEM: $198,011.00 TIME EXTENSION THIS CHANGE ORDER ITEM: Days O Calendar ,. Page 12of14 ~ 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.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Item 4 -MECHANICAL ADDITIONS AT PLANT NOS. 1 AND 2 Quantity Cost Reference a) Plant No. 1 Gas Compressor Building Basement. Furnish labor and materials to adjust 36-inch duct installation in order to provide 7 feet head clearance and to eliminate air supply drop. Materials included two new 36-inch FRP bond kits (duct joint kits) and one 36-inch FRP duct saddle, 50 feet of 1-inch galvanized pipe, and use of a crane to remove and reinstall 36-inch FRP pipe with new 36-inch saddle. 1 $11,988 FCO No. 122 b) Plant No. 2 Digester N HPDG line. Replace 18-inch butterfly valve operating wheel furnished per drawings with 16-inch butterfly valve wheel and operating chain. 1 $ 327 FCO No. 272 Item a, fiberglass duct installed according to plans and had to be removed and refabricated and then reinstalled and 1-inch plant air line relocated in order to meet 7 foot clearance standard for headroom. Item b, plans specified an 18-inch handwheel. 18-inch handwheel delivered to site had to be replaced with new 16-inch handwheel to fit 16-inch butterfly valve. The additional work for item a was negotiated with the Contractor pursuant to Section 43 (B) (1) of the General Requirements, Division 01. The additional work for item b was accomplished by Contractor pursuant to Section 43 (B) 2 of the General Requirements, Division 01. Reference listed FCO numbers. ADDED COSTS THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $12,315.00 O Calendar Days $527,005.00 O Calendar Days 1. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 13of14 Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Area Classification Studv Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/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 change order 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 the 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 0 Calendar Days 0 Calendar Days 0 Calendar Days Not Applicable Not Applicable Not Applicable Original Contract Price Prev. Authorized Changes This Change (Add) Amended Contract Price $ 14.066.442.00 ~ 113831007.00 ~ 5271005.00 ~ 15 1976A54.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 14of14 • Contractor: J. F. Shea Construction. Inc. C.O. No.: Nine (9) Date: December 15. 2004 Job: Area Classification Study Implementation Plan. Plants Nos.1 and 2. Job No. J-35-2 Consultant: Parsons/Lee & Ro Board Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: Umesh N. Murthy, P.E. CIP Project Manager Approved by: David A. Ludwin, P.E. Director of Engineering Accepted by: J.F. SHEA CONSTRUCTION, INC. Contractor Date EDMS 003781963 Date Date PDC COMMITTEE Meeting Date To Bd. of Dir. 12/02/04 12/15/04 AGENDA REPORT Item Number Item Number Orange County Sanitation District FROM: David Ludwin, Director of Engineeri ng Origi nator : Dean Fis her, CI P Project Man ager PDC04-103 SUBJECT: PR IMARY CLARI FIERS 16-31 AND RELATED FAC ILITIES , JOB NO . P1-37 GENERAL MANAGER'S RECOMMENDATION Ratify Change Order No . 16 to Primary Clarifiers 16-31 and Related Facilities , Job 13(f) No . P1-37 , with Margate Construction , authorizing a deduction of $160 , 121 , decreasing the tota l contract amou nt to $71 ,217 ,259. SUMMARY Background • Job No . P1-37 , Primary Clarifiers 16-31 and Related Facilities , includes the construction of 16 new primary clarifiers with a ll support equipment, improvements to existing Primary Clarifiers 6-15, and improvements to Primary Clarifiers 1-5 . • Brown and Ca ldwell prepared th e plans and specifications and the contract was awarded to Ma rgate Construction on October 24 , 2001 . • This change order includes seven item s of additional work , and one item of deleted work . There are no e rrors and six omissions associated with this change order. There is no time extension associated with this change order. Liquidated damages on th is project are $3 ,000 per day and th ere are no bonus provisions . Contract Schedu le Contract Start Date Origina l Contract Completion Date Total Number of Change Orders to Date Current Contract Comp letion Date Actual Completion Date Days Subject to Liquidated Damages H nl globaVAgenda Draft Reports/PDCIP1·37 C0·16-AR 120204 Jan uary 7 , 2002 November 7 , 2005 16 August 29 , 2006 NIA 0 Pa ge 1 Change Order Content Item Description Amount Days Type No. 1 Scrubber Electrical/Instrumentation (220 ,089) 0 Design Change 2 Blast Gate at PEDB 3,247 0 Omission 3 Chemical Area Rain Cover 3,333 0 Omission 4 Cab le and Raceway Schedule 17,440 0 Omission 5 Solution Polymer Isolation Valve 5,619 0 Omission 6 Flow Indicator Cable Routing 4 ,501 0 Omission 7 Security System Interface 5,794 0 Omission 8 Repair Existing Influent Channels 20 ,034 0 Changed Condition Total Change Order $(160,121) 0 Item 1 deletes electrical and instrumentation work specified for the primary scrubbers which are being replaced by improvements in the proposed J-71-8 project. Item 2 adds a 12-inch blast gate to the foul air duct at the Primary Effluent Distribution Box which is needed for balancing the foul air system . Item 3 eliminates skylight openings in the rain cover over the chemical storage facility which is not needed. Item 4 modifies the cable and raceway schedule to correct discrepancies in the plans . Item 5 provides an electrical panel with conduit and cable which were inadvertently deleted by a previous change . Item 6 provides electrical conduit and cable which were omitted in the original design . Item 7 changes the connection of security sensors to the plant secu r ity system in order to correct a discrepancy in the plans . Item 8 repairs leaks in the e x isting concrete influent channels in those sections which were not in service prior to construction . The ex isting channels were constructed under a previous project , and are now being placed in service as t hey connect to the new facilities built under th is project. Job Completion The project is 84 % complete . H ntglobal/Agenda Draft Reports/PDC/P1 -37 C0 -16-A R 120204 Pag e 2 • l ... " PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on October 24, 2001. Please refer to the attached Change Order Status Report for more information on previous change orders. PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change Change Orders to Date Percentage Increase to Date Amended Contract Price BUDGET IMPACT $ 70,366,000 $ 1,011,380 $ (160,121) $ 851,259 1.21 % $ 71,217,259 ~ This item has been budgeted. (Line item: Section 8, GIP, P1-37) 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 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:eh:ms H:ntglobal/Agenda Draft Reports/PDC/P1·37 C0-16-AR 120204 Page 3 PROJECT/PHASE Phase 1 -Projed Development Phase 2 -Preliminary Desian Phase 3 -Design Phase 4 -Construction Phase 5 -Commlsslonina Phase 6 -Closeout Phase 7 -Continaencv PROJECT TOTAL I Reimbursable Costs PROJECT NET Deskin PSA Construdion Contrad EOMS: 003781785 ORIGINAL AUTHORIZED BUDGET $ - $ - $ $ $ $ $ $ $ $ $ $ $ BUDGET INFORMATION TABLE Primary Clarifiers No. 16-31 and Related Facilities Job No. P1-37 CURRENT PROJECT BUDGET 173,000 316,000 4,556,000 80,663,937 283,000 60,000 2,509,063 88,561,000 6,198,861 71,377,380 PROPoSED BUDQET INCREASE $ ;;•: (100.121) t• '.'. : /', ');; :.:. " i :~,;l 160;.121 $ - I - $ {160,1211 PROPOSED REVISED BUDGET $ 173,000 $ 316,000 $ 4,556,000 $ 80,503,816 $ 283,000 $ 60,000 $ 2,669,184 $ 88,561,000 $ 88,561,000 I : I FUNDS AUTHORIZED TO DATE $ 173,000 $ 316,000 $ 4,556,000 $ 80,663,937 $ 283,000 $ 60,000 $ 86,051,937 $ 86,051,937 PSA/Contract $ 6,198,861 -$ 6,198,861 $ 71,217,259 $ 71,377,380 I .. "''. , , TfftS: , ' , o·x PROPQS.ED ESTIMATED ' ESTIMATED AUTHORIZ,4TION · _:,, ·.·. TOTAL· EXPENDITURE TO EXPENDED . REQUEST AUlllORlzATION IJATE. · . TQ DATE(%) $ 173,000 $ 173,000 100% '' " $ 316,000 $ 315,552 100% :, .· .,. " $ 4,556,000 $ 4,566,000 100% : .· $ ,. ······:_(·''t'16tft21) $ 80,503,816 $ 64,608,000 80% '',: ...... '··" "' '",:;· ... , .,<:·, ··: ,-;-:·:/ '·, .<> .. ··<;,\'· ,, ,,,;!'..'·::;r;~ $ 283,000 $ 14,000 5% ;,; :.·:·>:!'' :/ : ·«;,1 $ 60,000 .. .·· .· '.iE':,c: ;; ,; '' }:': .··· ::;;;~!;,; :;_,;;_::~'. ' > $ - $ (160, 121) $ 85,891,816 $ 69,676,552 81% .· .:, I : ~, .~·x\ $ ' (160,121) $ 85,891,816 $ 69,676,552 81% '" •' $ 6,198,861 $ 5,182,000 84% <>·<"• $ .· .,,, : (160,1211 $ 71,217,259 $ 57,298,200 80% 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 $ 0.00 $ 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 CO NO. 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 CO NO. 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 N0.12 2/25/2004 $ 22,390.00 $ 71,241,204.00 1.24 CO N0.13 3/24/2004 $ 784.00 $ 71,241,988.00 1.24 CO NO. 14 5/26/2004 $ 67,455.00 $ 71,309,443.00 1.34 CO N0.15 10/27/2004 $ 67,937.00 $ 71,377,380.00 1.44 CON0.16· Pending $ (160, 121.00) $ . 71~21.7,259.00 -1.21 * 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\003781968 ... 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 0 1552 0 1552 143 1695 0 .. 1695 \ ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of5 Contractor: Margate Construction. Inc. C.O. No.: Sixteen_ilfil Date: December 15. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell Amount of this Change Order (AQQ)(Deduct) $(160, 121) 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 -SCRUBBER ELECTRICAL AND INSTRUMENTATION This item provides a credit to delete electrical and instrumentation work specified for the primary scrubbers. These improvements were originally intended to provide additional capacity at Power Building #4 by moving the Scrubber loads to Power Building #7, and to group all the electrical demands for the primary processes under one electrical system. However, the J-71-8 project (Rehabilitation of Odor Control Facilities) will replace many of the P1-37 improvements in the near future. It was determined that the costs of the P1-37 improvements are not justified by the short time they would be in service. Also, there are no immediate needs for the P1-37 improvements (regulatory, safety, reliability). 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-P137-203). CREDIT THIS CHANGE ORDER ITEM: $(220,089.00) TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ITEM 2 -BLAST GATE AT PEDB This item adds (1) 12-inch blast gate on the 12-inch foul air duct at the Primary Effluent Distribution Box (PEDB). This blast gate is needed for balancing of the foul air system for Primary Clarifiers 16-31 (PC 16-31). Without the gate, there is no way to isolate PC 16-31 from the PEDB. 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-P137-210). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 3 -CHEMICAL AREA RAIN COVER $3,247.00 0 Calendar Days This item deletes three specified 5-foot square openings in the rain cover over the primary polymer and ferric chloride storage facility. The openings were intended for skylights which would provide natural light in the area under the cover. However, the plans did not provide details for the skylights. The costs included in this item provide three galvanized closure plates and weather-tight gaskets. The height of the cover allows sufficient natural light without the openings, and a decision was made to remove them. 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-P137-186). ADDED COST THIS CHANGE ORDER ITEM: $3,333.00 TIME EXTENSION THIS CHANGE ORDER ITEM: 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2of5 Contractor: Margate Construction, Inc. C.O. No.: Sixteenl1fil Date: December 15. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell ITEM 4-CABLE AND RACEWAY SCHEDULE This item modifies the cable and raceway schedule in order to correct discrepancies between the cable and raceway schedules and other drawings in the Contract Documents. The change requires an additional 300 feet of%" to 1-1 /2" steel and aluminum conduit, 2,500 feet of cable, and 40 design hours. 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-P137-198, FCO-P137- 201, FCO-P137-202, and FCO-P137-205). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 5 -SOLUTION POLYMER ISOLATION VALVE $17,440.00 0 Calendar Days The item provides a control panel, 30 feet of 1" aluminum conduit, and 750 feet of electrical cable which were inadvertently deleted with a previous change (FCO 124/CO 10, Item 5). These items are needed for the operation of the polymer solution tank isolation valve. The previous change order incorporated a credit for this work. 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- 188). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 6 -FLOW INDICATOR CABLE ROUTING $5,619.00 0 Calendar Days This item provides an additional 130 feet of%" and 1" steel electrical conduit and two 1" concrete cores which are needed to route a cable from a flow indicator to the PLC. 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-P137-214). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $4,501.00 0 Calendar Days \. ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of5 Contractor: Margate Construction. Inc. C.O. No.: Sixteenl1.fil Date: December 15. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell ITEM 7 -SECURITY SYSTEM INTERFACE This item connects the Power Building 7 and Primary Clarifiers 6-15 control room security panel alarm signals to the Plant central security system in lieu of the specified connection to the SCADA system. At Plant 1, security alarm signals connect to the plant security system via an Ethernet connection. The project design was not compatible with this configuration, routing the alarm signals to the SCADA system, and to the plant central security system via the plant telephone system. This change corrects that discrepancy. The change requires 120 feet of%" aluminum electrical conduit and 1, 100 feet of cable. 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-P137-215). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 8 -REPAIR EXISTING INFLUENT CHANNEL $5,794.00 0 Calendar Days This item repairs leaks in the existing east and west concrete influent channels at the intersection of the existing Primary Clarifiers 6-15 main gallery and scum galleries. The repairs required 165 labor hours to drill injection ports into the sides of the channels and inject grout sealer into the cracks. Prior to construction, this channel was not in operation, and its condition was not known. This work was not included in the Contract Documents, and is needed for the operation of Primary Clarifiers 16-31. The work was accomplished on Contractor's force account pursuant to Section 48 (B) 2 of the General Requirements (Reference FCO-P137-207). ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL CREDIT THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $20,034.00 0 Calendar Days $(160, 121.00) 0 Calendar Days 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. 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.: Sixteen11fil Date: December 15. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell 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 0 Days 295 Days 1,695 Days August 29, 2006 N/A N/A Original Contract Price Prev. Authorized Changes This Change (AQQ) (Deduct) Amended Contract Price $ 70.366.000.00 $ 1 .011 .380.00 $ ( 160 ! 121. 00) $ 71,217,259.00 ., .J ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 5of5 Contractor: Margate Construction. Inc. C.O. No.: Sixteenl1.fil Date: December 15. 2004 Job: Primary Clarifiers 16-31 and Related Facilities. Job No. P1-37 Consultant: Brown and Caldwell Board Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: Dean Fisher, P. E. CIP Project Manager Approved by: David A. Ludwin, P.E. Director of Engineering Accepted by: MARGATE CONSTRUCTION Contractor EDMS/003781967 Date Date Date ' (~ ' PDC COMMITTEE Meeting Date 12/02/04 AGENDA REPORT Item Number PDC04-104 Orange County Sanitation Di strict FROM: David Ludwin , Director of Engineering Originator: Tod Haynes , Engineering Supervisor SUBJECT: PROFESSIONAL SERVICES AGREEMENTS FOR SURVEYING SERVICES , SPECIFICATION NO. PSA-2001-34BD GENERAL MANAGER'S RECOMMENDATION Ratify invoices rendered under an expired Professional Services Agreement with MOS Consulting for Surveying Services , Specification No . PSA-2001-34BD , for an amount not to exceed $55 ,000 . SUMMARY • In May 2001 , the Board of Directors approved Professional Services Agreements (PSA) with Bell Land Surveying , MOS Consulting , and Bush & Associates for FY2001/02 , with the option to renew for two additional one- year periods for FY2002/03 and FY2003/04 . Renewals for these two additional one-year periods were approved by the Board of Directors as Amendments No. 1 and No. 2 . Amendment No. 3 was also for additional funds for the FY2003/04 period. • Additional funds are required to cover the cost for extraordinary surveying services on the Bushard Trunk Sewer Project, Contract No. 1-2-4 , during FY2003/04 . Existing contract limits were not sufficient for these services . • The Bushard Trunk Sewer Project has required more surveying services than normally anticipated . The additional services consisted of settlement survey associated with the bell failure issues of the 108-inch reinforced concrete pipe , settlement survey on sidewalks and property walls associated with resident property damage claims , and extra road survey for proper design of new pavement. These additional services resulted in nearly full -time surveyor presence on the construction sites of this project, significantly e x ceed ing the time projected for surveying . • The PSA amount for the consultant was used on an as-needed basis . Surveying services are budgeted on each capital project as required . All services are charged to the project budgets. Pa ge 1 T o Bd . of Dir . 12/15/04 Item Number 13(a) PRIOR COMMITTEE/BOARD ACTIONS Please see the attached Professional Services Agreement (PSA) Status Report. PROJECT/CONTRACT COST SUMMARY The renewal of the agreement for FY2003/04 was Board approved last year. The amount for the renewal was derived by Staff in 2001 using anticipated capital projects fo r FY2003/04 and considering average survey hours of past years . Please refer to the attached PSA Status Report. 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 . [Z] Not applicab le (information item ) This item does not impact the overall budget because it is not paid separately as a lump sum item . Surveying funds have been included in the individual project budgets that require these services . They a re expensed as the services are used on the projects . ADDITIONAL INFORMATION As noted above , extensive surveying services were utilized by the Bushard Trunk Sewer Proje ct during FY 2003/2004 . Invoicing for this professional services agreement trailed the actual dates of surveying services rendered by approximately three to four months. As a result of this, the final invoices for FY2003/04 were not received by OCSD until well into the new fiscal year after t he date the agreement e xpired. Page 2 J ill 1 ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1. Scope of Work 2. Fee Schedule for 2003/04 with Escalation Rates 3. PSA Status Report -MOS MB:dm H:\ntglobal\Agenda Draft Reports\PDC\l-2-4 AR MOS PSA Amendment #4 FY03-04 120204.doc Page 3 SCOPE OF WORK SURVEYING SERVICES FOR COLLECTIONS SYSTEM AND TREATMENT PLANT PROJECTS TYPICAL TASKS PRELIMINARY ALIGNMENT: CONSTRUCTION ALIGNMENT: CONTRACTOR'S STAKING: PIPE CASINGSfTUNNELS: PIPELINE HEADING CHECK: STREET CENTERLINE TIES: PAVEMENT REPLACEMENT: MISCELLANEOUS SURVEY: Provide preliminary stationing at intervals as required by District Engineer. Provide horizontal and vertical controls. Paint centerline of sewer for collections projects when requested by District Engineer. Provide one set of offset line-and-grade stakes for pipeline, manholes, structures, etc. at 25 to 50-foot intervals, or as required by District Engineer along with cut sheets for Contractor's use. Provide one set of offset stakes for each pit location and one set for horizontal and vertical control in pits, with cut sheets. Provide line-and-grade checks inside casings. Provide line-and-grade checks daily or as required by the District Engineer. Prior to construction, tie-out street centerline monumentation, and after construction, replace disturbed or destroyed street centerline ties. At the locations requested by the District, street cross sections will be surveyed prior to construction. For pavement replacement after construction, one set of paving and curb stakes will be provided at locations designated by the District. As requested by the District, provide boundary and topographic surveys, monument replacement, aerial control, settlement monitoring, and other miscellaneous items. Prepare base maps and exhibits using AutoCAD, latest version. 1 REQUIREMENTS 1. Survey crew should be available within a 24 hour notice. 2. Survey crew should be experienced with tunnel and casing surveys. 3. Three copies of all survey notes shall be furnished to the District within 24 hours of survey or stakeout. 4. Surveyor's field personnel should be able to recognize survey errors or omissions on the contract drawings, survey or stakeout. 5. Survey party should consist of two or three persons per crew with a certified party chief. 6. Party chief or company representative should be available for the pre- construction meeting and other key meetings as the project progresses. 7. All supplies, such as, but not limited to, stakes, flagging, nails, spikes, ties, paint, etc. shall be included in the hourly rate for the survey party. 8. All surveyors must be adequately insured for liability and property damage, and a copy of the policy must be forwarded to OCSD. 9. Survey crew shall be able to provide proper traffic control in accordance with the W.A.T.C.H. Manual or as required by the governing agency when carrying out their functions and duties. 10. At least one member of the party should have a cell phone/pager or other form of communication so as to be in contact with the home office in the event the District requires immediate communication with the party during normal working hours. 11. Survey crew should be available for occasional night work (4:30 p.m. to 7:00 a.m.) upon 24-hour advance notice. 12. Survey work shall be documented in English Standard Units and/or Metric Units, as required by the District. 13. Invoice shall be coded with District assigned project name and number for each work item. EDMS 003782159 2 SURVEY SERVICES: MOS CONSUL TING FEES 7/1/01 -6/30/02 7 /1 /02 -6/30/03 7/1/03 -6/30/04 Lie. Surveyor $90.00 $93.60 $97.34 2-Party Crew $150.00 $156.00 $162.24 3-Party Crew $180.00 $187.20 $194.69 Office Cales $75.00 $78.00 $81.12 CAD Draftsperson $60.00 62.40 $64.90 Min. hrs per 2 2 2 Callout Travel Charge $0.00 $0.00 $0.00 Max. Esc. Rate 4% 02/03 Max. Esc. Rate 4% 03/04 EDMS 003782160 -· I" I Professional Services Agreement Status Report Surveying Services PSA-2001-3480 Total Project Budget: $120,000 FY-01/02, $170,000 FY-02/03, $95,000 FY-03/04 $75,000 FY-03/04 $55,000 FY-03/04 Consultant: MDS Consulting Start Date of Project: July 1, 2001 Date Amendment Cost Accumulated Costs 07/01/01 Ori inal PSA ro'ects FY 01/02 $120,000 N/A 07/01/02 1 ro·ects FY 02/03 $170,000 N/A 07/01/03 2 ro'ects FY 03/04 $95,000 N/A 02/25/04 3 ro·ects FY 03/04 $75,000 N/A EDMS 003782161 PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Larry Rein , Project Manager Meeti ng Da te 12/02 /04 Item Number PDC04·1 05 SUBJECT: BUSHARD TRUNK SEWER REHABILITATION , JOB NO . 1-2-4 GENERAL MANAGER'S RECOMMENDATION To Bd . of Dir . 12/15/04 Item Number 13(h) Ratify Change Order No . 11 to Bushard Trunk Sewer Rehab ilitation , Job No . 1-2-4 , with Steve P. Rados , Inc ., authorizing a time extension of 49 calendar days , increasing the total contract duration to 607 calendar days . SUMMARY • Job No . 1-2-4 , Bushard Trunk Sewer Rehabil itation , includes the installation of 21 ,600 linear feet Uust over four miles) of 108-inch re inforced 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 Order No . 11 includes one item of additional work to Job No . 1-2-4. There are no errors and omissions associated with this change order. Liquidated damages on this contract are $2 ,000 per calendar day and the bonus provisions are $750 per calendar day. 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 September 16 , 2002 March 18 , 2004 11 May 14 , 2004 N/A TBD Page 1 Change Order No. 11 Content Item No. Description Amount Days Type 1 Unilateral Time Extension for $ 0 49 Other Project Resequencing Total -Change Order No. 11 $ 0 49 Item 1 is for a unilateral time extension for delays associated with resequencing the order of construction to alleviate delays associated with the completion of the Ellis Avenue Structure . The design required completion of the Ellis Avenue Structure so that flows could be diverted out of the ex isting 54-inch Bushard Trunk line to allow the construction of the proposed 108-inch Bushard Trunk line to begin . However, special slide gates were included in the design which required a long submittal and procurement period that would leave inadequate contract time to complete the project. The project was resequenced to mitigate the delay. Job Completion The contract is now 46 % complete . PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on June 26 , 2002 . Please refer to the attached Change Order Status Report for information on all previous change orders . PROJECT/CONTRACT COST SUMMARY Original Contract Price Previously Authorized Changes This Change Order (CO No . 11 , Add) Change Orders to Date Pe rcent Increase to Date Amended Contract Price BUDGET IMPACT $ 30,003 ,210 $ 1,908 ,595 $ 0 $ 1,908 ,595 6 .36% $ 31,911 ,805 ~ This item has been budgeted . (Line item : FY 04/05 , Section 8, Capital Improvement Program , Collections Facilities , Bushard Trunk Sewer Rehabilitation , Job No . 1-2-4) D This ite m has been budgeted , but there are insufficient funds . D This item has not been budgeted . D Not applicable (information item) Pag e 2 -, l ADDITIONAL INFORMATION The contract is 46% complete while the contract time expired on March 18, 2004. Completion of the contract has been delayed by the item described in this report, other changed conditions or design changes, delays associated with the bell failures on the 108-inch reinforced concrete pipe, and Contractor inefficiencies. The Contract allows for liquidated damages to be assessed and deducted from progress payments after the contract completion date. However, staff recommends that the contract time be extended for identified District caused delays prior to assessment of the liquidated damages. Contractor has not submitted an acceptable schedule revision for the item included in this change order. Staff recommends that this unilateral time extension be granted, and then liquidated damages will be assessed for delays beyond the revised contract completion date. The unilateral time extension will allow the Contractor to reserve its rights to pursue associated delay costs and further time extensions in the future. This item is to resequence the order of construction of the project to avoid an extended delay to the start of the installation of the 108-inch reinforced concrete pipe. The original contract specified that the Ellis Junction Structure be constructed to facilitate a flow diversion around the existing 54-inch Bushard Trunk sewer, which in turn would allow the construction of the proposed 108-inch Bushard Trunk sewer to begin. The Junction Structure includes the installation of slide gates. Contractor notified the District that the slide gates have a long delivery time which would delay the completion of the structure and, subsequently, the start of the proposed pipe installation. During the submittal process on the gates it was also discovered that modifications to the structure would be necessary to provide proper access for maintenance and operation of the gates. In order to prevent further delays to the project, an alternate diversion of flows around the existing 54-inch Bushard line was researched and implemented by utilizing other existing diversion structures upstream from the Ellis Junction Structure and then allowing the Contractor to start work on the 108-inch pipe inside Plant No. 2 and moving north. The Ellis Structure could then be constructed later in the project. As a consequence, the mainline heading was started 66 calendar days later than shown on the baseline schedule. The resequencing also removed the restoration of the Plant No. 2 entrance off the critical path of the baseline schedule which reduces the duration of the critical path by 17 calendar days. The Contractor has submitted a time impact analysis requesting 119 calendar days and in subsequent meetings has requested a time extension of at least 105 calendar days for this item. The time impact analysis was not acceptable to Staff and subsequent negotiations have failed to come to a resolution. Based on the activity dates and durations on the baseline schedule, Staff's position is that the project was delayed by 49 calendar days by this item. This item is for a time extension only and does not include any direct or indirect costs that may be submitted by the Contractor in the future that is associated with the delay. ALTERNATIVES None Page 3 i CEQA FINDINGS 9 This project was included in the 1999 Strategic Plan Program EIR certified on A 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 MB:dm:lc H:\ntglobal\Agenda Draft Reports\PDC\1-2-4 AR C0#11 120204.doc Page4 PROJECT/PHASE 'ORIGINAL ·.·· AUTHORIZED . Eiul:toer . Phase 1 -Proiect Development $ 7,800 Phase 2 -Preliminarv Desian $ 15,002 Phase 3 -Deslan $ 1,051,724 Phase 4 -Construction $ 24,180,051 Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contingency $ 7,548,924 . CURRENT ·.PROJECT BUDGET; $ 74,000 $ 9,200 $ 2,690,400 $ 35,774,504 $ 50,000 $ 30,000 $ 764,896 BUDGET INFORMATION TABLE BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4, CO #11 P~OPOSED . : BUDG~T ;;INCREAsE /DECREASE $ $ $ $ $ $ $ PROPOSED REVISED BUDGET. 74,000 9,200 2,690,400 35,774,504 50,000 30,000 764,896 $ 74,000 $ 9,200 $ 2,690,400 $ 35,774,504 PROJECT TOTAL $ 32,803,501 $ 39,393,000 $ -$ 39,393,000 $ 38,548,104 $ IRelmbursable Costs 11 PROJECT NET $ 32,803,501 $ 39,393,000 $ 39,393,000 $ 38,548,104 $ PSA/Contract Design PSA $ 269,900 $ 2,345,920 $ 2,345,920 $ 2,345,920 Construction Contract $ 21,011,000 $ 31,911,805 $ -$ 31,911,805 $ 31,911,805 $ EDMS: 003782540 ·•· $ 74,000 $ 73,763 100% $ 9,200 $ 9,147 99% $ 2,690,400 $ 2,550,653 95% $ 35,774,504 $ 17,980,117 50% $ -$ $ -$ $ -$ 38,548,104 $ 20,613,680 53% -$ 38,548, 104 $ 20,613,680 53% $ 2,345,920 $ 1.898,524 81% -$ 31,911,805 $ 14,760,258 46% APPROVAL ITEM DATE CONTRACT Sept. 161 02 CO NO. 1* April 231 03 CO NO. 2 June 25, 03 CO NO. 3 October 22,03 CO N0.4 February 25,04 CO NO. 5 March 24, 2004 CO N0.6 May 261 2004 CONO. 7 June 23, 2004 CO NO. 8 July 21, 2004 CO NO. 9 September 22, 2004 CO N0.10 November 171 2004 cd N0.11 Pending CHANGE ORDER STATUS REPORT BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4 CO #11 CONTRACT CONTRACT COST PERCENTAGE COST TO DATE INCREASE $30,003,210 $30,003,210 $150,000 $30, 153,210 0.50% $107,724 $301260,934 0.86% $44,293 $30,305,227 1.01% $380,251 $30,685,478 2.27% $409,301 $31,094,779 3.64% $271612 $31, 122,391 3.73% $163,618 $3112861009 4.28% $230,317 $31,516,326 5.04% $153, 119 $31,6691445 5.55% $242,360 $31,911,805 6.36% $0 $31,911,805, 6~36%. ,: *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS 003782541 AUTHORIZED AUTHORIZED TIME TIME TO DATE (DAYS) (DAYS) 550 550 0 550 2 552 1 553 0 553 0 553 5 558 0 558 0 558 0 558 0 558 49 ··:,'607 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of3 Contractor: Steve P. Rados. Inc. C.O. No.: Eleven (11) Date: December 15. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Amount of this Change Order (Add)(OeEll:let) $ .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 -Unilateral Time Extension for Project Resequencing This item is to resequence the order of construction of the project to avoid an extended delay to the start of the installation of the 108-inch reinforced concrete pipe. The original contract specified that the Ellis Junction Structure be constructed to facilitate a flow diversion around the existing 54-inch Bushard Trunk sewer, which in turn would allow the construction of the proposed 108-inch Bushard Trunk sewer to begin. The Junction Structure includes the installation of slide gates. Contractor notified the District that the slide gates have a long delivery time which would delay the completion of the structure and, subsequently, the start of the proposed pipe installation. During the submittal process on the gates it was also discovered that modifications to the structure would be necessary to provide proper access for maintenance and operation of the gates. In order to prevent further delays to the project, an alternate diversion of flows around the existing 54-inch Bushard line was researched and implemented by utilizing other existing diversion structures upstream from the Ellis Junction Structure and then allowing the Contractor to start work on the 108-inch pipe inside Plant No. 2 and moving north. The Ellis Structure could then be constructed later in the project. As a consequence, the mainline heading critical path was started 66 calendar days later than shown on the baseline schedule. The resequencing also removed the restoration of the Plant No. 2 entrance off the critical path of the baseline schedule which reduces the duration of the critical path by 17 calendar days. The Contractor has submitted a time impact analysis requesting 119 calendar days and in subsequent meetings reduced its request to a time extension to at least 105 calendar days for this item. The Contractor's Time Impact Analysis was not acceptable to Staff and subsequent negotiations have failed to come to a resolution. This is a unilateral time extension to the Contractor. This item is for a time extension only and does not include any direct or indirect costs that may be associated with the delay. (Reference RFP 124-01) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $0.00 49 Calendar Days $0.00 49 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2 of 3 Contractor: Steve P. Rados. Inc. C.O. No.: Eleven (11) Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation 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 49 Calendar Day 57 Calendar Days 607 Calendar Days May 14, 2004 N/A N/A Original Contract Price Prev. Authorized Changes This Change (Add) (Dee~Ei1:) Amended Contract Price Date: December 15. 2004 $ 30.003.210.00 $ 1.908.595.00 $ 0.00 $ 31 .911 .805.00 -_, ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of3 Contractor: Steve P. Rados. Inc. C.O. No.: Eleven (11) Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Board Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: John D. Linder, P.E. Construction Manager Approved by: David A. Ludwin, P.E. Director of Engineering EDMS 003782539 Date Date Date: December 15. 2004 PDC COMMITTEE AGENDA REPORT Oran ge County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Larry Rein , Project Manager Meeting Date 12/02/04 Item Number PDC04-106 SUBJECT: BUSHARD TRUNK SEWER REHABILITATION , JOB NO . 1-2-4 GENERAL MANAGER'S RECOMMENDATION T o Bel. of Dir. 12/15/04 Item Nu mber 13(i) Ratify Change Order No . 12 to Bushard Trunk Sewer Rehabilitation , Job No. 1-2-4 , with Steve P . Rados , Inc., authorizing a time extension of 27 ca lendar days , increasing the total contract duration to 634 calendar days. SUMMARY • 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 pipe , manholes, junction structures , and miscellaneous util ity relocations . • Boyle Engineering Corporation prepared the plans and specifications and the contract was awarded to Steve P . Rados , Inc. on June 26 , 2 00 2. • Change Order No . 12 includes one item of additional work to Job No . 1-2-4 . There are no errors and omissions associated with this change order. Liquidated damages on this contract are $2,000 per calendar day and the bonus provisions are $750 per calendar day. Contract Schedule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date A ctual Completion Date Days Subject to Liquidated Damages September 16 , 2002 March 18 , 2004 12 June 10, 2 004 N/A TBD Page 1 Change Order No. 11 Content Item No. Description Amount Days Type 1 Time Extension for $ 0 27 Changed Undisclosed Utilities at Plant Condition No . 2 Entrance Total -Change Order No. 12 $ 0 27 Item 1 is for a time extension for additional work to protect in-place undisclosed utilities encountered in the Plant No . 2 entrance that interfered with installation of the proposed 108-inch mainline sewer. The cost of $150 ,000 for this item was included in Change Order No . 1, Item 1 approved by the PDC on April 3, 2003. Job Completion The contract is now 46% complete . PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on June 26 , 2002 . Please refer to the attached Change Order Status Report for information on all previous change orders . PROJECTICONTRACTCOSTSUMMARY Original Contract Price Previously Authorized Changes This Change Order (CO No . 12 , Add) Change Orders to Date Percent Increase to Date Amended Contract Price BUDGET IMPACT $ 30 ,003 ,210 $ 1,908 ,595 $ 0 $ 1,908,595 6 .36 % $ 31 ,911 ,805 ~ This item has been budgeted . (Line item : FY 04/05 , Section 8, Capital Improvement Program , Collections Facilities, Bushard Trunk Sewer Rehabilitation , Job No . 1-2 -4) 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 None ALTERNATIVES None Page 2 .. \ 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\l-2-4 AR C0#12 120204.doc Page 3 PROJECT/PHASE ORIGINAL AUTHORIZED BUDGET CURRENT · PROJECT ·BUDGET BUDGET INFORMATION TABLE BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4, CO #12 PROPOSED. BUDGET INCREASE ./DECREASE PROPOSED REVISED. BUDGET· FUNDS <. THIS . PROPOSED AUTHORIZED TO AUTHORIZAllON TOTAL DATE· REQUEsT; · AUTHORIZATION .. ~· ESTIMATED. . « ESTIMAT!I) EXPENDITURE· ExPENDED to TO DATE . . DATE(%,L > . ~P~hase~_1_-_Pro~~~ed-'-De_u_el~oo~:me __ nt--~$ ______ 7~,8_o_o-+---$ _____ 7_4_,o_oo-+-----------t~$ _____ 7_4~,oo--1o ............ s _____ 7~4,_oo_o-t-----------t_$ ______ 74_,o_oo--t-_s _____ 7_3,~76-3_._ ___ 1_00_% __ --1 ~P=hase~=2_-~Pm='='m=lna='~~Des~1~~"=----+-$;:;..._ __ ___.;..15=·0=0=2-1-"'s--------"9=·2=00""-+-________ ---t~$--------9~·2=0--to ........ s ____ __._.9.=20~0-1-----------1~$--__ __...9~.2=0=0+-=s ____ ~9,~14~7_._ ___ 99==..;.;%=-----1 ~P~ha=se=-=3_-=oes=1~~"---------+-s"'--__ 1~.0~5~1,~12~4 ........... s _____ 2.~69~0-,400--1-----------+--s ____ 2~,69_0~,40--10 .......... s ___ 2~,6_9~0,_40_0-1-----------1-$"'--__ 2~,6_90~,400-----.....-S---2~,5=5~0,~653~----95~%=-----1 ~P~ha=se=-.;.4_-=Co=ns=t=ruct~io~"------~$.___2~4~,1~80=·~05~1.......,,.$ ___ 3~5,~77_4_,50_4-+-----------t~$---3_5~,7_74~,5_0-14 ~$--__ 35_,7_7~4,_50_4-1------------1-$"'--_35___.._,7_74~,5-04-+-_$ ___ 17~,9=8~0,~1_17_._ ___ 5=0~%=-----1 Phase 5 -Commlsslonlna $ 50,000 $ 50000 $ -$ Phase 6 -Close-Out $ 30,000 $ 30,000 $ -$ Phase 7 -Contingency $ 7,548,924 $ 764,898 $ 764,898 $ PROJECT TOTAL $ 32,803,501 $ 39,393,000 $ -$ 39,393,000 $ 38,548, 104 $ -$ 38,548, 104 $ 20,613,680 53% I Reimbursable Costs 11 PROJECT NET $ 32,803,501 $ 39,393,000 $ -$ 39,393,000 $ 38,548, 104 $ 38,548, 104 $ 20,613,680 53% PSA/Contmct Desif.1n PSA $ 269,900 $ 2,345,920 $ 2,345,920 $ 2,345,920 $ 2,345,920 $ 1,898,524 81% Construction Contrad $ 21,011,000 $ 31,911,805 $ -$ 31,911,805 $ 31,911,805 $ -$ 31,911,805 $ 14,760,258 46% EDMS: 003782543 APPROVAL ITEM DATE CONTRACT Sept. 16, 02 CO N0.1* April 23, 03 CO NO. 2 June25, 03 CO NO. 3 October 22,03 CON0.4 February 25,04 CON0.5 March 24, 2004 CON0.6 May 26, 2004 CONO. 7 June 23, 2004 CONO. 8 July 21, 2004 CONO. 9 September 22, 2004 CO NO. 10 November 17, 2004 CO NO. 11 Pending CON0.12 Pending · .. CHANGE ORDER STATUS REPORT BUSHARD TRUNK SEWER REHABILITATION JOB NO. 1-2-4 CO #12 CONTRACT CONTRACT COST PERCENTAGE COST TO DATE INCREASE $30,003,210 $30,003,210 $150,000 $30, 153,210 0.50% $107,724 $30,260,934 0.86% $44,293 $30,305,227 1.01% $380,251 $30,685,478 -2.27% $409,301 $31,094, 779 3.64% $27,612 $31, 122,391 3.73% $163,618 $31,286,009 4.28% $230,317 $31,516,326 5.04% $153, 119 $31,669,445 5.55% $242,360 $31,911,805 6.36% $0 $31,911,805 6.36% $0 $31,911,805 6.36% *Approved by PDC Committee per delegated authority by Board Resolution 99-23 EDMS 003782544 AUTHORIZED AUTHORIZED TIME TIME TO DATE (DAYS) (DAYS) 550 550 0 550 2 552 1 553 0 553 0 553 5 558 0 558 0 558 0 558 0 558 .49 607 .. 27 634:' '· .. i·' ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of3 Contractor: Steve P. Rados. Inc. C.O. No.: Twelve (12) Date: December 15. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Amount of this Change Order (Add)(Oed&:i1ct) $ .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 -Time Extension for Undisclosed Utilities at Plant No. 2 Entrance This item is to extend the contract duration for additional work for removal and support of undisclosed utilities encountered during the installation of the 108-inch reinforced concrete pipe from Stations 11 +35 to 12+50 inside the Plant No. 2 entrance. The additional cost for this item was included in Item 1 of previous Change Order No. 1, ratified by the Planning, Design, and Construction Committee on April 3, 2003. The negotiated cost for Item 1 of Change Order No. 1 included all costs for the work, including direct, indirect, incidental, or consequential costs. This work was negotiated with the Contractor pursuant to Section 46.B.1 of the General Requirements. (Reference FCO 124-11, CO No.1-ltem 1) ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $ 0.00 27 Calendar Days $0.00 27 Calendar Days Page 2of3 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.: Twelve (12) Date: December 15. 2004 Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation The additional work contained within this change order can be performed incidental to the prime work and within the time allotted for the original contract and any extensions to the contract time made by this change order. It is therefore mutually agreed that a time extension of 27 calendar days 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 27 Calendar Day 84 Calendar Days 634 Calendar Days June 10, 2004 N/A N/A Original Contract Price Prev. Authorized Changes This Change (Add) (Dee1.mt) Amended Contract Price $ 30.003.210.00 $ 1 .908,595.00 $ 0.00 $ 31 .911 .805.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3 of 3 Contractor: Steve P. Rados. Inc. C.O. No.: Twelve (12) Job: Bushard Trunk Sewer Rehabilitation. Job No. 1-2-4 Consultant: Boyle Engineering Corporation Board Authorization Date: December 15, 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 003782542 Date Date Date Date: December 15. 2004 \ PDC COMMITTEE AGENDA REPORT Orange County Sanitation Di strict FROM: Dave Ludwin , Director of Engineering Originator: Dean Fisher, CIP Project Manager Meeting Date 12/02/04 Item Number PDC04-107 SUBJECT: ACTIVATED SLUDGE PLANT REHAB ILITATION , JOB NO. P1-82 GENERAL MANAGER'S RECOMMENDATION To Bd. of Dir. 12/15/04 Item Number 13(i) Approve a budget amendment for Activated Sludge Plant Rehabilitation , Job No . P1-82 , in the amount of $5 ,559 ,000 , for a total project budget of $50 , 128 ,000 . SUMMARY • The purpose of this project is to ensure that the Activated Sludge Plant at Plant No . 1 can operate at its designed capacity with a high degree of reliabi li ty. The original aeration basins and secondary clarifiers are over 25 years old and in need of equipment replacement. • The Orange County Sanitation District (District) awarded a Professional Services Agreement (PSA) to HOR Engineering for the design of Acti vated Sludge Plant Rehabilitation , Job No . P1-82 , in December 2003. Additional design elements were identified as a result of further study during the preparation of the Preliminary Design Report provided by the consultant as part of the Scope of Work . • Construction costs for added elements were not added at the time due to the limited cost information available based on a conceptual design . Now that the elements are more defined , enough information is available to provide a cost estimate for the work. • An additional $5 ,559 ,000 is being requested based upon the increased construction cost estimate and additional Staff costs based on this increase . The total increase in costs for construction and Staff amounts to $7,464 ,000 of which $1,905 ,000 was moved from contingency . PRIOR COMMITTEE/BOARD ACTIONS Please refer to the attached PSA Status Report Revised 06/04/03 Page 1 PROJECTICONTRACTCOSTSUMMARY Please refer to the attached Budget Information Table . Approval is being requested to increase the proj ect budget as described by $5 ,559 ,000 to a total of $50 , 128,000 . The conti ngency rema i ns at 10 % of the construction cost estimate which is consistent with current budg eting protocol. BUDGET IMPACT D Th is item has been budgeted . (line item: Section 8, Pa ge 63, CIP 2004 -5) [2;J Th is item has been budgeted , but there are insufficient funds . D This item has not been budgeted . D Not applicable (information item) As shown i n the attached Budget Information Table , a budget increase of $5 ,559 ,000 is being requested due to additional elements added to the project. Funds being requested for this work will come from CIP program reserves . ADDITIONAL INFORMATION Design History The District 's Board of Directors approved the PSA with HOR Engineering in December 2003 to provide design services for the Acti vated Sludge Plant Rehab il itation , Job No . P1-82 . The Scope of Work in the PSA called forthe review of the existing facility through a series of Technical Memoranda to confi rm the proposed design . During the course of this work , several items were identified by the consultant and by Staff that are necessary to the project and were not previously considered . These elements were carefully evaluated and finally recommended by Staff as being necessary addi tional elements to the project. These additional elements include : • Aeration Basin splitter bo x modifications • Primary effluent box gat e modificat ions • Nocardia foam control improvements • Se condary clarifier launder and baffle improvements • Additional process improvements • Low pressu re air piping improvements • Existing blower improvements Revised 06/04/03 Page 2 J ,,,. Project Budget The original project budget was based on the CIP validation prior to actual scoping of the work and the full secondary study. Significant project elements were not known at the time and were a result of the full secondary planning process. This budget was revised for FY 2003-04 The budget increase requested is primarily a result of the increase to the estimated cost of construction. The latest estimate is based upon the Design Submittal 3 (DS-3) plans and is significantly more accurate than previous budget estimates since the majority of the design is now complete. This is the current best estimate for the cost of construction. The construction cost increase is partially due to some project elements added as part of Amendment Nos. 2 and 3 and also due to an escalation of materials cost. Over the last year, the costs of various materials of construction have escalated substantially due to global issues, including; steel, ductile iron, copper, cement, shoring materials, and plastics. Costs for some of these materials are expected to continue to escalate in the near future. P1-82 is expected to go out for bid in February 2005. District staff is coming back to the PDC for direction on the matter of increased construction costs because it is District policy to ensure that sufficient budget is available to match the Consultant's construction cost estimate prior to advertising for construction bids. A portion of this budget increase will be transferred from the contingency funds within the project. Contingencies were left at ten percent (10%) of the construction cost which is the District's standard budgeting practice for projects entering construction. ALTERNATIVES The District could consider not approving the additional funds for the project, in which case the necessary final design elements will not be completed. CEQA FINDINGS This project is exempt from CEQA under Section 15302. A Notice of Exemption was filed at the County Clerk's office on November 4, 2003. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report DF:jo:eh:lc H:\ntglobal\Agenda Draft Reports\PDC\P1-82 AR Budget 120204.doc Revised: 06/04/03 Page 3 PROJECT/PHASE Phase 1 -Projed Develooment Phase 2 -Preliminary Design Phase 3 -Design Phase 4 -Construdion Phase 5 -Commissioning Phase 6 -Closeout Phase 7 -Continaencv PROJECT TOTAL IRelmburaable Costs PROJECT NET Design PSA Construdlon Contrad EDMS: 003782480 ORIGINAL CURRENT AUTHORIZED PROJECT BUDGET BUDGET $ 50,000 $ 69,000 $ 448,000 $ 132,000 $ 2,688,000 $ 5,237,000 $ 17,323,000 $ 33,050,000 $ 299,000 $ 569,000 $ 75,000 $ 143,000 $ 2,987,000 $ 5,369,000 $ 23,870,000 $ 44,569,000 BUDGET INFORMATION TABLE Activated Sludge Rehabilitation Job No. P1-82 .. .. :' PROPOSED PROPoSED FUNDS THIS BUDGET REVISED AUTHORIZED TO AUTHORIZATION INCREASE BUDGET DATE. REQUEST '. $ 69,000 $ 50,000 ! ;:F, . · . $ 132,000 $ 300,000 :,,, .. . : .. $ 5,237,000 $ 5,237,000 '· .,:: .. , ·, ·.;::: $ 7,307,000 $ 40,357,000 $ 1,433,000 .. .,., $ 125,000 $ 694,000 $ 101,000 $ 32.000 $ 175,000 $ 26,000 '>, $ l1,905000l $ 3,464,000 .. $ 5,559,000 $ 50,128,000 $ 7,147,000 $ - ' : ,• ,, PROPOSED TOTAL ESTIMATED EXPENDITURE TO 'AUTHORIZATION DATE':: :'. : ,, $ 50,000 $ 70,500 $ 300,000 $ 108,000 $ 5,237,000 $ 104,800 $ 1,433,000 $ 101,000 $ 26,000 $ - $ 7,147,000 $ 283,300 $ 23,870,000 $ 44,569,000 $ 5,559,00o $ 50,128,000 $ 7,147,000 $ -$ 7,147,000 $ 283,300 PSA/Contract . $ 3,427,864 $ 3,427,864 $ 3,427,864 $ 3,427,864 $ 130,000 $ 28,362,000 $ 6.278,000 $ 34,640,000 ·· .. $ .... $ -- ... ' ·.4_ : j ~ ~ n.-.; , '<·< '; ~; ;~· ; ESTIMATED .·EXPENDED 'foi>~t~(%) f ,. 141% 36% 2% 4% 4% 4% Professional Services Agreement Status Report Activated Sludge Plant Rehabilitation Job No. P1-82 Total Project Budget: $ 44,569,000 Consultant: (HOR) $ 3, 125,026 Start Date of Project: July 1, 2003 Date 12/17/03 6/15/04 7/9/04 7/21/04 EDMS 003782503 Revised 05114/98 Amendment Original PSA No.1 No. 2 No. 3 Description Activated Sludge Plant Rehabilitation, Job. No. P1-82 Change Overhead rate for Subconsultant, Westin Engineering. Additional LPA Piping Improvements, Blower Modifications, Additional Technical Memorandum Work, PDS Document Changes Hydraulic Modeling of Splitter Box, PEDB Gate Control, Nocardia Removal System, Replace Basin Drain Pumps, Added Baffles and Launder Modifications, PEPS Wetwell level Transmitter, Alkalinity and Temperature Transmitters. Cost Accumulated Costs $ 3,125,026 $ 3,125,026 $0 $ 3,125,026 $98,932 $ 3,223,958 $203,906 $ 3.427,864 11/23/04 • PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM : David Ludwin , Director of Engineering Originator: Dean Fisher, CIP Project Manager Meeting Date 12/02/04 Item Number PDC04-108 SUBJECT: ST ANDBY POWER AND RELIABILITY IMPROVEMENTS, JOB NO. J-33-1A GENERAL MANAGER'S RECOMMENDATION To Bd . of Di r. 12/15/04 Item Number 13(k) (1) Approve a budget amendment for Standby Power and Reliability Improvements , Job No . J-33-1A, in the amount of $676 ,000 , for a total budget of $18 ,319 ,000 ; and (2) Ratify Change Order No . 5 to Standby Power and Reliability Improvements , Job No . J-33-1A, with Southern Contracting Company, authorizing an addition of$ 931,41 O and an addition of 545 calendar days , increasing the total contract amount to $7 ,634 ,611 . SUMMARY • Job No . J-33-1A, Standby Power and Reliability Improvements , includes work to reconfigure existi ng e lectrica l systems for increased capacity and reliability , and to replace or modify selected electrical equipment due to advanced age or unsuitability to w ithstand the existing electrical system short circuit capability . • Spec Services prepared the plans and specifications and the Construction Contract was awarded to Southern Contracting Company on April 28 , 2001 . • Change Order No . 5 includes nineteen items of additional work and three items of deleted work . There are no errors and one omission associated with this change order. There is a 545 day time extension associated with this change order. Liquidated damages on this project are $1 ,000 per day and there are no bonus provisions . • A b udget amendment is requested to cover costs for this change order and for additiona l staff costs associated with the longer project time period to complete this project. Page 1 Contract Schedule Contract Start Date Original Contract Completion Date Total Number of Change Orders to Date Current Contract Completion Date Revised Completion Date Days Subject to Liquidated Damages Liqu idated Damages Assessment Change Order No . 5 Content Item Description No . 1 Construction Project Managers Trailer 2 Recirc . Pump Feed from MCC-TH 3 12kV Service Center Pilot Wire Relays 4 Bus Bracing At Power Building 4 5 12kV Service Center lmbed Credit 6 Roof Condu it Support 7 Conduits from SCE Substation 8 MCC-0, 0-439 Controls 9 Cable Conflict at MCC-0 10 MCC-0 New Bleach Station Feeder 11 Existing Generator Controls 12 Existing Load at MCC-M 13 12kV Service Center Synch Check Relays (Operatio n) 14 12kV Service Center Synch Check Relays (Testi ng) 15 Add Wire at MCC 0420 and 0421 16 Remote LOS for 0451 17 MCC-0 Blower Hand Control 18 Area Classification Consultation 19 Gas Detectors 20 Standby Generation at Power Building 3A 21 MV MC Switchgear -Locks 22 Area Classification Delay TOTAL -Change Order No. 5 July 5, 2001 July 5 , 2003 5 October 3, 2003 March 30, 2005 0 0 Amount Days Type ($ 19,500) 0 Design Change $ 1,710 0 Design Change ($ 8 ,205) 0 Design Change $ 5,465 0 Omission ($ 3, 130) 0 Design Change $ 1,1 60 0 Design Change $ 1,905 0 Design Change $ 1,050 0 Des ign Change $ 4 ,9 15 2 Design Change $ 1,585 0 Design Change $ 975 0 Changed Conditions $ 3,520 2 Design Change $ 2,140 1 Design Change $ 4 ,100 5 Design Change $ 3,400 0 Design Change $ 1,3 05 1 Design Change $ 2,160 0 Design Change $ 2 ,000 0 Design Change $ 18 ,580 0 Changed Conditions $ 39 , 175 20 Changed Conditions $ 17 ,100 17 Design Change $ 850 ,000 497 Changed Conditions $ 931,410 545 Page 2 • t , • Item 1 deletes a trailer for District Staff that was to be supplied by the Contractor. • Item 2 adds electrical feed to a new pump that was added after the contract design. • Item 3 deletes two new pilot wire relays by using labor to remove and reinstall two existing pilot wire relays into the new switchgear. • Item 4 supplies materials and labor to rebrace a portion of transformer bus to increase the short circuit rating for the installation. • Item 5 deletes structural imbeds for a switchgear installation that were not necessary to meet field conditions. • Item 6 adds conduit to avoid support issues associated with the existing roof due to structural limitations with the existing facility. • Item 7 includes additional electrical connections to the Southern California Edison transformer from the new OCSD equipment. These could not be verified during design. • Item 8 provides for additional work relating to a sump pump controller to conform to an OCSD staff request. • Item 9 provides additional work to reroute existing cables to match field conditions under new electrical equipment. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 10 adds a new electrical feed to the bleach station that was added by another project after the completion of the design for this project. • Item 11 changes the control wiring for the existing generator to match field conditions. • Item 12 adds connections to keep existing loads in service for a lighting panel in an existing MCC. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 13 provides for an alternate control scheme regarding the synchronization relays for existing generators in order to match existing conditions. The existing conditions were not known during the design phase of this project due to undocumented changes made in the field. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. Page 3 • Item 14 provides for retesting of the synchronization relays for the existing generators since the control scheme required changes to match field conditions. The existing control scheme was not properly documented. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 15 adds wiring to two MCC sections that are needed to conform to OCSD standard drawings. • Item 16 adds a disconnect switch to a vent fan that is required for safety reasons. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 17 adds wiring to the control of an existing load in order to conform to a District standard schematic for the control of this equipment. • Item 18 compensates the Contractor for some additional labor provided by a safety subconsultant in order to resolve the area classification issues. • Item 19 compensates the Contractor for new gas detectors in order to monitor existing areas to mitigate area classification concerns. • Item 20 provides standby power to the existing equipment while temporarily connected during the equipment replacement. Originally standby power for this area was not intended for the temporary condition. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 21 provides locking doors to the new switchgear at the request of District staff. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. • Item 22 compensates the Contractor for delays associated with area classification designations that were not shown on the drawings. This item involves delays to the critical path of the project schedule and an appropriate contract time extension is included. Please refer to additional information below. Job Completion • The project is 82% complete. PRIOR COMMITTEE/BOARD ACTIONS The contract was awarded by the Board of Directors on April 28, 2001. Please refer to the attached Change Order Status Report for information an all previous change orders. Page4 I , 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 $ 6,329,000.00 $ 374,201.00 $ 931,410.00 $ 1,305,611.00 20.63% $ 7,634,611.00 D This item has been budgeted. (Line item: Section 8, page 88, CIP, J-33-1A) [gl This item has been budgeted, but there are insufficient funds. D This item has not been budgeted. D Not applicable (information item) A budget increase of $676,000 is requested to cover costs for this change order and for additional staff costs associated with the longer project time period 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 Item No. 22 of this change order, Area Classification Delay, compensates the Contractor for delays resulting from existing Hazardous Area Classification designations that were inconsistent with the contract documents. This inconsistency led to several issues which caused delays to the contract completion. During the course of discovering the issues and finding ways to resolve these issues, the Contractor was delayed significantly from completing the specified work. This change order item resolves all issues associated with Contractor field and home office overhead and known field labor wage increases experienced during the delay of this project's completion. A Hazardous Area Classification is the determination of a location regarding the possibility of accumulating explosive vapors and the potential of an explosion or fire resulting from these vapors. In 1999, the District made the decision to voluntarily adopt requirements of the National Fire and Protection Association (NFPA) standard 820 with the understanding that it would take several years for full compliance. In 1999 the District completed a study (J-35-1) of the Hazardous Area Classifications within the two treatment plants to determine what changes would be needed to meet the requirements of NFPA 820 . After the study was completed, Job No. J-35-2 was established to implement the required changes. Much of the work included in J-35-2 relocates several gas pipelines, installs barriers and ventilation to reclassify areas within the Plants. This project involves rehabilitation work at most of the process areas of both Plants and took over two years to design. The project's construction phase is almost three years long. During the preliminary design phase of this project, the extensive period of time required for design and construction of the J-35-2 project was not known. The J-33-1A project was designed after the J-35-1 study and was designed such that it relied on the completion of portions of the J-35-2 construction project to comply with NFPA requirements. The J-33-1 A construction project was awarded fourteen months prior to the J-35-2 project. Page 5 Many of the issues involved with the delays to the J-33-1 A project are associated with the completion of work included in the J-35-2 project. One of these issues is the liability associated with the final connection of new electrical equipment that is not rated in a classified area. It was determined that the risk of installing the new equipment was less hazardous than the potential failure of the existing equipment. The resolution of this issue involved an indemnification amendment to this project's contract. This amendment indemnifies the Contractor from liabilities associated with installation of electrical equipment not rated for the contract specified location which is in a classified area. The amendment to the construction agreement was approved by the Board of Directors at the October 2002 Board meeting. This issue will be completely resolved for all parties when J-35-2 work is complete which will reclassify the areas and remove the inconsistent area classification. J-35-2 is scheduled to be completed in June of 2005. The formulation and approval process of this amendment delayed work included in the J-33-1 A project. Once the indemnification issue was resolved, worker safety issues were also addressed. Conflicting information from the Districts Safety Staff and the Contractor's safety consultants led to an impasse on how to proceed. In April 2003, the District, the Contractor and General Counsel from both parties, began to meet to discuss and agree upon the method of safe work practices involved with equipment installation associated with the indemnification agreement. The worker safety problem was resolved through a joint effort with the Contractor, District and a third party safety expert who found a cost effective method to mitigate worker safety issues while installing the equipment in these areas. The Contractor began to work in these areas in November 2003. The resolution of this issue also delayed the contract work. In July of 2002 staff and General Counsel considered several options for the completion of the work in this project. One of the options considered was to terminate the existing contract, modify the contract documents and re-bid the work. This option was not cost effective and caused an even longer delay to completing the necessary electrical upgrade work included in this contract. Staff estimated that this option would add approximately $2. 7 Million to the total project cost. Another option considered was to delay the completion of portions of the J-33-1 A work and accomplish that work after the completion of the J-35-2 project. This option would have required the Contractor to demobilize from the site. The delay associated with this option was subject to the unknown completion date of the J-35-2 construction project (two to three years). Staff decided that this option would involve too many unknown variables that were not desirable. (Labor escalation, demobilization and remobilization costs, equipment warrantee extensions, insurance extensions ... ) The option chosen by Staff and General Counsel was to have the existing contractor complete the project and negotiate an equitable settlement for delay costs. This option was considered to be the most cost and time effective solution to the completion of this project. This option involved a collaborative effort of the Contractor, the District and each of their General Counsels in an agreement to resolve the extra costs on this contract by negotiations, mediation or arbitration to avoid future litigation. Below is a chart of the negotiation process (Exhibit A). In Summary this change order item represents a negotiated resolution which all parties feel to be the best outcome considering all of the available options. Page6 ' , 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 October 29, 1999. ATTACHMENTS 1. Exhibit A 2. Budget Information Table 3. Change Order Status Report 4. Change Order 5. Location and Photo Description of Change Order No. 5 DF:dm:eh H:\ntglobal\Agenda Draft Reports\PDC\J-33-1A AR CO #5 120204.doc Page 7 "Exhibit A" Record of Negotiation Job No. J-33-1A Contractor's C.O. No. 5 Item No. 22 Request* (3/27/03) Extended Field Overhead Total Cost per Day $953.87 Days of Delay (07 /05/03-03/31 /05) 635 Total Field Overhead Cost $605,707.45 Extended Home Office Overhead Daily Home Office Overhead $652.03 Days of Delay (07 /05/03-03/31 /05) 635 Total Home Office Cost $414,039.05 Labor Escalation Labor Increase** $190,891.50 Legal & Consulting Fees $0.00 Costs Total Extended Overhead Cost $1,210,638.00 Profit@ 15% $181,595.70 Bond@0.8% $11, 137.87 Equitable Adjustment $0.00 Total $1,392,233. 70 * Using Projected Completion Date 3/31 /04 ** Labor increase calculated through 11 /30/04 EOMS 003783232 Contractor's Tentative Request* Negotiated Cost (7/10/03) $900.45 - 635 - $571,785.75 $384,894.58 $647.67 - 635 - $411,270.45 $276,844.54 $188,260.88 $188,260.88 $0.00 $0.00 $1, 171,317.08 $850,000.00 $0.00 $0.00 $0.00 $0.00 -$31,986.28 $0.00 $1, 139,330.80 $850,000.00 PROJECTfTASK Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Desian Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Closeout Contlnaencv PROJECT TOTAL I Reimbul88ble Costs PROJECT NET Design PSA Construction Contract ORIGINAL AUTHORIZED BUDGET $ 19,856,000 $ 19,856,000 BUDGET INFORMATION TABLE STANDBY POWER AND RELIABILITY IMPROVEMENTS JOB NO. J-33-1A .'. " ',', '.'i,'.,' CURRENT PROJECT BUDGET PROPOSED PROPOSED FUNDS THIS PROPOSED EsTIMATED <ESTIMATED BUDGET REVISED INCREASE BUDGET AUTHORIZED TO ' <AUTHORIZATION TOTAL EXPEN°'·'1:~R.:e.,ro, .L~E~~~~;l:: DATE ; • REQlJEsT ' AUTHORIZATIO~ ·.:/'''' DA!E<~:'j; '.:: :rqDATE(%) ; " $ 457,000 $ 457,000 $ 458,000 $ 458,000 $ 457,241 100% $ 374,000 $ 374,000 $ 374,000 $ 374,000 $ 373,810 100% $ 3,133,000 $ 3,133,000 $ 3,133,000 $ 3,133,000 $ 3,146,892 100% $ 13,397,000 $ 566,000 $13,963,000 $ 13,397,000 $ 541,000 $ 13,938,000 $ 10,774,382 77% $ 107,000 $ 107,000 $ 107,000 $ 107,000 $ 48,000 $ 35,000 $ 35,000 $ 35,000 $ 35,000 $ 3,000 $ 140,000 $ 110,000 $ 250,000 $ 17,643,000 $ 676,000 $ 18,319,000 $ 17,504,000 $ 541,000 $ 18,045,000 $ 14,803,325 82% 11 $ 17 ,643,000 $ 676,000 $ 18,319,000 $ 17,504,000 $ 541,000 $ 18,045,000 $ 14,803,325 82% $ 3,114,534 $ 3,114,534 $ 3,114,534 $ 3,114,534 $ 2,884,300 93% $ 9,897,707 $ 931,410 $ 10,629, 117 .· $ 9,897,707 • $ 931,410 $ 10,829,117 $ 8,545,006 80% * Note: In addition to the J-33-1A construction contract, the Construction Contrad amount above includes $1,561,901 for the J-33-1 construdion contrad and $1,432,605 to purchase the equipment installed as part of the J-33-1 work. EDMS: 003772797 CHANGE ORDER STATUS REPORT STANDBY POWER AND RELIABILITY IMPROVEMENTS JOB I CONTRACT NO. J-33-1A APPROVAL CONTRACT CONTRACT COST PERCENTAGE ITEM DATE COST TO DATE INCREASE CONTRACT 4/25/2001 $6,329,000 $6,329,000 CO N0.1 * 6/6/2002 $151,081 $6.480,081 2.39% CO NO. 2 ** 2/3/2003 $81,380 $6,561,461 3.67% CON0.3 4/23/2003 $126,720 $6,688,181 5.68% CO NO. 4* 9/9/2003 $15,020 $6,703,201 5.91% CON0.5 Pendl rig $931,410 $7,634,811 20.83% * Approved by PDC Committee per delegated authority by Board Resolution 99-23 ** Approved by General Manager per delegated authority by Board Resolution 99-23 EDMS/003782481 AUTHORIZED TIME (DAYS) 730 0 0 0 90 545 AUTHORIZED TIME TO DATE (DAYS) 730 730 730 730 820 1365 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 1of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements -J-33-1 A Consultant: Spec Services Amount of this Change Order Add $931.410.00 In accordance with contract provisions, the following changes in the contract and/or contract work are hereby authorized and as compensation, the following additions to or deductions from the contract price are hereby approved. ITEM 1 -CONSTRUCTION PROJECT MANAGERS TRAILER Contractor to provide a credit for the deletion of the requirement of Detailed Specification Section 52- 2100 -Construction Project Manager's Office Trailer. This includes requirements at Plant Nos. 1 and 2. The Contractor was asked to delete the requirement for the Construction Project Manager's Office Trailer at Plant 1 and Plant 2 when office space was found at existing facilities. This item was negotiated with the Contractor pursuant to Section 10-6 General Provisions. Reference District's Plan Change (PC) No. 2, District's Field Change Order (FCO) No. 00033 and Southern Contracting Company's Letter SCC COR No. 003 dated March 19, 2003. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 2-RECIRC PUMP FEED FROM MCC-TH ($ 19,500.00) 0 Calendar Days This item is for changes required to re-feed existing Scrubber "G" Recirc. Pump from new MCC-TH. This pump has been added recently and is not shown on Contract Drawings or other documents. Contractor is to use "Spare" Motor Starter at new MCC-TH for the motor. Contractor to reconnect existing control and power wiring as it now exists and prepare Electrical Schematics Diagrams, Point- to-Point Diagrams, wire tagging, 'As-built' drawings, and inspect and functionally test the motor circuit as outlined in Contract Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's Request for Information (RFI) No. 00069, District's PC No. 14, District's FCO. No. 00042 and Southern Contracting Company's Letter SCC COR No. 027 dated May 15, 2002. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $1,710.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 2of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15, 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 3 -12kV SERVICE CENTER PILOT WIRE RELAYS This item is for changes required to reuse the existing pilot wire relays (2) and associated components in the replacement switchgear at the 12kV Service Center. This change is the difference of the cost of new relays and associated components against the costs of removing the existing relays from the old switchgear and installing into new switchgear. Costs for verification of wiring, reconnections and testing of the relays are in accordance with the original bid documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's PC No. 16, District's FCO No. 00046 and Southern Contracting Company's Letter SCC COR No. 029 dated July 23, 2002. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 4-BUS BRACING AT POWER BUILDING 4 ($ 8,205.00) 0 Calendar Days This item is for changes required for materials and installation of bus bracing required at the bus transition section of Transformer TFR-42 at the Plant No. 1 -Power Building 4. This work is required to increase the electrical short circuit capacity from 50,000 amps to 65,000 amps to meet the present short circuit available on the electrical system. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00086, District's FCO. No. 00061 and Southern Contracting Company's Letter SCC COR No. 084.1 dated November 18, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 5 -12kV SERVICE CENTER IMBED CREDIT $ 5,465.00 0 Calendar Days This item is for changes required to delete the switchgear leveling embedments at the Plant No. 2 - 12kV Service Center. Leveling embedments are shown on the Contract Documents. These were not required due to the levelness and evenness of the existing floor. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's R.F.I. No. 00094, District's FCO No. 00050 and Southern Contracting Company's Letter SCC COR No. 054 dated July 24, 2003. CREDIT THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ($ 3, 130.00) 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 3of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15, 2004 Job: Standby Power and Reliability Improvements -J-33-1 A Consultant: Spec Services ITEM 6 -ROOF CONDUIT SUPPORT This item is for changes required to reroute the 12kV tie circuit at the 12kV Service Center Switchgear to under the floor. Investigation found that the existing light weight concrete I pan deck roof on the 12kV Service Center would not support the new conduits and cable without penetrating the roof. This could have caused puddling and leaks, therefore it was determined that routing the bus tie in the basement was to be done. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00118, District's FCO No. 00043 and Southern Contracting Company's Letter SCC COR No. 080 dated July 24, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 7 -CONDUITS FROM SCE SUBSTATION $ 1,160.00 0 Calendar Days This item is for changes required to reconnect existing Southern California Edison I Cengen control wiring to the new 12kV Service Center Switchgear at Plant No. 2. This critical wiring could not be disturbed or researched during the design stage of the project and was not included on Contract Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00128, District's F.C.O. No. 00063 and Southern Contracting Company's Letter SCC COR No. 061.1 dated November 18, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $1,905.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 4of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 8 -MCC-Q, Q-439 CONTROLS This item is for changes required to revise the controls for Plant No. 1 North Aerator Sump Pump Q- 439. Revision to control wiring is required to conform to field wiring conditions as found during the installation of MCC-Q feeding the load Q-439. The revised wiring has to conform to the new Plant Standard Schematic Diagrams, which changed the operation of the pump. This changed operation was not acceptable to District Operations. Also required are revisions to Electrical Schematic Diagrams, Point-to-Point Diagrams, wire tagging, 'As-built' drawings and functional testing in accordance with Project Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFl's No. 00135 and 135.1, District's FCO No. 00055 and Southern Contracting Company's Letter SCC COR No. 079 revised dated July 30, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 9 -CABLE CONFLICT AT MCC-Q $ 1,050.00 0 Calendar Days This item is for changes required for removing I relocating conduits that were stubbed-up at MCC-Q back to the existing cable tray. Wiring run in these conduits is then to be re-routed into cable tray and then to new entry locations to the new MCC-Q. These existing conduits and wiring run directly to, and stub-up into the MCC. All other wiring is run in the existing cable tray located in the basement below the MCC, and then routed through cut-outs into the MCC. This MCC is being replaced with new equipment. As some of the load connection locations do not coincide with the old locations due to dimensional changes, the stub-up locations are not in the correct place. This obstructs existing wiring that is to be re-routed into the new MCC, and was questioned by the Contractor on RFI No. 00141. The District preference was to end these conduits at the existing cable tray and re-route the wiring through the tray into the MCC. This required additional changes to be made to the routing of conduits and wiring, along with wire tagging, 'As-built' drawings and testing to the project. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00141, District's FCO No. 00035 and Southern Contracting Company's Letter SCC COR No. 064 dated January 30, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 4,915.00 2 Calendar Days " ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 5of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 10 -MCC-Q NEW BLEACH STATION FEEDER This item is for changes required to add one -100 Amp Circuit Breaker at Plant No. 1 Blower Building 480V MCC-Q (Q-454). Investigation by the Contractor identified a requirement to add an additional 1 OOA circuit breaker due to existing conditions. Existing drawings and information identified this load as mistagged, when in actuality it was two separate loads. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00147, District's FCO No. 00044 and Southern Contracting Company's Letter SCC COR No. 066 revised dated July 30, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 11 -EXISTING GENERATOR CONTROLS $ 1,585.00 0 Calendar Days This item is for changes required for revision of wiring from new MCC-Q ATS to the existing Solar Generator Control Panel, along with functional testing to allow correct operation. The original scope of work included the control wiring investigation and verification of the Standby Generator start circuit wiring from the new A TS. An extensive search was made for the documentation showing this wiring by the Contractor and by the District without success. It was found that during installation of this system operational and wiring changes were made. The original shop drawings do not show these changes and 'As-built' drawings were not found. After investigation, by the District, of the actual wiring in the system, as-built drawings were produced. On review of the as-builts, the District preference was to retain the existing operation with similar connections to the new A TS. This change order is to compensate the Contractor for rewiring, wire terminations, wire tagging, re-testing and work delay time extension required that was outside of his scope of work. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00149.1, District's FCO No. 00041 and Southern Contracting Company's Letter SCC COR No. 081 dated July 28, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 975.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 6of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 12 -EXISTING LOAD AT MCC-M This item is for the addition of one (1) Lighting Contactor at Plant No. 2 MCC-MA, and all "Load" temporary and final connections, testing, Point-to-Point and 'As-built' drawings, etc. The addition of the lighting contactor is to accommodate lighting loads previously identified as out-of-service, and not shown on Contract Documents, that are presently in operation. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00151, District's FCO No. 00037 and Southern Contracting Company's Letter SCC COR No. 073 dated June 11, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 13-12kV SERVICE CENTER SYNCH CHECK RELAYS (OPERATION) $ 3,520.00 2 Calendar Days This item is for the revision of wiring to the 12kV Service Center Switchgear "Synch Check" relays, along with functional testing and 'As-built' drawings. During the testing of the switchgear, the District's Maintenance Department stated that the operation of these relays had been revised when Cengen was constructed. The present operation for the synchronization of SCE and Cengen voltages is to be done at the Cengen switchgear "ONLY". This requires the synchronization function of these relays to be disabled to conform to existing conditions. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's FCO No. 00038 and Southern Contracting Company's Letter SCC COR No. 076 dated June 12, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 2,140.00 1 Calendar Day ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 7of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 14-12kV SERVICE CENTER SYNCH CHECK RELAYS <TESTING) This item is for revisions to relays settings and testing of the 12kV Service Center Bus B Switchgear over-current protective relays. During an outage on the Plant No. 2 Central Generation system for maintenance, the entire plant load was being fed through the 'new' Bus B switchgear. During this operation the Main Circuit Breaker tripped off line due to the over-current protection relays. The relays were tested further and found to operate as they should have. Upon further investigation, it was determined that the relays were set based on matching the existing relays using the wrong Current Transformer (CT) ratio. After much investigation through conflicting documentation, and after an investigation of the actual wiring in the old switchgear, the correct information was found. This item is to compensate the Contractor for his original re-testing and for final re-testing and re- calibration work performed that was outside of his scope of work. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference Email: "RE: 12kV Service Center Bus B Overcurrent Relay Settings", District's FCO No. 00039 and Southern Contracting Company's Letter SCC COR No. 075 dated June 12, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 15 -ADD WIRE AT MCC 0420 AND 0421 $ 4,100.00 5 Calendar Days This item is for changes required for additional control wiring required to conform to field wiring conditions as found during start-up of new MCC-0 feeding the loads. The new wiring is to conform to the new Plant Standard Schematic Diagrams, which changed the number of wires required. This required additional changes to be made to the electrical equipment, Electrical Schematic Diagrams, Point-to-Point Diagrams, wire tagging, 'As-built' drawings and testing to the project. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's FCO No. 00048 and Southern Contracting Company's Letter SCC COR No. 00082 dated August 5, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 3,400.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 8of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 16-REMOTE LOS FOR 0451 This item is for changes required to add one (1) 30 Amp Disconnect Switch at Plant No. 1 Blower Building Day Tank Vent Fan. Investigation by the Contractor identified a requirement to add a Lock- out Switch at the Day Tank Vent Fan. The District preference was to add a disconnect switch adjacent to the Day Tank. This required additional changes to be made to the electrical equipment, Electrical Schematic Diagrams, Point-to-Point Diagrams, wire tagging, 'As-built' drawings and testing to the project. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 00163, District's FCO No. 00051 and Southern Contracting Company's Letter SCC COR No. 086 dated October 21, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 17 -MCC-Q BLOWER HAND CONTROL $ 1,305.00 1 Calendar Day This item is for changes required to revise the controls for Aeration Blowers loads fed from new MCC- Q. The new wiring is to conform to the new Plant Standard Schematic Diagrams, which introduced a possible failure condition to the equipment. This required additional changes to be made to the electrical equipment, Electrical Schematic Diagrams, Point-to-Point Diagrams, wire tagging, 'As-built' drawings and testing to the project. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's Plan Change No. 22, email "Blower Hand Control", District's FCO No. 00054 and Southern Contracting Company's Letter SCC COR No. 085 dated September 30, 2003. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 2, 160.00 O Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 9of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements -J-33-1 A Consultant: Spec Services ITEM 18 -AREA CLASSIFICATION CONSULTATION This item is for changes required for additional consultation work related to Area Classification in project work areas. Area Classification work performed by Hughes Associates Inc. (HAI) was contracted through the Districts' Legal Counsel. Additional consultation work was performed by AC Safety (Southern Contracting Co. 's safety Consultant) in conjunction with HAI. This work was required for final determination of work methods, but was not covered by the Districts' Legal Council Contract. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's FCO No. 00049. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 19-GAS DETECTORS $ 2,000.00 0 Calendar Days This item is for the costs associated with equipment, calibration and maintenance of gas monitors required to work in Electrically Classified Areas. These electrically classified areas were identified by an independent consultant as requiring gas monitoring for personal safety to work in these areas. This work was not included in the Contract Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference Hughes Associates, Inc. letter "Site Review of Work Procedures for Electrically Classified Areas" dated October 12, 2003, SCC COR No. 019.3 -"HAI Final Report" dated October 29, 2003, as marked and District's FCO No. 00059. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $ 18,580.00 0 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 10of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 20-STANDBY GENERATION AT POWER BUILDING 3A This item is for changes required to provide standby generation to existing electrical equipment at Plant No. 1 Power Building 3A during contract work. The contract work was planned to provide power to the existing equipment with the use of temporary motor control centers. The provision for standby power to the temporary installation was not part of the contract, or was a known requirement. The work involves providing and installing temporary cabling and transfer switches to allow the two existing 1,000 KW generators to provide standby power to loads temporarily connected during the course of the contract work. The temporary cabling is a heavy-duty railroad cable that will be turned over to the District for future use in temporary power connections. This requirement was requested by Operations due to the critical loads supplied by this equipment. This work was not included in the Contract Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's RFI No. 's 00203, 00212, 00212.1, District's FCO No. 00084 and Southern Contracting Company's Letter SCC COR No. 100, Rev. 001 dated June 24, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: ITEM 21-MV MC SWITCHGEAR -LOCKS $ 39,175.00 20 Calendar Days This item is for changes required to provide lockable rear access panels for the new 12kV switchgear at Plant No. 2 Distribution Center A. This item was requested by District Maintenance Department. This work was not included in the Contract Documents. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. Reference District's Project Meeting Minutes No. 00171 -items 171-06, District's RFI No. 00225 and Southern Contracting Company's Letter SCC COR No. 104 -Revised dated June 15, 2004. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: $17,100.00 17 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 11 of 13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements-J-33-1A Consultant: Spec Services ITEM 22 -AREA CLASSIFCATION DELAY This change order item compensates the Contractor for delays resulting from existing Hazardous Area Classification designations that were inconsistent with the Contract Documents. This inconsistency led to several problems for the Contractor including liability issues and worker safety issues. The Contractor was not able to work in half of the contract designated locations until these issues were resolved. During the time it took to resolve these issues, the Contractor continued to work in a limited capacity to complete areas that were available, however the progress was not what was originally planned. This change order item includes compensation for a portion of the extended overhead for home office and field overhead during the delay period as well as compensation for field labor wage increases up to November 30, 2004, that came into effect during the delay period that would not have been realized if the work progressed as planned. Change Order No. 4 approved a 90- day extension to allow more time to finalize the work plans and time extension. This item includes a contract time extension for the remaining portion of the delay period. In addition, this change order item includes reducing the retention from the specified ten percent (10%) to five percent (5%). This is recommended based on the following: the contract work is now progressing normally, all of the equipment materials are delivered, and the contract work is 82% complete. A future change order item relating to this delay will be incurred to compensate the Contractor for another field labor cost increase that will be applied to labor incurred after November 30, 2004 due to a routine union labor increase. This item was negotiated with the Contractor pursuant to Section 10-6 of the General Provisions. ADDED COST THIS CHANGE ORDER ITEM: TIME EXTENSION THIS CHANGE ORDER ITEM: TOTAL ADDED COSTS THIS CHANGE ORDER: TOTAL TIME EXTENSION THIS CHANGE ORDER: $ 850,000.00 497 Calendar Days $ 931,410.00 545 Calendar Days ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P .0. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 12of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements -J-33-1A Consultant: Spec Services 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 545 days extension of time to perform the work is required for this Change Order, and no direct or indirect, incidental or consequential costs, expenses, losses or damages have been or will be incurred by Contractor, except as expressly granted and approved by this Change Order. SUMMARY OF CONTRACT TIME Original Contract Date: 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: Final Completion Date: July 5, 2001 730 Calendar Days July 5, 2003 545 Calendar Days 635 Calendar Days 1365 Calendar Days March 31, 2005 0 Calendar Days N/A Original Contract Price Prev. Authorized Changes This Change (Add) Amended Contract Price $ 6.329.000.00 $ 374.201.00 $ 931 .410.00 $ 7.634.611.00 ORANGE COUNTY SANITATION DISTRICT 10844 ELLIS AVENUE, P.O. BOX 8127 FOUNTAIN VALLEY, CALIFORNIA 92728-8127 CHANGE ORDER Page 13of13 Contractor: Southern Contracting Co. C.O. No.: Five (5) Date: December 15. 2004 Job: Standby Power and Reliability Improvements -J-33-1 A Consultant: Spec Services Board Authorization Date: December 15, 2004 ORANGE COUNTY SANITATION DISTRICT Recommended by: Dean Fisher CIP Project Manager Approved by: David A. Ludwin Director of Engineering Accepted by: Southern Contracting Co. Contractor EDMS 003782482 Date Date Date •• -tl PDC COMMITIEE AGENDA REPORT Ora nge Cou nty Sanitation District FROM: Dave Ludwin , Director of Engineering Originator: Pam Koester , CIP Project Manager SUBJECT: HEADWORKS IMPROVEMENTS NO. 2 JOB NO. P2-66 GENERAL MANAGER'S RECOMMENDATION Meet ing Date To Bd . of Dir. 12/0 2/04 12/15/04 Item Number Item Number PDC04-109 13(1) (1) Approve a budget increase of $37 , 144 ,000 for Headworks Improvements at Plant No. 2, Job No, P2-66 , for a total budget of $266,380 ,941; (2) Approve a budget transfer of $6 ,900 ,000 from Trickling Filters at Plant No . 2, Job No. P2-90 , increasing the total project budget to $273 ,280,941 ; and (3) Approve a budget transfer of $580 ,000 from Newport Trunk Sewer and Force Mains and Bitter Point Pump Station to Coast Trunk Sewer, Job No . 5-58 , increasing the total project budget to $273 ,860 ,941 . SUMMARY • The Headworks at Plant No . 2 has been expanded and modified by more than 40 different projects over the past 30 years. There are a number of Headworks components requiring major rehabilitation , replacement , automation and safety/seismic upgrades . • The Final Design is nearly comp lete and the final construction cost estimate has been prepared by the Consultant. • Due to increases in materials prices and additional project e lements , the estimated construction cost budget has increased by about $46 .22 million from $172 million to $218.22 million . • In order to facilitate construction activities at Plant No . 2 over the next 10 years , specific project elements from Trickling Filters at Plant No. 2 , Job No. P2 -90 , and Newport Trunk Sewer and Force Mains and Bitter Point Pump Station to Coast Trunk Sewer, Job No . 5-58 , are being added to the P2-66 construction documents . It is recommended that the construction funds already included in these projects for the specific project elements be transferred to P2-66. These funds total $7.48 million . Revised 06104/03 Pag e 1 PRIOR COMMITTEE/BOARD ACTIONS Please see the attached PSA Status Report . PROJECTICONTRACTCOSTSUMMARY A request is being made to increase the project budget for Job No . P2-66 by $44 ,620,000 from $229 ,240 ,941 to $273 ,860 ,941 . A total of $37 , 144 ,000 is being requested from the existing Capital Reserve budget. The remainder of the requested funds would be transferred from existing Capital Improvements Program (CIP) projects budgets. A total of $6,900 ,000 would be transferred from Job No . P2-90 , decreasing its total project budget from $138 ,587 ,000 to $131 ,587,000 . A total of $580 ,000 would be transferred from Job No . 5-58, decreasing its total project budget from $20 ,935 ,000 to $20,355 ,000. It is requested that a total of $1,600,000 of unused funds be transferred from Phase 2 to Phase 3 . The requested changes are shown in the attached Budget Information Table . BUDGET IMPACT D This item has been budgeted . (Line item: CIP Budget Section 8, Page 49) ~ This item has been budgeted , but there are insufficient funds. D This item has not been budgeted . D Not applicable (information item) The current CIP budget will increase by $37 , 144 ,000. ADDITIONAL INFORMATION Evaluation of Project Costs By the time the Preliminary Design Report was finished for Headworks Improvements at Plant No. 2 , Job No . P2-66 , the project scope had undergone two Value Engineering Workshops to ensure that the new Headworks was being designed in the most optimal manner possible . These workshops resulted in a savings of about $18 .5 million in construction costs and was mostly related to changes in technology or elimination of equipment redundancy . Once the final design commenced , however, there were further changes in the project scope and associated construction costs due to the inclusion of new project elements, more comprehensive evaluation of construction sequencing requirements resulting in a longer construction period , and increases in materials costs. Both the increased construction cost and approved increases in Consultant design fees were documented in Agenda Reports submitted to the Orange County Sanitation District Board of Directors on December 18, 2003 and June 23 , 2004. Revised 06/04/03 Page 2 ,.,-. In the June 23, 2004 Agenda Report, it was further noted that the estimated construction cost was expected in increase above the Design Submittal 2 (DS2) estimate of March 2004 because of rising material costs and District staff would· come back to the PDC Committee for direction at a later date once the impact was determined. P2-66 is expected to go out for bid in January of 2004. District staff believed it was important to have the Consultant prepare the final cost estimate as close to the bid date as possible to ensure that the latest materials costs were incorporated into the estimate. The results of this evaluation are documented herein. Lessons learned from the Groundwater Replenishment System (GWRS) bidding situation were also incorporated into the evaluation of escalating materials costs. District staff is coming back to the PDC Committee for direction on the matter of increased construction costs because it is District policy to ensure that sufficient budget is available to match the Consultant's construction cost estimate prior to advertising for construction bids. Construction Cost There are three factors that have changed the estimated construction cost on the P2-66 project: 1. Escalating materials costs 2. Additional construction elements Escalating materials costs: After the first Design Submittal (i.e. DS1) was completed, the construction cost was estimated to be $160.7 million. This estimate included a number of cost assumptions for the project elements approved under Amendment No. 5. After incorporating these project elements into the third design submittal (DS3), the estimated project cost increased to $172.0 million. This cost estimate is based on unit prices derived from previous projects, cost estimating publications, vendors, etc., and assumes a mid-point of construction of August 2007. Over the last year, the cost of various materials of construction has escalated substantially due to global issues including steel, ductile iron, copper, cement, shoring materials, resins (FRP), and plastics. Costs for some of these materials are expected to continue to escalate in the near future. The escalated DS3 construction cost estimate to account for these changes is $209.8 million, or $37.8 million higher. This new cost also considers an increase in escalation to mid-point of construction from 3% to 4% per year. Additional Construction Elements: Two other projects that will be constructed during the same period as P2-66 include: Job No. P2-90, Trickling Filters at Plant No. 2, and Job No 5-58, Newport Trunk Sewer and Force Mains and Bitter Point Pump Station to Coast Trunk Sewer. In order to facilitate the construction of all three projects, specific portions of the pipelines in P2-90 and 5-58 will be added to the P2-66 construction documents. This will increase the base construction cost by $7.48 million ($6.9 million Revised: 06104103 Page 3 for P2-90 and $0.58 million for 5-58). Construction costs for these elements will be transferred from these projects to P2-66. The increase in cost to account for escalation to mid-point of construction for these projects totals $0.94 million. Cost Summary: Based on the four factors listed above, the Final Design expected construction cost has increased from $172 million at DS3 to $218.22 million and is summarized as follows: • DS3 Construction Estimate • Escalating Materials Costs • Additional Construction Projects Revised Construction Cost $172.00 million $ 37.80 million $ 8.42 million $218.22 million It is recommended that the construction budget be increased to $218.22 million to coincide with the Consultant's Estimate. The change in estimated construction cost is $46.22 million. Project Contingency It is Orange County Sanitation District (District) protocol to carry at least a 10% contingency into construction to allow for potential change orders and additional engineering costs. Based on a construction value of $218.22 million, the contingency would be $21.82 million. The current contingency is $17.30 million or 8 percent. At this time no additional contingency funding is being requested. Total Increase in Project Cost Unused funds would be transferred from Phase 3 (design) to Phase 4 to offset a portion of the requested increase in construction costs. The requested increase in total project cost is as follows: Current Total Project Cost Additional Construction Cost Less fund transfer from Ph 3 to Ph 4 Net Total Project Cost Increase Total New Project Cost ALTERNATIVES $229,240,941 $ 46,220,000 $ ( 1,600,000) $ 44,620,000 $273,860,941 The District could consider not approving the additional funds for the project, in which case, the necessary construction would not be completed. Revised: 06/04/03 Page4 •; CEQA FINDINGS Replacement of the Plant No. 2 Headworks was not included in the 1999 Strategic Plan Program EIR. A Subsequent EIR to the1999 Strategic Plan Program EIR was approved by the District's Board of Directors in April 2004. ATTACHMENTS 1. Budget Information Table 2. PSA Status Report PK: eh H:\ntglobal\Agenda Draft Reports\PDC\P2-66 Agenda Report December 2004.doc Revised 06/04/03 Page 5 PROJECT/PHASE Phase 1 -Projed Development Phase 2 -Preliminary Deskin Phase 3 -Deskin Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Continaencv PROJECT TOTAL !Reimbursable Costs PROJECT NET Desian PSA Construction Contrad EOMS: 003782875 ORIGINAL CURRENT BUDGET INFORMATION TABLE HEADWORKS IMPROVEMENTS AT PLANT NO. 2 JOB NO. P2-66 PROPOSED PROPOSED FUNDS THIS PROPOSED · ES!1M,A1'ED,,:,:: ·;<·~Tl~~D: AUTHORIZED PROJECT BUDGET REVISED AUTHORIZED to AUTHORtzATION TOTAL EXPENDITURE EXPENDED TO INCREASE BUDGET BUDGET /DECREASE BUDGET DATE REQUEST AUTHORIZATION TO DATE DATE(%)· ., < ·< ·. , .,,.t.·:· , /~::; .. • $ 57,999 $ 64,000 $ 64,000 $ 64,000 $ 64,000 $ 64,398 101% $ 92,400 $ 3,900,000 $ 3,900,000 $ 3,900,000 $ 3,900,000 $ 3,902,223 100% $ 450,401 $ 15,922,000 $ (1,600,000l $ 14,322,000 $ 14,732,499 $ 14,732,499 $ 13,119,727 89% $ 1,799,600 $ 190, 102,000 $ 46,220,000 $ 236,322,000 $ 1,246,000 $ -$ 1,246,000 0% $ 1,562,000 $ 1,562,000 $ 770,000 $ 770,000 $ -0% $ 391,000 $ 391,000 $ 192,000 $ 192,000 $ -0% $ 17,300,000 $ 17,300,000 $ -#OIV/01 $ 2,400,400 $ 229,241,000 $ 44,620,000 $ 273,861,000 ,·, $ 20,904,499 $ -$ 20,904,499 $ 17,086,348 82% $ 2,400,400 $ 229,241,000 $ 44,620,000 $ 273,861,000 $ 20,904,499 $ -$ 20,904,499 $ 17,086,348 82% PSAIContract $ 16,282,294 $ 16,282,294 $ 16,282.294 $ 16,282,294 . $ 172,000,000 $ 46,220,000 $ 218,220,000 . $ -$ -$ - Total Projed Budget: Consultant: Start Date of Project: Date 3/1/00 9/26/00 9/26/00 11/15/00 8/22/01 12118/02 Pending Professional Services Agreement Status Report Headworks Improvements at Plant No. 2 Job No. P2-66 $226, 130,000 Carollo Engineers 8/1/99 Addendum Description Original PSA Preliminary Engineering Report for the design of a new headworks at Plant No. 2 1 Additional engineering tasks-sewer hydraulic analyses and phone survey of vortex grit basin installations 2 Additional engineering tasks -assistance in negotiations with equipment vendors and preparation of plans and specifications for pilot test equipment 3 Additional engineering tasks -evaluation of headworks alternatives and assistance during pilot plant studies 4 Predesign, Design and Bidding Services for a new headworks at Plant No. 2 5 Additional Design Engineering Tasks 6 Additional Design Engineering Tasks * Approved by General Manager EDMS 003772260 Revised 05/14/98 Cost Accumulated Costs $375,000 $375,000 $24,940* $399,940 $24,980* $424,920 $224,153 $649,073 $12,628,299 $13,277,372 $2,370,421 $15,647,793 $634,501 $16,282,294 11/23/04 PDC COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Ann Tobin , Engineer Meetin g Date 12/02/04 Item Number PDC04-110 SUBJECT: COOPERATIVE PROJECTS GRANT PROGRAM , JOB NO . J-73 GENERAL MANAGER'S RECOMMENDATION To Bd . of Dir. 12/15/04 Item Number 13(m) (1) Approve time extensions to Cooperative Projects Grant Program Contract Nos . 0102 and 0203 with the City of Buena Park ; and (2) Approve $35 ,000 FY 04/05 funding for the flow monitoring and data analysis project proposed by the City of Buena Park. SUMMARY • The Cooperative Projects Grant Program (Program) provides funds to local agencies for projects that reduce or eliminate inflow and infiltration (I/I) to the sewer collection system . • Time extensions are required for two existing contracts due to local agency project delays. • The City of Buena Park has withdrawn its FY 04/05 application for Cooperative Project Grant Funding for sewer lining and requests $35 ,000 for an alternative flow monitoring and data analysis project. PRIOR COMMITTEE/BOARD ACTIONS On September 7 , 2004, as part of the FY 04/05 grant review, the Cooperative Projects Grant Committee recommended a two-part approval process with an initial flow monitoring requirement for a sewer lining project proposed by the City of Buena Park. Orange County Sanitation District (District) staff was directed to contact the engineering staff at the City of Buena Park to explain the flow monitoring requirement and the Program payback criteria . On October 27 , 2004 , the Board of Directors (Board) approved $2 ,386 ,537 in funding for 17 Cooperative Projects for Fiscal Year 2004-05 , increasing the total program funding since inception to an amount not to exceed $21 ,203 ,023 . This approval did not incl ude funding for the sewer lining project proposed by City of Buena Park as part of the FY 04/05 grant application process . Page 1 PROJECTICONTRACTCOSTSUMMARY At this time , additional funding of $35 ,000 is being requested fo r Fiscal Year 2004-05 Cooperative Projects. If approved , the total approved funding for contracts under the Program will increase from $21,203,023 to $21 ,238 ,023 . BUDGET IMPACT ~ This item has been budgeted. (FY2004-05 Section 5 , p. 12) 0 This Item has been budgeted , but there are insufficient funds . 0 This Item has not been budgeted. 0 Not applicable (information item) The total budget for the Program , Job No . J-73 , was reduced from $142 ,675 ,600 to $72,000 ,000 in FY 2003-04. The remaining budget will be spent over the next 15 years on projects that reduce inflow and infiltration (I/I) in the District's service area . Authorization for $35 ,000 is being requested as shown in 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 More ti me needed to Buena P ark C P-0102 09130103 07/01 /05 08/01/05 2 inco rp orate RWQCB requi reme nts. More time need ed to Buena P ark CP-0203 02117104 01 /0 1/05 02/0 1/05 1 com pi le doc umenta tion for reimbursement. Recommended Grant Funding for Fiscal Year 2004-05 On September 7 , 2004 , the District reviewed grant applications for 19 projects from 13 agencies and recommended funding 17 of the projects . For the sewer lining project proposed by the Cities of Buena Park , the Committee recommended a two-part approval process with an initial flow monitoring requirement to verify infiltration rates . District staff was directed to contact the engineering staff at the City of Buena Park to explain the flow monitoring requireme nt and the Program payback cr iteria . After discussion with District staff, the City of Buena Park w ithdrew its application for sewer lining and proposed an alternative project for flow monitoring and data analysis . The flow monitoring project will permit the City of Buena Park to determine the infiltration and inflow of its entire system and better prioritize future lining and repairs . The project is consistent with the goa ls of the Program and similar to projects approved by the District Board for FY 04/05 grant funding . Page 2 , ALTERNATIVES 1. Do not approve time extensions. Not approving the time extensions would prevent the City of Buena Park from collecting reimbursement for Contract No. 0102 and Contract No. 0203. 2. Do not approve funding for flow monitoring and data analysis by City of Buena Park. Denying funding could prevent the City of Buena Park from fully investigating I/I in its collection system. CEQA FINDINGS Local agencies are responsible for CEQA compliance. ATTACHMENTS Budget Information Table JDH:AT:sa H:\ntglobal\Agenda Draft Reports\PDC\J-73 AR pdc 120204 .doc Page 3 PROJECTIPHASE ORIGINAL AUTHORIZED BUDGET. CURRENT ..... PROJECT BUDGET BUDGET INFORMATION TABLE COOPERATIVE PROJECTS GRANT PROGRAM JOB NO. J-73 , ·~ ._ ; . ; ' -·~ ·~ PROPOSED BUDGET INCREAsE /DECREASE .·PROPOSED :. REVISED >;:"' FUNoS . THIS ' ;, :' AUTHORIZED TO · AuTHORIZAnON BUDGET DATE REQUEST ._P_hase __ 1_-_Pro ....... 1Je._1ct_0e_v_e_1op._:me_n1_.,_s...__14_2 ....... 0_1 __ 5.a_o_o-+-""s __ 7_2 ...... ooo ____ .oo_o ________ s __ 1_2 __ .o_oo ....... o_o_o s 21.203,023 s 35,000 $ Phase 2 -Preliminary Design Phase 3 -Deskin Phase 4 -Construdlon Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Conflngencv PROJECT TOTAL IRelmbumable Costs PROJECT NET 'Design PSA Conslrudlon Contiacl AT:sa EDMS 003782584 $ 142,875,600 $ 72,000,000 $ $ 142,875,800 $ 72,000,000 $ 72,000,000 $ 21,203,023 $ 35,000 $ 11 72,000,000 $ 21,203,023 $ 35,000 $ PSA/Contract 11 21,238,023 $ 7,500,760 35% 21,238,023 $ 7,500,760 35% 21,238,023 $ 7,500,760 35% PDC COMMITTEE AGENDA REPORT Orange Co unty Sanitation District FROM: David Ludwin , Director of Engineering Originator: Matt Smith , PMO Manager SUBJECT: Service Contract for Reprographic Services GENERAL MANAGER'S RECOMMENDATION Meeting Date To Bd . of Dir. 12/2/04 12/15/04 Item Number Item Number PDC04-111 13(n) Authorize the General Manager to enter into a sole source three-year, one-year renewable blanket purchase order agreement with OCB Reprographics , Inc ., for Reproduction of Plans , Photocopying and Related Services , for an annual amount not to exceed $225 ,000 . SUMMARY • Orange County Sanitation District has utilized a reprographics vendor for services including , but not limited to , the reproduction of plans and/or plain paper copies , photocopying , and related services . The services provide for a high volume of reproduction of engineering construction project plans for bidding , and various reports and binding services required during the year that cannot be performed as economically with the District's copying equipment. • In addition to the regular copying services , the District also requires services to scan and index documents to be loaded into the Electronic Document Management System (EDMS) and a filing and distribution system for the ordering and tracking of plan s and specifications for bidding of projects. • OCB Reprographics , Inc ., has maintained th is service contract for the last five years and has introduced two new software tools , Planwell and Bidcaster, to assist in the District's bid process . Whil e these tools have enabled the District to maintain an optimal bid process , a s ignificant amount of training was required prior to and during their use to streamline the bid process for both OCB and District staff. Over the training period and the succeeding contract years , OCB and the District have developed a set of agreed upon procedures and minimum requirements to ensure a s mooth bid process . • Within the ne xt three yea rs , approximately 53 District engineering projects will be bid for construction. It is essential that the D istrict have a service contract with a well- trained and reputable reprographics vendor to ensure these projects are bid effectively and efficiently . Staff recommends that a sole source blanket purchase order be entered into with OCB Reprographics , Inc., to ensure the bid process remains efficient throughout this large volume of engineering projects . Revi sed 06/04/03 Page 1 PRIOR COMMITTEE/BOARD ACTIONS A previous contract w ith OCB was awarded on January 26 , 2000 . Th is contract was a 5-year, 1-year renewable contract. See attached status report for details . PROJECTICONTRACTCOSTSUMMARY The contract for reprograp h ic services is a Blanket Purchase Order and is cha rged initially to the Joint Operating fund . The Budget allocation is reassigned to the project or overhead number for which the work is requested at the time service is provided . BUDGET IMPACT D Th i s item has been budgeted . (Li ne item : ) D Th i s item has been b udgeted , but there are insufficient funds . D Th is item has not been budgeted . IZ] Not applicable (information item ) ADD ITIONAL INFORMATION In considering t he options for a new reprograph ics cont ract, it was evident tha t other reprograph ic vendors were available in Orange County providing services similar to those offered by OCB Reprographics Inc. Staff determined that although the services offered were similar , there were some min imum req uirements that other vendors d id not meet. The current contract prov ides for a 2 to 4 hour turnaround time on all reprograph ic jobs. This turnaround time would be very d ifficul t fo r other vendors to meet because of the ir unfam iliarity with OCSD bid procedures . These same procedures that have taken years to establish and fine-tune with our current vendor. In addition , out of the two most qualified vendors , one vendor had no locations in Orange County, making it very difficult to meet the turnaround time and difficult for contractors to obtain plans and specifications to bid contracts in a t imely manner. District staff has met with OCB Reprographics regarding the completion of the 5-year, 1- year renewable contract and options for the coming years. The representative from OCB Reprographics has informed staff that they would agree to maintain the schedule of prices for the current contract for the opportunity to continue to provide the District with a 3-yea r, 1-year renewable sole source blanket purchase order contract. The original c ontract w ith OCB was bid in 2000 and the unit prices were based on an anticipated annual volum e of $100 ,000 . Conside ring the annua l work g iven t o OCB has more than doubled , OCB agreed to maintain the existing prices for the services OCSD typically requires . If OCSD asks for a service that is not identified on the attached sheet of unit prices , a standard discount of 25 % will be given . Revised 06/04/03 Page 2 \ ALTERNATIVES There are no known cost efficient alternatives. CEQA FINDINGS Not applicable ATTACHMENTS 1. Blanket Purchase Order Status Report 2. 2004-2005 Unit Price Sheet MS:JP:lc:ba H:\ntglobal\Agenda Draft Reports\PDC\OCB Award of Contract AR1204.doc Revised 06/04/03 Page 3 BLANKET PURCHASE ORDER SERVICE AGREEMENT STATUS REPORT REPROGRAPHIC SERVICES Total Proposed Project Budget: Reprographics Vendor: Start Date of Project: Yearly Purchase DATE Order Contract 02/01/00 Original PO 02101/01 Year2 02/01/02 Year3 02101/03 Year4 02/01/04 Years Pending Years Spec. No. 9900-05 $225,000 OCB Reprographics, Inc. February 1, 2005 Starting Description Cost Reprographic Services $100,000 Reprographic Services, Change Orders 1 and 2 $100,000 Reprographic Services, Change Order 1 $100,000 Reprographic Services, Change Order 1 $100,000 Reprographic Services $225,000 Reprographic Services $225,000 H:\dept\eng\ENG\BLANKET PURCHASE ORDER SERVICE AGREEMENT STATUS REPORT.doc Total Yearly Costs $100,000 $124,000 $225,000 $225,000 $225,000 $225,000 The FAHR minutes of the meeting held December 8, 2004 were not available for this mailing. These minutes will be distributed at the December 15, 2004 Board of Directors meeting. Once the minutes are finalized, they will also be available on the District's website (www.ocsd.com). FAHR COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: Gary Streed, Director of Financeff reasurer Originator: Michael White , Controller Meeting Date To Bd . of Dir. 12/08/04 12/15/04 Item Number Item Number FAHR 04-105 14(b) SUBJECT: TREASURER'S REPORT FOR THE MONTH OF NOVEMBER 2004 GENERAL MANAGER'S RECOMMENDATION Receive and file Treasurer's Report for the month of November 2004. SUMMARY Pacific Investment Management Co. (PIMCO), serves as the District's professional external money manager, and Mellon Trust serves as the District's third-party custodian bank for the investment program . Some funds are also deposited in the State of California Local Agency Investment Fund for liquidity. The District's Investment Policy, adopted by the Board, includes reporting requirements as listed down the left most column of the attached PIMCO Monthly Report for the "Liquid Operating Monies" and for the "Long-Term Operating Monies" portfolios . The District's external money manager is operating in compliance with the requirements of the Investment Policy. The portfolio contains no reverse repurchase agreements. As shown on page 2 of the attached P IMCO 's Performance Monitoring and Report ing Report for the Long-Term Operating Monies, there is one investment policy compliance exception . It pertains to the holding of one security within PIMCO's Long-Term Operating Monies Portfolio that had an accept able rating at the time of purchase but has since fallen below the minimum rating allowed by the investment policy. The District's investment policy requires a m inimum 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 ra t ing exception pertains to the holding of a United Airlines (UAL) Asset Backed Security with a par value of $1 .6 million, representing 0 .44 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 t imes, first from A-to BBB , then to BB, then to B+, B-, and finally to CCC+. Both rating agencies have since withdrawn their ratings , Moody's in February 2004 and Standard & Poor's in June 2004 . Although these ratings are less than what is required at the time of purchase , PIMCO believes, based on the financ ial strength of UAL and the underlying collateral of the security, that the District would suffer an unwarranted loss if the security was sold at this time. H:ldeplllin\220\geggie\FAHRITREASRPT120804 .doc Page 1 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 this security 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. (Line item : [g] Not applicable (information item) ADD ITIONAL INFORMATION Schedules are attached summarizing the detail for both the short-term and long-term investment portfolios for the reporting period. In addition, a consolidated report of posted investment portfolio transactions for the month is attached. The attached yield analysis report is presented as a monitoring and reporting enhancement. In this report, yield calculations based on book values and market values are shown for individual holdings, as well as for each portfolio . Mellon Trust, the District's custodian bank , is the source for these reports . Transactions that were pending settlement at month end may not be reflected . Also provided is a summary of monthly investment balances and transactions within the State of California Local Agency Investment Fund (LAIF). These reports accurately reflect all District investments and are in compliance with California Government Code Section 53646 and the District's Investment Policy. Sufficient liquidity and anticipated revenues are available to meet budgeted expenditures for the next six months. The table on the following page details the book balances of the District's investment accounts at month-end. A graphical representation of month-end balances is shown on the attached bar chart. H:ldep1Vin\220\geggie\FAHRITREASRPT120804.doc Page 2 ." r , State of Calif. LAIF $ 26,408, 111 2.00 Union Bank Checking Account 826,120 1.64(1) PIMCO -Short-term Portfolio 72,892,222 2.32 PIMCO -Long-term Portfolio 344,814,076 3.39 Petty Cash 4.000 NIA TOTAL ~444 944 529 3.13 Debt Service Reserves w/Trustees 162 589142 3.17 (1) This is the annualized yield for the month of October. The November 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:bg H:\dept\fin\220\geggie\FAHR\TREASRPT120804.doc Page3 Prepared by Finance, 12/7/2004, 3:38 PM Monthly Investment Balances by Type- Last Six Months .,, $700,000,000 .---------------------------------~ $600,000,000 _, _ _,, $500,000,000 ->--- $200,000,000 June 2004 July 2004 August 2004 September 2004 Fi2I PIMCO -Long-term ~ PIMCO -Short-term ~COP Debt Reserves mLAIF D Bank Accts •Petty Cash H:\dept\fin\EXCEL.dta\220\geggie\mo treas rpt\Monthly Investment Balances Graph 1.xls October 2004 November 2004 Orange County Sanitation District Investment Transactions and Balances in the State of California Local Agency Investment Fund November 30, 2004 Par Value Book Value Market Value Balance November 1, 2004 $9,908,111 $9,908,111 $9,908,111 Deposits: 11/15/2004 13,200,000 13,200,000 13,200,000 11/24/2004 12,100,000 12.100,000 12,100,000 Total Deposits 25,300,000 25,300,000 25,300,000 Withdrawals: 11/4/2004 (7,100,000) (7, 100,000) (7, 100,000) 11/22/2004 (1,700,000~ (1,700,000~ ~1,700,000~ Total Withdrawels (8,800,000) (8,800,000) (8,800,000) Balance November 30, 2004 $26,408, 111 $26,408, 111 $26,408, 111 Rate Yield 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 2.00 PIM C 0 December 6, 2004 Mr. Mike White, CPA Controller Orange County Sanitation District 10844 Ellis A venue Fountain Valley, CA 92708-7018 Dear Mike: The following is a description of events in the bond markets during the month of November in addition to an analysis of the strategies undertaken in the Orange County Sanitation District's Long-Term and Liquid 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: U.S. Treasury yields rose in November following President Bush's victory and releases of stronger than expected economic data. Bush's proposed tax policy is expected to help sustain the U.S. economic growth. An anticipated interest rate hike, declining oil prices and concerns over weakening foreign demand for U.S. Treasuries amplified the sell-off in Treasuries. Federal Open Market Committee (FOMC) policy makers increased the benchmark Fed funds rate by 25 basis points to 2.0 percent, representing the fourth rate hike since June 2004, while restating their plan to tighten at a "measured" pace. Across the yield curve, interest rates edged up, with the benchmark 10-year Treasury note yielding 4.35 percent at the end of the month, an increase of 33 basis points. Treasuries, as represented by the Lehman Treasury Index, lost 1.34 percent during the month. On a duration-adjusted basis, TIPS outperformed their nominal counterparts, as the Lehman Brothers Global Real U.S. TIPS index returned -0.24 percent for the month. Mortgage- backed securities returned -0.25 percent, exceeding Treasuries by 38 basis points after adjusting for duration. The credit sector, represented by the Lehman Credit Index, returned -1.00 percent, outperforming Treasuries for the month by 41 basis points. November began with a strong Employment Report, indicating that the economy created 337,000 new jobs in October, far exceeding the consensus estimate of 160,000 jobs; however, the unemployment rate edged up to 5.5%. On the inflation front, consumer prices rose 0.6% in October. A 4.2% increase in energy prices drove the annual inflation rate up to 3.2%. Excluding food and energy items, core inflation increased 0.2%, placing the annual rate of inflation for core Mr. Mike White, CPA Orange County Sanitation District December 6, 2004 Page2 consumer prices at 2.0%. Consumer confidence dropped unexpectedly in November, pulled down by considerably weaker expectations for the next six months. Surveyed consumers believed that the employment situation will be worse, income trends will deteriorate and business conditions will falter. Lastly, the Bureau of Economic Analysis revised third quarter GDP growth up to 3.9% :from 3.7%. The real trade balance was revised lower, while consumer spending and business equipment investment were revised higher. Treasury yield changes during the month ofNovember are summarized as follows: • 3-month bills: +33 basis points to 2.22% • 6-month bills: +31 basis points to 2.43% • 2-year notes: +45 basis points to 3.00% • 5-year notes: +41 basis points to 3.69% • IO-year notes: +33 basis points to 4.35% • 30-year notes: +21 basis points to 5.00% Performance Attribution: Long-Term Portfolio The Long-Term portfolio that PIMCO manages on behalf of Orange County Sanitation District returned -0.45% on a total return basis for the month of November, outperforming the Merrill Lynch 1-5 year Government Corporate Index by 24 basis points. The following points summarize returns for the month ended November 30: • The Long-Term portfolio outperformed the benchmark by 24 basis points for the month. • For the twelve-month period, the Long-Term portfolio returned 2.61 %, outperforming the benchmark by 4 7 basis points. • Portfolio duration, below the index, was positive for monthly performance as interest rates increased during the month. • Yield curve positioning similar to that of the index was neutral for performance. • An underweight exposure to corporates was negative for performance, as corporates outperformed Treasuries on a duration-adjusted basis. • Exposure to mortgage-backed securities was positive for relative performance as the sector outperformed Treasuries on a duration-adjusted basis. • Substituting Treasury Inflation Protected Securities for nominal Treasuries was positive for performance as short and intermediate TIPS outperformed their nominal counterparts during the month. v Mr. Mike White, CPA Orange County Sanitation District Liquid Portfolio December 6, 2004 Page3 The Liquid portfolio that PIMCO manages on behalf of Orange County Sanitation District generated a total return of 0.14% during the month of November, perfonning in line with the 3- month Treasury Bill Index. The following points summarize returns for the period ending November 30: • The Liquid portfolio perfonned in line with the benchmark for the month. • For the twelve-month period, the Liquid portfolio returned 1.23%, outperfonning the benchmark by 7 basis points. • Use of higher yielding securities such as commercial paper and short-tenn notes contributed to perfonnance. Outlook and Strategv: The global economy will muddle along over the next several quarters, with neither a boom nor a bust likely to emerge. The U.S., Japan and China will grow faster than Europe. A global excess of supply over demand in labor and product markets, as well as subdued unit labor costs, will restrain inflation. Interest rates in the U.S. will be range-bound within 30-40 basis points, with a bias toward slightly higher rates, given the very low absolute yields. Important aspects of the outlook are: • A Boom Is Not In The Cards... More business investment will be needed to bolster global demand growth now that fiscal and monetary stimulus is fading. Companies in the U.S. and Japan have ample liquidity to boost investment after repairing their balance sheets over the last several years, but a lack of confidence about future growth and lingering excess capacity will subdue the "animal spirits" of corporate executives. Investment spending and hiring will be more modest than would be expected given such robust corporate profits and cash flow. • ••• But Neither Is a Bust -Some growth in investment will be needed just to maintain the capital stock of Corporate America, whose current spending is not keeping pace with depreciation. Growth in consumer spending will remain a net positive, as a modest pickup in hiring will support disposable incomes. Range-bound rates will keep household debt service at manageable levels. • Higher Oil Prices Will Restrain Growth -Higher oil prices will also exert inflationary pressure worldwide. Still, the adverse impact of rising oil prices will be more muted than in the past. Oil prices in real terms are nowhere near levels seen in the late 1970s. Moreover, the world's reliance on oil per unit of output has been considerably reduced since then. The global economy looks stable, with prospects for modest growth, low volatility in financial markets and range-bound interest rates. PIMCO remains concerned, however, about a tilt in the direction of either deflation or inflation. The uncertain pace of investment and hiring could tilt the balance of risks toward deflation. On the other hand, monetary policy remains simulative despite the beginning of Fed tightening. Easy money combined with higher commodity prices and dollar weakness could swing the economy back in the other direction. A prudent approach in Mr. Mike White, CPA Orange County Sanitation District December 6, 2004 Page4 this environment is to stay defensive and well diversified to avoid negative consequences of being on the wrong side of any market dislocation. Key strategies will include: • Tactically Flexible Interest Rate Strategies -Rates are more likely to rise than fall over a secular, or three to five year time frame. We will therefore be wary of extending duration beyond benchmark levels. At the low end of our forecasted interest rate range, we will target duration about 0.5 year below the index and then shift toward a neutral posture should rates move back up. • Structural Yield Curve Exposure -While short/intermediate maturities are close to full valuation, we will retain a modest structural emphasis here. Because the short/intermediate portion of the yield curve remains relatively steep, this "bulleted" posture can provide extra yield with less price risk than a "barbell," or mix of short and long term bonds. In addition, longer maturities would be more vulnerable if the economy tilted toward inflation. • Retain Current Exposure to Core U.S. Sectors but Do Not Increase Allocations -Tight corporate yield premiums offer too little reward to bear the risk of negative credit events if the economy were to slow. While mortgage-backed bonds offer structural yield advantage and high credit quality, they are fully valued for now as a result of unusually heavy demand from banks, which are taking advantage of mortgages' attractive "carry" in a steep yield curve environment. • TIPS as an Out-of-Index Alternative -Better risk/reward trade-offs can be found outside of core sectors. At current break-even inflation levels, real return bonds continue to provide an effective hedge against secular inflation risk. They are also less volatile than nominal bonds in a rising rate environment. 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, CFA Senior Vice President Orange County Sanitation District for the month ending November 30, 2004 Total Return Account -203 With Accrued Interest Market Value Book Value Yield to Matwity Short Term Account -603 348, 138,333 346,131,159 3.39 With Accrued Interest Market Value Book Value Yield to Matwity 72,954,146 73,000,318 2.32 Without Accrued Interest 344, 795,020 342, 787 ,846 3.42 Without Accrued Interest 72,748,925 72,795,097 2.33 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 30 November 2004) Liquid Operating Monies (603) 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 % INTEREST RATE CHANGE Dollar Inmact (e:ain/loss) of 1% Change: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.S PORTFOLIO MATURITY % of Portfolio Maturin2 within 90 days: 15.1.6 PORTFOLIO QUALITY Avera2e Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RA TING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE "In Comoliance 11 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 I basis point for the month, but perfonned in tine with the benchmark fiscal year-~ate. • PIMCO's emphasis on higher yielding securities such as commercial paper and short-term notes contributed to performance. H:\dept\On\220\t:eale\F AHR\LIQ0800-04-I 1.RPT.doc Page 1of1 $72,954,146 $72,954,849 $73,000,318 $73,010,657 0.16 0.20 $116.727 0% 76% "AAA" 0% Yes Portfolio Index 0.15 0.14 0.37 0.40 1.23 1.16 0.60 0.60 MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 30 November 2004) (. Long-Term Operating Monies (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 % INTEREST RATE CHANGE Dollar Imnact ( 2ain/loss) of 1 % Chan2e: 15.1.4 REVERSE REPOS % of Portfolio in Reverse Repos: (see attached schedule) 15.1.5 PORTFOLIO MATURITY % of Portfolio Maturin2 within 90 days: 15.1.6 PORTFOLIO OUALITY Avera2e Portfolio Credit Quality: 15.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A": 15.1.8 INVESTMENT POLICY COMPLIANCE "In Conmliance" 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 outperformed the benchmark by 24 basis points for the month, and by 11 basis points fiscal year-to-date. • Portfolio duration, below the index, was positive for monthly perfonnance as interest rates increased during the month. • Yield curve positioning similar to that of the index was neutral for perfonnance. • An underweight exposure to corporates was negative for perfonnance, as corporates outperformed Treasuries on a duration-adjusted basis. • Exposure to mortgage-backed securities was positive for relative perfonnance as the sector outperformed Treasuries on a duration-adjusted basis. Page 1 of2 $348,138,333 $348,223, 192 $346,131,159 $348,135,742 1.99 2.43 $6.927.953 0% 12% AAA 0% No* Portfolio Index -0.45 -0.69 -0.02 -0.24 2.61 2.14 1.56 1.45 • Substituting Treasury Inflation Protected Securities for nominal Treasuries was positive for performance as short and intermediate TIPS outperformed their nominal counterparts during the month. .., *Compliance Issues: MONTHLY REPORT ORANGE COUNTY SANITATION DISTRICT INVESTMENT MANAGEMENT PROGRAM PIMCO'S PERFORMANCE MONITORING & REPORTING (for the month ended 30 November 2004) 0 Page2of2 ( 1) $1,600,000 par of United Airlines (UAL) Pass-Through 2001-1-C (Enhanced Equipment Trust Certificate (EETC) -909317BC2), 6.831 % coupon, 3/01/201 O maturity, representing 0.46% 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 BA 1 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 (83 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. Both rating agencies have since withdrawn their ratings (Moody's withdrew in February 2004 and S & P withdrew in June 2004). 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. On November 24, UAL asked an Illinois bankruptcy judge to let it reject its union labor contracts if it fails by January to extract an additional $725 million of annual savings from its employees. The airline says it needs the additional labor concessions and the ability to drop traditional pensions to secure financing and get out of bankruptcy. The cuts would come atop the $2.5 billion United employees have already made in annual labor concessions. A hearing on the motion is scheduled for January 10, 2005. PIMCO continues to negotiate with United on our holdings and currently leads an ad hoc committee. This has been an extremely complicated effort due to the complex nature ofUnited's bankruptcy. These negotiations have required PIMCO's analysts access to non-public information and therefore sharing them results in parties becoming restricted. In light of this extremely complicated bankruptcy, PIM CO continues to strive to act in the most prudent manner to obtain maximum recovery. Split Rated Securities Still In Compliance: The District's investment policy requires a minimum rating of A3 by Moody's or A-by S&P, with at least a BBB in the event of a split rating. • $1,000,000 par of Ford Motor Credit securities (cusip 345397GV9 maturing 5/15/05), representing 0.29% of the portfolio holdings on a par basis (exposure was reduced in July 2004 as $2.5 million par matured). 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 1116/02 fromA2 to A3. • $1,750,000 par of Virginia Electric Power NT securities (cusip 927804ENO), maturing on March 31, 2006, represents 0.50% 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:ldeptljinl2201geggk1FAHRIL-T0800-04-J J.RPT.doc ····--·--·-·--·--.. -···-· ··-··-----· .. · ···~·-·-·-·~·--------····------·-· ·-------·---··---··--.. ---------------------------·--·----·--.. ---.. ---.. ----~--.--.. ·-·-· .. ·---------------·--·-----------~-·-··---.... ·----.. ,-- Asset Summary by Asset Type with Sectors !:-!Q.~l.>. .. Q.~~·!.'l!!!_~O • 0,CSF07S,1. ~ 1.<>.~ ....................................................................................................................... 1. .. JJ ;3() /~QQ4. ........ .. i' ........ --........ -.. -· ............. -.. ---·-· .................. -................. , ... _ ...... ---·--·-.. ·-· -·--------· Description CASH & CASH EQUIVALENTS U.S. DOLLAR PENDING TRADES INTEREST CERTIFICATES OF DEPOSIT -DOMESTIC FED HM LOAN BNK -LESS THAN 1 YR FEDERAL HOME LOAN MORTGAGE -LESS THAN 1 FNMA ISSUES -LESS THAN 1 YR MUTUAL FUNDS REPURCHASE AGREEMENTS TREASURY BILLS -LESS THAN 1 YR U.S. DOLLAR CASH & CASH EQUIVALENTS FIXED INCOME SECURITIES U.S. DOLLAR BANKING & FINANCE Cost Shares Par Base -154,002.33 216,629.09 4,400,000.000 4,400,000.00 13,600,000.000 13,532,370.01 14,600,000.000 14,517,643.45 12,600,000.000 12,538,965.61 131,167.290 131,167.29 13 ,000,000.000 13,000,000.00 9,000,000.000 8,906,337.09 67,331,167.290 67 ,089,110.21 67,331,167 .290 67,089,110.21 5,800,000.000 5,921,546.50 Report ID: GL8251 Base Currency: USD Altemate Base Currency: Exchange Rate: Market Value Base -154,002.33 216,629.09 4,400,000.00 13,532,370.01 14 ,517 ,643.45 12,538,965.61 131,167.29 13,000,000.00 8,906,337.09 67,089,110.21 67,089,110.21 5,865,738.50 % of Total -0.21% 0.30% 6.03% 18.55% 19.900.4> 17.19% 0.18% 17.82% 12.21% 91.96% 91.96% 8.04% Net Unrealized Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 o.oo 0.00 -55,808.00 TOTAL ASSETS -BASE: 73,131,167.290 ____ 7_3.._,0_l_0 __ ,6_5_6_. 7_1 ____ 7_2.._,9_5_4.;...,8_4_8_. 7_1 100.00% ____ -_s_s __ ,a_o_s_.oo_ 1 Workbench Asset Summary by Asset Type with Sectors L~NG T~_OPER-~1.lkfCO -OCSF07522202 .... lJl3Ql~OQ4. Report ID: GL8251 Base Currency: USD Alternate Base Currency: Exchange Rate: ······--------·· ... --······-·-·--·---·--·-·------··--·-··-·----.. ·-·----...... ·--·-----------·------------------.. -·--------·----·-.. ----------------------------·----···------------------- Description CASH & CASH EQUIVALENTS U.S. DOLLAR PENDING TRADES INTEREST COMMERCIAL PAPER -DISCOUNT FED HM LOAN BNK -LESS THAN lYR FEDERAL HOME LOAN MORTGAGE -LESS THAN 1 FNMA ISSUES -LESS THAN 1 YR MUTUAL FUNDS TREASURY BILLS -LESS THAN lYR U.S. DOLLAR CASH & CASH EQUIVALENTS FIXED INCOME SECURITIES U.S. DOLLAR ABS -AIRPLANE RECEIVABLES ABS -HOME EQUI1Y BANKING & FINANCE COLLATERALIZED MORTGAGE OBLIGATION FHLMC MULTICLASS FHLMCPOOLS FNMA POOLS FNMAREMIC GNMA MULTI FAMILY POOLS GNMA SINGLE FAMILY POOLS INFLATION INDEXED SECURITIES INSURANCE PVT PIACEMENTS -MORE THN 1 YR U.S. AGENCIES U.S. GOVERNMENTS UTILl1Y -ELECTRIC U.S. DOLLAR Cost Shares Par Base -26,348, 165.24 3,409,116.23 7 .100.000.000 7,051,720.00 600,000.000 599,967.83 3,500,000.000 3,474,512.22 6,400,000.000 6,365,477.66 1,217,743.410 1,217,743.41 16,000,000.000 15,843,937.78 34,817,743.410 11,614,309.89 34,817,743.410 11,614,309.89 1,600,000.000 1,600,000.00 683,565.240 683,565.24 10.000,000.000 9,929,273.50 1,920,261.520 1,920,261.52 839,278.290 840,172.39 60,279.950 58,810.61 52,611,183.470 53,453,917.37 436,944. 990 445,683.89 3,619,062.430 3,606,957.26 588,274.660 616,784.43 35,407. 700.000 35,424,619.79 1,600,000.000 1,594,032.00 752,000.000 826,199.84 43,901,715.270 44,862,502.30 176,285,923.500 178,914,812.43 1, 750,000.000 1,743,840.00 332,056,189.320 336,521,432.57 1 Market Value Base -26,348, 165.24 3,409,116.23 7,051,720.00 599,967.83 3,474,512.22 6,365,477.66 1,217,743.41 15,843,937. 78 11,614,309.89 11,614,309.89 84,000.00 683,671.88 10,000,121.00 2.033,364.92 837,532.59 61,893.52 53 ,360, 737 .50 437,280.17 3,649,704.61 622,715.45 38,742,294.10 1,633,488.00 826,199.84 44,645,437.10 177,186,856.19 1,803,585.00 336,608,881.87 %of Total -7.5°1°/o 0.98% 2.03% 0.1°1°/o 1.00% 1.83% 0.35% 4.55% 3.34% 3.34% 0.02% 0.20% 2.8°1°/o 0.58% 0.24% 0.02% 15.32% 0.13% 1.05% 0.18% 11.13% 0.4°1°/o 0.24% 12.82% 50.88% 0.52% 96.66% Net Unrealized Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 -1,516,000.00 106.64 70,847.50 113,103.40 -2,639.80 3,082.91 -93,179.87 -8,403.72 42,747.35 5,931.02 3,317,674.31 39,456.00 0.00 -217 ,065.20 -1, 727, 956.24 59,745.00 87,449.30 Workbench • Asset Summary by Asset Type with Sectors ....... ~9.~-'!~131.t!_Q~~~=P!.:ll.'!~Q_:_.Q_~-~.F.Q!.~~~-~Q~ ................................ -....................... ·--·---.. ·-·-·-· .. ---·-·--····--· l.lL~Q/.~.Q.Q.~-----··--··-· Cost Description Shares Par Base FIXED INCOME SECURITIES 332,056, 189.320 336,521,432.57 ~·p~rtin: oLs2si4 ' Base Currency: USD Alternate Base Currency: Exchange Rate: Market Value Base 336,608,881.87 %of Total 96.66% Net Unrealized Gain/Loss Base 87,449.30 TOTAL ASSETS -BASE: 366,873,932. 730 ___ 3_4_8....;..,_13_5_,_7_42_._46 _____ 3_4_8"'-,2_2_3_,1_9_1_. 7_6 100.00% ____ 8_7....;,_44_9_._3_0 2 Workbench YLDANAL YIELD ANALYSIS PAGE 1 OCSF07511102 2004/11/30 RUN DATE 12/06/04 DISTRICT I LIQUID OPERATING RUN TIME 09.57 .19 ==========================================================--==============================---=================================== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOR YIELD S-P PRICE MARRET VALUE % TOTAL ------------------------------------------------------------------------------------------------- CASH & CASH EQUIVALENTS 1,600,000.00 BANK OF AMERICAN NA INSTL C/D .ooo 2.260 100.000 1,600,000.00 2.38 06050GGS3 2.260% 03/09/2005 DD 11/16/04 1,600,000.00 2.20 5,000,000.00 FEDERAL HOME LR BR CONS DISC N .ooo .ooo P-1 99.551 4,977,541.67 7.42 313384S59 MAT 12/08/2004 A-1+ 4,977,541.67 6.83 1,000,000.00 FEDERAL HOME LR BR CONS DISC N .ooo .ooo P-1 99.521 995,215.00 1.48 313385AW6 MAT 01/21/2005 A-1+ 995,215.00 1.37 1,600,000.00 FEDERAL DOME LR BR CONS DISC .ooo .ooo P-1 99.599 1,593,586.67 2.37 313385BJ4 MAT 02/02/2005 A-1+ 1,593,586.67 2 .19 6,000,000.00 FEDERAL HOME LR BR CONS DISC .ooo .ooo P-1 99.434 5,966,026.67 8.90 313385CA2 MAT 02/18/2005 A-1+ S,966,026.67 8.18 6,100,000.00 FEDERAL HOME LR MTG CORP DISC .ooo .ooo P-1 99.545 6,072,251.78 9.05 313396T37 MAT 12/14/2004 A-1+ 6,072,251. 78 8.33 6,000,000.00 FEDERAL HOME LR MTG CORP DISC .ooo .ooo P-1 99.457 S,967,391.67 8.90 313397BQ3 MAT 02/08/2005 A-1+ 5,967,391.67 8.19 2,500,000.00 FEDERAL HOME LR MTG CORP DISC .ooo .ooo P-1 99 .120 2,478,000.00 3.69 313397DY4 MAT 04/05/2005 A-1+ 2,478,000.00 3.40 6,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .ooo .ooo P-1 99.570 5,974,216.67 8.91 l13588R64 MAT 12/01/2004 A-1+ S,974,216.67 8.20 1,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .ooo .ooo P-1 99.579 995,787.78 1.48 313589BJ1 MAT 02/02/2005 A-1+ 995,787.78 1.37 4,000,000.00 FEDERAL NATL MTG ASSN DISCOUNT .ooo .ooo P-1 99.442 3,977,675.83 5.93 313589BY8 MAT 02/16/2005 A-1+ 3,977,675.83 5.46 l,600,000.00 FEDERAL NATL MTG ASSN DISCONT .ooo .ooo P-1 99.455 1,591,285.33 2.37 313589CF8 MAT 02/23/2005 A-1+ 1,591,285.33 2.18 1,400,000.00 HSBC BANK USA INSTL C/D .ooo 2.335 100.000 1,400,000.00 2.08 40428AGZ4 2.335% 03/23/2005 DD 11/23/04 1,400,000.00 1.92 9,000,000.00 U S TREASURY BILL .ooo .ooo P-1 98.959 8,906,337.09 13.28 912795SL6 DUE 04/28/2005 DD 10/28/04 A-1+ 8,906,337.09 12.22 YLDANAL YIELD ANALYSIS PAGE 2 OCSF07511102 2004/11/30 RUH DATE 12/06/04 DISTRICT: LIQUID OPERATING RUH TIME 09.57.19 ====---====~=--===================----=-==========--====---=== PAR VALUE YTM AT CURRENT MOODY MARRBT TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARRBT VALUE % TOTAL ------------------------------------------------------------------------------------------------- 1,100,000.00 WELLS FARGO BK HA INSTL C/D .ooo 1.900 100.000 1,100,000.00 1.64 9497P1JEO 1.900% 12/15/2004 DD 10/14/04 1,100,000.00 1.51 300,000.00 WELLS FARGO BANK NA INSTL C/D .ooo 1.860 100.000 300,000.00 .44 9497PlLQO 1.860% 12/06/2004 DD 10/08/04 300,000.00 .41 13,000,000.00 CREDIT SUISSE FB REPO .ooo 1.900 100.000 u,000,000.00 19.39 99428K085 01.900% 12/01/2004 DD 11/30/04 13,000,000.00 17.83 131,167.29 DREYFUS TREASURY CASH MGMT .ooo 1. 734 AAA 100.000 131,167.29 .19 996085247 AAA 131, 167.29 .18 -----------------------------------------TOTAL CASH & CASH EQUIVALENTS .ooo .236 67,026,483.45 100.00 67,026,483.45 91.97 FIXED INCOME SECURITIES 3,000,000.00 ASSOCIATES CORP NORTH AMER SR .ooo 6.498 AAl 101.953 3,112,350.00 52.14 046003FF1 6.625% 06/15/2005 DD 06/09/95 AA-3,058,590.00 4.20 150,000.00 BANRAMERICA CORP MTN SR 00150 .ooo 6.990 AA2 101.937 153,652.50 2.60 06605LGFO 7.125% 05/12/2005 DD 05/12/95 A+ 152,905.50 .21 2,500,000.00 GENERAL ELEC CAP MTN fTR 00526 .ooo 2.004 AAA 100.046 2,502,460.00 42.63 36962GXX7 VAR RT 03/15/2005 DD 03/20/02 AAA 2,so1,15o.oo 3.43 1so,ooo.oo RORWEST FINL IRC RT .ooo 7.446 AAl 102.062 153,084.00 2.60 669383DX6 7.600% 05/03/2005 DD 05/03/00 AA-153,093.00 .21 -----------------------------------------TOTAL FIXED INCOME SECURITIES .ooo 5.259 5 1 921,546.50 100.00 5 1 865 1 738.50 e.os -----------------------------------------TOTAL .ooo .379 72,948,029.95 100.00 72,892,221.95 100.00 ================= ======== YLDANAL YIELD ANALYSIS PAGE 3 OCSF07522202 2004/11/30 RUH DATE t 12/06/04 DISTRICT; LONG-TERM OPERATING RUN TIME 09.57 .19 ==================================~~==================================-==--== ----============= PAR VALUE YTM AT CURRENT MOODY MARRET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- CASH & CASH EQUIVALENTS 600,000.00 FEDERAL ROME LN BK CONS DISC N .ooo .ooo P-1 99 .995 599,967.83 1.73 313384R68 MAT 12/01/2004 A-1+ 599,967.83 .16 J,500,000.00 FEDERAL HOME LN MTG CORP DISC .ooo .ooo P-1 99.272 3,474,512.22 10.05 313397DA6 MAT 03/14/2005 A-1+ 3,474,512.22 .94 400,000.00 FEDERAL NATL MTG ASSN DISCOUNT .ooo .ooo P-1 99.731 398,922.50 1.15 313589AG8 MAT 01/07/2005 A-1+ 398,922.50 .11 2,900,000.00 FEDERAL NATL MTG ASSN DISCOUNT .ooo .ooo P-1 99.450 2,884,047.99 8.34 313589BY8 MAT 02/16/2005 A-1+ 2,884,047.99 .78 3,100,000.00 FEDERAL NATL MTG ASSN DISCONT .ooo .ooo P-1 99.436 3,082,501.11 8.92 313589CF8 MAT 02/23/2005 A-1+ 3,082,507.17 .83 1,100,000.00 GENERAL EI.EC CAP DISC .ooo 2.054 P-1 99.320 7,051,720.00 20.40 36959BP43 02/04/2005 7,051,720.00 1.90 16,000,000.00 U S TREASURY BILL .ooo .ooo P-1 99.025 15,843,937.78 45.85 912795SG7 DUE 03/31/2005 DD 09/30/2004 A-1+ 15,843,937.78 4.27 1,217,743.41 DREYFUS TREASURY CASH MGMT .ooo 1.734 AAA 100.000 1,217,743.41 3.52 996085247 AAA 1,217,743.41 .33 .oo BSDT-LATE MONEY DEPOSIT ACCT .ooo .ooo .ooo .oo .oo 996087094 .oo .oo -----------------------------------------TOTAL CASS & CASH EQUIVALENTS .ooo .423 34,553,358.90 100.00 34,553,358.90 9.32 FIXED INCOME SECURITIES 752,000.00 AIG SUNAMERICA GLOBAL REG S .ooo 5.325 109.867 826,199.84 .24 U00907AAO 5.850% 08/01/2008 DD 08/08/01 826,199.84 .22 22,000,000.00 COMMIT TO PUR FNMA SF MTG .ooo 4.936 AAA 101.297 22,316,250.00 6.62 01F0504C7 5.000% 12/01/2019 DD 12/01/04 AAA 22,285,313.60 6.00 4,000,000.00 COMMIT TO PUR FNMA SF MTG .ooo 5.440 AAA 101.109 4,053,242.18 1.20 01F0526Cl 5.soot 1210112034 DD 12101104 AAA 4,044,375.20 1.09 YLDANAL YIELD ANALYSIS PAGE 4 OCSF07522202 2004/11/30 RUN DATE 12/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME I 09.57.19 ==============================================================================----===~~-----======~o=========== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 1,500,000.00 CIT GROUP INC NEW SR NT .ooo 2.309 A2 100.421 1 1 507,005.00 .44 125581AF5 VAR RT 09/22/2006 DD 09/23/03 A 1,506,315.00 .41 10,000,000.00 FEDERAL ROME LN MTG CORP MTN .ooo 4.026 AAA 99.343 9,993,100.00 2.95 3128X3WY5 4.000% 09/22/2009 DD 09/22/04 AAA 9,934,310.00 2.68 3,500,000.00 FEDERAL ROME LN BK CONS BDS .ooo 7.056 AAA 100.975 3,732,225.00 1.04 3133MAUN7 7.125% 02/15/2005 DD 02/08/00 AAA 3,534,111.35 .95 60,279.95 FBLMC GROUP 178-6064 .ooo 3.320 AAA 102.677 58,810.61 .01 31348SWZ3 6.384% 01/01/2028 DD 12/01/97 AAA 61,893.52 .02 11,350,000.00 FEDERAL NATL MTG ASSN DEBS .ooo 5.085 AAA 103.251 11,521,271.50 3.48 31359MJX2 S.250% 06/15/2006 DD 06/22/01 AAA 11,719,029.36 3.16 670,639.63 FNMA POOL 10254510 .ooo 4.919 AAA 101.641 690,758.81 .20 31371KVB4 5.000% 11/01/2017 DD 10/01/02 AAA 681,642.34 .18 144,232.89 FNMA POOL 10254631 .ooo 4.919 AAA 101.641 148,559.88 .04 31371KY47 S.000% 02/01/2018 DD 01/01/03 AAA 146,599.22 .04 128,626.11 FNMA POOL 10254760 .ooo 4.921 AAA 101.609 132,484.88 .03 31371KSV9 5.000% 06/01/2018 DD 05/01/03 AAA 130,696.19 .04 58,348.47 FNMA POOL 10254866 .ooo 4.921 AAA 101.609 60,098.93 .01 31371LCB3 5.000% 09/01/2018 DD 08/01/03 AAA 59,287.52 .02 309,768.53 FNMA POOL 10254953 .ooo 4.924 AAA 101.547 313,737.45 .09 31371LE21 5.000% 11/01/2018 DD 10/01/03 AAA 314,560.28 .oe 839,060.53 FNMA POOL 10254987 .ooo 4.932 AAA 101.384 849,810.99 .25 31371LF46 5.000% 12/01/2018 DD 11/01/03 AAA 850,676.74 .23 148,649.48 FNMA POOL 10323980 .ooo 5. 710 AAA 105.086 155,199.35 .04 31374T2MO 6.000% 04/01/2014 DD 09/01/99 AAA 156,209.70 .04 24,453.04 FNMA POOL 10357328 .ooo 4.927 AAA 101.474 25,186.63 .oo l1376J4M8 5.000% 01/01/2018 DD 01/01/03 AAA 24,813.46 .01 1,285,831.39 FNMA POOL 10357430 .ooo 4.921 AAA 101.609 1,300,296.99 .38 31376:KA71 5.000i 09/01/2018 DD 09/01/03 AAA 1,306,525.30 .35 41,861.30 FNMA POOL 10456482 .ooo 5.110 AAA 105.086 43,705.80 .01 31381CCT2 6.000% 02/01/2014 DD 02/01/99 AAA 43,990.34 .01 YLDANAL YIELD ANALYSIS PAGE 5 OCSF07522202 2004/11/30 RUN DATE 12/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME 09.57.19 ============================================================================================================================= PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOR YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 100,441.22 FNMA POOL 10509649 .ooo 5.710 AAA 105.086 104,866.91 .03 31383QEWO 6.000% 09/01/2014 DD 09/01/99 AAA 105,549.60 .03 115,989.40 FNMA POOL 10535451 .ooo 5.716 AAA 104.961 121,100.18 .03 31384VZQ8 6.000% 06/01/2015 DD 07/01/00 AAA 121,743.56 .03 307,611.11 FNMA POOL 10555363 .ooo 4.919 AAA 101.641 316,839.43 .09 31385W5Yl 5.000% 04/01/2018 DD 03/01/03 AAA 312,657.87 .oe 32,033.31 FNMA POOL 10555453 .ooo 4.919 AAA 101.641 32,443.74 .oo 31385XBW6 5.000% 05/01/2018 DD 04/01/03 AAA 32,558.86 .01 255,698.09 FNMA POOL 10555545 .ooo 4.919 AAA 101.641 263,369.05 .01 31385XES2 5.000% 06/01/2018 DD 05/01/03 AAA 259,893.15 .07 886,007.21 FNMA POOL 10555621 .ooo 4.932 AAA 101.384 895,974.79 .26 3138SXG68 5.000% 07/01/2018 DD 06/01/03 AAA 898,273.37 .24 472,873.20 FNMA POOL 10681309 .ooo 4.919 AAA 101. 641 487,059.39 .14 31391Y3S4 s.000% 02/01/2018 DD 02/01/03 AAA 480,631.30 .13 57,757.94 FNMA POOL 10681334 .ooo 4 .919 AAA 101.641 59,490.68 .01 31391Y4Tl S.000% 02/01/2018 DD 01/01/03 AAA 58,705.53 .02 436,944.99 FNMA GTD REMIC P/T 02-76 PD .ooo 4.996 AAA 100.077 445,683.89 .12 31392FRF3 S.000% 08/25/2022 DD 10/01/02 AAA 437,280.17 .12 309,055.19 FNMA POOL 10684908 .ooo 4.919 AAA 101.641 313,014.97 .09 31400D3R1 5.000% 06/01/2018 DD 05/01/03 AAA 314,125.64 .08 170,532.63 FNMA POOL 10685200 .ooo 4 .919 AAA 101. 641 172,717.60 .05 31400EGB7 5.000% 03/01/2018 DD 03/01/03 AAA 173,330.44 .os 29,499.02 FNMA POOL 10685665 .ooo 4.919 AAA 101.641 30,383.99 .oo 31400EW22 S.000% 02/01/2018 DD 02/01/03 AAA 29,982.99 .01 258,290.12 FNMA POOL 10686318 .ooo 4.919 AAA 101.641 266,038.83 .07 31400FPB7 5.000% 03/01/2018 DD 03/01/03 AAA 262,527.71 .07 102,025.74 FNMA POOL 10688739 .ooo 4.921 AAA 101.609 105,086.51 .03 31400.JEL9 5.000% 06/01/2018 DD 06/01/03 AAA 103,667.72 .03 83,790.18 FNMA POOL 10689859 .ooo 4.921 AAA 101.609 84,863.74 .02 31400KMG8 5.000% 05/01/2018 DD 05/01/03 AAA 85,138.68 .02 YLDANAL YIELD ANALYSIS PAGE 6 OCSF07522202 2004/11/30 RUH DATE J 12/06/04 DISTRICT: LONG-TERM OPERATING RUH TIME : 09.57.19 ============================================================================================================================= PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 571,879.31 FNMA POOL 10693834 .ooo 4.919 AAA 101.641 589,035.68 .17 31400PY74 5.000% 03/01/2018 DD 03/01/03 AAA 581,261.73 .16 204,404.45 FNMA POOL 10695852 .ooo 4.919 AAA 101.641 210,536.58 .06 31400SBVO 5.000% 05/01/2018 DD 05/01/03 AAA 207,757.97 .06 677 ,918. 77 FNMA POOL 10695889 .ooo 4.921 AAA 101.609 698,256.35 .20 31400SC23 5.000% 05/01/2018 DD 05/01/03 AAA 688,829.06 .19 21,496.35 FNMA POOL 10697026 .ooo 4.919 AAA 101.641 22,141.26 .oo 31400TLF2 5.ooot 05/01/2018 DD 04/01/03 AAA 21,849.03 .01 206,067.58 FNMA POOL 10702210 .ooo 4.932 AAA 101. 384 212,249.60 .06 31401ADP9 S.000% 05/01/2018 DD 05/01/03 AAA 208,920.44 .06 126,494.17 FNMA POOL 10702328 .ooo 4.919 AAA 101.641 128,114.87 .03 31401ABD2 5.ooot 05/01/2018 DD 04/01/03 AAA 128,569.47 .03 258,850.56 FNMA POOL 10709148 .ooo 4.921 AAA 101.609 266 ,616 .08 .01 31401BZM7 5.000% 06/01/2018 DD 06/01/03 AAA 263,016.45 .01 582,179.80 FNMA POOL 10709360 .ooo 4.921 AAA 101.609 589,638.99 .17 31401JB56 5.000% 07/01/2018 DD 06/01/03 AAA 591,549.29 .16 101,131.22 FNMA POOL 10709826 .ooo 4.921 AAA 101.609 102,426.96 .03 31401JSP4 5.ooot 06/01/2018 DD 06/01/03 AAA 102,758.81 .03 210,736.05 FNMA POOL 10709917 .ooo 4.921 AAA 101.609 213,436.10 .06 31401JVJ4 5.000\ 06/01/2018 DD 06/01/03 AAA 214,127.59 .06 18,049 .83 FNMA POOL 10709963 .ooo 4.932 AAA 101.384 18, 281.10 .oo 31401JWYO 5.ooot 06/01/2018 DD 06/01/03 AAA 18,299.72 .oo 556,777.49 FNMA POOL 10710235 .ooo 4.921 AAA 101.609 573,480.83 .16 31401KBC8 5.000% 06/01/2018 DD 06/01/03 AAA 565,738.16 .15 15,229.86 FNMA POOL 10713344 .ooo 4.921 AAA 101.609 15,686.75 .oo 31401NP52 s.ooot 06/0112018 DD 06/0l/03 AAA 15,474.97 .oo 242,621.09 FNMA POOL 10713365 .ooo 4.921 AAA 101.609 245,729.67 .07 31401NQS1 5.000\ 07/01/2018 DD 07/01/03 AAA 246,525.79 .07 695, 706. 76 FNMA POOL'f0720319 .ooo 4.921 AAA 101.609 704,620.50 .21 31401WG45 5.ooot 0110112018 DD 01101103 AAA 706,903.33 .19 YLDAHAL YIELD ANALYSIS PAGE 7 OCSF07522202 2004/11/30 RUH DATE 12/06/04 DISTRICT: LONG-TERM OPERATING RUH TIME : 09 .57. u ==========----===========~==========================--=====--===e= PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 1,997,621.13 FNMA POOL 10720369 .ooo 4.932 AAA 101.384 2,057,549.76 .60 31401WJNO 5.000% 06/01/2018 DD 06/01/03 AAA 2,025,276.82 .55 280,001.23 FNMA POOL 10721629 .ooo 4.921 AAA 101.609 288,401.28 .08 31401XVW4 5.000% 07/01/2018 DD 06/01/03 AAA 284,507.51 .08 231, 331.15 FNMA POOL 10723487 .ooo 4.921 AAA 101.609 233,933.63 .06 31402AXQ4 5.000% 06/01/2018 DD 06/01/03 AAA 235,054.15 .06 377,606.92 FNMA POOL 10729601 .ooo 4.921 AAA 101.609 382,445.01 .11 ll402BRW3 5.ooot 07/01/2018 DD 07/01/03 AAA 383 1 684.05 .10 33,074.76 FNMA POOL 10732873 .ooo 4.921 AAA 101.609 33,498.51 .oo 31402MFN5 5.000% 11/01/2018 DD 10/01/03 AAA 33,607.06 .01 601,112.70 FNMA POOL 10737130 .ooo 4.921 AAA 101.609 608,814.46 .18 31402S4P9 5.ooot 101011201e DD 10/01/03 AAA no, 786.89 .16 509,373.22 FNMA POOL 10738211 .ooo 4.932 AAA 101.384 515,899.58 .15 31402UDQ2 5.000% 10/01/2018 DD 10/01/03 AAA 516,425.14 .14 179,137.86 FNMA POOL 10738487 .ooo 4.924 AAA 101.547 181,433.06 .os 31402UHC2 S.000% 10/01/2018 DD 10/01/03 AAA 181,908.91 .os 668,098.06 FNMA POOL 10740471 .ooo 4.932 AAA 101.384 676,658.05 .20 31402WT40 5.000% 10/01/2018 DD 10/01/03 AAA 677,347.42 .18 732,173.27 FNMA POOL 10740748 .ooo 4.921 AAA 101. 609 741,554.23 .22 31402W5H7 5.000% 10/01/2018 DD 11/01/03 AAA 743,956.72 .20 35,983.50 FNMA POOL 10743868 .ooo 4.932 AAA 101.384 36,444.53 .01 31403BMR1 5.000% 11/01/2018 DD 10/01/03 AAA 36, 481. 67 .01 951,079.13 FNMA POOL 10744008 .ooo 4.921 AAA 101.609 963,264.83 .28 31403BR54 5.ooot 07/01/2018 DD 09/01/03 AAA 966,385.61 .26 148, 492. 34 FNMA POOL 10744316 .ooo 4.932 AAA 101.384 150,394.90 .04 31403B3Z4 5.ooot 09/0112018 DD 09/01103 AAA 150,548.11 .04 324,958.21 FNMA POOL 10747914 .ooo 4.924 AAA 101. 547 329, 121. 74 .09 31403F3XO 5.000% 11/01/2018 DD 11/01/03 AAA 329,984.92 .09 193,516 .oe FNMA POOL 10748400 .ooo 4.932 AAA 101.384 195,995.51 .05 31403GNR9 5.ooot 08/01/2018 DD 09/01/03 AAA 196,195.18 .os YLDANAL YIELD ANALYSIS PAGE 8 OCSF07522202 2004/11/30 RUN DATE 12/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME I 09.57.19 ================----======================================= ----------- PAR VALUE YTM AT CURRENT MOODY MARRET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARRBT VALUE % TOTAL ------------------------------------------------------------------------------------------------- 909,993.46 FNMA POOL 10748899 .ooo 4.927 AAA 101.474 921,652.75 .27 31403G7LO 5.000% 12/01/2018 DD 11/01/03 AAA 923,409.53 .25 2,045,032.15 FNMA POOL 10750377 .ooo 4.927 AAA 101. 474 2,071,234.12 .61 31403JUA2 5.000% 11/01/2018 DD 11/01/03 AAA 2,075,182.14 .56 1,827,041.64 FNMA POOL 10750380 .ooo 4.927 AAA 101. 474 1 1 850 1 450.63 .55 31403JUD6 5.000% 11/01/2018 DD 11/01/03 AAA 1,853,977.79 .so 166,746.20 FNMA POOL 10750445 .ooo 4.927 AAA 101.474 168,882.64 .OS 31403JWE2 5.000% 11/01/2018 DD 11/01/03 AAA 169,204.55 .os 771,893.98 FNMA POOL 10751960 .ooo 4.932 AAA 101.384 781,783.88 .23 31403LMB1 5.000% 12/01/2018 DD 11/01/03 AAA 782,580.32 .21 818,437.58 FNMA POOL 10753425 .ooo 4.928 AAA 101.453 827,900.75 .24 31403NA23 5.000% 11/01/2018 DD 11/01/03 AAA 830,330.54 .22 584,297.55 FNMA POOL 10755165 .ooo 4.924 AAA 101.547 591,783.87 .17 31403Q6A3 5.000% 12/01/2018 DD 11/01/03 AAA 593,335.93 .16 901,562.33 FNMA POOL 10756372 .ooo 4 .924 AAA 101.547 911,986.63 .27 31403SJR8 5.ooot 1110112018 DD 11101103 AAA 915,508.42 .25 10,279.10 GNMA POOL 10421389 .ooo 6 .134 AAA 105.965 10,788.25 .oo 36206UC23 6.500% 04/15/2026 DD 04/01/96 AAA 10,892.23 .oo 19,865.62 GNMA POOL f 0449851 .ooo 6.169 AAA 105.359 20,849.60 .oo 36208FWLO 6.500% 01/15/2028 DD 01/01/98 AAA 20,930.22 .01 36,570.24 GNMA POOL 10466845 .ooo 6.140 AAA 105.871 38,381.61 .01 36209BTA6 6.500% 06/15/2028 DD 06/01/98 AAA 38,717.31 .01 111,094.05 GNMA POOL 10468052 .ooo 6.140 AAA 105.871 116,596.68 .03 36209CSM4 6.500% 07/15/2028 DD 07/01/98 AAA 117,616.48 .03 146,114.19 GHMA POOL 10476041 .ooo 6.140 AAA 105.871 153,123.12 .04 36209MZE7 6.500% 06/15/2028 DD 06/01/98 AAA 154,692.69 .04 120,804.66 GNMA POOL 10478626 .ooo 6.140 AAA 105.871 126,599.51 .03 36209QVT9 6.500% 01/15/2029 DD 01/01/99 AAA 121,e~n.21 .03 28,813.62 GNMA POOL 10480598 .ooo 6.140 AAA 105.871 30,195.76 .oo 36209S3F6 6.500% 10/15/2028 DD 10/01/98 AAA 30,505.29 .01 YLDAHAL YIELD ANALYSIS PAGE 9 OCSF07522202 2004/11/30 RUN DATE 12/06/04 DISTRICT: LONG-TERM OPERATING RUN TIME : 09.57.19 =============--==---===----============--====--=============--======--========--================= PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ % TYPE SECURITY ID SECURITY DESCRIPTION BOOR YIELD S-P PRICE MARRET VALUE % TOTAL ------------------------------------------------------------------------------------------------- 8,404.54 GNMA POOL 10512235 .ooo 6.143 AAA 105.809 e,820.82 .oo 36211GBC6 6.500% 11/15/2029 DD 11/01/99 AAA 8,892.73 .oo 106,328.64 GNMA POOL 10514326 .ooo 6.140 AAA 105.871 111,429.08 .03 36211JLF2 6.500% 07/15/2029 DD 07/01/99 AAA 112,571.29 .03 184 ,891. 72 GNMA II POOL 10080395 .ooo 3.341 AAA 101.030 183,216.14 .os 36225CNM4 VAR RT 04/20/2030 DD 04/01/00 AAA 186,796.10 .os 1,678,625.24 GNMA II POOL I080408X .ooo 3.341 AAA 101.029 1,661,576.69 .so 36225CN28 6.500% 05/20/2030 DD 05/01/00 AAA 1,695,905.01 .46 1,373,606.82 GNMA II POOL 10080965 .ooo 3.485 AAA 100.432 1,372,748.31 .40 36225DCB8 VAR RT 07/20/2034 DD 07/01/04 AAA 1,379,544.92 .37 3,500,000.00 GOLDMAN SACHS GRP MTN ITR00194 .ooo 2.276 AA3 100.156 3,507,850.50 1.04 38141EJB6 VAR RT 10/27/2006 DD 10/29/03 A+ 3,505,460.00 .94 800,000.00 GOLDMAN SACHS GRP MTN ITR00207 .ooo 2.427 AA3 100.140 800,000.00 .23 38141EJQ3 VAR RT 07/23/2009 DD 07/23/04 A+ 901,120.00 .22 3,200,000.00 MORGAN STANLEY NT .ooo 3.910 AA3 99.093 3,149,248.00 .94 61746BALO 3.875% 01/15/2009 DD 01/13/04 A+ 3,170,976.00 .es 683,565.24 RESIDENTIAL ASSET 03-RSll AIIB .ooo 2.510 AAA 100.016 683,565.24 .20 760985R83 VAR RT 12/25/2033 DD 12/30/03 AAA 683,671.88 .18 2,985,923.50 SBA GTD DEV PARTN 2001-20C 1 .ooo 5.900 AAA 107.465 2,985,923.50 .95 83162CLJO 6.340% 03/01/2021 AAA 3,208,822.69 .86 1,920,261.52 SBA GTD PARTN CTFS SBIC-PS 01 .ooo 6.271 AAA 105.890 1,920,261.52 .60 831641DD4 6.640% 02/10/2011 DD 02/21/01 HR 2,033,364.92 .ss 1,600,000.00 UNITED AIRLS PASSTBRU 01-1 C .ooo 130.114 WR 5.250 1,600,000.00 .02 909317BC2 6.831% 03/01/2010 DD 08/22/01 A-84,ooo.oo .02 20,000,000.00 U S TREASURY NOTES .ooo 5.853 AAA 106.781 22,620,312.50 6.34 9128272JO 06.250% 02/15/2007 DD 02/15/97 AAA 21,356,300.00 5.75 3,531,120.00 US TREASURY INFLATION INDEX NT .ooo 3.309 AAA 109.563 3, 840,621. 35 1.14 9128273T7 3.625% 01/15/2008 DD 01/15/98 AAA 3,868,783.35 1.04 15,073,500.00 US TREASURY INFLATION INDEX NT .ooo 3.443 AAA 112.531 16 ,698, 860.11 5.03 9128274YS 3.875% 01/15/2009 DD 01/15/99 AAA 16, 962, 435.65 4.57 YLDANAL YIELD ANALYSIS PAGE 10 OCSF07522202 2004/11/30 RUN DATE : 12/06/04 DISTRICTS LONG-TERM OPERATING RUN TIME : 09.57.19 ===============================================================================--==========================================~== PAR VALUE YTM AT CURRENT MOODY MARKET TOTAL COST/ \ TYPE SECURITY ID SECURITY DESCRIPTION BOOK YIELD S-P PRICE MARKET VALUE \ TOTAL ------------------------------------------------------------------------------------------------- 3,900,000.00 U S TREASURY NOTES .ooo 5.588 AAA 102.906 4,288,149.14 1.19 9128276N7 05.750% 11/15/2005 DD 11/15/00 AAA 4,013,353.50 1.08 17,600,000.00 U S TREASURY NOTES .ooo 3.393 AAA 99.480 17,405,000.00 s.20 912828BT6 3.375% 12/15/2008 DD 12/15/03 AAA 17,508,480.00 4.72 21,500,000.00 U S TREASURY NOTES .ooo 2.755 AAA 99.810 27,463,468.63 B.15 912828CMO 2.750% 06/30/2006 DD 06/30/04 AAA 27,447,750.00 7.40 49,000,000.00 U S TREASURY NOTES .ooo 2.757 AAA 99.750 49,103,927.41 14 .52 912828CQ1 2.750% 07/31/2006 DD 07/31/04 AAA 48,877,500.00 13.17 55,300,000.00 US TREASURY NOTES .ooo 2.398 AAA 99.050 55, 048, 031. 25 16.27 912828CU2 2.375% 08/31/2006 DD 08/31/04 AAA 54,774,650.00 14.76 1,150,000.00 VIRGINIA ELEC & PWR 01 SER A .ooo 5.579 A3 103.062 1,743,840.00 .53 927804ENO 5.750% 03/31/2006 DD 03/27/01 BBB+ 1,803,585.00 .49 16,803,080.00 US TREASURY INFLATION INDEX NT 3.817 3.166 AAA 106.594 14 I 885 I 138 • 33 5.32 9128272M3 3.375% 01/15/2007 DD 01/15/97 AAA 17,911,075.10 4.83 15,500,000.00 FEDERAL NATL MTG ASSN DEBS 5.967 7.056 AAA 100.983 16,154,410.00 4.65 31359MFB1 7.125\ 02/15/2005 DD 02/14/00 AAA 15,652,411.50 4.22 839,278.29 FBLMC MULTICLASS MTG SER E3 A 6.316 3.686 AAA 99.792 840,172.39 .24 3133TCE95 VAR RT 08/15/2032 DD 12/01/97 AAA 837,532.59 .23 514,623.10 GNMA GTD RBMIC TR 2000-9 FB 6.320 2.583 AAA 100.709 514,623.10 .15 3837B4NX9 VAR RT 02/16/2030 AAA 518,271.78 .14 216, 773.50 GNMA II POOL I080088M 6.705 3.341 AAA 101.019 221,515.43 .06 36225CC20 7.375\ 06/20/2027 DD 06/01/97 AAA 218,982.86 .06 165,165.15 GNMA II POOL 10080023 6.992 4.534 AAA 102.004 167,900.69 .OS 36225CAZ9 VAR RT 12/20/2026 DD 12/01/96 AAA 168,475.72 .OS 2,100,000.00 FEDERAL NATL MTG ASSN DEBS 7.113 5.949 AAA 111.357 2,030,133.00 .69 31359MEY5 6.625\ 09/15/2009 DD 09/01/99 AAA 2,338,500.57 .63 1,000,000.00 FORD MOTOR CR CO NT 7.582 6.642 Al 101.625 965,170.00 .30 345397GV9 6.750% 05/15/2005 DD 05/24/93 BBB-1,016, 250 .oo .27 937,092.17 WMP/BUNTOON PAIGE I000-11150 7.684 7.407 AAA 101.250 916,739.70 .28 302998GE3 7.500% 12/01/2030 DD 10/21/99 AAA 948,802.54 .26 YLDANAL OCSF07522202 DISTRICT& LONG-TERM OPERATING YIELD ANALYSIS 2004/11/30 PAGE RUH DATE RUH TIME 11 12/06/04 09.57.19 ========~==================================================================================================================== PAR VALUE SECURITY ID SECURITY DESCRIPTION 1,600 1 000.00 ALLSTATE CORP SR NT 020002AL5 7.875' 05/01/2005 DD 05/01/00 TOTAL FIXED INCOME SECURITIES TOTAL YTM AT CURRENT MOODY BOOK YIELD S-P 7.967 .156 .154 7. 714 4.503 4 .449 Al A+ MARKET PRICE 102.093 TOTAL COST/ MARKET VALUE 1,594,032.00 1,633,488.00 336,521,432.57 336,608,881.87 371,074,791.47 371, 162, 240. 77 ===============--= ' TYPE ' TOTAL .48 .44 100.00 90.71 100.00 100.00 OCSD-CONSOLIDATED -OCSGOOOlOOOO I . ······ ... ·-··. ·------------.... ---· -----·---------------------···-------------A~se.tDet;ii---------------·-··-------·-------------------------------····-····-·········---ie;e>rim:--oLio1a-···-------.--j Base Currency: USD I by Currency Alternate Base Currency: Exchange Rate: 11/30/2004 --·-·-··--··-·----·-·--~ -·· Cost Market Value Status: FINAL ; ----·------~ -------------------·----·--"·-----·-----···----------------------- Net Unrealized 1 Price L De~cription ____________________________ .. ____ !l~l!~---··---S~_e_s_~~! ________ -----------------~~~~------------------------~as_e __ ·-·- % of Total Gain/Loss Base --------··---~ u.s. DOLLAR CASH & CASH EQUIVALENTS INTEREST RECEIVABLE RECEIVABLE FOR INVESTMENTS SOLD PAYABLE FOR INVESTMENTS PURCHASED BANK OF AMERICAN NA INSTL C/D 2.260% 03/09/2005 DD 11/16/04SEC ID: 06050GGS3 FEDERAL HOME LN BK CONS DISC NMAT 12/01/2004SEC ID: 313384R68 FEDERAL HOME LN BK CONS DISC NMAT 12/08/2004SEC ID: 313384S59 FEDERAL HOME LN BK CONS DISC NMAT Ol/21/2005SEC ID: 313385AW6 FEDERAL HOME LN BK CONS DISCMAT 02/02/2005SEC ID: 313385BJ4 FEDERAL HOME LN BK CONS DISCMAT 02/ 18/2005SEC ID: 313385CA2 FEDERAL HOME LN MTG CORP DISCMAT 12/14/2004SEC ID: 313396T37 FEDERAL HOME LN MTG CORP DISCMAT 02/08/2005SEC ID: 313397BQ3 FEDERAL HOME LN MTG CORP DISCMAT 03/14/2005SEC ID: 313397DA6 FEDERAL HOME LN MTG CORP DISCMAT 04 /05/2005SEC ID: 313397DY4 FEDERAL NATL MTG ASSN DISCOUNTMAT 12/01/2004SEC ID:313588R64 100.0000 99.9946 99.5508 99.5215 99.5992 99.4338 99.5451 99.4565 99.2718 99.1200 99.5703 3,625,745.32 21,326.94 -26,523,494.51 1,600,000.000 1,600,000.00 600,000.000 599,967.83 5,000,000.000 4,977,541.67 1,000,000.000 995,215.00 1,600,000.000 1,593,586.67 6,000,000.000 5,966,026.67 6, 100,000.000 6,072,251. 78 6.000.000.000 5,967,391.67 3,500,000.000 3,474,512.22 2,500,000.000 2,478,000.00 6,000,000.000 5,974,216.67 1 3,625,745.32 0.86% 0.00 21,326.94 0.01% 0.00 -26,523,494.51 -6.300/o 0.00 1,600 .000.00 0.38% 0.00 599,967.83 0.14% 0.00 4,977,541.67 1.18% 0.00 995,215.00 0.24% 0.00 1,593,586.67 0.38% 0.00 5,966,026.67 1.42% 0.00 6,072,251.78 1.44% 0.00 5,967,391.67 1.42% 0.00 3,474,512.22 0.82% 0.00 2,478,000.00 0.590A> 0.00 5,974,216.67 1.42% 0.00 Workbench () ·~···--.. ·--....... Asset Detail Reportm: GL8013 Base Currency: USD by Currency Altemate Base Currency: Exchange Rate: OCSD-CONSOUDATED -OCSGOOOlOOOO 11/30/2004 Status: FINAL ---------·---·---~-----·-------·-----. -----------·---·-··-·-··----····--·--·~----.. ·--·--·--·-----· --.... . ·-···--· ..... ,,--·--··-. ( Net Unrealized I Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base FEDERAL NATL MTG ASSN 99.7306 400,000.000 398,922.50 398,922.50 O.Ogc>k 0.00 DISCOUNTMAT 01/07 /2005SEC ID: 313589AG8 FEDERAL NATL MTG ASSN 99.5788 1 ,000,000.000 995,787.78 995,787.78 0.24% 0.00 DISCOUNTMAT 02/02/2005SEC ID:313589BJ1 FEDERAL NATL MTG ASSN 99.4499 6,900,000.000 6,861,723.82 6,861,723.82 1.63% 0.00 DISCOUNTMAT 02/ 16/2005SEC ID:313589BY8 FEDERAL NATL MTG ASSN 99.4553 4,700,000.000 4,673,792.50 4 ,673 J 792.50 1.11% 0.00 DISCONTMAT 02/23/2005SEC ID: 313589CF8 GENERAL ELEC CAP 99.3200 7,100,000.000 7,051,720.00 7,051,720.00 l.67°k 0.00 DISC02/04/2005SECID: 36959HP43 HSBC BANK USA INSTL C/D 2. 100.0000 1,400,000.000 1,400,000.00 1 ,400,000.00 0.33% 0.00 335% 03/23/2005 DD ll/23/04SECID:40428AGZ4 US TREASURY BILLDUE 99.0246 16,000,000.000 15,843,937.78 15,843,937.78 3.76% 0.00 03/31/2005 DD 09/30/2004SEC ID: 912795SG7 U S TREASURY BILLDUE 98.9593 9 ,000,000.000 8,906,337.09 8,906,337.09 2.11% 0.00 04/28/2005 DD 10/28/04SEC ID: 912795SL6 WELLS FARGO BK NA INSTL C/D 1. 100.0000 1,100,000.000 1J100,000.00 1,100,000.00 0.26% 0.00 900% 12/15/2004 DD 10/14/04SECID:9497PlJEO WELLS FARGO BANK NA INSTL C/D 100.0000 300,000.000 300,000.00 300,000.00 0.07% 0.00 1.860% 12/06/2004 DD 10/08/04SEC ID: 9497PlLQO CREDIT SUISSE FB REPOO 1.900% 100.0000 13,000,000.000 13,000,000.00 13,000,000.00 3,0gc>A, 0.00 12/01/2004 DD 1 l/30/04SEC ID: 99428K085 DREYFUS TREASURY CASH 100.0000 1,348,910.700 1,348,910.70 1,348,910.70 0.32% 0.00 MGMTSEC ID: 996085247 TOTAL CASH & CASH EQUIVALENTS 102, 148,910. 700 78, 703,420.10 78, 703,420.10 18.69% 0.00 FIXED INCOME SECURITIES AIG SUNAMERICA GLOBAL REG S 5. 109.8670 752,000.000 826,199.84 826,199.84 0.20% 0.00 850% 08/01/2008 DD 08/08/01SECID:U00907AAO 2 Workbench .... Asset Detail Reportm: GL80I3 Base Currency: USD by Currency Altemate Base Currency: Exchange Rate: OCSD-CONSOLIDATED -OCSGOOOlOOOO 11/30/2004 Status: FINAL -......... ·--······ .. -·······--·--· Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base COMMIT TO PUR FNMA SF MTG 5. 101.2969 22,000,000.000 22,316,250.00 22,285,313.60 5.29% -30,936.40 000% 12/01/2019 DD 12/01/04SECID:01F0504C7 COMMIT TO PUR FNMA SF MTG 5. 101.1094 4,000,000.000 4,053,242.18 4 ,044 ,375.20 0.96% -8,866.98 5000/o 12/01/2034 DD 12/0l/04SECID:OlF0526Cl ALLSTATE CORP SR NT7.875% 102.0930 1,600,000.000 1,594,032.00 1,633,488.00 0.39% 39,456.00 05/01/2005 DD 05/01/00SEC ID: 020002AL5 ASSOCIATES CORP NORTH AMER 101.9530 3,000,000.000 3,112,350.00 3,058,590.00 0.73% -53,760.00 SR6.625% 06/ 15/2005 DD 06/09/95SECID:046003FF1 BANKAMERICA CORP MTN SR 101.9370 150,000.000 153,652.50 152,905.50 0.04% -747.00 001507.125% 05/12/2005 DD 05/12/95SECID:06605LGFO CIT GROUP INC NEW SR NTVAR RT 100.4210 1,500,000.000 1,507,005.00 1,506,315.00 0.36% -690.00 09/22/2006 DD 09/23/03SEC ID: 125581AF5 WMP /HUNTOON PAIGE #000-101.2497 937 ,092.170 916,739.70 948,802.54 0.23% 32,062.84 111507.5000/o 12/01/2030 DD 10/21/99SECID:302998GE3 FEDERAL HOME LN MTG CORP MTN 99.3431 10,000,000.000 9,993,100.00 9,934,310.00 2.36% -58,790.00 4.0000/o 09/22/2009 DD 09/22/04SECID:3128X3WY5 FEDERAL HOME LN BK CONS BDS7. 100.9746 3,500,000.000 3,732,225.00 3,534,111.35 0.84% -198,113.65 125% 02/ 15/2005 DD 02/08/00SEC ID: 3133MAUN7 FHLMC MULTICLASS MTG SER E3 99.7920 839,278.290 840,172.39 837,532.59 0.20% -2,639.80 AVAR RT 08/ 15/2032 DD 12/01/97SECID:3133TCE95 FHLMC GROUP #78-6064 6.384% 102.6768 60,279.950 58,810.61 61,893.52 0.01% 3,082.91 01/01/2028 DD 12/01/97SEC ID: 31348SWZ3 FEDERAL NATL MTG ASSN DEBS6. 111.3572 2, 100,000.000 2,030,133.00 2,338,500.57 0.56% 308,367.57 625% 09/15/2009 DD 09/01 /99SEC ID: 31359MEYS FEDERAL NATL MTG ASSN DEBS7. 100.9833 15,500,000.000 16,154,410.00 15,652,411.50 3.720/o -501,998.50 125% 02/15/2005 DD 02/14/00SEC ID: 31359MFH1 3 Workbench .... ; ................................. Asset Detail Report m: GL8013 Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD·CONSOLIDATED -OCSGOOO 10000 11/30/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FEDERAL NATL MTG ASSN DEBS5. 103.2514 11,350,000.000 250% 06/ 15/2006 DD 11,521,271.50 11,719,029.36 2.78% 197,757.86 06/22/01SECID:31359MJX2 FNMA POOL #0254510 5.000% 101.6406 670,639.630 690,758.81 681,642.34 0.16% -9,116.47 11/01/2017 DD 10/0l/02SEC ID: 31371KVB4 FNMA POOL #0254631 5.000% 101.6406 144,232.890 148,559.88 146,599.22 0.03% -1,960.66 02/01/2018 DD 01/0l/03SEC ID: 31371KY47 FNMA POOL #0254760 5.000% 101.6094 128,626.110 132,484.88 130,696.19 0.03% -1,788.69 06/01/2018 DD 05/01/03SEC ID: 31371K5V9 FNMA POOL #0254866 5.000% 101.6094 58,348.470 60,098.93 59,287.52 0.01% -811.41 09/01/2018 DD 08/0l/03SEC ID: 31371LCB3 FNMA POOL #0254953 5.000% 101.5469 309,768.530 313,737.45 314,560.28 0.07% 822.83 11/01/2018 DD 10/01/03SEC ID: 31371LE21 FNMA POOL #0254987 5.000% 101.3844 839,060.530 849,810.99 850,676.74 0.200.4> 865.75 12/01/2018 DD l 1/0l/03SEC ID: 31371LF46 FNMA POOL #0323980 6.000% 105.0859 148,649.480 155,199.35 156,209.70 0.04% 1,010.35 04/01/2014 DD 09/01/99SEC ID: 31374T'2MO FNMA POOL #0357328 5.000% 101.4739 24,453.040 25,186.63 24,813.46 0.01% -373.17 01/01/2018 DD 01/01/03SEC ID: 31376J4M8 FNMA POOL #0357430 5.000% 101.6094 1,285,831.390 1,300,296. 99 1,306,525.30 0.31% 6,228.31 09/01/2018 DD 09/01/03SEC ID: 31376KA71 FNMA POOL #0456482 6.0000A> 105.0859 41,861.300 43,705.80 43,990.34 0.01% 284.54 02/01/2014 DD 02/0l/99SEC ID: 31381CCT2 FNMA POOL #0509649 6.000% 105.0859 100,441.220 104,866.91 105,549.60 0.03% 682.69 09/01/2014 DD 09/01/99SEC ID: 31383QEWO FNMA POOL #0535451 6.000% 104.9609 115,989.400 121,100.18 121,743.56 0.03% 643.38 06/01/2015 DD 07 /01/00SEC ID: 31384VZQ8 4 Workbench ... . . ""' ................................ ·········--·--····-················ .. ·············· . Asset Detail Report ID: GL8013 Base Currency: USD by Currency Altemate Base Currency: Exchange Rate: OCSD-CONSOLIDATED -OCSGOOO 10000 11/30/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL #0555363 5.000% 101.6406 307,611.110 316,839.43 312,657.87 0.07% -4,181.56 04/01/2018 DD 03/01/03SEC ID: 31385W5Yl FNMA POOL #0555453 5.000% 101.6406 32,033.310 32,443.74 32,558.86 0.01% 115.12 05/01/2018 DD 04/01/03SEC ID: 31385XBW6 FNMA POOL #0555545 5.000% 101.6406 255,698.090 263,369.05 259,893.15 0.06% -3,475.90 06/01/2018 DD 05/01/03SEC ID: 31385XES2 FNMA POOL #0555621 5.000% 101.3844 886,007.210 895,974.79 898,273.37 0.21% 2,298.58 07 /01/2018 DD 06/0l/03SEC ID: 31385XG68 FNMA POOL #0681309 5.000% 101.6406 4 72,873.200 487,059.39 480,631.30 0.11% -6,428.09 02/01/2018 DD 02/01/03SEC ID: 31391Y3S4 FNMA POOL #0681334 5.000% 101.6406 57,757.940 59,490.68 58,705.53 0.01% -785.15 02/01/2018 DD 01/0l/03SEC ID: 31391Y4Tl FNMA GTD REMIC P /T 02-76 PD 5. 100.0767 436, 944. 990 445,683.89 437,280.17 0.100/o -8,403.72 0000/o 08/25/2022 DD 10/01/02SECID:31392FKF3 FNMA POOL #0684908 5.0000/o 101.6406 309,055.190 313,014.97 314,125.64 0.07% 1,110.67 06/01/2018 DD 05/01/03SEC ID: 31400D3Rl FNMA POOL #0685200 5.000% 101.6406 170,532.630 172,717.60 173,330.44 0.04% 612.84 03/01/2018 DD 03/01/03SEC ID: 31400EGH7 FNMA POOL #0685665 5.000% 101.6406 29,499.020 30,383.99 29,982.99 0.01% -401.00 02/01/2018 DD 02/01/03SEC ID: 31400EW22 FNMA POOL #0686318 5.0000/o 101.6406 258,290.120 266,038.83 262,527.71 0.06% -3,511.12 03/01/2018 DD 03/01/03SEC ID: 31400FPB7 FNMA POOL #0688739 5.0000/o 101.6094 102,025. 740 105,086.51 103,667.72 0.02% -1,418.79 06/01/2018 DD 06/01/03SEC ID: 31400JEL9 FNMA POOL #0689859 5.000% 101.6094 83,790.180 84,863.74 85,138.68 0.02% 274.94 05/01/2018 DD 05/01/03SEC ID: 31400KMG8 5 Workbench ! ,,. . ......... ······-•-•"""""'" .. , .. _,,,, .................................. -........ ......... -... -···-········-····· ..... Asset Detail Report ID: GL8013 Base Currency: USD by Currency Altemate Base Currency: Exchange Rate: OCSD-CONSOLIDA TED -OCSGOOO 10000 11/30/2004 Status: FINAL ....... -..... ,, ... -.... ·-···•· Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL #0693834 5.000% 101.6406 571,879.310 03/01/2018 DD 03/0l/03SEC ID: 589,035.68 581,261.73 0.14% -7,773.95 31400PY74 FNMA POOL #0695852 5.000% 101.6406 204,404.450 210,536.58 207,757.97 0.05% -2,778.61 05/01/2018 DD 05/0l/03SEC ID: 31400SBVO FNMA POOL #0695889 5.0000k 101.6094 677,918.770 698,256.35 688,829.06 0.16% -9,427.29 05/01/2018 DD 05/01/03SEC ID: 31400SC23 FNMA POOL #0697026 5.000% 101.6406 21,496.350 22,141.26 21,849.03 0.01% -292.23 05/01/2018 DD 04/01/03SEC ID: 31400TLF2 FNMA POOL #0702210 5.000% 101.3844 206,067 .580 212,249.60 208,920.44 0.05% -3,329.16 05/01/2018 DD 05/0l/03SEC ID: 31401ADP9 FNMA POOL #0702328 5.0000/o 101.6406 126,494.170 128,114.87 128,569.47 0.03% 454.60 05/01/2018 DD 04/0l/03SEC ID: 31401AHD2 FNMA POOL #0709148 5.0000/o 101.6094 258,850.560 266,616.08 263,016.45 0.06% -3,599.63 06/01/2018 DD 06/0l/03SEC ID: 31401HZM7 FNMA POOL #0709360 5.0000/o 101.6094 582, 179.800 589,638.99 591,549.29 0.14% 1,910.30 07 /01/2018 DD 06/01/03SEC ID: 31401JB56 FNMA POOL #0709826 5.000% 101.6094 101,131.220 102,426.96 102,758.81 0.02% 331.85 06/01/2018 DD 06/0l/03SEC ID: 31401JSP4 FNMA POOL #0709917 5.0000/o 101.6094 210,736.050 213,436.10 214,127.59 0.05% 691.49 06/01/2018 DD 06/0l/03SEC ID: 31401JVJ4 FNMA POOL #0709963 5.0000/o 101.3844 18,049.830 18,281.10 18,299.72 0.000/o 18.62 06/01/2018 DD 06/01/03SEC ID: 31401JWYO FNMA POOL #0710235 5.000% 101.6094 556, 777.490 573,480.83 565,738.16 0.13% -7,742.67 06/01/2018 DD 06/0l/03SEC ID: 31401KBC8 FNMA POOL #0713344 5.000% 101.6094 15,229.860 15,686.75 15,474.97 0.000/o -211.78 06/01/2018 DD 06/0l/03SEC ID: 31401NP52 6 Workbench ······--~·-·--·······"· .. ..... . .... ······-· ······--·------............... _ .................................. ··-~·-·· ····--···········--··-·· ···-·····---····-----~--··"'"""" ... ·--·-··-· .. ····-···-·-·"·--·-t Asset Detail Report ID: GL8013 Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOUDATED -OCSGOOO 10000 11/30/2004 Status: FINAL . --....... "'"' 0 Net Unrealized Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL #0713365 5.000% 101.6094 242,621.090 245,729.67 246,525.79 0.06% 796.12 07 /01/2018 DD 07 /Ol/03SEC ID: 31401NQS1 FNMA POOL #0720319 5.000% 101.6094 695,706.760 704,620.50 706,903.33 0.17% 2,282.83 07 /01/2018 DD 07 /01/03SEC ID: 31401WG45 FNMA POOL #0720369 5.000% 101.3844 1,997 ,621.130 2 ,057 ,549. 76 2,025,276.82 0.4SoAi -32,272.94 06/01/2018 DD 06/01/03SEC ID: 31401WJNO FNMA POOL #0721629 5.000% 101.6094 280,001.230 288,401.28 284,507.51 0.07% -3,893.77 07 /01/2018 DD 06/01/03SEC ID: 31401XVW4 FNMA POOL #0723487 5.000% 101.6094 231,331.150 233,933.63 235,054.15 0.06% 1,120.52 06/01/2018 DD 06/01/03SEC ID: 31402AXQ4 FNMA POOL #0729601 5.0000A. 101.6094 377 ,606. 920 382,445.01 383,684.05 0.09% 1,239.04 07 /01/2018 DD 07 /01/03SEC ID: 31402HRW3 FNMA POOL #0732873 5.000% 101.6094 33,074.760 33,498.51 33,607.06 0.01% 108.55 11/01/2018 DD 10/0l/03SEC ID: 31402MFN5 FNMA POOL #0737130 5.000% 101.6094 601,112.700 608,814.46 610,786.89 0.15% 1,972.43 10/01/2018 DD 10/01/03SEC ID: 31402S4P9 FNMA POOL #0738211 5.000% 101.3844 509,373.220 515,899.58 516,425.14 0.12% 525.56 10/01/2018 DD 10/01/03SEC ID: 31402UDQ2 FNMA POOL #0738487 5.000% 101.5469 179,137.860 181,433.06 181,908.91 0.04% 475.85 10/01/2018 DD 10/01/03SEC ID: 31402UNC2 FNMA POOL #0740471 5.0000A. 101.3844 668,098.060 676,658.05 677,347.42 0.16% 689.37 10/01/2018 DD 10/01/03SEC ID: 31402WT40 FNMA POOL #0740748 5.000% 101.6094 732,173.270 741,554.23 743,956.72 O.lSoAi 2,402.49 10/01/2018 DD ll/01/03SEC ID: 31402W5H7 FNMA POOL #0743868 5.000% 101.3844 35,983.500 36,444.53 36,481.67 0.01% 37.14 11/01/2018 DD 10/01/03SEC ID: 31403BMR1 7 Workbench , ................ ~······-····-·-·. Asset I'~ tail Report ID: GL8013 Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOLIDATED -OCSGOOO 10000 11/30/2004 Status: FINAL c Net Unrealized Price Cost Market Value % of Gain/Loss Description Base Shares Par Base Base Total Base FNMA POOL #0744008 5.000% 101.6094 951,079.130 963,264.83 966,385.61 0.23% 3,120.78 07 /01/2018 DD 09/01/03SEC ID: 31403BR54 FNMA POOL #0744316 5.0000/o 101.3844 148,492.340 150,394.90 150,548.11 0.04% 153.21 09/01/2018 DD 09/01/03SEC ID: 3140383Z4 FNMA POOL #0747914 5.000% 101.5469 324,958.210 329,121.74 329,984.92 0.08% 863.18 11/01/2018 DD 11/01/0JSEC ID: 31403F3XO FNMA POOL #0748400 5.000% 101.3844 193,516.080 195,995.51 196,195.18 0.05% 199.67 08/01/2018 DD 09/01/03SEC ID: 31403GNR9 FNMA POOL #0748899 5.000% 101.4743 909,993.460 921,652.75 923,409.53 0.22% 1,756.78 12/01/2018 DD 11/0l/03SEC ID: 31403G7LO FNMA POOL #0750377 5.0000/o 101.4743 2,045,032.150 2,071,234.12 2,075,182.14 0.49% 3,948.02 11/01/2018 DD l 1/0l/03SEC ID: 31403JUA2 FNMA POOL #0750380 5.000% 101.4743 1,827 ,041.640 1,850,450.63 1,853,977.79 0.44% 3,527.16 11/01/2018 DD 11/01/03SEC ID: 31403JUD6 FNMA POOL #0750445 5.000% 101.4743 166,746.200 168,882.64 169,204.55 0.04% 321.91 11/01/2018 DD 11/01/03SEC ID: 31403JWE2 FNMA POOL #0751960 5.000% 101.3844 771,893. 980 781,783.88 782,580.32 0.19% 796.44 12/01/2018 DD 11/01/03SEC ID: 31403LMH1 FNMA POOL #0753425 5.000% 101.4531 818,437 .580 827,900.75 830,330.54 0.20% 2,429.79 11/01/2018 DD 1 l/01/03SEC ID: 31403NA23 FNMA POOL #0755165 5.000% 101.5469 584,297.550 591,783.87 593,335.93 0.14% 1,552.06 12/01/2018 DD 11/01/03SEC ID: 31403Q6A3 FNMA POOL #0756372 5.0000/o 101.5469 901,562.330 911,986.63 915,508.42 0.22% 3,521.79 11/01/2018 DD 11/01/03SEC ID: 31403SJR8 FORD MOTOR CR CO NT6. 750% 101.6250 1,000,000.000 965,170.00 1,016,250.00 0.24% 51,080.00 05/15/2005 DD 05/24/93SEC ID: 345397GV9 8 Workbench .. ···········--······ .... ···-·········· .... ···-··-··· ,, ....... -....... ~ ...... ~ ................................. ............... _.,i Asset Det~Jl Report ID: GL8013 Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOLIDATED -OCSGOOO 10000 11/30/2004 Status: FINAL . -·---.··-··--·-···· c Net Unrealized Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base GNMA POOL ##0421389 6.5000/o 105.9648 10,279.100 10,788.25 10,892.23 0.00% 103.98 04/15/2026 DD 04/01/96SEC ID: 36206UC23 GNMA POOL #0449851 6.500% 105.3590 19,865.620 20,849.60 20,930.22 0.00% 80.62 01/15/2028 DD Ol/01/98SEC ID: 36208FWLO GNMA POOL #0466845 6.500% 105.8711 36,570.240 38,381.61 38,717.31 0.01% 335.70 06/15/2028 DD 06/01/98SEC ID: 36209BTA6 GNMA POOL #0468052 6.500% 105.8711 111,094.050 116,596.68 117,616.48 0.03% 1,019.80 07 /15/2028 DD 07 /Ol/98SEC ID: 36209C5M4 GNMA POOL ##0476041 6.500% 105.8711 146,114.190 153,123.12 154,692.69 0.04% 1,569.57 06/15/2028 DD 06/0l/98SEC ID: 36209MZE7 GNMA POOL #0478626 6.500% 105.8711 120,804.660 126,599.51 127,897.21 0.03% 1,297.70 01/15/2029 DD Ol/01/99SEC ID: 36209QVT9 GNMA POOL #0480598 6.500% 105.8711 28,813.620 30,195.76 30,505.29 0.01% 309.53 10/15/2028 DD 10/0l/98SEC ID: 36209S3F6 GNMA POOL #0512235 6.500% 105.8086 8,404.540 8,820.82 8,892.73 0.00% 71.91 11/15/2029 DD 11/01/99SEC ID: 36211GBC6 GNMA POOL #0514326 6.500% 105.8711 106,328.640 111,429.08 112,571.29 0.03% 1,142.21 07 /15/2029 DD 07 /01/99SEC ID: 36211JLF2 GNMA II POOL #0080023VAR RT 102.0044 165,165.150 167,900.69 168.475.72 0.04% 575.03 12/20/2026 DD 12/0l/96SEC ID: 36225CAZ9 GNMA II POOL #080088M 7.375% 101.0192 216,773.500 221,515.43 218,982.86 0.05% -2,532.57 06/20/2027 DD 06/0l/97SEC ID: 36225CC20 GNMA II POOL #008039SVAR RT 101.0300 184,891.720 183,216.14 186,796.10 0.04% 3,579.96 04/20/2030 DD 04/01/00SEC ID: 36225CNM4 GNMA II POOL #080408X 6.500% 101.0294 1,678,625.240 1,661,576.69 1,695,905.01 0.40% 34,328.32 05/20/2030 DD 05/01/00SEC ID: 36225CN28 9 Workbench Asset T"' ...... a Report JD: Gt8013 Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOLIDATED-OCSGOOOlOOOO 11/30/2004 Status: FINAL Net Unrealized Price Cost Market Value % of Gain/Loss 1 Description Base Shares Par Base Base Total Base GNMA II POOL #0080965VAR RT 100.4323 1,373,606.820 07 /20/2034 DD 07 /Ol/04SEC ID: 1,372,748.31 1,379,544.92 0.33% 6,796.61 36225DCB8 GENERAL ELEC CAP MTN #TR 100.0460 2,500,000.000 2,502,460.00 2,501,150.00 o.5goA> -1,310.00 00526VAR RT 03/15/2005 DD 03/20/02SECID:36962GXX7 GOLDMAN SACHS GRP MTN 100.1560 3,500,000.000 #TR00194VAR RT 10/27 /2006 DD 3,507 ,850.50 3,505,460.00 0.83% -2,390.50 10/29/03SECID:38141EJB6 GOLDMAN SACHS GRP MTN 100.1400 800,000.000 800,000.00 801,120.00 0.19% 1,120.00 #TR00207VAR RT 07 /23/2009 DD 07/23/04SECID:38141EJQ3 GNMA GTD REMIC TR 2000-9 100.7090 514,623.100 514,623.10 518,271.78 0.12% 3,648.68 FHVAR RT 02/16/2030SEC ID: 3837H4NX9 MORGAN STANLEY NT 3.875% 99.0930 3,200,000.000 3, 149,248.00 3,170,976.00 0.75% 21,728.00 01/15/2009 DD Ol/13/04SEC ID: 61746BALO NORWEST FINL INC NT7.600% 102.0620 150,000.000 153,084.00 153,093.00 0.04% 9.00 05/03/2005 DD 05/03/00SEC ID: 669383DX6 RESIDENTIAL ASSET 03-RSl 1 100.0156 683,565.240 683,565.24 683,671.88 0.16% 106.64 AIIBVAR RT 12/25/2033 DD 12/30/03SECID:760985K83 SBA GTD DEV PARTN 2001-20C 16. 107.4650 2,985,923.500 2,985,923.50 3,208,822.69 0.76% 222,899.19 340% 03/01/2021SEC ID: 83162CWO SBA GTD PARTN CTFS SBIC-PS 01 105.8900 1, 920,261.520 1,920,261.52 2,033,364.92 0.48% 113,103.40 6.6400A> 02/10/2011 DD 02/21/01SECID:831641DD4 UNITED AIRLS PASSTHRU 01-1 C 6. 5.2500 1,600,000.000 1 ,600,000.00 84,000.00 0.0'.l°A> -1,516,000.00 831% 03/01/2010 DD 08/22/01SECID:909317BC2 US TREASURY NOTES06.250% 106.7815 20,000,000.000 22,620,312.50 21,356,300.00 5.07% -1,264,012.50 02/15/2007 DD 02/15/97SEC ID: 9128272JO US TREASURY INFLATION INDEX 106.5940 16,803,080.000 14,885,138.33 17,911,075.10 4.25% 3,025,936.77 NT 3.375% 01/15/2007 DD 01/15/97SECID:9128272M3 10 Workbench PeroTt TD: ("!.,80!3 ........... Asset :r: ..... _a Base Currency: USD by Currency Alternate Base Currency: Exchange Rate: OCSD-CONSOLIDATED -OCSGOOO 10000 11/30/2004 Status: FINAL Net Unrealized Price Cost Market Value %of Gain/Loss Description Base Shares Par Base Base Total Base I US TREASURY INFLATION INDEX NT 109.5625 3,531,120.000 3 ,840 ,621.35 3 ,868, 783.35 0.92% 28,162.00 3.625% 01/15/2008 DD 01/15/98SECID:9128273T7 US TREASURY INFLATION INDEX NT 112.5315 15,073,500.000 16,698,860.11 16,962,435.65 4.03% 263,575.54 3.875% 01/15/2009 DD Ol/15/99SECID:9128274Y5 U S TREASURY NOTES05. 750% 102.9065 3,900,000.000 4,288,149.14 4,013,353.50 0.95% -274,795.64 11/15/2005 DD 11/15/00SEC ID: 9128276N7 U S TREASURY NOTES 3.375% 99.4800 17,600,000.000 17,405,000.00 17,508,480.00 4.16% 103,480.00 12/15/2008 DD 12/15/03SEC ID: 912828BT6 US TREASURY NOTES 2.750% 99.8100 27,500,000.000 27,463,468.63 27,447,750.00 6.52% -15,718.63 06/30/2006 DD 06/30/04SEC ID: 912828CMO U S TREASURY NOTES 2. 750% 99.7500 49,000,000.000 49,103,927.41 48,877 ,500.00 11.60% -226,427.41 07 /31/2006 DD 07 /31/04SEC ID: 912828CQ1 US TREASURY NOTES 2.375% 99.0500 55,300 ,000.000 55,048,031.25 54,774,650.00 13.01% -273,381.25 08/31/2006 DD 08/31/04SEC ID: 912828CU2 VIRGINIA ELEC & PWR 01 SER AS. 103.0620 1,750,000.000 1,743,840.00 1,803,585.00 0.43% 59,745.00 7500/o 03/31/2006 DD 03/27/01SECID:927804ENO TOTAL FIXED INCOME SECURITIES 337,856,189.320 342,442,979.07 342,474,620.37 81.31% 31,641.30 TOTAL ASSETS U.S. DOLLAR 440,005, 100.020 421,146,399.17 421,178,040.47 100.00% 31,641.30 TOTAL ASSETS -BASE: 440,00S, 100.020 421,146,399.17 421,178,040.47 100.00°A» 31,641.30 11 Workbench OCSD-CONSOUDATED -OCSGOOOlOOOO I I Tran Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Trade Date Settle Date Reported Date Price Base Shares/Par Cost Base ~e Description ------------------------------------------------ RECEIPTS AND DISBURSEMERT TRANSACTIONS DISTRIBUTION TO PLAN ADMINISTRATOR U.S. DOLLAR CW TRAN TO ORANGE COUN1YSEC ID: l l/ 10/2004 NA91234590CSF07522202: LONG TERM OPER- PIMCO 11/10/2004 PURCHASES CASH 15 CASH EQUIVALENTS U.S. DOLLAR B B B B B B B BANK OF AMERICAN NA INSTL C/D 2.2600k 03/09/2005 DD l l/ 16/04SEC ID: 06050GGS3BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCOOCSF07511102: LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC N MAT l 1/29/2004SEC ID: 313384R43BROKER: LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO FEDERAL HOME LN BK CONS DISC N MAT 12/01/2004SEC ID: 313384R68BROKER: CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO FEDERAL HOME LN BK CONS DISC MAT 02/02/2005SEC ID: 313385BJ4BROKER: LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/12/2004 11/16/2004 11/12/2004 11/26/2004 11/26/2004 11/26/2004 11/30/2004 11/30/2004 11/30/2004 11/29/2004 11/29/2004 11/29/2004 FEDERAAL HOME LN BK CONS DISC MAT 11/19/2004 02/18/2005SEC ID: 313385CA2BROKER: BANC 11/19/2004 OF AMERICA SEC LLC, SAN FRANCISCOOCSF07511102: LIQUID OPER-11/19/2004 PIM CO FEDERAL HOME LN MTG CORP DISC MAT 11/9/2004 02/08/2005SEC ID: 313397BQ3BROKER: 11/9/2004 CHASE SECURITIES, NEW YORKOCSF0751l102: LIQUID OPER-PIMCO 11/9/2004 FEDERAL HOME LN MTG CORP DISC MAT 03/ 14/2005SEC ID: 313397DA6BROKER: MORGAN STANLEY & CO INC, NYOCSF07522202: LONG TERM OPER-PIMCO ll/ 18/2004 11/18/2004 11/18/2004 0.000 -15,000,000.00 100.0000 1,600,000.000 1,600,000.00 99.9846 2,000,000.000 1,999,691.67 99.9946 600,000.000 599,967.83 99.5992 1,600,000.000 1,593,586.67 99.4338 6,000,000.000 5,966,026.67 99.4565 6,000,000.000 5,967,391.67 99.2718 3,500,000.000 3,474,512.22 1 Report m: EWB009 Base Currency: USD Status: FINAL Amount Net Gain/Loss Base Base -----· -------------------____ ,, ___ _, -15,000,000.00 0.00 -1,600,000.00 0.00 -1,999,691.67 0.00 -599,967.83 0.00 -1,593,586.67 0.00 -5. 966,026.67 0.00 -5,967,391.67 0.00 -3,474,512.22 0.00 Workbench ........ --·--· -. -. .. .. -·· .. . .. . ... . -. -. ----·---·-···-]- Transaction Detail Report m: EWB009 Reported by Transaction Category ease eunency: usD OCSIJ.CONSOLIDATED -OCSGOOOlOOOO 11 / 1/2004 -11/30 / 2004 Status: FINAL -------------------------------------------------·-·-----------------------------------------------· --------------------------,-------------··---------------···-·-·-····· ·------------·-·-----------------·----·-·---·--------·-·----·-···---······-----· -------··----·---------------- 1 Trade Date ! Settle Date Price Cost Amount Net Gain/Loss Tran Type Description Reported Date Base Shares/Par Base Base Base B FEDERAL HOME LN MTG CORP DISC MAT 11/24/2004 99.1200 2,500,000.000 2,478,000.00 -2,4 78,000.00 0.00 04/05/2005SEC ID: 313397DY4BROKER: 11/24/2004 LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/24/2004 B FEDERAL NATL MTG ASSN DISCOUNT MAT 11/23/2004 99.7306 400,000.000 398,922.50 -398,922.50 0.00 01/07 /2005SEC ID: 313589AG8BROKER: 11/23/2004 LEHMAN GOVT SECS INC, NYOCSF07522202: WNO TERM OPER-PIMCO 11/23/2004 B FEDERAL NATL MTG ASSN DISCOUNT MAT 11/26/2004 99.5788 1,000,000.000 995,787.78 -995, 787. 78 0.00 02/02/2005SEC ID: 3135898.JlBROKER: BANC 11/26/2004 OF AMERICA SEC LLC, SAN FRANCISCOOCSF07511102: LIQUID OPER-11/26/2004 PIMCO B FEDERAL NATL MTG ASSN DISCOUNT MAT 11/17/2004 99.4376 2,000,000.000 1,988,751.39 -1,988,751.39 0.00 02/ 16/2005SEC ID: 313589BY8BROKER: 11/17/2004 LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/17/2004 B FEDERAL NATL MTG ASSN DISCOUNT MAT 11/19/2004 99.4462 2,000,000.000 1,988,924.44 -1,988,924.44 0.00 02/ 16/2005SEC ID: 313589BY8BROKER: 11/19/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/19/2004 B FEDERAL NATL MTG ASSN DISCOUNT MAT 11/19/2004 99.4499 2, 900,000.000 2,884,047.99 -2,884,047. 99 0.00 02/ 16/2005SEC ID: 313589BY8BROKER: 11/19/2004 GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/19/2004 B FEDERAL NATL MTG ASSN DISCONT MAT 11/26/2004 99.4357 3,100,000.000 3,082,507 .17 -3,082,507 .17 0.00 02/23/2005SEC ID: 313589CF8BROKER: 11/26/2004 MERRILL LYNCH PIERCE FENNER SMITH INC NYOCSF07522202: LONG TERM OPER-PIMCO 11/26/2004 B FEDERAL NATL MTG ASSN DISCONT MAT 11/29/2004 99.4553 600,000.000 596,732.00 -596, 732.00 0.00 02/23/2005SEC ID: 313589CF8BROKER: 11/29/2004 MORGAN STANLEY & CO INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/29/2004 B FEDERAL NATL MTG ASSN DISCONT MAT 11/29/2004 99.4553 1,000,000.000 994,553.33 -994,553.33 0.00 02/23/2005SEC ID: 313589CF8BROKER: 11/29/2004 MORGAN STANLEY & CO INC, NYOCSF075ll102: LIQUID OPER-PIMCO 11/29/2004 ··------------------------·-·--- Workbench 2 OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 ·-----······--· ·--····-------------------·------···········-·-·-···-······-------·-··--·----···-·--- Tran Trade Date Settle Date Reported Date Type Description B B B B B B B B B HSBC BANK USA INSTL C/D 2.335% 03/23/2005 DD l l/23/04SEC ID: 40428AGZ4BROKER: BANC OF AMERICA SEC LLC, SAN FRANCISCOOCSF07511102: LIQUID OPER-PIMCO US TREASURY BILL DUE 04/28/2005 DD 10/28/04SEC ID: 912795SL6BROKER: GOLDMAN SACHS & CO, NYOCSF0751l102: LIQUID OPER-PIMCO US TREASURY BILL DUE 04/28/2005 DD 10/28/04SECID:912795SL6BROKER:UBS SECURITIES LLC, STAMFORDOCSF07511102: LIQUID OPER-PIMCO 11/19/2004 11/23/2004 11/19/2004 11/9/2004 11/9/2004 11/9/2004 11/10/2004 11/10/2004 11/10/2004 LEHMAN CAT 1 REPO REPO 01.7600/o 11/5/2004 ~~~g~~i~:a~~~k~~~~~~ ~~VT SECS INC, l l /5 /2 004 NYOCSF07511102: LIQUID OPER-PIMCO 11/5/2004 LEHMAN CAT 1 REPO REPO 01.7900/o 11/8/2004 11/09/2004 DD ll/08/04SEC ID: 11/8/2004 99427Pl01BROKER: LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/8/2004 LEHMAN CAT 2 REPO 01.7100/o 11/10/2004 DD 11/9/2004 11/09/04SEC ID: 99427Q547BROKER: LEHMAN 11/9/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/9/2004 LEHMAN CAT 2 REPO 01.800% 11/12/2004 DD 11/10/2004 1l/10/04SEC ID: 99427R925BROKER: LEHMAN l l/ 10/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/10/2004 LEHMAN CAT 2 REPO 01.950% 11/15/2004 DD 11/12/2004 l l/ 12/04SEC ID: 99427T798BROKER: LEHMAN 11/ 12/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 1l/12/2004 LEHMAN CAT 2 REPO 01.9900/o 11/16/2004 DD 11/15/2004 11/15/04SEC ID: 99427V033BROKER: LEHMAN 11/15/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/15/2004 Price Base Shares/Par 100.0000 1,400,000.000 98.9528 3,000,000.000 98.9625 6,000,000.000 100.0000 11,900,000.000 100.0000 11,900,000.000 100.0000 10,200,000.000 100.0000 4,300,000.000 100.0000 6,400,000.000 100.0000 5,800,000.000 Cost Base 1,400,000.00 2,968,585.42 5,937,751.67 11,900,000.00 11,900,000.00 10,200,000.00 4,300,000.00 6,400,000.00 5,800,000.00 --------------------------.. --··--·----.. ·-·------·---------· .. ------·--·----------·--·----·------·-- 3 Report m: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base -1,400,000.00 0.00 -2, 968,585.42 0.00 -5,937,751.67 0.00 -11,900,000.00 0.00 -11,900,000.00 0.00 -10,200,000.00 0.00 -4,300,000.00 0.00 -6,400,000.00 0.00 -5,800,000.00 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 I -----·-···------------·-------·-.. ··--------·-·--·------------------·---·--··-·-······ I Trade Date l Tran Settle Date B 8 8 8 8 B 8 8 8 Type Description Reported Date LEHMAN CAT 1 REPO REPO Ol.9100k 11/16/2004 11/17/2004 DD 11/16/04SEC ID: I /200 99427W5858ROKER: LEHMAN GOVT SECS INC, l l 16 4 NYOCSF07511102: LIQUID OPER-PIMCO 11/16/2004 LEHMAN CAT 2 REPO Ol.9000k 11/ 18/2004 DD l 1/ 17 /2004 11/17/04SEC ID: 99427Y078BROKER: LEHMAN 11/17/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/17 /2004 CREDIT SUISSE FB REPO Ol.9000k 11/ 19/2004 11/ 18/2004 DD 11/18/04SEC ID: 99427Z4978ROKER: 11/18/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO 11/18/2004 LEHMAN CAT 1 REPO REPO Ol.9000k 11/18/2004 11/19/2004 DD 11/18/04SEC ID: 11/ 8/200 99427Z5058ROKER: LEHMAN GOVT SECS INC, l 4 NYOCSF07511102: LIQUID OPER-PIMCO 11/18/2004 LEHMAN CAT 2 REPO 01.9000k 11/22/2004 DD 11/19/2004 11/19/04SEC ID: 99428A7078ROKER: LEHMAN 11/19/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/19/2004 CREDIT SUISSE FB REPO 01.900% 11/23/2004 11/22/2004 DD 11/22/04SEC ID: 99428C471BROKER: 11/22/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/22/2004 LEHMAN CAT 2 REPO Ol.8500k 11/24/2004 DD 11/23/2004 11/23/04SEC ID: 99428D5378ROKER: LEHMAN 11/23/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11 /23/2004 CREDIT SUISSE FB REPO 01.9100k 11/26/2004 11/24/2004 DD 11/24/04SEC ID: 99428F326BROKER: 11/24/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/24/2004 LEHMAN CAT 2 REPO Ol.9500k 11/29/2004 DD 11/26/2004 11/26/04SEC ID: 99428G712BROKER: LEHMAN 11/26/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/26/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 4 Shares/Par 5,800,000.000 6,600,000.000 2,900,000.000 11,600,000.000 12,000,000.000 10,600,000.000 10,600,000.000 12,000,000.000 14,200,000.000 Cost Base 5,800,000.00 6,600,000.00 2,900,000.00 11,600,000.00 12,000,000.00 10,600,000.00 10,600,000.00 12,000,000.00 14,200,000.00 Report JD: EWB009 Base Currency: USD Status: FINAL _ __J Amount Base Net Gain/Loss Base -5,800,000.00 0.00 -6,600,000.00 0.00 -2,900,000.00 0.00 -11,600,000.00 0.00 -12,000,000.00 0.00 -10,600,000.00 0.00 -10,600,000.00 0.00 -12,000,000.00 0.00 -14,200,000.00 0.00 Workbench ·-········ -···-··-···········-··----··-·· . -·······-········ ....... ···········-··--·····--··-··· ................................. ~---· ····-······· ................................... _,, _____ ......................... _, ____ ···:··· .. ····•·•· ......... ,.,_ ·-······"''"" OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description B B B B B B B B B CREDIT SUISSE FB REPO 01.900% 11/30/2004 11/29/2004 DD 11/29/04SEC ID: 99428H850BROKER: 11/29/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/29/2004 CREDIT SUISSE FB REPO 01.9000/0 12/01/2004 11/30/2004 DD 11/30/04SEC ID: 99428K085BROKER: 11/30/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/30/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/1/2004 9960852470CSF07522202: LONG TERM OPER-11/1/2004 PIMCO 11/1/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/2/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/2/2004 11/2/2004 DREYFUS TREASURY CASH MGMTSEC JD: 11/3/2004 9960852470CSF07522202: LONG TERM OPER-11/3/2004 PIM CO 11/3/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/3/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/3/2004 11/3/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/4/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/4/2004 11/4/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/8/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/8/2004 11/8/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11 /9 /2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/9/2004 11/9/2004 -----------------------------·--·--------- Price Base 100.0000 100.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 5 Shares/Par 13,000,000.000 13,000,000.000 63,000.000 2 ,208, 712.000 1,479.930 1,801,017 .640 5,441,241.250 1,745.330 64,614.600 Cost Base 13,000,000.00 13,000,000.00 63,000.00 2,208,712.00 1,479.93 1,801,017.64 5,441,241.25 1,745.33 64,614.60 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base -13,000,000.00 0.00 -13,000,000.00 0.00 -63,000.00 0.00 -2,208,712.00 0.00 -1,479.93 0.00 -1,801,017.64 0.00 -5,441,241.25 0.00 -1,745.33 0.00 -64,614.60 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 B B B B B B B B B Tran Type Description Trade Date Settle Date Reported Date DREYFUS TREASURY CASH MGMTSEC ID: l 1/15/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/ 15/2004 11/15/2004 DREYFUS TREASURY CASH MGMTSEC ID: 1l/15/2004 9960852470CSF07522202: LONG TERM OPER-1l/15/2004 PIM CO 11/15/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/16/2004 9960852470CSF07522202: LONG TERM OPER-11/16/2004 PIM CO 11/16/2004 DREYFUS TREASURY CASH MGMTSEC ID: 1l/17 /2004 99608524 70CSF07522202: LONG TERM OPER-11/17 /2004 PIMCO 11/ 17 /2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/17 /2004 99608524 70CSF07511102: LIQUID OPER-PIMCO 11/17 /2004 11/17/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/18/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/ 18/2004 11/18/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/19/2004 9960852470CSF07522202: LONG TERM OPER-11/19/2004 PIMCO 11/19/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/19/2004 99608524 70CSF07511102: LIQUID OPER-PIMCO 11/19 /2004 11/19/2004 DREYFUS TREASURY CASH MGMTSEC ID: l l /22/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/22/2004 11/22/2004 Price Base 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 Shares/Par 601,040.000 173,905.740 14,558.400 3,156,062.920 11,556.330 348.330 16,105.070 45,661.110 1,401,900.000 Cost Base 601,040.00 173,905.74 14,558.40 3,156,062.92 11,556.33 348.33 16,105.07 45,661.11 1,401,900.00 ------------------------· 6 Report m: EWB009 Base Currency: USD ______________________ status:!'~~~---·--·-·----·-·-······-·-j Amount Base -601,040.00 -173,905.74 -14,558.40 -3,156,062.92 -11,556.33 -348.33 -16,105.07 -45,661.11 -1,401,900.00 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 ·-·----·--·-··--·----· ···-·------·· Trade Date Tran Settle Date Type Description Reported Date B B B B B B B DREYFUS TREASURY CASH MGMTSEC ID: 11/22/2004 9960852470CSF07522202: LONG TERM OPER-11/22/2004 PIMCO 11/22/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/24/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/24/2004 11/24/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/26/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/26/2004 11/26/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/26/2004 9960852470CSF07522202: LONG TERM OPER-11/26/2004 PIM CO 11/26/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11 /29/2004 9960852470CSF07522202: LONG TERM OPER-11 /29 /2004 PIM CO 11/29/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/30/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/30/2004 11/30/2004 BSDT-LATE MONEY DEPOSITACCTSEC ID: 11/26/2004 9960870940CSF07522202: LONG TERM OPER-11/26/2004 PIMCO 11/26/2004 Price Base 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 Shares/Par 101,127.560 12,122,544.720 2,005, 793.880 672,400.530 15,026.670 686.110 15,026.670 Cost Base 101,127.56 12, 122,544. 72 2,005, 793.88 672,400.53 15,026.67 686.11 15,026.67 TOTAL CASH 81 CASH EQUIVALENTS U.S. DOLLAR: 239,935,554. 790 239,651,295.21 FIXED INCOME SECURITIES U.S. DOLLAR TOTAL CASH 8s CASH EQUIVALENTS BASE: 239,935,554.790 239,651,295.21 Report m: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base -101,127.56 0.00 -12,122,544.72 0.00 -2,005, 793.88 0.00 -672,400.53 0.00 -15,026.67 0.00 -686.11 0.00 -15,026.67 0.00 -239,651,295.21 0.00 -239,651,295.21 0.00 ·-------------------·--·------------------------··--------------------Workbench 7 ..................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................................... ., OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Report ID: EWB009 Base Currency: USD Status: FINAL ----·-........... -.... -... -----.. ----·-.... --------------·-··-·----· ____________ _,,_ _______ _, Tran Trade Date Settle Date Reported Date Type Description B B B B IB B IB B IB COMMIT TO PUR FNMA SF MTG 5.000% 12/01/2019 DD 12/01/04SEC ID: 01F0504C7BROKER: UBS SECURITIES LLC, STAMFORDOCSF07522202: LONG TERM OPER- PIMCO COMMIT TO PUR FNMA SF MTG 5.5000/o 12/01/2034 DD 12/0l/04SEC ID: 01F0526ClBROKER: LEHMAN GOVT SECS INC, NYOCSF07522202: LONG TERM OPER-PIMCO COMMIT TO PUR FNMA SF MTG 5.5000/o 12/01/2034 DD 12/0l/04SEC ID: 01F0526ClBROKER: GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/16/2004 12/16/2004 11/16/2004 11/9/2004 12/13/2004 11/9/2004 11/9/2004 12/13/2004 11/9/2004 BANKAMERICA CORP MTN SR 00150 7.125% 11/1/2004 05/12/2005 DD 05/12/95SEC ID: 11/4/2004 06605LOFOBROKER: CANTOR FITZGERALD & CO INC, NEW YORKOCSF07511102: LIQUID 11/1/2004 OPER-PIMCO BANKAMERICA CORP MTN SR 00150 7.125°/o l l / 1/2004 05/12/2005 DD 05/12/95SEC ID: 11/4/2004 06605LOFOBROKER: CANTOR FITZGERALD & CO INC, NEW YORKOCSF07511102: LIQUID 11/1/2004 OPER-PIMCO FEDERAL HOME LN MTG CORP MTN 4.000% 11/3/2004 09/22/2009 DD 09/22/04SEC JD: 11/5/2004 3128X3WY5BROKER: CHASE SECURITIES, NEW YORKOCSF07522202: LONG TERM OPER-PIMCO 11/3/2004 FEDERAL HOME LN MTG CORP MTN 4.000% 11/3/2004 09/22/2009 DD 09/22/04SEC JD: 11/5/2004 3128X3WY5BROKER: CHASE SECURITIES, NEW YORKOCSF07522202: LONG TERM OPER-PIMCO 11/3/2004 NORWEST FINL INC NT 7.6000A> 05/03/2005 DD 11/29/2004 05/03/00SEC ID: 669383DX6BROKER: CANTOR 12/2/2004 FITZGERALD & CO INC, NEW YORKOCSF07511102: LIQUID OPER-PIMCO 11/29/2004 NORWEST FINL INC NT 7.6000/o 05/03/2005 DD 11/29/2004 05/03/00SEC ID: 669383DX6BROKER: CANTOR 12/2/2004 FITZGERALD & CO INC, NEW YORKOCSF07511102: LIQUID OPER-PIMCO 11/29/2004 Price Base 101.4375 101.2813 101.3477 102.4350 102.4350 99.9310 99.9310 102.0560 102.0560 8 Shares/Par 22,000,000.000 1,000,000.000 3,000,000.000 150,000.000 0.000 10,000,000.000 0.000 150,000.000 0.000 Cost Base 22,316,250.00 1,012,812.50 3,040,429.68 153,652.50 0.00 9,993,100.00 0.00 153,084.00 0.00 Amount Base -22,316,250.00 -1,012,812.50 -3,040,429.68 -153,652.50 -5,106.25 -9,993, 100.00 -47,777.78 -153,084.00 -918.33 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench Transaction Dctai! OCSD-CONSOLIDATED • OCSGOOOlOOOO Reported by Transaction Category 11/1/2004-11/30/2004 Tran Type Description Trade Date Settle Date Reported Date TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: TOTAL PURCHASES BASE: PAY UPS FIXED INCOME SECURITIES U.S. DOLLAR PU US TREASURY INFLATION INDEX NT 3.375% 7/15/2004 01/15/2007 DD 01/15/97SEC ID: 7/15/2004 9128272M30CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PU US TREASURY INFLATION INDEX NT 3.625% 7 /15/2004 01/15/2008 DD Ol/15/98SEC ID: 7/15/2004 9128273T70CSF07522202: LONG TERM OPER- PIMCO ll/ 1/2004 PU US TREASURY INFLATION INDEX NT 3.875% 7/15/2004 Ol/ 15/2009 DD 01/ 15/99SEC ID: 7/ 15/2004 9128274Y50CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: TOTAL PAY UPS BASE: SALES CASH 85 CASH EQUIVALENTS U.S. DOLLAR Price Base Shares/Par 36,300,000.000 36,300,000.000 276,235,554. 790 100.0000 34,440.000 100.0000 7,230.000 100.0000 30,940.000 72,610.000 72,610.000 72,610.000 Cost Base 36,669,328.68 36,669,328.68 276,320,623.89 34,440.00 7,230.00 30,940.00 72,610.00 72,610.00 72,610.00 -------·--·------·-··---------------------------------------·----·----·---- 9 ......... -..... -........................................... _ .............................. -.......................................... , Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base -36,723,131.04 -36,723,131.04 -276,374,426.25 -34,440.00 -7,230.00 -30,940.00 -72,610.00 -72,610.00 -72,610.00 Net Gain/Loss Base 0.00 0.00 o.oo 0.00 0.00 0.00 0.00 0.00 o.oo Workbench OCSD-CONSOUDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Report ID: EWn009 Base Currency: USD _J Status: FINAL ······--·-···--···-···-··-·-····. ·······--' . . ····-····--... --. --------····--·-·-·· ···-····-··-.. -·-···-. ·--·-.. ··-·--·-· ·----~----·----·-··--···---·-························-···--··-·-·------·-· ··---·-·-·-···· ___ ,._ --··----------····--·-----·-·-· --·····-·····-····--·-··------·-·-····-·····-··---.·-·-·--· ................. -...... ·-· ----·--··-· -------··· ·--.................. ---. ,_ ... ,., .. -...... --·~ ·······---·-··-··· -·-· ···-··---------.. ----- Trade Date Tran Settle Date Price Cost Amount Net Gain/Loss Type Description Reported Date Base Shares/Par Base Base Base s FEDERAL HOME LN BK CONS DISC N MAT 11/10/2004 99.4982 -3,200,000.000 -3,183,943.56 3,183,943.56 0.00 01/21/2005SEC ID: 313385AW6BROKER: 11/10/2004 MERRILL LYNCH PIERCE FENNER SMITH INC NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 IS FEDERAL HOME LN BK CONS DISC N MAT 11/10/2004 99.4982 0.000 0.00 2,744.44 0.00 01/21/2005SEC ID: 313385AW6BROKER: 11/10/2004 MERRILL LYNCH PIERCE FENNER SMITH INC NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 s FEDERAL HOME LN MTG CORP DISC MAT 11/5/2004 99.5258 -7 ,600,000.000 -7,563,959.11 7,563,959.11 0.00 01/04/2005SEC ID: 313397AD3BROKER: 11/5/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO 11/5/2004 IS FEDERAL HOME LN MTG CORP DISC MAT 11/5/2004 99.5258 0.000 0.00 10,327.56 0.00 01/04/2005SEC ID: 313397AD3BROKER: 11/5/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO 11/5/2004 s FEDERAL NATL MTG ASSN DISCOUNT MAT 11/5/2004 99.5050 -2,300,000.000 -2,288,615.00 2,288,615.00 0.00 01/05/2005SEC ID: 313589AE3BROKER: 11/5/2004 MERRILL LYNCH PIERCE FENNER SMITH INC NYOCSF07522202: LONG TERM OPER-PIMCO 11/5/2004 IS FEDERAL NATL MTG ASSN DISCOUNT MAT 11/5/2004 99.5050 0.000 0.00 3,590.56 0.00 01/05/2005SEC ID: 313589AE3BROKER: 11/5/2004 MERRILL LYNCH PIERCE FENNER SMITH INC NYOCSF07522202: LONG TERM OPER-PIMCO 11/5/2004 s FEDERAL NATL MTG ASSN DISCOUNT MAT 11/10/2004 99.5050 -7,600,000.000 -7,562,380.00 7 ,562,380.00 0.00 Ol/05/2005SEC ID: 313589AE3BROKER: 11/10/2004 GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 IS FEDERAL NATL MTG ASSN DISCOUNT MAT 11/10/2004 99.5050 0.000 0.00 12,911.56 0.00 01/05/2005SEC ID: 313589AE3BROKER: 11/10/2004 GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 s FEDERAL NATL MTG ASSN DISC NT MAT 11/10/2004 99.4932 -700,000.000 -696,461.11 696,452.26 -8.85 01/26/2005SEC ID: 313589BB8BROKER: 11/10/2004 LEHMAN GOVT SECS INC, NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 Workbench 10 .. --.................................... --· ........................................ --......... ---··----· __ ............ ----··--·"·-----...... -·.. ..... ..... .... . . . -----· ............................................. --------· ..................................... ,......... .. ............. --·-·1 Transaction Detail Report ID: EWB009 Reported by Transaction Category Base Currency: USD ____ J OCSIJ.CONSOLIDATED -OCSGOOO 10000 Tran Trade Date Settle Date Reported Date Type Description IS s IS s IS s IS s IS FEDERAL NATL MTG ASSN DISC NT MAT 01/26/2005SEC ID: 313589BB8BROKER: LEHMAN GOVT SECS INC, NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 11/10/2004 11/10/2004 GENERAL ELEC CAP DISC ll/16/2004SEC ID: 11/10/2004 36959HLGOBROKER: MORGAN STANLEY & CO 11/10/2004 INC, NYOCSF07522202: LONG TERM OPER- PIMCO 11/ 10/2004 GENERAL ELEC CAP DISC 11/16/2004SEC ID: 11/10/2004 36959HLGOBROKER: MORGAN STANLEY & CO 11/10/2004 INC, NYOCSF07522202: LONG TERM OPER- PIMCO 11/10/2004 GENERAL ELEC CAP DISC 12/02/2004SEC ID: 11/10/2004 36959HM20BROKER: MORGAN STANLEY & CO 11/10/2004 INC, NYOCSF07522202: LONG TERM OPER- PIMCO 11/10/2004 GENERAL ELEC CAP DISC 12/02/2004SEC ID: 11/ 10/2004 36959HM20BROKER: MORGAN STANLEY & CO 11/10/2004 INC, NYOCSF07522202: LONG TERM OPER- PIMCO 11/10/2004 GENERAL ELEC CAP DISC 02/04/2005SEC ID: 11/10/2004 36959HP43BROKER: GOLDMAN SACHS & CO, 11/ 10/2004 NYOCSF07522202: LONG TERM OPER-PIMCO ll/l0/2004 GENERAL ELEC CAP DISC 02/04/2005SEC ID: 11/10/2004 36959HP43BROKER: GOLDMAN SACHS & CO, 1l/10/2004 NYOCSF07522202: LONG TERM OPER-PIMCO 11/10/2004 LEHMAN CAT 1 REPO REPO Ol.7600k 11/8/2004 11/08/2004 DD 11/05/04SEC ID: 11/8/2004 99427M686BROKER: LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/8/2004 LEHMAN CAT 1 REPO REPO 01.760% 11/8/2004 11/08/2004 DD 11/05/04SEC ID: 11/8/2004 99427M686BROKER: LEHMAN GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/8/2004 11/1/2004-11/30/2004 Price Base 99.4932 99.4499 99.4499 99.5604 99.5604 99.3200 99.3200 100.0000 100.0000 11 Shares/Par 0.000 -500,000.000 0.000 -200,000.000 0.000 -2,800,000.000 0.000 -11,900,000.000 0.000 Cost Base 0.00 -497 ,249.58 0.00 -l 99, 120.89 0.00 -2, 780, 960.00 0.00 -11,900,000.00 0.00 Status: FINAL Amount Base 373.63 497,249.55 2,587.95 199,120.88 634.68 2,780,960.00 4,458.22 11,900,000.00 1,745.33 Net Gain/Loss Base 0.00 -0.03 0.00 -0.01 0.00 0.00 0.00 0.00 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 ,-~~n ------------------------------::::::--------~:~----------------Cost Type Description Reported Date Base Shares/Par Base s JS s IS s IS s IS s LEHMAN CAT 1 REPO REPO 01.790% 11/9/2004 11/09/2004 DD 11/08/04SEC ID: 11/9/200 99427P101BROKER: LEHMAN GOVT SECS INC, 4 NYOCSF07511102: LIQUID OPER-PIMCO 11/9/2004 LEHMAN CAT 1 REPO REPO 01.790% 11/9/2004 11/09/2004 DD 11/08/04SEC ID: 1/9/2004 99427Pl01BROKER: LEHMAN GOVT SECS INC, l NYOCSF07511102: LIQUID OPER-PIMCO 11/9/2004 LEHMAN CAT 2 REPO 01.7100Ai 11/ 10/2004 DD 11/10/2004 11/09/04SEC ID: 99427Q547BROKER: LEHMAN 11/10/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/10/2004 LEHMAN CAT 2 REPO 01.7100/o 11/10/2004 DD 11/10/2004 11/09/04SEC ID: 99427Q547BROKER: LEHMAN 11/10/2004 GOVT SECS INC, NYOCSF0751l102: LIQUID OPER-PIMCO 11/ 10/2004 LEHMAN CAT 2 REPO 01.SOOOA> 11/12/2004 DD 11/12/2004 11/10/04SEC ID: 99427R925BROKER: LEHMAN 11/12/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO l 1/12/2004 LEHMAN CAT2 REPO 01.8000/o 11/12/2004 DD 11/12/2004 11/ 10/04SEC ID: 99427R925BROKER: LEHMAN l l/ 12/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/12/2004 LEHMAN CAT 2 REPO Ol.9500Ai l l/ 15/2004 DD 11/ 15/2004 11/12/04SEC ID: 994271798BROKER: LEHMAN 11/15/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/15/2004 LEHMAN CAT 2 REPO 01.9500,.{, 11/15/2004 DD 11/15/2004 11/12/04SEC ID: 994271798BROKER: LEHMAN 11/15/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/ 15/2004 LEHMAN CAT 2 REPO 01.9900/o 11/ 16/2004 DD 11/ 16/2004 11/ 15/04SEC ID: 99427V033BROKER: LEHMAN ll/ 16/2004 GOVT SECS INC, NYOCSF0751l102: LIQUID OPER-PIMCO 11/ 16/2004 100.0000 -11,900,000.000 -11,900,000.00 100.0000 0.000 0.00 100.0000 -10,200,000.000 -10,200,000.00 100.0000 0.000 0.00 100.0000 -4,300,000.000 -4,300,000.00 100.0000 0.000 0.00 100.0000 -6,400,000.000 -6,400,000.00 100.0000 0.000 0.00 100.0000 -5,800,000.000 -5,800,000.00 12 Report ID: EWB009 Base Cmrency: USD Status: FINAL 11,900,000.00 0.00 591.69 0.00 10,200,000.00 0.00 484.50 0.00 4,300,000.00 0.00 430.00 0.00 6,400,000.00 0.00 1,040.00 0.00 5,800,000.00 0.00 Workbench OCSD·CONSOLIDATED -OCSGOOOlOOOO Transaction Dc~ail Reported by Transaction Category 11/1/2004-11/30/2004 Trade Date Tran Settle Date Price Type Description Reported Date Base IS s IS s IS s IS LEHMAN CAT 2 REPO 01.990% 11/16/2004 DD 11/16/2004 11/15/04SEC ID: 99427V033BROKER: LEHMAN 11/16/2004 oovr SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/16/2004 LEHMAN CAT 1 REPO REPO 01.910% 11/17/2004 ~~~~~~~~:a~g~,~~~~~ ~~VI' SECS INC, 11/ l 7 /2004 NYOCSF07511102: LIQUID OPER-PIMCO 11/17/2004 LEHMAN CAT 1 REPO REPO Ol.91()0A, 11/ 17 /2004 11/17/2004 DD 11/16/04SEC ID: 11/17/2004 99427W585BROKER: LEHMAN GOVI' SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/17/2004 LEHMAN CAT 2 REPO 01.900% 11/18/2004 DD 11/18/2004 11/17/04SEC ID: 99427Y078BROKER: LEHMAN 11/18/2004 oovr SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/18/2004 LEHMAN CAT 2 REPO 01.900% 11/18/2004 DD 11/18/2004 11/17/04SEC ID: 99427Y078BROKER: LEHMAN 11/18/2004 GOVI' SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO l l / 18/2004 CREDIT SUISSE FB REPO 01.900% 11/19/2004 11/19/2004 DD 11/18/04SEC ID: 99427Z497BROKER: 11/19/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: WNO TERM OPER-PIMCO 11/19/2004 CREDIT SUISSE FB REPO 01.900% 11/ 19/2004 11/ 19/2004 DD ll/18/04SEC ID: 99427Z497BROKER: 11/19/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO 11/19 /2004 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 Shares/Par 0.000 -5,800,000.000 0.000 -6,600,000.000 0.000 -2,900,000.000 0.000 Cost Base 0.00 -5,800,000.00 0.00 -6,600,000.00 0.00 -2,900,000.00 o.oo .....•. · 1 Report ID: EWll00;> Base Cmrency: USD Status: FINAL --·····-----·-. . ..•.....•.. ·······---·· .. ··-··--·--··--···-··----··········J Amount Base 320.61 5,800,000.00 307.72 6,600,000.00 348.33 2,900,000.00 153.06 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 s LEHMAN CAT 1 REPO REPO 01.900% 11/19/2004 100.0000 -11,600,000.000 -11,600,000.00 11,600,000.00 0.00 11/19/2004 DD 11/18/04SEC ID: 11/19/2004 99427Z505BROKER: LEHMAN oovr SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/19/2004 IS LEHMAN CAT 1 REPO REPO Ol.9000Ai 11/ 19/2004 100.0000 0.000 0.00 612.22 0.00 11/19/2004 DD 11/18/04SEC ID: 11/19/2004 99427Z505BROKER: LEHMAN oovr SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/19/2004 ·----------------------------------------------·--------Workbench 13 OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 1---------. -------....... -----..... -·· .. -------·------·-· ·----··-·-· ·--·-----·····-·--·-·-··-··· ......... . I Trade Date Tran Settle Date Type Description Reported Date s IS s IS s IS s IS s LEHMAN CAT 2 REPO 01.900% 11/22/2004 DD 11/22/2004 11/19/04SEC ID: 99428A707BROKER: LEHMAN 11/22/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/22/2004 LEHMAN CAT 2 REPO 01.9000A> 11/22/2004 DD 11/22/2004 11/19/04SEC ID: 99428A707BROKER: LEHMAN 11/22/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11 /22/2004 CREDIT SUISSE FB REPO 01.9000/o 11/23/2004 11/23/2004 DD ll/22/04SEC ID: 99428C471BROKER: 11/23/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/23/2004 CREDIT SUISSE FB REPO 01.9000/o 11/23/2004 11/23/2004 DD 11/22/04SEC ID: 99428C471BROKER: CREDIT SUISSE FIRST BOSTON CORP, N YOCSF0751l102: LIQUID OPER-PIMCO 11/23/2004 11/23/2004 LEHMAN CAT 2 REPO 01.8500/o 11/24/2004 DD 11/24/2004 11/23/04SEC ID: 99428D537BROKER: LEHMAN 11/24/2004 GOVT SECS INC, NYOCSF0751l102: LIQUID OPER-PIMCO 11/24/2004 LEHMAN CAT 2 REPO 01.850% 11/24/2004 DD 11/24/2004 11/23/04SEC ID: 99428D537BROKER: LEHMAN 11/24/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/24/2004 CREDIT SUISSE FB REPO 01.9100/o 11/26/2004 11/26/2004 DD 11/24/04SEC ID: 99428F326BROKER: 11/26/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/26/2004 CREDIT SUISSE FB REPO 01.9100A> 11/26/2004 11/26/2004 DD 11/24/04SEC ID: 99428F326BROKER: 11/26/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/26/2004 LEHMAN CAT 2 REPO 01.9500/o 11/29/2004 DD 11/29/2004 ll/26/04SEC ID: 99428G712BROKER: LEHMAN 11/29/2004 GOVT SECS INC, NYOCSF0751l102: LIQUID OPER-PIMCO 11/29/2004 -----------------. --·· ------------------------------------·--·-·-·· - Price Cost Base Shares/Par Base 100.0000 -12,000,000.000 -12,000,000.00 100.0000 0.000 0.00 100.0000 -10,600,000.000 -10,600,000.00 100.0000 0.000 0.00 100.0000 -10,600,000.000 -10,600,000.00 100.0000 0.000 0.00 100.0000 -12,000,000.000 -12,000,000.00 100.0000 0.000 0.00 100.0000 -14,200,000.000 -14,200,000.00 14 Report ID: EWB009 -1 Base Currency: USD i ·----------------------------·----~t~t~: !~~~-------! Amount Base 12,000,000.00 1,900.00 10,600,000.00 559.44 10,600,000.00 544.72 12,000,000.00 1,273.33 14,200,000.00 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench Transactic ~:. !: ~ ~a~l OCSD-CONSOLIDATED -OCSGOOOlOOOO Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IS s IS s s s s s s LEHMAN CAT 2 REPO 01.9500/o 11/29/2004 DD 11/29/2004 l l/26/04SEC ID: 99428G712BROKER: LEHMAN 11/29/2004 GOVT SECS INC, NYOCSF07511102: LIQUID OPER-PIMCO 11/29/2004 CREDIT SUISSE FB REPO 01.900% 11/30/2004 11/30/2004 DD 11/29/04SEC ID: 99428H850BROKER: 11/30/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/30/2004 CREDIT SUISSE FB REPO 01.900% 11/30/2004 11/30/2004 DD 11/29/04SEC ID: 99428H850BROKER: 11/30/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07511102: LIQUID OPER-PIMCO 11/30/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/5/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/5/2004 11/5/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/ 5/2004 9960852470CSF07522202: LONG TERM OPER-11/5/2004 PIM CO 11/5/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/10/2004 9960852470CSF07511102: LIQUID OPER-PIMCO 11/10/2004 11/10/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/10/2004 9960852470CSF07522202: LONG TERM OPER-11/10/2004 PIM CO 11/10/2004 DREYFUS TREASURY CASH MGMTSEC ID: ll/ 12/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 11/ 12/2004 11/12/2004 DREYFUS TREASURY CASH MGMTSEC ID: l l/ 16/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO l l/ 16/2004 11/16/2004 Price Base 100.0000 100.0000 100.0000 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 15 Shares/Par 0.000 -13,000,000.000 0.000 -11, 900,000.000 -174,385.550 -37,267.170 -24,044.930 -94,226.250 -599,679.390 Cost Base 0.00 -13,000,000.00 0.00 -11,900,000.00 -174,385.55 -37,267.17 -24,044.93 -94,226.25 -599,679.39 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 2,307.50 0.00 13,000,000.00 0.00 686.11 0.00 11,900,000.00 0.00 174,385.55 0.00 37,267.17 0.00 24,044.93 0.00 94,226.25 0.00 599,679.39 0.00 Workbench OCSIJ.CONSOUDATED • OCSGOOOlOOOO Reported by Transaction Category 11/1/2004-11/30/2004 s s s s s s s Tran Type Description Trade Date Settle Date Reported Date DREYFUS TREASURY CASH MGMTSEC ID: l l / 18/2004 9960852470CSF07522202: LONG TERM OPER· 11/18/2004 PIM CO 11/18/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/23/2004 9960852470CSF07522202: LONG TERM OPER· 11/23/2004 PIM CO 11/23/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/23/2004 9960852470CSF0751l102: LIQUID OPER·PIMCO 11/23/2004 11/23/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/29/2004 9960852470CSF0751l102: LIQUID OPER·PIMCO 11/29/2004 11/29/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/30/2004 9960852470CSF07522202: LONG TERM OPER-11/30/2004 PIM CO 11/30/2004 BSDT-LATE MONEY DEPOSIT ACCTSEC ID: 11/29/2004 9960870940CSF07522202: LONG TERM OPER-11/29/2004 PIM CO 11/29/2004 TOTAL CASH 81 CASH EQUIVALENTS U.S. DOLLAR: FIXED INCOME SECURITIES U.S. DOLLAR TOTAL CASH & CASH EQUIVALENTS BASE: COMMIT TO PUR FNMA SF MTG 5.0000.4 11/ 16/2004 11/01/2019 DD 11/01/04SEC ID: 11/18/2004 01F0504B9BROKER: UBS SECURITIES LLC, STAMFORDOCSF07522202: LONG TERM OPER-l l / 16/2004 PIM CO Price Base 1.0000 1.0000 1.0000 1.0000 1.0000 1.0000 101.6563 16 Shares/Par -3,326,620. 970 -24,630.450 -1,399,440.560 -14, 182,564.500 -599,967.830 -15,026.670 ·207,077,854.270 -207,077 ,854.270 -22,000,000.000 Cost Base -3,326,620. 97 -24,630.45 -1,399,440.56 -14,182,564.50 -599,967.83 -206,950,543.52 -206,950,543.52 -22,405,625.00 Base Currency: USD Status: FINAL Amount Base 3,326,620.97 24,630.45 1,399,440.56 14,182,564.50 599,967.83 15,026.67 207 ,001,467 .79 207,001,467.79 22,364,375.00 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 -8.89 -8.89 ·41,250.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transa~~:.:.::;. Detail Reported by Transaction Category 11/1/2004-11/30/2004 I"... . ...... ·--·-·--····-···--···-·--·-·· ··-···-····-·-·---·()·· Trade Date Settle Date Reported Date I Tran Type Description s s s IS s IS s COMMIT TO PUR FNMA SF MTG 5.5000/o 11/9/2004 11/01/2034 DD ll/Ol/04SEC ID: 11/ 15/2004 01F0526B3BROKER: LEHMAN GOvr SECS INC, NYOCSF07522202: LONG TERM OPER-PIMCO 11/9/2004 COMMIT TO PUR FNMA SF MTG 5.500% 11/01/2034 DD l l/01/04SEC ID: 01F0526B3BROKER: GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/9/2004 11/15/2004 11/9/2004 GNMA II POOL #0080900 VAR RT 05/20/2034 11/16/2004 DD 05/01/04SEC ID: 36225DAA2BROKER: 11/23/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO l l/ 16/2004 GNMA II POOL #0080900 VAR RT 05/20/2034 11/ 16/2004 DD 05/0l/04SEC ID: 36225DAA2BROKER: 11/23/2004 CREDIT SUISSE FIRST BOSTON CORP, N YOCSF07522202: LONG TERM OPER-PIMCO 11/ 16/2004 GENERAL MTRS ACCEP CORP SR NT 6.125% 08/28/2007 DD 08/29/02SEC ID: 370425SD3BROKER: WACHOVIA CAPITAL MARKETS LLC, CHARLOTTEOCSF07522202: LONG TERM OPER-PIMCO GENERAL MTRS ACCEP CORP SR NT 6.125% 08/28/2007 DD 08/29/02SEC ID: 370425SD3BROKER: WACHOVIA CAPITAL MARKETS LLC, CHARLOTTEOCSF07522202: LONG TERM OPER-PIMCO GOLDMAN SACHS GROUP INC SR NT 4.125% 01/15/2008 DD 01/13/03SEC ID: 38141GCS1BROKER: GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/12/2004 11/17/2004 11/12/2004 11/12/2004 11/17/2004 11/12/2004 11/15/2004 11/18/2004 11/15/2004 Price Base Shares/Par 101.5430 -1,000,000.000 101.6055 -3,000,000.000 100.3125 -372,445.330 100.3125 0.000 103.8580 -3,000,000.000 103.8580 0.000 101.5620 -3,000,000.000 IS GOLDMAN SACHS GROUP INC SR NT 4.125% 11/15/2004 101.5620 0.000 01/15/2008 DD 01/13/03SEC ID: 11/18/2004 38141GCS1BROKER: GOLDMAN SACHS & CO, NYOCSF07522202: LONG TERM OPER-PIMCO 11/15/2004 Cost Base -1,014,843.75 -3,044,531.25 -362,377.65 0.00 -3,064,350.00 0.00 -3,030,030.00 0.00 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: -32,372,445.330 -32,921, 757.65 TOTAL FIXED INCOME SECURITIES BASE: -32,372,445.330 -32,921, 757.65 17 .,;,~i'•.HL .i.-. ~ .. ..:,.:~? Base Currency: USD Status: FINAL Amount Base 1,015,429.68 3,048,164.06 373,609.23 682.82 3,115,740.00 40,322.92 3,046,860.00 42,281.25 33,047,464.96 33,047,464.96 Net Gain/Loss Base 585.93 3,632.81 11,231.58 0.00 51,390.00 0.00 16,830.00 0.00 42,420.32 42,420.32 Workbench OCS~CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Report ID: EWB009 Base CUrrency: USD Status: FINAL ........... -----·-·-·--···-·-·--····-.......................... _, _______ , .............................................................................................................. ---··-· ............ _ ........... -.... ·--·-........ ______ ,_ .. , .... __ , __ .... -.... 1 Trade Date Settle Date Price I Tran ------------------ Type Description Reported Date Base Shares/Par TOTAL SALES BASE: PRINCIPAL PAYMENTS FIXED INCOME SECURITIES U.S. DOLLAR PD PD PD PD PD PD PD PD WMP/HUNTOON PAIGE #000-11150 7.5000k 11/1/2004 12/01/2030 DD 10/21/99SEC ID: 302998GE30CSF07522202: LONG TERM OPER-ll/l/2 004 PIMCO 11/1/2004 FHLMC MULTICLASS MTG SER E3 A VAR RT 11/1/2004 08/ 15/2032 DD 12/0l/97SEC ID: I I 3133TCE950CSF07522202: LONG TERM OPER-l l l 2oo4 PIMCO 11/1/2004 FHLMC GROUP #78-6064 6.384% 0 l /O l /2028 l l / l /2004 DD 12/0l/97SEC ID: / / 31348SWZ30CSF07522202: LONG TERM OPER-l l l 2oo4 PIM CO ll / 1 /2004 FNMA POOL #0254510 5.000% 11/01/2017 11/1/2004 DD 10/0l/02SEC ID: 11/1/2004 31371KVB40CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0254631 5.000% 02/01/2018 11/1/2004 DD Ol/Ol/03SEC ID: l l/ 1/2004 31371KY470CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0254760 5.000% 06/01/2018 11/1/2004 DD 05/0l/03SEC ID: 11/1/2004 31371KSV90CSF07522202: LONG TERM OPER- PIMCO ll/ 1/2004 FNMA POOL #0254866 5.000% 09/01/2018 11/1/2004 DD 08/0l/03SEC ID: 11/1/2004 31371LCB30CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0254953 5.000% 11/01/2018 11/1/2004 DD 10/01/03SEC ID: 11/1/2004 31371LE210CSF07522202: LONG TERM OPER- PIMCO ll/ 1/2004 -239,450,299.600 100.0000 -830.670 100.0000 -17,683.950 100.0000 -2,812.320 100.0000 -13,018.200 100.0000 -2,617.850 100.0000 -2,000.560 100.0000 -985.680 100.0000 -4,503.500 18 Cost Amount Net Gain/Loss Base Base Base -239,872,301.17 240,048,932.75 42,411.43 -812.63 830.67 18.04 -17,702.79 17,683.95 -18.84 -2,743.77 2,812.32 68.55 -13,408.75 13,018.20 -390.55 -2,696.39 2,617.85 -78.54 -2,060.58 2,000.56 -60.02 -1,015.25 985.68 -29.57 -4,561.20 4,503.50 -57.70 Workbench ·······-··--········· _ •. ,__ •..••..•• __ ,__, .•• ·-· ••.•.• -...... ,__,_, ................ ·--· .................................... '-··-··· .................................. -.... ·-· •• _ .......... ' ••...• , .............. -. ,___ ......... -.. ----.................. _.,,. ........... ,__ ...... -· ... ' .............. -... -........ _ .. ,_,..,,_ ___ ,_.,,., .•.• ,__ •. ,__ .... , .............................................................................................................. .,,__,,.,, .... -....... ' .......... ' ...... -• -····--.............. ' -· ............................... ,__,___. ·--·-· -·---.......... ·-··----· ......... -... _ ............... ,,_ ....... 11 ..... ___ _, OCSD-CONSOUDATED -OCSG00010000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description PD FNMA POOL #0254987 5.0000/0 12/01/2018 11/ 1/2004 DD ll/Ol/03SEC ID: 11/1/2004 31371LF460CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 PD FNMA POOL #0323980 6.000% 04/01/2014 11/ 1/2004 DD 09/0l/99SEC ID: 11/1/2004 31374T2MOOCSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0357328 5.000% 01/01/2018 l l/ 1/2004 DD 01/01/03SEC ID: 11/ 1/2004 31376J4M80CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0357430 5.000% 09/01/2018 11/ 1/2004 DD 09/0l/03SEC ID: 11/ 1/2004 31376KA710CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 PD FNMA POOL #0456482 6.000% 02/01/2014 11/1/2004 DD 02/01/99SEC ID: 11/1/2004 31381CCT20CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0509649 6.000% 09/01/2014 11/1/2004 DD 09/01/99SEC ID: 11/1/2004 31383QEWOOCSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0535451 6.000% 06/01/2015 11/1/2004 DD 07 /0l/OOSEC ID: 11/ 1/2004 31384VZQ80CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0555363 5.000% 04/01/2018 11/ 1/2004 DD 03/01/03SEC ID: 11/1/2004 31385W5YlOCSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0555453 5.0000A> 05/01/2018 11/ 1/2004 DD 04/0l/03SEC ID: 11/ 1/2004 31385XBW60CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 19 Shares/Par -12, 140.680 -3,828.740 -423.050 -23,088. 780 -387.930 -850.270 -3,137.360 -5,833.020 -450.150 Cost Base -12,296.23 -3,997.44 -435.74 -23,348.53 -405.02 -887.74 -3,275.60 -6,008.01 -455.92 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 12,140.68 -155.55 3,828.74 -168.70 423.05 -12.69 23,088.78 -259.75 387.93 -17.09 850.27 -37.47 3,137.36 -138.24 5,833.02 -174.99 450.15 -5.77 Workbench OCSD-CONSOLIDATED-OCSG00010000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 r~~~= --····--··--·---·---------····--:=!:-::!: Type Description Reported Date PD PD PD PD PD PD PD PD PD FNMA POOL #0555545 5.000% 06/01/2018 11/1/2004 DD 05/01/03SEC ID: / /2004 31385XES20CSF07522202: LONG TERM OPER-l l l PIMCO 11/1/2004 FNMA POOL #0555621 5.000% 07 /01/2018 11/ 1/2004 DD 06/01/03SEC ID: 11/1/2004 31385XG680CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL#0681309 5.000%02/01/2018 11/1/2004 DD 02/0l/03SEC ID: / /2004 31391Y3S40CSF07522202: LONG TERM OPER-ll l PIMCO l l/ 1/2004 FNMA POOL #0681334 5.000% 02/01/2018 11/ 1/2004 DD 01/0l/03SEC ID: / /2004 31391Y4TlOCSF07522202: LONG TERM OPER-l1 l PIMCO ll/ 1/2004 FNMA GTD REMIC P/T 02-76 PD 5.0000A> l l/ 1/2004 08/25/2022 DD 10/0l/02SEC ID: 11/ 1/2004 31392FKF30CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0684908 5.000% 06/01/2018 11/1/2004 DD 05/0l/03SEC ID: 11/1/2004 31400D3R10CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL#0685200 5.000%03/01/2018 11/1/2004 ~~g~,~~~g~:~J~~22202: LONG TERM OPER-l l/ l/2 004 PIMCO 11/ 1/2004 FNMA POOL #0685665 5.000% 02/01/2018 11/1/2004 DD 02/0l/03SEC ID: l l/ 1/2004 31400EW220CSF07522202: LONG TERM OPER- PIMCO ll/ 1/2004 FNMA POOL #0686318 5.000% 03/01/2018 11/1/2004 DD 03/0l/03SEC ID: 11/1/2004 31400FPB70CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 Price Base Shares/Par 100.0000 -4,294.150 100.0000 -13,150.950 100.0000 -9,001.630 100.0000 -1,368.470 100.0000 -147,151.130 100.0000 -1,650.780 100.0000 -3,023.180 100.0000 -618.940 100.0000 -2,254.260 20 Cost Base -4,422.97 -13,298.90 -9,271.68 -1,409.52 -150,094.15 -1,671.93 -3,061.91 -637.51 -2,321.89 Report ID: BWB009 Base Currency: USD Status: FINAL Amount Net Gain/Loss Base Base 4,294.15 -128.82 13,150.95 -147.95 9,001.63 -270.05 1,368.47 -41.05 147,151.13 -2,943.02 1,650.78 -21.15 3,023.18 -38.73 618.94 -18.57 2,254.26 -67.63 Workbench r···············--····-·····-··-····-···-···-··-·---····································-····-········-···-·-····----·····-·······················-· ·······-·······-·······-····-------··-··········-····--··-····-·-----------·····--------------···-------------------··--···-··-·····-···········-··--··-·-···-----···-·······--···-·--··-················-·····--·-··--····················----········--······-···-··-···-----·--·----·--·-·······----·--.--------···-------······-··· Transaction Detail Report ID: BWB009 Reported by Transaction Category Base Currency: USD OCSIJ.CONSOLIDATED -OCSGOOOlOOOO 11/1/2004-11/30/2004 Status: FINAL . ·······--··---· ···-···----------···· -... -·····--·------·-···----··------------------·-··--··----------··-··-····--·-·-----·--·-·-·--·---------· -··· ···--···-···-··------·--~---------·-·---------------------------------~--------------·-·--------------···--------------·--·---------------····--·---------·--------------··---------------------------- Trade Date Tran Settle Date Reported Date Type Description PD FNMA POOL#0688739 5.000%06/01/2018 11/1/2004 DD 06/0l/03SEC ID: 11/ 1/2004 31400JEL90CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 PD FNMA POOL #0689859 5.000% 05/01/2018 11/ 1/2004 ~f4gg~l~~g~~~ci~~22202: LONG TERM OPER-l l/ l /2004 PIMCO 11/1/2004 PD FNMA POOL #0693834 5.000% 03/01/2018 11/ 1/2004 DO 03/0l/03SEC ID: 11/1/2004 31400PY740CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0695852 5.000% 05/01/2018 11/1/2004 DD 05/01/03SEC ID: 11/1/2004 31400SBVOOCSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0695889 5.0000Ai 05/01/2018 11/1/2004 DD 05/0l/03SEC ID: 11/1/2004 31400SC230CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0697026 5.0000Ai 05/01/2018 11/1/2004 DD 04/0l/03SEC ID: 11/1/2004 31400TLF20CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PO FNMA POOL #0702210 5.000% 05/01/2018 11/1/2004 DD 05/0l/03SEC ID: 11/1/2004 31401ADP90CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 PD FNMA POOL #0702328 5.000% 05/01/2018 11/1/2004 DD 04/0l/03SEC ID: 11/ 1/2004 31401AHD20CSF07522202: LONG TERM OPER-004 PIMCO 11/1/2 PD FNMA POOL #0709148 5.0000/o 06/01/2018 l 1/ 1/2004 DD 06/0l/03SEC ID: 11/1/2004 31401HZM70CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 21 Shares/Par -1,844.410 -368.070 -15,079.300 -2,640.940 -8,772.460 -112.080 -2,755.080 -1,489.600 -3,939.270 Cost Base -1,899.74 -372.79 -15,531.68 -2,720.17 -9,035.63 -115.44 -2,837.73 -1,508.69 -4,057.45 Amount Base 1,844.41 368.07 15,079.30 2,640.94 8,772.46 112.08 2,755.08 1,489.60 3,939.27 Net Gain/Loss Base -55.33 -4.72 -452.38 -79.23 -263.17 -3.36 -82.65 -19.09 -118.18 Workbench OCSD-CONSOLIDATED -OCSG00010000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description PD PD PD PD PD PD PD PD PD FNMA POOL #0709360 5.000% 07 /01/2018 11/ 1/2004 DD 06/01/03SEC ID: 31401JB560CSF07522202: LONG TERM OPER-ll/l/2004 PIMCO 11/ 1/2004 FNMA POOL #0709826 5.000% 06/01/2018 11/ 1/2004 DD 06/01/03SEC ID: 00 31401JSP40CSF07522202: LONG TERM OPER-ll/l/2 4 PIMCO 11/ 1/2004 FNMA POOL #0709917 5.000% 06/01/2018 11/1/2004 DD 06/0l/03SEC ID: / / 004 31401JVJ40CSF07522202: LONG TERM OPER-ll l 2 PIMCO 11/1/2004 FNMA POOL #0709963 5.0000A> 06/01/2018 11/ 1/2004 ~p4g~~~g~g~~~22202: LONG TERM OPER-l l / l/2004 PIMCO 11/ 1/2004 FNMA POOL #0710235 5.000% 06/01/2018 11/ 1/2004 DD 06/0l/03SEC ID: / /2004 31401KBC80CSF07522202: LONG TERM OPER-l l l PIMCO 11/ 1/2004 FNMA POOL #0713344 5.0000A> 06/01/2018 11/ 1/2004 DD 06/01/03SEC ID: 11/1/2004 31401NP520CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0713365 5.000% 07 /01/2018 11/ 1/2004 DD 07/01/03SEC ID: 11/1/2004 31401NQS10CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0720319 5.000% 07/01/2018 11/1/2004 ~~gr '1°cii~g~~~~~22202: LONG TERM OPER-l l/ l/2004 PIMCO 11/1/2004 FNMA POOL #0720369 5.000% 06/01/2018 11/1/2004 ~~g~~~gg~~~~~22202: LONG TERM OPER-ll/ l/2004 PIMCO 11/1/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 Shares/Par -21,712.960 -1,031.880 -4,895.890 -76.510 -21,575.450 -592.430 -8,834.690 -10,390.160 -12,012.900 Cost Base -21,991.16 -1,045.10 -4,958.62 -77.49 -22,222.71 -610.20 -8,947.88 -10,523.28 -12,373.29 ------------------ 22 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 21,712.96 -278.20 1,031.88 -13.22 4,895.89 -62.73 76.51 -0.98 21,575.45 -647.26 592.43 -17.77 8,834.69 -113.19 10,390.16 -133.12 12,012.90 -360.39 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Report ID: EWB009 Base Currency: USD Status: FINAL ---·-··-------···----~-··-·--·-------....••... ·------------·--······-----···-·--·---------·--- Price Cost Amount Net Gain/Loss --1 Tran Type Description Trade Date Settle Date Reported Date Base Shares/Par Base Base Base I PD PD PD PD PD PD PD PD PD FNMA POOL #0721629 5.000% 07 /01/2018 11/1/2004 ~~4g~~~~g~~~ci~~22202: LONG TERM OPER-ll/ l/2004 PIMCO ll/ 1/2004 FNMA POOL #0723487 5.000% 06/01/2018 11/1/2004 DD 06/01/0JSEC ID: 11/1/200 31402AXQ40CSF07522202: LONG TERM OPER-4 PIMCO 11/1/2004 FNMA POOL#0729601 5.000%07/01/2018 11/1/2004 ~~g~~~;t~~~~~~~22202: LONG TERM OPER-ll/l/2 004 PIMCO l 1/ 1/2004 FNMA POOL #0732873 5.000% 11/01/2018 ll/ 1/2004 ~p4~~~~~~g~~~J~~22202: LONG TERM OPER-l l/ l/2004 PIMCO 11/1/2004 FNMA POOL #0737130 5.000% 10/01/2018 ll/ 1/2004 DD 10/01/03SEC ID: 11/1/2004 31402S4P90CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0738211 5.000% 10/01/2018 11/ 1/2004 DD 10/0l/03SEC ID: 11/1/2004 31402UDQ20CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0738487 5.0000A> 10/01/2018 11/1/2004 DD 10/0l/03SEC ID: 11/1/2004 31402UNC20CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 FNMA POOL ##0740471 5.000% 10/01/2018 11/ 1/2004 DD 10/01/03SEC ID: l l/ 1/2004 31402WT400CSF07522202: LONG TERM OPER- PIMCO 11/1 /2004 FNMA POOL #0740748 5.0000A»i 10/01/2018 11/1/2004 DD 11/01/03SEC ID: 11/1/2004 31402W5H70CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 --·---------------------···-------------·-------- 23 -3,630.160 -3,739.07 3,630.16 -108.91 -957.510 -968.28 957.51 -10.77 -6,597.040 -6,681.56 6,597.04 -84.52 -134.880 -136.61 134.88 -1.73 -2,729.530 -2,764.50 2,729.53 -34.97 -5,903.510 -5,979.15 5,903.51 -75.64 -4,719.680 -4,780.15 4,719.68 -60.47 -2,748.100 -2,783.31 2,748.10 -35.21 -9,866.990 -9,993.41 9,866.99 -126.42 ----------------------- Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description PD PD PD PD PD PD PD PD PD FNMA POOL #0743868 5.000% 11/01/2018 11/1/2004 ~~46~,~~~g~~~ci~~22202: LONG TERM OPER-l l / l /2004 PIM CO 11/1 /2004 FNMA POOL #0744008 5.000% 07 /01/2018 11/ 1/2004 DD 09/01/03SEC ID: 1 I I 00 31403BR540CSF07522202: LONG TERM OPER-l l 2 4 PIMCO 11/1/2004 FNMA POOL #0744316 5.000% 09/01/2018 11/ 1/2004 DD 09/01/03SEC ID: 1 I I 3140383Z40CSF07522202: LONG TERM OPER-l l 2oo4 PIMCO 11/1/2004 FNMA POOL #0747914 5.000% 11/01/2018 11/1/2004 DD 11/01/03SEC ID: 11/ / O 31403F3XOOCSF07522202: LONG TERM OPER-l 2 o4 PIMCO 11/1/2004 FNMA POOL #0748400 5.0000A> 08/01/2018 l 1/ 1/2004 ~~g~&~~~6~;d~22202: LONG TERM OPER-l l/ l/2 004 PIMCO 11/1/2004 FNMA POOL #0748899 5.000% 12/01/2018 11/1/2004 DD 11/0l/03SEC ID: 11/1/2004 3140307LOOCSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 FNMA POOL #0750377 5.000°A> 11/01/2018 11/ 1/2004 DD 11/01/03SEC ID: 11/1/2004 31403JUA20CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0750380 5.000% 11/01/2018 11/1/2004 DD 11/01/03SEC ID: 11/1/2004 31403JUD60CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0750445 5.000% 11/01/2018 11/ 1/2004 ~~~~~1i~6~~~~~22202: LONG TERM OPER-ll/ l/2004 PIMCO 11/1/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 24 Shares/Par -675.170 -20,234.290 -1,639.760 -13,334.210 -6,340.210 -4,734.720 -27,763.420 -48,519.120 -703.630 Cost Base -683.82 -20,493.54 -1,660.77 -13,505.05 -6,421.44 -4,795.38 -28,119.14 -49,140.77 -712.65 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 675.17 -8.65 20,234.29 -259.25 1,639.76 -21.01 13,334.21 -170.84 6,340.21 -81.23 4,734.72 -60.66 27,763.42 -355.72 48,519.12 -621.65 703.63 -9.02 Workbench ... -·---· .. --.. T~~~~~~ti~~D~~il . -....... -... -. ········· -............ ·-~:;~~1~,-~:;;~~;··-· ·-I Reported by Transaction Category Base currency: uso I DC SD-CONSOLIDATED -OCSGOOO 10000 Tran Trade Date Settle Date Reported Date Type Description PD PD PD PD PD PD PD PD PD FNMA POOL #0751960 5.000% 12/01/2018 11/1/2004 ~~~~L~~~g~~~~~~22202: LONGTERM OPER-ll/l/2 004 PIMCO 11/1/2004 FNMA POOL #0753425 5.000% 11/01/2018 11/ 1/2004 DD 11/01/03SEC ID: 11/ 1/2004 31403NA230CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 FNMA POOL #0755165 5.000% 12/01/2018 11/1/2004 DD 1 l/01/03SEC ID: 11/ 1/2004 31403Q6A30CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 FNMA POOL #0756372 5.000% 11/01/2018 11/1/2004 DD 11/0l/03SEC ID: 11/1/2004 31403SJR80CSF07522202: LONG TERM OPER- PIMCO 11/ 1/2004 GNMA POOL #0421389 6.500% 04/15/2026 11/1/2004 DD 04/0l/96SEC ID: 11/1/2004 36206UC230CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA POOL #0449851 6.500% 01/ 15/2028 11/ 1/2004 DD Ol/Ol/98SEC ID: 11/ 1/2004 36208FWLOOCSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA POOL #0466845 6.500% 06/15/2028 11/1/2004 DD 06/0l/98SEC ID: 11/1/2004 36209BTA60CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA POOL#0468052 6.500%07/15/2028 11/1/2004 DD 07 /01/98SEC ID: 11/ 1/2004 36209C5M40CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA POOL #0476041 6.500% 06/ 15/2028 11/ 1/2004 DD 06/01/98SEC ID: 11/1/2004 36209MZE70CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 11/1/2004-11/30/2004 Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 25 Shares/Par -17 ,528.230 -17,456.470 -2,587.480 -4,457.950 -252.000 -34.410 -51.750 -212.680 -291.310 Cost Base -17,752.81 -17,658.31 -2,620.63 -4,509.50 -264.48 -36.11 -54.31 -223.21 -305.28 -·······-···-~t~~~s: __ ~~~-~-. ··-· -· _____ J Amount Base 17,528.23 17,456.47 2,587.48 4,457.95 252.00 34.41 51.75 212.68 291.31 Net Gain/Loss Base -224.58 -201.84 -33.15 -51.55 -12.48 -1.70 -2.56 -10.53 -13.97 Workbench OCSD-CONSOLIDATED -OCSGOOO 10000 Transactic:i Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description PD PD PD PD PD PD PD PD PD GNMA POOL #0478626 6.500% 01/15/2029 11/1/2004 DD 01/01/99SEC ID: 36209QVT90CSF07522202: LONG TERM OPER-ll/l/2 004 PIMCO 11/1/2004 GNMA POOL#0480598 6.500% 10/15/2028 11/1/2004 DD 10/01/98SEC ID: 36209S3F60CSF07522202: LONG TERM OPER-ll/l/2 oo4 PIMCO 11/1/2004 GNMA POOL #0512235 6.500% 1l/15/2029 l l/ 1/2004 DD ll/Ol/99SEC ID: 362110BC60CSF07522202: LONGTERM OPER-ll/l/2004 PIMCO 11/1/2004 GNMA POOL #0514326 6.500% 07/15/2029 11/1/2004 DD 07 /0l/99SEC ID: I I 36211JLF20CSF07522202: LONG TERM OPER-l l l 2oo 4 PIMCO ll/ 1/2004 GNMA II POOL #0080023 VAR RT 12/20/2026 11/1/2004 DD 12/0l/96SEC ID: / /2004 36225CAZ90CSF07522202: LONG TERM OPER-l l l PIMCO ll/ 1/2004 GNMA II POOL #080088M 7.375% 06/20/2027 11/ 1/2004 DD 06/0l/97SEC ID: 11/1/2004 36225CC200CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA II POOL #0080395 VAR RT 04 /20 /2030 11/1/2004 ~~~;b~~~g~~~ci~~22202: LONG TERM OPER-ll / l/2 004 PIMCO 11/1/2004 GNMA II POOL #080408X 6.500% 05/20/2030 11/ 1/2004 DD 05/01/00SEC ID: 11/1/2004 36225CN280CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 GNMA II POOL #0080900 VAR RT 05 /20 /2034 11/l/2004 DD 05/0l/04SEC ID: 11/1/2004 36225DAA20CSF07522202: LONG TERM OPER- PIMCO 11/1/2004 --------------- Price Base 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 26 Shares/Par -187.310 -38.790 -12.450 -186.500 -4,522.470 -10,258.250 -4,599.220 -54,199.120 -4,243.300 Cost Base -196.30 -40.65 -13.07 -195.45 -4,597.37 -10.482.65 -4,557.54 -53,648.66 -4,128.60 Report ID: EWB009 Base Currency: USD Status: FINAL ··------···-· .. ---·-·-.J Amount Base 187.31 38.79 12.45 186.50 4,522.47 10,258.25 4,599.22 54,199.12 4,243.30 Net Gain/Loss Base -8.99 -1.86 -0.62 -8.95 -74.90 -224.40 41.68 550.46 114.70 Workbench Transaction Detail OCSD-CONSOLIDATED -OCSG00010000 Reported by Transaction Category 11/1/2004-11/30/2004 I Tran .... -· -············ --.. -····· ············-···--· !:!:~:!:-·-· I Type Description Reported Date PD PD PD GNMA II POOL #0080965 VAR RT 07 /20/2034 11/1/2004 ~~2~~b~~~6~~~~~22202: LONGTERM OPER-ll/l/2004 PIMCO l l/ 1/2004 GNMA GTD REMIC TR 2000-9 FH VAR RT 11/16/2004 02/16/2030SECID:3837H4NX90CSF07522202: 11/16/2004 LONG TERM OPER-PIMCO 11/16/2004 RESIDENTIAL ASSET 03-RSll AIIB VAR RT 11/25/2004 12/25/2033 DD 12/30/03SEC ID: 11/25/2004 760985K830CSF07522202: LONG TERM OPER- PIMCO 11/25/2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: TOTAL PRIRCIPAL PAYMENTS BASE: MATURITIES CASH 85 CASH EQUIVALENTS U.S. DOLLAR MT MT MT BANK OF AMERICA NA INSTL C/D 1.6200Ai 11/02/2004 DD 08/06/04SEC JD: 06050GEM80CSF07511102: LIQUID OPER- PIMCO 11/2/2004 11/2/2004 11/2/2004 FEDERAL HOME LN BKS CONS DISC MAT 11/19/2004 11/19/2004SEC ID: 313384Q280CSF07511102: 11/19/2004 LIQUID OPER-PIMCO ll/l9 /2004 FEDERAL HOME LN BK CONS DISC N MAT 11/29/2004 11/29/2004SEC ID: 313384R430CSF07511102: 11/29/2004 LIQUID OPER-PIMCO 11/29/2004 Price Base Shares/Par 100.0000 -11,624.190 100.0000 -13,507.090 100.0000 -60,793.980 -763,507.160 -763,507.160 -763,507.160 100.0000 -2,200,000.000 100.0000 -8,400,000.000 100.0000 -2,000,000.000 Cost Base -11,616.92 -13,507.09 -60,793.98 -773,692.62 -773,692.62 -773,692.62 -2,200,000.00 -8,376,181.33 -1,999,691.67 ........................................... __________ .................. _ ....... ] Rt! port. ID: EWB009 Base Currency: USD Status: FINAL Amount Base 11,624.19 13,507.09 60,793.98 763,507.16 763,507.16 763,507.16 2,200,000.00 8,376,181.33 1,999,691.67 Net Gain/Loss Base 7.27 0.00 0.00 -10,185.46 -10,185.46 -10,185.46 0.00 0.00 0.00 ·------------··-·----------------------------·--------·-----------·----------- Workbench 27 OCSD-CONSOLIDA TED -OCSGOOO 10000 ':.1:ansaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 ---, Report ID: EWI:009 Base Currency: USD Status: FINAL ------·--· --··----·-·--------1 Net Gain/Loss I Base ~~~~~~~-=~-==~ Tran Type Description Trade Date Settle Date Reported Date Price Base Shares/Par MT FEDERAL HOME LN MTG CORP DISC MAT 11/9/2004 11/09/2004SEC ID: 313396N820CSF07511102: 11/9/2004 LIQUID OPER-PIMCO 100.0000 -7 ,300,000.000 Cost Base Amount Base -7,270,844.61 7 ,270,844.61 0.00 MT MT MT MT MT MT MT MT 11/9/2004 FEDERAL HOME LN MTG CORP DISC MAT 11/16/2004 11/16/2004SECID:313396P720CSF07511102: 11/16/2004 LIQUID OPER-PJMCO 11/16/2004 FEDERAL NATL MTG ASSN DISC NT MAT 11/3/2004 11/3/2004SECID:313588N270CSF07511102: 11/3/2004 LIQUID OPER-PIMCO 11/3/2004 FEDERAL NATL MTG ASSN DISCOUNT MAT 11/ 17 /2004 ll/17/2004SECID:313588P820CSF07511102: 11/17/2004 LIQUID OPER-PIMCO ll/l7 /2004 FEDERAL NATL MTG ASSN DISCOUNT MAT 11/24/2004 11/24/2004SEC JD: 313588Q730CSF07511102: 11/24/2004 LIQUID OPER-PIMCO 1112412004 US TREASURY BILL DUE 11/04/2004 DD 11/4/2004 05/06/2004SEC JD: 912795RK90CSF07511102: 11/4/2004 LIQUID OPER-PIMCO ll/4 /2004 US TREASURY BILL DUE 11/12/2004 DD ll/ 12/2004 05/13/2004SECID:912795RL70CSF07511102: 11/12/2004 LIQUID OPER-PIMCO 11/12/2004 US TREASURY BILL DUE 11/ 18/2004 DD 1l/18/2004 05/20/2004SECID:912795RM50CSF07511102: 11/18/2004 LIQUID OPER-PIMCO l l/ 1812004 US TREASURY BILL DUE 11/26/2004 DD 11/26/2004 05/27 /2004SEC JD: 912795RN30CSF0751l102: 11/26/2004 LIQUID OPER-PIMCO 11/26/2004 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 100.0000 28 -1,000,000.000 -995,860.00 995,860.00 0.00 -1,800,000.000 -1,792,755.00 1,792,755.00 0.00 -2,800,000.000 -2, 788,569.39 2,788,569.39 0.00 -4,000,000.000 -3,983,114.44 3,983,114.44 0.00 -5,600,000.000 -5,579,262.11 5,579,262.11 0.00 -2,000,000.000 -1,991,997.50 1,991,997.50 0.00 -5,000,000.000 -4,982,207.29 4,982,207.29 0.00 -5,000,000.000 -4, 980,686.39 4,980,686.39 0.00 -------------------------·-- Workbench OCSD-CONSOLIDATED-OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Type Description Trade Date Settle Date Reported Date TOTAL CASH & CASH EQUIVALENTS U.S. DOLLAR: TOTAL CASH & CASH EQUIVALENTS BASE: FIXED INCOME SECURITIES U.S. DOLLAR MT KRAFT FOODS INC NT VAR RT 11/26/2004 DD 11/26/2004 11/26/02SECID:50075NAJ30CSF07522202: 11/26/2004 LONG TERM OPER-PIMCO 11/26/2004 TOTAL MATURITIES BASE: MISCELLANEOUS ACTIVITY FIXED INCOME SECURITIES U.S. DOLLAR SW CD REPS FRACTIONAL WRITEOFF FHLMC 11/30/2004 MULTICLASS MTG SER E3 ASEC ID: 11/30/2004 3133TCE950CSF07522202: LONG TERM OPER- PIMCO 11/30/2004 REPS ODD-CENT ADJUSTMENT FHLMC 11/30/2004 MULTICLASS MTG SER E3 ASEC ID: 3133TCE950CSF07522202: LONG TERM OPER- PIMCO 11/30/2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: TOTAL MISCELLANEOUS ACTIVITY BASE: INTEREST Price Base 100.0000 29 Shares/Par ·47,100,000.000 -47' 100,000.000 -3,000,000.000 ·50,100,000.000 -0.700 0.000 -0.700 -0.700 -0.700 Cost Base -46,941,169.73 -46,941,169.73 -2,999,910.00 -49,941,079. 73 -0.70 0.70 0.00 0.00 o.oo Report ID: EWB009 Base Currency: USD Status: FINAL .. ·····-··..) Amount Base Net Gain/Loss Base 46,941,169. 73 0.00 46,941,169. 73 0.00 3,000,000.00 90.00 49,941,169.73 90.00 0.00 -0.70 0.70 0.70 0.70 0.00 0.70 o.oo 0.70 o.oo Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 [ ! Tran i Type Description Trade Date Settle Date Reported Date CASH & CASH EQUIVALENTS U.S. DOLLAR IT BANK OF AMERICA NA INSTL C/D 1.6200.4 11/2/2004 11/02/2004 DD 08/06/04SEC ID: 11/2/2004 06050GEM80CSF0751l102: LIQUID OPER- PIM CO 11/2/2004 IT FEDERAL HOME LN BKS CONS DISC MAT 11/19/2004 11/ 19/2004SEC ID: 313384Q280CSF07511102: 11/ 19/2004 LIQUID OPER-PIMCO 11/19/2004 IT FEDERAL HOME LN BK CONS DISC N MAT 11/29/2004 11/29/2004SEC ID: 313384R430CSF07511102: 11/29/2004 LIQUID OPER-PIMCO 11/29/2004 IT FEDERAL HOME LN MTG CORP DISC MAT 11/9/2004 11/09/2004SEC ID: 313396N820CSF07511102: 11/9/2004 LIQUID OPER-PIMCO 11/9/2004 IT FEDERAL HOME LN MTG CORP DISC MAT 11/16/2004 ll/ 16/2004SEC ID: 313396P720CSF07511102: 11/16/2004 LIQUID OPER-PIMCO 11/16/2004 IT FEDERAL NATL MTG ASSN DISC NT MAT 11/3/2004 11/3/2004SECID:313588N270CSF07511102: 11/3/2004 LIQUID OPER-PIMCO 11/3/2004 IT FEDERAL NATL MTG ASSN DISCOUNT MAT 11/17/2004 11/ 17 /2004SEC ID: 313588P820CSF07511102: 11/17/2004 LIQUID OPER-PIMCO 11/17/2004 IT FEDERAL NATL MTG ASSN DISCOUNT MAT 11/24/2004 ll/24/2004SEC ID: 313588Q730CSF07511102: 11/24/2004 LIQUID OPER-PIMCO 11/24/2004 IT US TREASURY BILL DUE 11/04/2004 DD 11/4/2004 05/06/2004SEC ID: 912795RK90CSF0751l102: 11/4/2004 LIQUID OPER-PIMCO 11/4/2004 -------·- Price Base 30 Shares/Par 2,200,000.000 8,400,000.000 2,000,000.000 7 ,300,000.000 l ,000,000.000 1,800,000.000 2,800,000.000 4,000,000.000 5,600,000.000 Cost Base 8,712.00 23,818.67 308.33 29,155.39 4,140.00 7,245.00 11,430.61 16,885.56 20,737.89 Report ID: EWB009 Base Currency: USD Status: FINAL -·-·-· ·-·---········· . -----······-···--····· ··--· ---. Amount Base 8,712.00 23,818.67 308.33 29,155.39 4,140.00 7,245.00 11,430.61 16,885.56 20,737.89 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOO 10000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT IT IT IT IT US TREASURY BILL DUE 11/12/2004 DD 11/12/2004 05/13/2004SECID:912795RL70CSF07511102: 11/12/2004 LIQUID OPER-PIMCO 11/12/2004 US TREASURY BILL DUE 11/18/2004 DD 11/18/2004 05/20/2004SECID:912795RM50CSF07511102: 11/18/2004 LIQUID OPER-PIMCO 11/18/2004 US TREASURY BILL DUE 11/26/2004 DD 11/26/2004 05/27 /2004SEC ID: 912795RN30CSF0751l102: 11/26/2004 LIQUID OPER-PIMCO 11/26/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/3/2004 9960852470CSF07522202: LONG TERM OPER-11/1/2004 PIMCO 11/3/2004 DREYFUS TREASURY CASH MGMTSEC ID: 11/3/2004 9960852470CSF0751l102: LIQUID OPER-PIMCO 1l/1/2004 11/3/2004 TOTAL CASH Bl CASH EQUIVALENTS U.S. DOLLAR: TOTAL CASH 81 CASH EQUIVALENTS BASE: FIXED INCOME SECURITIES U.S. DOLLAR IT IT ALLSTATE CORP SR NT 7.875% 05/01/2005 DD 11/1/2004 05/0l/OOSECID:020002ALSOCSF07522202: 11/1/2004 LONG TERM OPER-PIMCO BANKAMERICA CORP MTN SR 00150 7.125% 05/ 12/2005 DD 05/ 12/95SEC ID: 06605LGFOOCSF07511102: LIQUID OPER- PIMCO 11/1/2004 11/12/2004 11/12/2004 11/12/2004 Price Base Shares/Par 2,000,000.000 5,000,000.000 5,000,000.000 0.000 0.000 47 ,100,000.000 47 ,100,000.000 1,600,000.000 150,000.000 31 Cost Base 8,002.50 17,792.71 19,313.61 1,479.93 1,017.64 170,039.84 170,039.84 63,000.00 5,343.75 Report ID: EWB009 Base Currency: USD ....... -~~~-~-~-~~-:!~~-~--........... ·• ............... _ J Amount Base 8,002.50 17,792.71 19,313.61 1,479.93 1,017.64 170,039.84 170,039.84 63,000.00 5,343.75 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 ' Tran Trade Date Settle Date Reported Date Type Description IT FHLMC MULTICLASS MTG SER E3 A VAR RT 11/15/2004 08/15/2032 DD 12/01/97SEC ID: 10/1/2004 3133TCE950CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT FHLMC GROUP #78-6064 6.384% 01/01/2028 11/ 15/2004 ~~~~§~1C6~~;0I.?~22202: LONG TERM OPER-lO/ l/2004 PIMCO 11/15/2004 IT FNMA POOL #0254510 5.000% 11/01/2017 11/26/2004 DD 10/01/02SEC ID: 11/1/2004 31371KVB40CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0254631 5.000% 02/01/2018 11/26/2004 DD 01/0l/03SEC ID: 11/1/2004 31371KY470CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0254760 5.000% 06/01/2018 11/26/2004 DD 05/01/03SEC ID: 1l/1/2004 31371K5V90CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0254866 5.0000k 09/01/2018 11/26/2004 DD 08/01/03SEC ID: 11/1/2004 31371LCB30CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0254953 5.000% 11/01/2018 11/26/2004 DD 10/0l/03SEC ID: 11/1/2004 31371LE210CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0254987 5.000% 12/01/2018 11/26/2004 DD 11/0l/03SEC ID: 11/1/2004 31371LF460CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0323980 6.0000AI 04/01/2014 11/26/2004 DD 09/0l/99SEC ID: 11/ 1/2004 31374T2MOOCSF07522202: LONG TERM OPER- PIMCO 11/26/2004 Price Base 32 Shares/Par 16,349.100 181.240 13,018.200 2,617.850 2,000.560 985.680 4,503.500 12,140.680 3,828.740 Cost Base 2,642.53 178.59 2,848.57 611.88 544.28 247.23 1,309.46 3,546.67 762.39 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 2,642.53 0.00 178.59 0.00 2,848.57 0.00 611.88 0.00 544.28 0.00 247.23 0.00 1,309.46 0.00 3,546.67 0.00 762.39 0.00 Workbench OCSD-CONSOUDATED -OCSG00010000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 -···-··--·-······ -·--··· Trade Date Tran Settle Date Reported Date Type Description IT FNMA POOL #0357328 5.000% 01/01/2018 11/26/2004 DD 01/0l/03SEC ID: 11/1/2004 31376J4M80CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0357430 5.000% 09/01/2018 11/26/2004 DD 09/0l/03SEC ID: 11/1/2004 31376KA710CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0456482 6.000% 02/01/2014 11/26/2004 DD 02/0l/99SEC ID: 11/1/2004 31381CCT20CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0509649 6.000% 09/01/2014 11/26/2004 DD 09/0l/99SEC ID: 11/1/2004 31383QEWOOCSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0535451 6.000% 06/01/2015 11/26/2004 DD 07 /0l/OOSEC ID: 11/ 1/2004 31384VZQ80CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0555363 5.000% 04/01/2018 11 /26/2004 ~~~~~051/~~~~;0~22202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0555453 5.0000A> 05/01/2018 11/26/2004 DD 04/0l/03SEC ID: 11/ 1/2004 31385XBW60CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0555545 5.0000A> 06/01/2018 11/26/2004 DD 05/0l/03SEC ID: 11/ 1/2004 31385XES20CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0555621 5.0000A> 07 /01/2018 11/26/2004 DD 06/0l/03SEC ID: 1l/1/2004 31385XG680CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 Price Base Shares/Par 423.050 23,088.780 387.930 850.270 3,137.360 5,833.020 450.150 4,294.150 13,150.950 33 Cost Base 103.65 5,453.83 211.24 506.46 595.64 1,306.02 135.35 1,083.30 3,746.49 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Net Gain/Loss Base Base 103.65 0.00 5,453.83 0.00 211.24 0.00 506.46 0.00 595.64 0.00 1,306.02 0.00 135.35 0.00 1,083.30 0.00 3,746.49 0.00 Workbench OCSD-CONSOLIDATED -OCSG00010000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT FNMA POOL #0681309 5.000% 02/01/2018 11/26/2004 DD 02/0l/03SEC ID: I I 31391 Y3S40CSF07522202: LONG TERM OPER-l l l 2oo 4 PIMCO 11/26/2004 IT FNMA POOL #0681334 5.000% 02/01/2018 11/26/2004 DD Ol/01/03SEC ID: 11/1/2 31391Y4TlOCSF07522202: LONG TERM OPER-004 PIMCO 11/26/2004 IT FNMA OTO REMIC P/T 02-76 PD 5.000% 11/26/2004 08/25/2022 DD 10/0l/02SEC ID: 11/1/2 o 31392FKF30CSF07522202: LONG TERM OPER-O 4 PIMCO 11/26/2004 IT FNMA POOL #0684908 5.000% 06/01/2018 11/26/2004 DD 05/0l/03SEC ID: l/ 1/2 31400D3Rl0CSF07522202: LONG TERM OPER-l 004 PIMCO 11/26/2004 IT FNMA POOL #0685200 5.000% 03/01/2018 11/26/2004 ~~g~,~~~g~~~~~22202: LONG TERM OPER-l l/ l/2 004 PIMCO 11/26/2004 IT FNMA POOL #0685665 5.000% 02/01/2018 11/26/2004 ~~g~,~£gg~~~~~22202: LONGTERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0686318 5.000% 03/01/2018 11/26/2004 DD 03/0l/03SEC ID: 11/1/2004 31400FPB70CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0688739 5.000% 06/01/2018 11/26/2004 DD 06/01/03SEC ID: 11/1/2004 31400JEL90CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL ##0689859 5.000% 05/01/2018 11/26/2004 ~~gg~lc.(~g~~~~~22202: LONG TERM OPER-l l/ l/2004 PIMCO 11/26/2004 Price Base Shares/Par 9,001.630 1,368.470 147,151.130 1,650.780 3,023.180 618.940 2,254.260 1,844.410 368.070 34 Cost Base 2,007.81 246.36 2,433.73 1,294.61 723.15 125.49 1,085.60 432.79 350.66 Report ID: EWB009 Base Currency: USD Status: FINAL ····-························ ······························-······················-·········-···-·······--· 2,007.81 0.00 246.36 0.00 2,433.73 0.00 1,294.61 0.00 723.15 0.00 125.49 0.00 1,085.60 0.00 432.79 0.00 350.66 0.00 Workbench .................................................................................................................................................................................................................................................................................................................................................... _ ..................................................................................................................................... --.......................................... : .................................................... , OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 I Tran Trade Date Settle Date Reported Date Price Cost i Type Description Base Shares/Par Base IT FNMA POOL #0693834 5.0000A> 03/01/2018 11/26/2004 15,079.300 2,445.66 DD 03/01/03SEC ID: 11/1/200 31400PY740CSF07522202: LONG TERM OPER-4 PIMCO 11/26/2004 IT FNMA POOL #0695852 5.000% 05/01/2018 11/26/2004 2,640.940 862.69 DD 05/0l/03SEC ID: 11/1/200 31400SBVOOCSF07522202: LONG TERM OPER-4 PIMCO 11/26/2004 IT FNMA POOL #0695889 5.000% 05/01/2018 l 1 /26/2004 8,772.460 2,861.22 DD 05/01/03SEC ID: 11/1/2004 31400SC230CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0697026 5.000% 05/01/2018 11/26/2004 112.080 90.04 DD 04/0l/03SEC ID: 11/1/2004 31400TLF20CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL ##0702210 5.000% 05/01/2018 11/26/2004 2,755.080 870.09 DD 05/01/0JSEC ID: 11/ 1/2004 31401ADP90CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0702328 5.0000A> 05/01/2018 11/26/2004 1,489.600 533.27 DD 04/01/0JSEC ID: 11/1/2004 31401AHD20CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL ##0709148 5.0000A> 06/01/2018 11/26/2004 3,939.270 1,094.96 DD 06/01/0JSEC ID: 11/ 1/2004 31401HZM70CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0709360 5.0000A> 07 /01/2018 11/26/2004 21,712.960 2,516.22 DD 06/01/0JSEC ID: 11/ 1/2004 31401JB560CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0709826 5.0000'1> 06/01/2018 11/26/2004 1,031.880 425.68 DD 06/01/0JSEC ID: 1l/1/2004 31401JSP40CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 35 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 2,445.66 0.00 862.69 0.00 2,861.22 0.00 90.04 0.00 870.09 0.00 533.27 0.00 1,094.96 0.00 2,516.22 0.00 425.68 0.00 Workbench ............................................................ OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail ~:-;-:-:~: ~ ~j7 Transaction Category 11/1/2004-11/30/2004 -•·····--·-· •• ·--<+••• Trade Date Tran Settle Date Reported Date 1 Type Description IT FNMA POOL #0709917 5.000% 06/01/2018 11/26/2004 DD 06/01/03SEC ID: / / 31401JVJ40CSF07522202: LONG TERM OPER-ll l 2oo 4 PIM CO 1 l /26/2004 IT FNMA POOL #0709963 5.000% 06/01/2018 11/26/2004 DD 06/01/03SEC ID: 1 I I 00 31401JWYOOCSF07522202: LONG TERM OPER-l l 2 4 PIMCO 11/26/2004 IT FNMA POOL #0710235 5.000% 06/01/2018 11/26/2004 ~~g~~~~g~:~~22202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0713344 5.000% 06/01/2018 11/26/2004 DD 06/0l/03SEC ID: 11/1/2004 31401NP520CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0713365 5.000% 07 /01/2018 11/26/2004 DD 07/01/03SEC ID: 11/1/200 31401NQS10CSF07522202: LONG TERM OPER-4 PIMCO 11/26/2004 IT FNMA POOL #0720319 5.0000AI 07 /01/2018 11/26/2004 ~~gi~~~~g~~~~~22202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0720369 5.0000AI 06/01/2018 11/26/2004 ~~g~~~gg~~~d~~22202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0721629 5.000% 07 /01/2018 11/26/2004 DD 06/01/03SEC ID: 11/ 1/2004 31401XVW40CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0723487 5.000% 06/01/2018 11/26/2004 DD 06/0l/03SEC ID: 11/1/2004 31402AXQ40CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 Price Base Shares/Par 4,895.890 76.510 21,575.450 592.430 8,834.690 10,390.160 12,012.900 3,630.160 957.510 36 Cost Base 898.47 75.53 2,409.80 65.93 1,047.73 2,942.07 8,373.47 1,181.80 967.87 Report ID: EWB009 Base Currency~ U!;D Status: FINAL Amount Base Net Gain/Loss Base 898.47 0.00 75.53 0.00 2,409.80 0.00 65.93 0.00 1,047.73 0.00 2,942.07 0.00 8,373.47 0.00 1,181.80 0.00 967.87 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT FNMA POOL #0729601 5.000% 07 /01/2018 11/26/2004 DD 07 /Ol/03SEC ID: 31402HRW30CSF07522202: LONG TERM OPER-ll/l/2 004 PIMCO 11/26/2004 IT FNMA POOL #0732873 5.000% 11/01/2018 11/26/2004 DD 10/01/03SEC ID: 1 31402MFN50CSF07522202: LONG TERM OPER-ll/ /2 004 PIMCO 11/26/2004 IT FNMA POOL #0737130 5.0000/o 10/01/2018 11/26/2004 DD 10/0l/03SEC ID: 31402S4P90CSF07522202: LONG TERM OPER-ll/l/2 004 PIMCO 11/26/2004 IT FNMA POOL #0738211 5.000% 10/01/2018 11/26/2004 DD 10/0l/03SEC ID: 31402UDQ20CSF07522202: LONG TERM OPER-ll/l/2 004 PIMCO 11/26/2004 IT FNMA POOL #0738487 5.000% 10/01/2018 11/26/2004 DD 10/0l/03SEC ID: 4 31402UNC20CSF07522202: LONG TERM OPER-ll/l/2 00 PIMCO 11/26/2004 IT FNMA POOL #0740471 5.000% 10/01/2018 11/26/2004 DD 10/0l/03SEC ID: 4 31402WT400CSF07522202: LONG TERM OPER-ll/l/2 00 PIMCO 11/26/2004 IT FNMA POOL #0740748 5.000% 10/01/2018 11/26/2004 DD 11/01/03SEC ID: 11/1/2004 31402W5H70CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0743868 5.000% 11/01/2018 11/26/2004 DD 10/0l/03SEC ID: 11/1/2004 31403BMR10CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0744008 5.0000/o 07 /01/2018 11/26/2004 DD 09/01/03SEC ID: / /200 31403BR540CSF07522202: LONG TERM OPER-l l 1 4 PIMCO 11/26/2004 Price Base Shares/Par 6,597.040 134.880 2,729.530 5,903.510 4,719.680 2,748.100 9,866.990 675.170 20,234.290 37 Cost Base 1,600.85 138.37 2,516.01 2,146.99 766.07 2,795.19 3,091.83 152.74 4,047.14 -----------.;:~~~I~;--~~----~.. I Base Currency: t: .:.:,;) I Status: FINAL ' Amount Base 1,600.85 138.37 2,516.01 2,146.99 766.07 2,795.19 3,091.83 152.74 4,047.14 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench OCSIJ.CONSOLIDATED -OCSG00010000 Transaction Detail Reported by Transaction Category 11/ 1/2004 -11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT FNMA POOL #0744316 5.000% 09/01/2018 11/26/2004 DD 09/0l/03SEC ID: 3140383Z40CSF07522202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0747914 5.000% 11/01/2018 11/26/2004 DD 11/0l/03SEC ID: / 31403F3XOOCSF07522202: LONG TERM OPER-ll/l 2oo4 PIMCO 11/26/2004 IT FNMA POOL #0748400 5.0000k 08/01/2018 11/26/2004 ~~g~b~~~5~~;0I~~22202: LONG TERM OPER-ll/l/2004 PIMCO 11/26/2004 IT FNMA POOL #0748899 5.000% 12/01/2018 11/26/2004 DD 1 l/Ol/03SEC ID: / /200 31403G7LOOCSF07522202: LONG TERM OPER-11 l 4 PIMCO 11/26/2004 IT FNMA POOL #0750377 5.0000A> 11/01/2018 11/26/2004 DD l l/Ol/03SEC ID: / /200 31403JUA20CSF07522202: LONG TERM OPER-l l l 4 PIMCO 11/26/2004 IT FNMA POOL #0750380 5.000% 11/01/2018 11/26/2004 DD ll/Ol/03SEC ID: 11/1/2004 31403JUD60CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0750445 5.0000k 11/01/2018 11/26/2004 ~ei~~~~~5~~~~22202: LONG TERM OPER-ll/ l/2004 PIMCO 11/26/2004 IT FNMA POOL #0751960 5.000% 12/01/2018 11/26/2004 ~~~~L~~~g~~~~~~22202: LONG TERM OPER-l l/ l/2004 PIMCO 11/26/2004 IT FNMA POOL #0753425 5.0000A> 11/01/2018 11/26/2004 DD 11/01/03SEC ID: 11/1/2004 31403NA230CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 Price Base Shares/Par 1,639.760 13,334.210 6,340.210 4,734.720 27,763.420 48,519.120 703.630 17,528.230 17,456.470 Cost Base 625.55 1,409.55 832.73 3,811.37 8,636.65 7,814.84 697.71 3,289.26 3,482.89 ---------------·· 38 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 625.55 0.00 1,409.55 0.00 832.73 0.00 3,811.37 0.00 8,636.65 0.00 7,814.84 0.00 697.71 0.00 3,289.26 0.00 3,482.89 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Transaction Detail Repor!~d by Transaction Category 11/ 1/2004 -11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT FNMA POOL #0755165 5.000% 12/01/2018 11/26/2004 DD ll/Ol/03SEC ID: 11/1/2004 31403Q6A30CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FNMA POOL #0756372 5.000% 11/01/2018 11/26/2004 DD ll/Ol/03SEC ID: 11/1/2004 31403SJR80CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 IT FORD MOTOR CR CO NT 6.750% 05/15/2005 11/15/2004 DD 05/24/93SEC ID: l l/ 15/2004 345397GV90CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT GNMA POOL #0421389 6.500% 04/15/2026 11/15/2004 DD 04/01/96SEC ID: 11/1/2004 36206UC230CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT GNMA POOL#0449851 6.500%01/15/2028 11/15/2004 DD 01/0l/98SEC ID: 11/1/2004 36208FWLOOCSF07522202: LONG TERM OPER- PIMCO 11/ 15/2004 IT GNMA POOL #0466845 6.500% 06/15/2028 11/15/2004 DD 06/01/98SEC ID: 11/1/2004 36209BTA60CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT GNMA POOL #0468052 6.500% 07/15/2028 11/ 15/2004 DD 07 /01/98SEC ID: 11/1/2004 36209C5M40CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT GNMA POOL#0476041 6.500%06/15/2028 11/15/2004 DD 06/0l/98SEC ID: 11/1/2004 36209MZE70CSF07522202: LONG TERM OPER- PIMCO 11/15/2004 IT GNMA POOL #0478626 6.5000AI 01/ 15/2029 11/ 15/2004 DD Ol/Ol/99SEC ID: 11/1/2004 36209QVT90CSF07522202: LONG TERM OPER- PIMCO l l/ 15/2004 --·------·---------------- Price Base 39 Shares/Par 2,587.480 4,457.950 1,000,000.000 252.000 34.410 51.750 212.680 291.310 187.310 Cost Base 2,445.35 3,775.08 33,750.00 57.04 107.79 198.37 602.91 793.03 655.37 Report ID: EWB009 Base Currency: USD Status: FINAL I ··-··---l Amount Base 2,445.35 3,775.08 33,750.00 57.04 107.79 198.37 602.91 793.03 655.37 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 Workbench OCSD-CONSOUDATED -OCSGOOOlOOOO Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT IT IT IT IT IT IT IT IT GNMA POOL #0480598 6.500% 10/ 15/2028 11/ 15/2004 DD 10/01/98SEC ID: I I 36209S3F60CSF07522202: LONG TERM OPER-l l l 2004 PIMCO 11/15/2004 GNMA POOL #0512235 6.500% 11/15/2029 11/ 15/2004 DD 11/0l/99SEC ID: 1/ / 36211GBC60CSF07522202: LONG TERM OPER-l l 2oo 4 PIMCO 11/15/2004 GNMA POOL #0514326 6.500% 07/15/2029 11/15/2004 DD07/01/99SECID: I I 36211JLF20CSF07522202: LONG TERM OPER-l l l 2oo 4 PIMCO 11/15/2004 GNMA II POOL #0080023 VAR RT 12/20/2026 11/22/2004 DD 12/0l/96SEC ID: / / 36225CAZ90CSF07522202: LONG TERM OPER-l l l 2oo 4 PIMCO 11/22/2004 GNMA II POOL #080088M 7.375% 06/20/2027 11/22/2004 DD 06/0l/97SEC ID: 11/1/200 36225CC200CSF07522202: LONG TERM OPER-4 PIM CO l l /22/2004 GNMA II POOL #0080395 VAR RT 04/20/2030 11/22/2004 ~~~:6~!.{~g~~~~22202: LONG TERM OPER-l l/ l/2004 PIMCO 11/22/2004 GNMA II POOL #080408X 6.SOOOA> 05/20/2030 11/22/2004 DD 05/01/00SEC ID: 11/1/2004 36225CN280CSF07522202: LONG TERM OPER- PIMCO 11/22/2004 GNMA II POOL #0080900 VAR RT 05/20/2034 11/22/2004 ~~g~b~~~~:22202: LONG TERM OPER-l l/ l/2 004 PIMCO l l /22/2004 GNMA II POOL #0080965 VAR RT 07 /20/2034 11/22/2004 ~~g~b~~~6~~~~~22202: LONGTERM OPER-ll/l/2 004 PIMCO 11/22/2004 Price Base 40 Shares/Par 38.790 12.450 186.500 4,522.470 10,258.250 4,599.220 54,199.120 4,243.300 11,624.190 Cost Base 156.28 45.59 576.96 654.00 638.53 532.94 4,873.56 941.72 4,040.26 Rcpu1l ID: EW~009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base 156.28 0.00 45.59 0.00 576.96 0.00 654.00 0.00 638.53 0.00 532.94 0.00 4,873.56 0.00 941.72 0.00 4,040.26 0.00 Workbench OCSD-CONSOLIDATED -OCSGOOO 10000 Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Tran Trade Date Settle Date Reported Date Type Description IT IT IT IT CD CD CD IT GNMA GTD REMIC TR 2000-9 FH VAR RT 11/16/2004 02/16/2030SECID:3837H4NX90CSF07522202: 11/16/2004 LONG TERM OPER-PIMCO 11/16/2004 KRAFT FOODS INC NT VAR RT 11/26/2004 DD 11/26/2004 1 l/26/02SEC ID: 50075NAJ30CSF07522202: 11/26/2004 LONG TERM OPER-PIMCO 11/26/2004 RESIDENTIAL ASSET 03-RSll AIIB VAR RT 11/26/2004 12/25/2033 DD 12/30/03SEC ID: 11/25/2004 760985K830CSF07522202: LONG TERM OPER- PIMCO 11/26/2004 SBA GTD PARTN CTFS SBIC-PS 01 6.640% 11/10/2004 ~~{!~{~~~O~~~g:;;JJ~~~E~~~ TERM OPER-ll/l/2oo 4 PIMCO 11/10/2004 US TREASURY INFLATION INDEX NT 3.375% 11/30/2004 01/15/2007 DD Ol/15/97SEC ID: 9128272M30CSF07522202: LONG TERM OPER- PIMCO 11/30/2004 US TREASURY INFLATION INDEX NT 3.625% 11/30/2004 01/15/2008 DD Ol/15/98SEC ID: 9128273T70CSF07522202: LONG TERM OPER- PIMCO 11/30/2004 US TREASURY INFLATION INDEX NT 3.875% 11/30/2004 01/15/2009 DD Ol/15/99SEC ID: 9128274Y50CSF07522202: LONG TERM OPER- PIMCO 11/30/2004 US TREASURY NOTES 05.750% 11/15/2005 DD 11/15/2004 ll/15/00SECID:9128276N70CSF07522202: 11/15/2004 LONG TERM OPER-PIMCO l l/ l 5 /2004 TOTAL FIXED INCOME SECURITIES U.S. DOLLAR: TOTAL FIXED INCOME SECURITIES BASE: -·-·------·--···---- . ·-----·-·-··· .. " ... ·-·-····· --···--.. ····-···-······· ·-· Price Base 41 Shares/Par 13,507.090 3,000,000.000 60,793.980 3,000,000.000 0.000 0.000 0.000 3,900,000.000 13,408,710.560 13,408,710.560 Cost Base 1,051.31 15,026.67 1,496.99 32,138.34 34,440.00 7,230.00 30,940.00 112,125.00 469,688.86 469,688.86 Report ID: EWB009 Base Currency: USD I . ······---·-·~t~~~~~~·~~·---··········--·----i Amount Base 1,051.31 15,026.67 1,496.99 32,138.34 34,440.00 7,230.00 30,940.00 112,125.00 469,688.86 469,688.86 Net Gain/Loss Base 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 0.00 o.oo Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO r-·-·· 1 Tran Type Description Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Trade Date Settle Date Price Reported Date Base Shares/Par TOTAL INTEREST BASE: 60,508, 710.560 Cost Base 639,728.70 TOTAL TRANSACTIONS: 46,503,067.890 -28,554,110.93 42 Report ID: EWB009 Base Currency: USD Status: FINAL Amount Net Gain/Loss Base Base 639,728.70 0.00 -53,697.21 32,315.97 Workbench OCSD-CONSOLIDATED -OCSGOOOlOOOO Tran Type Description Transaction Detail Reported by Transaction Category 11/1/2004-11/30/2004 Trade Date Settle Date Reported Date Price Base 43 Shares/Par Cost Base .. Report ID: EWB009 Base Currency: USD Status: FINAL Amount Base Net Gain/Loss Base Workbench _, • FAHR COMMITTEE AGENDA RE PORT Orange County Sanitation District FROM: Lisa L. Tomko , Director of Human Resources Originator: Jeff Reed , Human Resources Manager Meeting Date To Bd . of Dir. 12/08/04 12/15/04 Item Nu mber Item Number FAHR04-110 14(c) SUBJECT: CHANGES AND ADDITIONS TO HUMAN RESOURCES POLICIES AND PROCEDURES AS AUTHORIZED BY RESOLUTION 98-33 . GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No. OCSD 04-30 , amending Resolution No. OCSD 98-33 , amending Human Resources Policies and Procedures Manual. SUMMARY The attached policies are routine updates or additions to maintain consistent language with the Memorandums of Understanding (MOU), to address new legislation , or to clarify procedures . A Smoking policy was written to establish clear smoking regulations and guidelines for OCSD employees , contractors , and the general public who are in or on OCSD property. A recent amendment to the California Government Code §7597 prohibits smoking with in 20 feet from a main entrance , e xit, and/or operable window . The policy further defines these and other legislative requirements . The policy supports and enforces Article 8 , Smoke-Free Work Environment, for each MOU ratified by OCSD and each bargaining unit. In addition , many of the policies in this quarterly update refer to new legislation pertaining to domestic partner rights . Currently , California Labor Code§ 233 provides certain protections to registered domestic partners . These protections allow employees to use sick leave to care for a domestic partner. The Leave-of-Absence with Pay and Catastrophic Illness Leave Donation Program policies accommodate these changes . Furthermore , recent updates to the Californ ia Domestic Partner Rights and Responsibil ities Act of 2003 , chartered by the Californ ia Secretary of State , provide insurance benefits for domestic partners . Qualifications and procedures for becoming a registered domestic partner with the California Secretary of State are pursuant to Family Code §297 and §298 . These provisions also provide the same nondiscrimination rights as spouses and under the Fair Employment and Housing Act (FEHA), employers may not discriminate on the basis of marital status . A Domestic Partnership policy was written to recognize the status of this protected class of employees and to set guidelines and procedures for providing eligibility for OCSD provided programs . It is also the intent of this policy to provide communication , ensuring H:l dept\ag enda\Board Agenda Reports\2004 Board Agenda & Ag enda Reports\1204\ltem 14 (c).HR Policy Procedure .doc Page 1 equal access to eligible programs. Based on domestic partner eligibility for OCSD provided insurance benefits effective January 1, 2005 , the Insurance policy has a lso been updated . PRIOR COMMITTEE/BOARD ACTIONS Human Resources Policies and Procedures Manual revisions were presented at the July 2004 FAHR and Board of Directors meetings . PROJECT/CONTRACT COST SUMMARY N/A BUDGET IMPACT D This item has been budgeted . (Lin e item: ) D This item has been budgeted , but there are insufficient funds. D This item has not been budgeted. [:8J Not applicable (information item) ADDITIONAL INFORMATION Policy Number and Subject From To 0 10.00 Leave of Absence W ith Pay Cu rre nt Language Revised Language 050.00 Insurance Current Language Revised Language 051.00 Pro Rata Benefits for Part-Time Employees Current Language Revised Language 090.00 Tuition Reimbursement Program Current Language Revised Lang ua ge D11 O.OOCatastrophic Illn ess Leave Donation Pro gram Current Language Revised Language D130.00 Domesti c Partnership F20 .00 Hours of Work -Non-Exempt Employees Cu rrent Language Revised Lang uage F20.10 Hours of Work -Exempt Empl oyees Current Language Revised Language F100.00 Smoking ALTERNATIVES N/A CEQA FINDINGS N/A H ldept\agenda\Board Agenda Repons\2004 Board Agenda & Agenda Repons\1204\llem 14(c) HR Policy Procedure .d o c Page 2 Reason for Change Add dom est ic partner language Add domestic partner language Add transition ing to full-ti me I part-time la nguage Establish detailed subm ittal guidelines and policy cla rification Add domestic partner language New Policy Add transitioning to full-t ime I part-tim e language Add transitioning to fu ll-time I part-time language and up date memo time lanciuacie New Policy I I ATTACHMENTS 1. D10.00 Leave of Absence with Pay 2. D50.00 Insurance 3. 051.00 Pro-Rata Benefits for Part-Time Employees 4. D90.00 Tuition Reimbursement Program 5. D110.00 Catastrophic Illness Leave Donation Program 6. D130.00 Domestic Partnership 7. F20.00 Hours of Work-Non-Exempt Employees 8. F20.1 O Hours of Work -Exempt Employees 9. F100.00 Smoking 10. Resolution No. OCSD 04-30 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 14(c).HR Policy Procedure.doc Page 3 Orange County Sanitation District Subject: LEAVE-OF-ABSENCE WITH PAY 1.0 PURPOSE Policy Number: 010.00 Effective Date: February 25, 2004 December'j5~ 200~ Supersedes: August 22, 2001 f~brua11iS2s', 20()4 Approved by: Lisa L. Tomko 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of the Orange County Sanitation District's (OCSD's) leave-of-absence with pay program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All regular OCSD employees. 3.0 DEFINITIONS 4.0 POLICY 4.1 Vacation Leave. Except as otherwise provided, regular full-time employees accrue vacation leave in accordance with the following schedule: Years of Service Hours-Biweekly Hours-Annually In years O through 1 3.08 80 In years 2 through 4 3.08 80 In years 5 through 10 4.62 120 In year 11 4.93 128 In year 12 5.24 136 In year 13 5.54 144 In year 14 5.85 152 In year 15 6.16 160 In year 16 6.46 168 In year 17 6.77 176 In year 18 7.08 184 In year 19 7.39 192 In years 20 and over 7.69 200 Page I of 8 4.1.1 Vacation leave begins to accrue after a new employee has completed six months of continuous service. After the first six months of service, the employee's account will be credited with 40 hours. After that time, the employee will accrue vacation hours consistent with the above chart. Vacation leave may only be utilized in increments of one-half hour or more. Vacation leave is accrued for all paid hours, including hours actually worked and hours in a paid-leave payroll status. A full-time, regular employee will be granted pro rata vacation leave credit during any pay period in which he/she is absent without pay for one (1) full working day. A part-time, regular employee will not be granted vacation leave credit during any period he/she is absent without pay on his/her regular working day. Employees may have a maximum accumulation of 200 hours as of the last day of the final pay period in December of each year. In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to said December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.1·:2'~~:",Managefffeht'sh$lrrn~1<eca~reasona6re\effort,:~ico11s1aijrth9f~Ffe~6Pi~tlonalne~as of ()CSD, .toacc9mmod.C1te.alJemployee.requestsf()r·vac.st'ionJ~~v~.~Wa~tiptl, !eav~.shq~ld:nort;nally· be·requeste~:·,~tU~a~J?tWor:W~ek~.in~;advEitj~ ·tg:~i~_c;:rea~~ theJikelihoocLof submitted dates beirig approved;<However,· in ~e even~ unfQreseen c:irc~~stan~s ··p~~ven_t .~.4<?h .. ad~~nqe_ti,,9tifi~~()P1::~r;!JPIC>,Yr~~§. rri~y requestva99tioh~leave With. as·litt1e::cis~·on·e'.da.y 1 $·:notice; ;_; 'Prefefence•among empioyees wh9request time off at least si)C)ponths in ad":a~~~:~pall~,,-ba~e~_-on seniority. ; Reque_sts. received::less thap six,rn()nth$;in. adve1.n~e>S.Mll':be:·sche_gyl~d in the order received. Further guidelines for cVacation. leave: are outJin~. in applicable Memofandum.s o,f_lJnder5tandir1g :(~OlJs.). 4.2 Sick Leave. Sick leave is an insurance or protection provided by OCSD to be granted to employees in circumstances of adversity to promote the health and welfare of the individual employee. It is not an earned right to take time off from work. Sick leave is defined as the absence from duty of an employee because of a bona fide illness, injury, or pregnancy, or to attend to the illness or injury of a family member as hereinafter defined. Temporary employees are not entitled to sick leave benefits. 4.2.1 Sick-Leave Accrual. Full-time employees hired prior to November 27, 1981, accrue paid sick leave at the rate of three and one-half (3.5) hours for each biweekly pay period of continuous service (ninety-one (91) hours per year). Full- time employees hired on or after November 27, 1981, accrue paid sick leave at the rate of three (3.0) hours for each biweekly pay period of continuous service (seventy-eight [78) hours per year), beginning with the first day of employment. Part-time employees receive pro-rated sick leave according to OCSD Policy D51.00. 4.2.2 Sick-Leave Credit. A full-time, regular employee shall be granted pro rata sick- leave credit during any pay period in which he/she is absent without pay. A part- time, regular employee shall not be granted sick-leave credit during any period he/she is absent without pay on his/her regular working day. In the event an employee is required to work part-time by direction of his/her physician, sick- leave credit shall be prorated, except that sick leave shall continue to accrue if an employee is absent due to an injury arising out of or in the course of his/her employment and is entitled to Workers' Compensation benefits. 4.2.3 Annual Payoff. Employees may elect annually to be paid for any unused sick leave hours accrued through the end of October at their current hourly rate according to the following payoff schedule or as specified in a MOU. Page 2 of8 .. Accrued Sick Leave Hours Rate of Payoff 0-100 0% 101-240 25% 241-560 35% Over 560 (mandatory) 50% 4.2.4 Employees in the Orange County Employees Association bargaining groups who separated for any reason other than retirement or death shall be compensated for any accrued and unused sick leave according to the above schedule. Employees who retire or decease shall be paid at the fifty percent (50%) rate for all accrued and unused sick leave. Employees in the Supervisory and Professional Groups who retire or decease with 20--years or more of service shall be paid at the one hundred percent (100%) rate for all accrued and unused sick leave. Employees in the Supervisory and Professional Groups who retire or decease with less than 20-years of service will be paid at the seventy-five percent (75%) rate for all accrued and unused sick leave. 4.2.5 Sick Leave Incentive Plan. The Sick Leave Incentive Plan applies to Executive Management, Management, Supervisory and Professional Groups. The Plan will be administered on an individual Group basis. If the average sick leave usage of employees in a Group is under 40 hours per year, calculated on annualized actual time off during the period November 1 to October 31 exclusive of catastrophic illness or injury requiring absence in excess of 200 hours or industrial injury leave in excess of 80 hours, the annual payoff for unused sick leave will be made according to the following table or as otherwise stipulated in a prevailing Memorandum of Understanding. Accrued Sick Leave Hours Rate of Payoff 0-100 10% 101-240 40% 241-560 50% Over 560 (mandatory) 60% 4.2.6 Permissible Uses. Sick leave may be applied only when: a. The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. b. The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee's supervisor. c. The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. d. The absence is for the care of the employee's parent, father-in-law, mother- in-law, brother, sister, spouse, dornesticpartner, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absence is due to a job-related injury. Page 3 of8 4.2.7 General Provisions. To qualify for sick-leave pay, the employee must notify OCSD at or in advance of the time the employee is scheduled to report for duty. Minimum charge to the employee's sick-leave account shall be one-half (.5) hour and thereafter in one-half (.5) hour increments. 4.2.8 Human Resources, along with the division management, shall be responsible for control of abuse of the sick-leave privilege. If notified in advance by a manager or supervisor, the employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. 4.2.9 If the need for leave is due to the employee's serious health condition, as defined in the Family and Medical Leave Act ("FMLA"} or the California Family Rights Act ("CFRA"), the certification requirement shall comply with provisions of these Acts. 4.3 Personal Leave. Personal leave is provided to allow employees time off with pay for vacation, personal business and non-job-related illness or injury. Personal leave is accrued by full-time employees for all paid hours, including hours actually worked and hours in a paid-leave payroll status, on a biweekly basis as follows: Personal Leave Hours Biweekly Annual Years of Service 0 through 1 2.31 80* 2 through 4 5.38 140 5 through 10 6.92 180 11 7.23 188 12 7.54 196 13 7.85 204 14 8.15 212 15 and over 8.46 220 *Only 60 hours may be taken in the first year; the 20 additional hours shall be credited to the accrual balance following successful completion of one year's service. Regular part-time employees accrue personal leave on a pro-rated basis according to OCSD Policy 051.00. 4.3.1 Scheduled Time Off. Management shall make a reasonable effort, considering the ~perational needs of OCSD, to accommodate all employee requests for personal leave tiFRe ef:f. Personal leave Sehedi.lled tiFRe off should normally be requested at least two weeks in advance to increase the likelihood of submitted these dates being approved. However, in the event unforeseen circumstances prevent such advance notification, employees may request scheduled time off with as little as one day's notice. Preference among employees who request time off at least six months in advance shall be based on seniority. Requests received less than six months in advance shall be scheduled in the order received. Personal leave may only be reported in one-half (.5) hour or one-hour increments. Page 4of8 ; 4.3.2 Unscheduled Time Off. Personal leave that is classified as unscheduled time off provides income protection to an employee who is unable to work due to the following: a. The employee is physically or mentally unable to perform his or her normal functions due to illness, injury, or a medical condition. b. The absence is for the purpose of obtaining professional diagnosis or treatment for a medical condition of the employee or the absence is due to medical and dental office appointments of an employee when approved by the employee's supervisor. c. The absence is for other medical reasons of the employee, such as pregnancy or obtaining a physical examination. d. The absence is for the care of the employee's parent, father-in-law, mother- in-law, brother, sister, spouse, do,m~sti¥.'.l:laftrier, child, step-child, grandchild, grandparent, legal guardian, or any family member with whom the employee resides. e. The absence is due to a job-related injury. Unscheduled time off must be accounted for by completion of an Unscheduled Time Off Report upon the employee's return to work. Employees may be required to submit medical documentation for their injury or illness. It is the responsibility of OCSD management to control the potential abuse of unscheduled time off privileges. Tardiness less than 15 minutes shall not be deducted from the employee's pay, but numerous occurrences will be addressed through the progressive discipline procedure. Tardiness of one hour or more shall be considered an unscheduled occurrence. 4.3.3 An employee's attendance record shall be reviewed with an employee after five separate occurrences of unscheduled time off to address problems that could potentially lead to disciplinary action. • The accumulation of the sixth and seventh occurrence within a calendar year shall result in a verbal warning. • The eighth occurrence shall result in a written warning. • Employees who are charged with ten occurrences of absence within a twelve-month period shall be subject to termination. • Absences of multiple consecutive days involving the same injury or illness shall be considered a single occurrence. OCSD also has the right to discipline employees on the basis of total absences away from work. Employees must notify their supervisor prior to the start time of their shift when they are unable to report for work. Employees returning from an extended leave should notify their supervisor as soon as possible to facilitate personnel scheduling. 4.3.4 Human Resources, along with the division management, shall be responsible for control of abuse of the unscheduled leave privilege. The employee may be required, at any time, to furnish a certificate issued by a licensed physician or nurse, or other satisfactory evidence of illness; however, for unscheduled absences of ten (10) consecutive working days or more, a request for leave and a medical statement, on prescribed forms, stating expected date of return must be submitted to Human Resources. Upon return to work, a written doctor's release must be submitted to Human Resources. For absences of one or more working days in an unpaid status, a request for leave and a medical statement on prescribed forms, stating expected date of return must be submitted to Human Resources. Page 5of8 4.3.5 Personal Leave and Workers' Compensation Leave. Employees who are injured in the course of their employment are placed on Workers' Compensation Leave, and receive wage loss benefits to which they are entitled under the Workers' Compensation Act. Employees may request to receive prorated Personal Leave pay to supplement their Workers' Compensation payments in an amount such that the sum of both is equal to the employee's regular base pay. 4.3.6 Personal Leave Payoff. Employees (or their estate) who separate, retire or die shall be paid in full at their current rate of pay for all Personal Leave hours accrued. 4.3. 7 Maximum Accrual. Employees may have a maximum accumulation of 400 hours of Personal Leave as of the last day of the final pay period in December of each year. In the event an employee accrues personal leave in excess of 400 hours, it must be used prior to said December date, all other remaining hours in excess of 400 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 4.3.8 Sick Leave Bank. Employees who elected to bank sick leave accrued prior to the implementation of Personal Leave provisions may elect to use such time off for absence due to a bon fide illness, injury, or pregnancy, or to attend to the illness or injury of an immediate family member. Employees who retire or die shall be paid at the 50 percent rate for all Banked Sick Leave hours; an employee who separates shall be compensated for Banked Sick Leave as follows. Banked Sick Leave Hours Rate of Payoff 0-100 O percent 101 -240 25 percent 241 -560 35 percent Over 560 50 percent 4.3.9 If the need for leave is due to the employee's own serious health condition, as defined in the Family and Medical Leave Act ("FMLA") or the California Family Rights Act ("CFRA"), the certification requirement shall comply with the provisions of these Acts. 4.4 Jury Duty Leave. Any full-time, including probationary, employee who is called for jury duty shall be entitled to his/her regular pay for those hours of absence due to performance of the jury duty for a period up to twenty-two (22) working days. 4.4.1 Prior to jury duty service, each employee must complete OCSD's Leave-of- Absence Form and submit it to Human Resources with a copy of the summons. To be entitled to receive regular pay for such jury leave, employees must report for work during their regularly scheduled work shift when they are relieved from jury duty service, unless there is less than one-half(%) of their regular shift remaining. Employees are not compensated for jury duty occurring on scheduled days off. 4.4.2 An employee serving jury duty must obtain an attendance slip from the court to be submitted to Payroll with his/her time sheet in order to be eligible for regular pay for those hours of absence due to jury duty. Page 6of8 ; 4.5 Witness Leave. Any full-time, including probationary, employee who is required.to be absent from work by a subpoena properly issued by a court, agency or commission legally empowered to subpoena witnesses, which subpoena compels his/her presence as a witness, except in a matter wherein he/she is named as a defendant or plaintiff or as an expert witness, shall, upon request on Leave-of-Absence Forms approved by Human Resources, be entitled to the time necessary to comply with such subpoena. An employee's regular pay will be reduced by the amount of witness leave pay received, exclusive of mileage. 4.5.1 An employee so subpoenaed must submit a copy of the subpoena with his/her time sheet in order to be eligible for pay for such absence. To be entitled to receive regular pay for such witness leave, the employee must report for work at OCSD for time not actually retained on witness service of one ( 1 ) hour or more prior to and/or upon completion of each day's service, exclusive of travel time. 4.6 Military Leave. A request for military leave shall be made upon Leave-of-Absence Forms approved by Human Resources and shall state the date when it is desired to begin the leave-of-absence and the date of anticipated return. A copy of the orders requiring such military service shall be submitted with the request. 4.6.1 Provisions of the Military and Veterans Code of the State of California, Sections 395-395.5 shall govern military leave. In general, current law provides that an employee having one year or more service with a public entity is entitled to military leave with pay not exceeding thirty (30) days per year if the employee is engaged in military duty ordered for purposes of active military training or encampment. An employee who is required to attend scheduled service drill periods or perform other inactive duty reserve obligations is entitled to military leave without pay, not exceeding seventeen (17) calendar days per year, although the employee may, at his or her option, elect to use vacation or personal leave time to attend the scheduled reserve drill periods or to perform other inactive drill period obligations. Employees who participate in weekend military drill duty are not eligible for leave with pay for such activity, but may have their regular work schedule changed to accommodate the required time off. 4. 7 Bereavement Leave. Using the prescribed forms, approved by Human Resources, any full-time employee, whether probationary or regular, shall receive a maximum of 36 hours off with pay for the death or funeral of an immediate family member. Immediate family member is defined as the employee's father, father-in-law, mother, mother-in-law, brother, sister, husband, wife, dqmestic partner, child, step-child, step parent, grandchild, grandparent, foster parent, foster child, legal guardian, or any family member with whom the employee resides or who is identified in the employee's Memorandum of Understanding (MOU), if applicable. Employees must submit a leave-of-absence form for approval by the supervisor and Human Resources. 5.0 PROCEDURE 6.0 EXCEPTIONS 6.1 Section 4.1, Vacation, including Subsection 4.1.1 of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance Memorandum of Understanding and employees in the Confidential Group. Page 7of8 6.2 Section 4.2, Sick Leave, including Subsections 4.2.1 through 4.2.8, of this policy does not apply to employees covered under the provisions of Personal Leave in the Operations and Maintenance Memorandum of Understanding and employees in the Confidential Group. 6.3 Section 4.3, Personal Leave, including Subsections 4.31 through 4.3.9, of this policy applies only to those employees covered under the provisions of Personal Leave in the Operations and Maintenance Memorandum of Understanding and employees in the Confidential Group. 6.4 Vacation leave is not accrued for overtime hours worked. 6.5 If any conflict is found to exist between this policy and an existing Memorandum of Understanding, the M.O.U. provision shall prevail. 7.0 PROVISIONS AND CONDITIONS 7.1 Accrued balances of vacation leave, compensatory leave, and personal leave may be cashed out at the employee's request on an annual basis in December of each calendar year. 7.2 Employees may have a maximum accumulation of 200 hours of vacation as of the last day of the final pay period in December of each year. 7.3 In the event an employee accrues vacation leave in excess of 200 hours, it must be used prior to the December date, all other remaining hours in excess of 200 will be paid to the employee in the first pay period in January at the employee's then current hourly rate of compensation. 7.4 Employees are not eligible to schedule vacation leave until the completion of six months continuous service. 7.5 Employees may not maintain a negative balance of vacation, sick, compensatory, or personal leave accruals. 8.0 RELATED DOCUMENTS 8.1 California Labor Code, Section 233 8.2 Local 501, Operations and Maintenance Unit MOU 8.3 Administrative and Clerical Unit MOU 8.4 Engineering Unit MOU 8.5 Technical Services Unit MOU 8.6 Professional Group MOU 8. 7 Supervisor Group MOU Sblpervisery aR~ Pi:efessieRal MOU 8.8 Personal Leave Unscheduled Time Off Report Form Page 8of8 Orange County Sanitation District Subject: INSURANCE 1.0 PURPOSE Policy Number: DS0.00 Effective Date: February 25, 2004 p&c,mb'r ~:5, :~004 Supersedes: October 27, 1999 Fel:>ruafY~2s, 209~ Approved by: Lisa L. Tomko 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD's) insurance benefits program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.;1''.' . , .. All OCS D employees and legal :depende.nts whcfiare'covere:d dl'ideflOCSt>fs·ii'i}surarfoe provided Summary Pf an Description·(SPD). Domestic.partners are :oorisider~ · leg:al dependents as long that they_meetthe..-C:riterion:set forth iftP91iC:YP130.00~ 3.0 DEFINITIONS 3~-1 · · · sl.frnmari(Plan :oes~riptl<.in is~a bookl~t::publishe~~if>y?afrJrj~~[Jraric9.~'~10~rifia(prd~ides detailed. information at:>out how thE! plan works. 3.2 ;;,, Qualifyincievent oc~urs Whe~:~ui~mplpyee becomes legaJlymarri~~.-.a pareprto a natura1~,1step·~ or adopted child(reri); ordered by.a;court to:,tover a'dependent~under his/her health plan, or receives registration approval as ~t'Ciomestic·partnerfrom the California Secretary of State. 4.0 POLICY 4.1 · OCSD shall provide medical-health insurance coverage through both health maintenance organizations and an indemnity type group health plan, life. i.nsurance, and disability insurance for the benefit of full-time employees. Part-time':employee~·receive insurance benefits as set forth in policy-051.00. 4.2 All insurance coverage for OC$D eriiplqyees shall become effective on the first day of the month following date of hire, regardless of hire date. lnsurance'coverage,for an employee's l~gal dependent(s), as defined in,each insu~'1ce S.PD,will b~come effective once his/tier insuraf1ce cover~ge·~ecomes effeq~iye.or upon·a qualifying everit. An open enrollment period shall be held annually in the month of June. 5.0 PROCEDURE 5.1 Medical. OCSD shall contribute 90% .wo.% of employee only premiums for the HMO medical health plans, 80% ofemployee only premiums for the POS·medieal plans, and shall seRtribute 80% for the employee + 1 dependent and full family premiums. Any change in insurance rates shall be shared equally in same ratio as premiums are Page I of 3 currently paid by OCSD and employees. Before the renewal of any OCSD's sponsored health insurance plan, the parties agree to meet and confer as to the plan. 5.1.1 Any changes in insurance rates caused by a carrier after November 25, 1996 are subject to the applicable provisions of the various Memorandums of Understanding approved by the Board of Directors. 5.2 Life. OCSD provides term life insurance coverage for most employees. OCSD shall pay the full premium for term life insurance as established for each employee covered under a Memorandum of Understanding or as otherwise agreed upon. 5.3 Short Term Disability. OCSD shall provide a non-work related, short-term disability indemnity plan that pays up to a maximum of $490 per week for up to 26 weeks following a fourteen calendar day waiting period. Employees may request to receive prorated sick leave, personal leave or vacation pay to supplement their short term disability payments in an amount such that the sum of both is equal to the employee's regular base pay. 5.4 Long-Term Disabilitv. OCSD offers, at the employee's expense, a non-work related, long-term disability indemnity plan that pays two-thirds of the employee's rate of pay in effect at the time of such disability, not to exceed $5,000 per month, following a 90-day waiting period of continuous disability. OCSD provides this coverage at OCSD's expense after five years of employment. 5.5 Dental. OCSD provides a dental plan for regular, full-time employees and their eligible dependents at no cost for employee-only coverage and $9.00 per month for full family coverage. 5.5 Vision. OCSD shall provide a vision insurance plan for regular, full-time employees and their eligible dependents. 5.6 Retiring Employees. OCSD shall pay, for employees hired prior to July 1, 1988, two and one-half months' premium for each year of continuous service of a retiring employee towards the premium costs of coverage for the employee and eligible dependents under OCSD's medical plan. 5.6.1 OCSD shall enter into an agreement with the Orange County Employee Retirement System (OCERS) to implement the retiree medical health premium offset program established by the County of Orange wherein the cost of health premiums are offset by $10 per month for every year of service up to a maximum of 25 years or $250 per month. 5.7 Deceased Employees. In the event of the death of an active employee OCSD shall pay the premium cost for a period of one year from the date benefits would otherwise terminate for the surviving dependents covered under the deceased employee's medical and dental insurance plans. 5.8 Workers Compensation Insurance. OCSD's Workers Compensation program is self- funded and administered by a third party administrator. Workers' Compensation insurance provides coverage for injuries arising out of employment with OCSD and occurring in the course of employment. 5.9 Reimbursement Account. Section 125 of the Internal Revenue Code permits employees to use pretax dollars to pay for their portion of the cost of benefits under the plan through salary redirection arrangements. The available options are summarized below. For complete information regarding Flexible Spending Accounts employees must refer to the plan booklet available in the Human Resources Department. Participation in this Program does not affect OCSD's contribution to the Orange County Employees Page 2of3 Retirement System. The amount deducted shall then be repaid to the employee through OCSD's provided Reimbursement Program. 5.9.1 Medical Care Reimbursement Account. The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Medical Care Reimbursement Account for the purposes of reimbursing the employee for payment of health care costs not otherwise covered by the health and medical insurance. 5.9.2 Dependent Care Assistance Account. The purpose of this account is to provide a method through which an employee can accumulate pretax funds in a Dependent Care Assistance Account for the purposes of reimbursing the employee for child care expenses or day care for a disabled dependent. 6.0 EXCEPTIONS 6.1 Contract workers and stydenHh~e.rhs are not entitled to and are ineligible to join or participate in any benefit plans offered to those individuals listed on OCSD's payroll as regular employees. 7.0 PROVISIONS AND CONDITIONS 7 .1 No combination of disability or sick leave pay shall result in more than an employee's regular rate of pay. Employees may not receive short-term and long-term disability benefits at the same time. An employee who is otherwise not eligible for OCSD paid long-term disability may purchase such coverage at their own expense. 7.2 In the event OCSD adds additional optional insurance plans, OCSD's share of the premium shall be the same as for existing plans as set forth above. In the event OCSD changes underwriters for existing insurance plans, OCSD's share of the premium shall be the same as for existing insurance plans as set forth above. 8.0 RELATED DOCUMENTS 8~1 Policy 020.00, Leave-of-Absence Without Pay 8:2'\\;:: Policy:os1.oo;:,pro Rata ~.Benefits for Part-Time· Eriiployees 8.3 Policy<o10.oo, Retirement 8.4 D8d:oo, Employee Assistance Program 8.5 Policy '0130.00, Domestic Partnership 8.6 Locaf501, Operations and Maintenance Unit MOU 8. t. Administrative and Clerical UnitMOU 8.8 Engineering Unit MOU 8.9 Technical Services UnifMOU 8.1 O Professional Group MOU 8.11 Supervisor Group MOU Page 3 of3 Subject: Orange County Sanitation District Pro Rata Benefits for Part-Time Employees 1.0 PURPOSE Policy Number: D51.00 Effective Date: October 24, 2002 December 1:5~-2004 .. ·, -._l,, .... •" Supersedes: June 27, 2001 octoi>er 24,·2002 Approved by: Lisa L. Tomko 1.1. The purpose of this policy is to establish uniform guidelines for use in the administration of the benefits program provided for regular employees working in a part-time status. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1. All regular Orange CountY Sanitatioh.DistriC,t(OCSD) employees autho~z~d,tO workiR§ in a part-time status. 3.0 DEFINITIONS 3.1 Part-time employees -Employees who areauthorizecPto regularly work less than 80 hours in a bi-weekly pay period. 3:2 ·: Pforata insurance benefits -Pcsff~tim~ ern~l§yees.ar~'-re,~pon~ibl~Jqr PiiYmentoff pr(>~ rated insurance benefit premiums,t:0 1nsuranc~; benefits~oorisist ofrne.(Jicai;·i(Jental; ·vision, life, and short and long-term disability. 4.0 POLICY 4.1 Notwithstanding any other provision herein, the General Manager is authorized to confer the benefits set forth under OCSD's the District's policies and pr9~edures regarding leave of absence with or without pay (excluding jury duty), vacation lea.\/e, sick leave, personal leave, bereavement leave, holidays, tuition reimbursement, and insurance oenefits. These benefits shall apply to regular part-time employees on a prorated basis, as follows: HOURS OF WORK PER WEEK PERCENT BENEFIT/SUBSIDY 0-19 None 20-29 50 percent 30-39 75 percent 4 .2 Pr:o i:ata inst:ffance benefits rnean the ernpleyee will be respensible for payrnent ef the pr:o i:ateEI arneldnt ef the insldi:ance prernildrn. lnsYrance benefits censist ef: Medical, Dental, Visien, bife and Shert and beng Terrn Disability. Page I of2 4.2 bn occasion, employees may:r~qijesforfie,iiJsked to transitioiffrom .part-tinie t0 fulf4time status·or vice-versa. '.ltis the rightofOCSD, at its solediscretion,1o schec;llJle worki!l9 tiours and .•cissign work that may.if)e necessary to· operate· OC§>D.iin·the: m~~t:effic:ieijtand economicatmanner c:1nd Jn the b~stlnterestofthe :Public. it serves: ~oue. c9risideratjof1 will be given to an. employee's inpuhmd eoncems prior to implementation ofa·schedule change. M.~ltiple ~nsitions tpJulHime or pact-time, ~equested ~Y the aff,~ted ·em,pl9yee, ~~all. b~d~~med a$ 'ab,·a~use•ot;tlils privile,g~:and ·raet~red. ir1t~:future=~()rj~i.defC1tio.fisl.ftjt ~pprovaL '.:~~thirty (30J:~ay writtE;ljtJriotice fo.f:work' schedule ·_changes:mU§t1Be give~~tQfan afferitE!d employee prlorto the ctiange. 5.0 PROCEDURE 5.1 With respect to insurance, employees pay premiums through monthly payroll deduction, according to the chart in section 4.1. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8d Policy 010~00, Leav~of~Absence.with Pay 8.2 Policy 020.00, Leave-Of-Absence without Pay ~-3 > _:'·'Policy :030.00, Holiday$ 8.4 Policy 050.00, Insurance a~s · · P91icy·oeo;oo,Tuition]~elmbur$emenf Prqgram 8.6 Policy F20.00, Hours of Work -Non-Exempt Employees 8. 7 Policy F20.10, Hours of Work -EXempt Erilpioyees 8~8 Local .501, Operations_·and Maint~nance Uni~ MOU 8~9 · 'Administrative and Clencal l.Jnit Mou 8.1 o ·Engineering Unit MOU 8~ 11 Technical Services llnlfMOU 8.12 Professional Group MOU 8.13 Supervisor Group MOU Page 2 of2 Orange County Sanitation District Policy Number: D90.00 Effective Date: October 24, 2002 December 1s,.·2004 Subject: TUITION REIMBURSEMENT PROGRAM Supersedes: October 24, 2001 actoiler:;'24;J1r2002 , .. "·· . . . . .. ' . " . Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 This pr~gra.m is designed to encourage self-development of Orange CgurifySahitation District (OCSD) employees by providing qualifying employees with tuition reimbursement for job-related educational courses at accredited colleges, universities, or other institutions approved by the Employee Development (ED) Division, provided that such courses are primarily for the purpose of: 1.1.1 Increasing capabilities in the employee's present position within PP$b District; 1.1.2 Preparing for positions to which the employee could be reasonably expected to advance within OCSD the District; and/or 1.1.3 Updating professional and/or technical capabilities that are pertinent and beneficial to OCSD the District. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD employees who have completed their initial probationary period of employment and work more than 19 hours per week. This policy does not apply to student interns 'or temporary employees. 3.0 DEFINITIONS 3.1 Qualifying Employees -All OCSD District employees who have completed their initial probationary period of employment and work more than 19 hours per week. 3.2 Tuition Reimbursement -A program in which qualifying employees who successfully complete OCSD District approved courses, on their own time, at accredited colleges, universities or other institutions approved by the ED Division, within the guidelines of this policy, can be reimbursed for eligible expenses incurred. 4.0 POLICY 4.1 OCSD The District will reimburse employees who successfully complete educational courses that serve the mission and goals of OCSD the District, at the sole determination of OCSD the District, in compliance with this policy based upon the number of hours worked per week as follows: HOURS OF WORK PER WEEK PERCENT OF REIMBURSEMENT 0-19 NOT ELIGIBLE -0% 20-29 50% 30-39 75% 40 100% Page I of 4 4.2 Employees may GaA be reimbursed for the following: 4.2.1 Specific, job-related Associate, Baccalaureate, and Graduate degree program courses. 4.2.1.1 Requests for reimbursement of courses above tll.~ Bachelor degree level require special approval by the Department Head, Human Resources and the General Manager. Such requests will be subject to a more extensive process, including an analysis to determine the value to ocst> the DistFist of the proposed courses or degree program. 4.2.2 Specific, job-related courses through accredited colleges or universities. 4.2.3 Specific, job-related courses offered through an institution of study approved by the ED Division. 4.2.3.1 The employee's Division Manager is responsible for determining whether or not the course is "job-related." 4.3 When an employee successfully completes a course with a grade of "C" or better and within the guidelines of this policy, OCSD the OistFict will reimburse the employee for eligible expenses incurred, based on the number of hours worked per week, not to exceed $5,250 per calendar year. Reimbursements are paid y. through payroll. Examples of eligible and ineligible expenses are: Eligible Expenses • Tuition • Registration fees • Laboratory fees • Parking fees • Health fees • Application fees • Required textbooks and materials per the course syllabus • Supplies required per the course syllabus not to exceed $100.00 per course 5.0 PROCEDURE Ineligible Expenses • Travel • Optional student fees • Doctoral dissertation fees • Masters thesis fees • Supplemental textbook costs • Supplies and materials used for the course and retained by the employee after course completion (i.e., paper, pencils, notebooks, diskettes, etc.) • Graduation or diploma fees 5.1 To participate in the Tuition Reimbursement Program, employees must submit a completed Tuition Reimbursement Application and a copy of the course description which includes the course cost, course start/end date, and number of units for each course to the ED Division or HR Depc:1rtment l=IR & EO Oivisien NO LATER THAN one day prior to the course start date. Tuition Reimbursement Applications received in the ED Division on or after the course start date will not be approved. 5.1.1 The Director of Human.Resources EO Dir=esteF (or designee) will sign completed applications. A copy of the approved application will be forwarded mailed inteFeffise to the employee to be re-submitted upon course completion. 5.1.2 Incomplete applications will be returned to the employee with explanation(s) attached. Page 2of4 5.2 Upon course completion, the employee must complete and submit a Request for Tuition Reimbursement along with (1) an official record of the final grade, (2) itemized receipts for eligible expenses, (3) a copy of the course syllabus {if requesting reimbursement for required textbooks, materials and/or supplies) and (4) a copy of the original approved Tuition Reimbursement Application for each course to the ED Division within 60 calendar days following the course end date. • Req1::1ests fer T1::1itien Reimb1::1rsement received in tl=le eO Oi•Jisien meFS lha11 60 days after tl=le ce1::1rse ene date will Rel be appF9ved. 5.2.1 The DirectorofHumanpResources HR Manager {or designee) will sign completed requests. Copies of the approved request will be forwarded mailed interemce to the employee and submitted to the Accounting Division for reimbursement. 5.2.2 Incomplete requests will be returned to the employee with explanation(s) attached. 6.0 EXCEPTIONS 6.1 If an employee terminates employment or gives notice of termination prior to the completion of a course, no reimbursement will be made. 6.2 This policy does not apply to interns or temporary employees. 7.3 Reimbursement may be authorized whenever the employee's manager and HR Manager (or designee) determines that there is substantial benefit to be derived by QC$0 tAe District when an employee takes a course that does not meet the requirements of this policy. 7.0 PROVISIONS AND CONDITIONS 7.1 Requests for Tuition Reimbursement received in the ED Division more than 60 days after the course end date will not be approved. 7.2 Tuition Reimbursement Applications received in the ED Division on or after the course start date will not be approved. 7.2.1 Reimbursement re9uests must be received byj>ayroll by the sec()rid-te>-lasf pay period of,the calef'idar year to bf3 applied to ·a.rren,pl(>,yee's rE)imbu~ementlllmit for 'that calendar y&ar. 7.2.2 Reimbursemenf requests received by payroll on or afterthe last pay-period of the calendar year will be applied to the employee's reimbursement limit for the following year. 7.':, ·Employeeswho voluritaril{terlllinate employment-with OC~[fand received. .... reimbursement through the Tuition Reimbursement Program within 36 months of resignation, shall be subject to the following: 7.3.1 Should an employee voluntarily terminate employment with OCSD tl=le District 1-12 months after receiving reimbursement, he/she shall agrees te repay peso the District 100% of the funds received through this program within the twelve- month period prior to the date of his/her voluntary termination. 7.3.2 Should an employee voluntarily terminate employment with OCSD tl=le District 13-24 months after receiving reimbursement, he/she shall agrees te repay OCSD tl=le District 66% of all funds received through this program within the twenty-four month period prior to the date of his/her voluntary termination. Page 3of4 7.3.3 Should an employee voluntarily terminate employment with OCSD the Distrist 25-36 months after receiving reimbursement, he/she shall agrees te repay OOSD the Distrist 33% of all funds received through this program within the thirty-six month period prior to the date of his/her voluntary termination. 7.4 Reimbursement will be at the discretion of OQ$[) the Distrist provided the employee meets the criteria specified in this policy. 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended. 8.2 Sections 127 and 132-J8 of the Internal Revenue Code. 8.3 Tuition Reimbursement Pre-Approval Application 8.4 Request for Tuition Reimbursement Page 4of4 Subject: Orange County Sanitation District Policy Number: 0110.00 Effective Date: February 25, 2004 December 1_5,.'.2004 Catastrophic Illness Supersedes: October 22, 2003 Fe:bruary• 2~~~·-2Q'o4 Leave Donation Program Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to.establi~h .u~iform guidelines c:Jnd procedures for use in the administration of prar]geCQunfy.Sanitatiori.:Disbicf$.(OC~D's) the DistFist's Catastrophic Illness Leave Donation Program. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All OCSD DistFist employees. 3.0 DEFINITIONS 3.1 Catastrophic Illness or lnjurv: • Debilitating illness or injury that~ is expected to incapacitate the employee for an extended period of time and that wAiGR creates a financial hardship due to the exhaustion of all accrued leave. • A debilitating illness or injury of a child, parent, eJ: spouse~:For.domesti~ partner that results in the employee being required to take time away from work for an extended period to care for the family member, therefore creating a hardship due to the exhaustion of the employee's accrued leave. 4.0 POLICY 4.1 Employees may on occasion face catastrophic medical conditions involving themselves or their immediate family that results in the exhaustion of all accrued sick, vacation, personal or other paid leave time. Such employees may request, or be nominated for allocations of leave time according to OCSD's tRe OistFist's Catastrophic Illness Leave Donation Program. 4.2 Employees may, in accordance with the provisions of OCSD's tRe DistFist's policy regarding the Catastrophic Illness Leave Donation Program, elect to donate accrued and unused personal leave, vacation leave or compensatory time off to an individual employee qualified and approved to receive allocations of leave time. 4.3 Paid leave time categories authorized for eli9il;>le te l;)e donation by one employee to another include vacation, compensatory or personal leave. Page I of3 5.0 PROCEDURE 5.1 Requests or nominations for donated leave time are subject to the approval of the Director of Human Resources or designee, pursuant to this policy. 5.2 Requests for donated leave time are to be submitted to the Human Resources Supervisor using the form "Application for Use of Catastrophic Illness Leave Hours". This form is located on the HR intranet site. 5.3 Communicating the request to OCSb District employees for leave time donations shall be made in the following manner: 5.3.1 The employee or nominator will submit a draft e-mail to Human Resources for review informing employees of the request for leave time donations. 5.3.2 Human Resources will send the approved e-mail announcement to the employee's immediate work division, and may also send it to the department. It can later be sent to other divisions or departments if requested. 5.4 To make a leave time donation, employees should complete a "Catastrophic Illness Leave Donation Form" and submit it the form to Human Resources. This form is located on the HR intranet site. 5.5 The vacation, compensatory or personal leave time donated by an employee shall be converted to a dollar value based on the hourly rate of the donor. 5.6 At the time of allocation, those dollars shall then be converted into sick leave or personal leave at the hourly rate of the recipient of the donated leave time. 6.0 EXCEPTIONS 6.1 Employees who have not exhausted their paid leave -vacation, sick, personal and compensatory time off -at the time of request or nomination will not be considered for allocation of leave time until their paid leave time is exhausted. 6.2 Sick leave may not be donated by one employee to another. 7 .0 PROVISIONS AND CONDITIONS 7.1 To be eligible to receive allocations of leave time as provided by the Catastrophic Illness Leave Donation Program, employees must have exhausted all of their paid leave, including vacation, sick, personal and compensatory time off. 7.2 The maximum allocation of donated leave that an employee may receive is 480 hours per individual per 12 month period except in the event the leave period terminates due to the employee's death. If death occurs, remaining donated hours may exceed 480 to be paid out as a survivor benefit. 7.3 Employees will be requested to provide medical documentation of a catastrophic health condition involving their child, parent or spouse, domestic partner, or involving the employee's own catastrophic health condition. 7.4 Donations must be made in whole hour increments, and are irrevocable. Page 2 of3 7.4.1 Any such hours that remain at the conclusion of the leave period shall be returned to the donors on a pro-rated basis per the hourly salary of the originally donated hours. 7.4.2 In the case of an employee's death during the leave period, donors may be given the option of having their donated hours remain in the deceased employee's leave account to be paid out as a survivor benefit. 8.0 RELATED DOCUMENTS a.1' California Labor Code, secfiorr 233 8.2 Application for Use of Catastrophic Illness Leave Hours Form. 8.3 Catastrophic Illness Leave Donation Form Page 3 of3 ® Orange County Policy Number: D130.00 Sanitation District Effective Date: December 15, 2004 Subject: Domestic Partnership Supersedes: Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 The purpose of this policy is to recognize the status of domestic partners and to establish uniform guidelines and procedures for providing eligibility for programs (e.g., benefits) and ensuring equal access to those programs. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 All Orange County Sanitation District (OCSD) employees. 3.0 DEFINITIONS 3.1 Domestic Partners are two adults who have chosen to share one another's lives in an intimate and committed relationship of mutual caring and who have met the criteria set forth in California Family Code, Sections 297and 298. 4.0 POLICY 4.1 It is the policy of OCSD to recognize employees who meet the definition of domestic partners provided for within this policy and who have registered with the California Secretary of State. 4.2 No one shall discriminate against or harass any person or couple on the grounds of domestic partner status, gender, sexual orientation, or any other protected class as outlined in OCSD's non-discrimination and harassment policies. 4.3 The use of any available sick or personal leave entitlement to attend to an illness of a domestic partner is permitted as outlined in OCSD's Leave-of-Absence with Pay policy. 4.4 Employees who are registered domestic partners on or after January 1, 2005 shall be extended the same rights, responsibilities, and duties as married couples and shall be afforded the same protections and benefits. 5.0 PROCEDURE 5.1 Registered domestic partners must file with the Human Resources Department, a copy of all applicable documentation that establishes approved domestic partnership status, in order to receive all available benefits outlined in OCSD policies, procedures, and applicable Memorandums of Understanding (MOUs). 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 7.1 To be eligible to receive the same allocation of benefits extended to married couples, employees must register with the California Secretary of State and file approved documentation with OCSD's Human Resources Department. 8.0 RELATED DOCUMENTS 8.1 California Family Code, Sections 297and 298 8.2 California Domestic Partner and Responsibilities Act of 2003 8.3 Declaration of Domestic Partnership Registration Form 8.4 Policy 820.00, Nondiscrimination in Employment 8.5 Policy 830.00, Harassment Policy 8.6 Policy D10.00, Leave-of-Absence with Pay 8.7 Policy D20.00, Leave-of-Absence without Pay 8.8 Policy 050.00, Insurance 8.9 Policy 0110.00, Catastrophic Illness Leave Bank Program 8.10 F10.00, Rules of Conduct 8.11 F70.00, Discipline 8.12 Local 501, Operations and Maintenance Unit MOU 8.13 Administrative and Clerical Unit MOU 8.14 Engineering Unit MOU 8.15 Technical Services Unit MOU 8.16 Professional Group MOU 8.17 Supervisor Group MOU Orange County Sanitation District Subject: HOURS OF WORK - NON-EXEMPT EMPLOYEES 1.0 PURPOSE Policy Number: F20.00 Effective Date: July 21, 2004 D~cember 15, 2004 Supersedes: April 2&, 2000 ~u1y ·21 ~··2004 Approved by: Lisa L. Tomko 1.1 The purpose of this policy is t() establish uniform guidelines and procedures for use in the administration of Orange Go.linty :sanitatioifDistrict's (OCSD's) the Distriet's working hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD Distriet non-exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS 3.1 Non-exempt Employees are employees who are covered by the minimum wage and overtime provisions of the Fair Labor Standards Act, as amended. Such employees, because of the type of work that t~ey perform and their earnings level, are subject to receiving overtime pay in addition to any c)the,r entitlement otherwise provided for in applicable Memorandums of Understanding and/or other OCSD policies. 3.2 Day Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 a.m. and 6:00 p.m. 3.3 Night Shift is an assigned work shift of at least seven consecutive hours between the hours of 6:00 p.m. and 6:00 a.m. 3.4 Flextime is the option of employees to choose the starting and finishing times of their shift, with supervisory pre-approval. 3.5 · Overtime is the number of hours in paid stat1:1s, which are counted as time.worked, in excess of 40 hours during a workweek. For the purposes .ofovertime, all time charged to unscheduled leave will not be counted as time worked. 3.6 Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. 3. 7 Payday is the Wednesday before the end of the subsequent pay period. 3.8 Pay Periods occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees. 3.9 Workweek means 40-hours of work per 168-hour period. The workweek is a fixed and recurring period of 168-hours, or seven consecutive 24-hour periods. OG~D Gistr:i6t employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the General Manager, or his designee, and is maintained by the accounting payroll office. Page I of 4 4.0 POLICY 4.1 It is the policy of OGSD the District to establish the time and duration of working hours as required by work load, operations flow, customer service needs, the efficient management of human resources, and any applicable law. 4.2 It is :th~ policy ofOCSD tO require .non-exempt employees to complete weekly -timestleets. 4.3 ofl: ()ccasi6n, .employees mayiequ~st-or:be asked to transition frorri part~tirrieifo:fiill:tlrrie ~tatus orvic&-:vetsa: ··ltis the·rightof OC~D, at itS sole discretion,' to schedule~working hours and.assigri·work·thatmay be~necessary·to operate OCSD in~the mostefficientand ~nomical :rnanner,and in the .besNnterest of the public it serves. :Due consideratkiri wm be given. to an employee's input and concerns prior to implementation of a schedule cnange. Multipfe·tral'lsitions tOJull-.time or part-time, requested by the affected employeeJ ·shall be deemed as an ~buse of: this privilege and factored into future considerations f()r;appr()v~'· ' A thirty'(30) dC)Y ~ritten notice for work schedule changes must be given to an affected ernployee·prior,to ·tt,U(Change. 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, OCSD the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads, or designee, may deny flextime to certain employees for reasons of business necessity, work flow, or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, ordesigh~e; to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. 5.3 Shift Schedules. For time record keeping and accounting purposes, the "workweek" for full- time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80), four 10-hour days each workweek (8/80), or three 12-hour days and one 4-hour day each workweek (7/80) aUhe discretion ·of the .supervisor. The starting and ending times of individual employees' workweeks may vary. 5.4 Overtime. Supervisors may schedule overtime or extra shifts as necessary. Supervisors will assign overtime to non-exempt employees in the particular job for which overtime is required. Non-exempt employees are not permitted to work overtime without the prior written or verbal approval of their supervisor, division manager, or department head. 5.5 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime or compensatory time may be allowed for such attendance only in unusual circumstances and must be approved by the department head in advance of the meeting. 5.6 Make-up Time. Using At their discretion, supervisors may allow non-exempt employees to make-up lost time during a given workweek. However, make-up time may not be allowed if the lost time results from conditions the employee could control, if there is no work the employee is qualified to do, or if adequate supervision is not available. Page 2of4 5. 7 Timesheets -Non-exempt Emplovees. All empleyees ai:e FeqYiFeEI te Gemplete an inEliviEIYal time FeGeFEI, l=lei:ein§lfteF FefeFFeEI te as a "timesl=leet" sl=lewing tl=le daily l=leYFs weFkeEI. The following points §hall sR9Yki be considered when by empleyees in filling out timesheets: 5.7.1 Employees shall sAGYki record their total hours worked for each workday on their timesheets and sign their own timesheets at the end of the pay period. 5.7.2 Employees are not permitted to begin work before their normal starting time or work after their normal quitting time without the prior approval of their supervisor. 5.7.3 Employees are required to take scheduled lunch breaks and are required to take scheduled morning and afternoon breaks. 5. 7.4 Employee timesheets shall be checked and signed by their supervisor or designee. 5.7.5 Unapproved absences are not considered as hours worked for pay purposes. Supervisors should inform employees if they will not be paid for certain hours in which they are or were absent from work. 5.7.6 Filling out another employee's timesheet without management authorization, or falsifying any timesheet is prohibited and may be grounds for disciplinary action, up to and including termination. 5.7.7 Timesheets must be completed in ink. Time worked should be charged to the appropriate work order category, and timesheets must be signed by both the employee and supervisor. If an employee is unable to complete their timesheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to process employee's timesheet while on a leave-of-absence) and submitted to timekeeping. When the employee returns to work, another copy of thetime.sheets,h()Uld be signed, by p()th the employee and the supervisor and sent to AccountiijgJnthe Financet>,ta,partfherit timekeeping. 5.7.8 An employee must record all time taken as paid or unpaid leave. Any day with less than the typical amount of time for that shift recorded, usually 8, 9, 10 or 12 hours, must be supported by an explanation of the missing hours in an appropriate space on the sheet. Total hours recorded for each day or shift must agree with the total time for the pay period. 5.7.9 Timesheets will be distributed and collected by supervisors or other designated individuals and submitted to Timekeeping in tl=le Accounting OffiGe no later than Friday noon each week. Timesheets may vary depending upon the operational needs of each department, but will conform to the above requirements. Supervisors are responsible for ensuring that timesheets are submitted in a timely manner. Corrections to a timesheet entry may only be made by supervisors drawing a single line through the incorrect entry, writing the correct entry in the margin, and initialing the change. 5.8 Payday. Paychecks are distributed on the Wednesday immediately preceding the close of a pay period. Paychecks received on Wednesday cover the period worked during the previous pay period. If a payday falls on a holiday, paychecks will normally be distributed on the last working day preceding the holiday. Employees who will not be at work on a payday may request that their checks be held, forwarded to their supervisor, or mailed directly to them. Unclaimed paychecks will be held in Accounting tl=le PayFGll OUiGe. Paychecks of individuals who terminate their employment with OCSD tl=le OistFiGt, or are separated, will be mailed directly to them on the next regular payday subsequent to the separation date unless other arrangements are made to hold the check. Page 3of4 6.0 EXCEPTIONS 6.1 Flextime does not apply to the Operations and Maintenance Department. 7 .0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Fair Labor Standards Act, as amended 8.2··': f)olicy 051.00, Pro. Rata BenefifsJor:Part-Time Employees 8.3 Policy F10.00, Rules of Conduct 8.4 Policy F20.10, Hours of Work -Exempt Employees 8.5 Iocar501, ·Operations anCf'.Maintenarice'Onit MOU 8.6 --Aijmlnistrative and_ Clerical _Unif Mou ~:t: \er.@neeriff9-un-it Mou a.a ',:'T~pljnicar Sel'Vices Unit MQQ Page 4of4 Orange County Sanitation District Subject: HOURS OF WORK -EXEMPT EMPLOYEES 1.0 PURPOSE Policy Number: F20.10 Effective Date: April 26, 2000 P•~~mber: .. ~·§~';~~QO.~ Supersedes: December 9, 1998 Al>rii ~s,-2000 Approved by: Lisa L. Tomko 1.1 The purpose of this policy is to establish uniform guidelines and procedures for use in the administration of Orange County Sanitation District's (OCSD's) working hours. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all OCSD exempt employees in all organizational units and departments unless otherwise specified. 3.0 DEFINITIONS 3.1 Exempt Employees are employees who are not covered by the minimum wage and overtime provisions of the Fair Labor Standards Act;{FLSA), asarri~rtded. Such employees are considered exempt by virtue of their duties in conformance with FLSA's the Ast's definition of Executive, Administrative and Professional employees. ~~? , : Flextime is the option of employees to choose the starting and finishing times of their shift Wftrl superv,i~Q_i)ipre•approva!. 3~3 . Overtime is the number of hours in pai9 stat~s~ which are;cotillted as:time WQrked, in excess of 40 hours during a workweek. For the puq>oses of·overtir11.~, all time charged to unscheduled leave will.not be counted as'tii:ne worked. ;Qyertime only appliesto:non-e~empt emplOYC3~S. . 3.4 Memo time is the number of hours in excess or short of the normal working hours for an employee in a single workday. The normal working hours could be 8, 9, 10or12 depending on the employee's assigned schedule. 3.5 Make ~p time is time werke9 in the sesen9 week ef the pay perie9 te make ~P fer a shertage ef time in the first week ef the pay perie9. 3.6 Core Hours are the hours between 8:00 a.m. and 4:00 p.m. on any given day. 3. 7 Payday is the Wednesday before the end of the subsequent pay period. 3.8 Pay Periods occur bi-weekly and are calculated on the basis of 80-hours worked for full-time employees. 3.9 Workweek means 40-hours of work per 168-hour period. The workweek is a fixed and recurring period of 168-hours, or seven consecutive 24-hour periods. OC~D Oistrist employee workweeks are structured on an individual and/or group basis so that 40-hours of work regularly occurs during the fixed and regularly recurring period of 168-hours. The specific workweek for each employee is fixed by the General Manager, or his designee, and is maintained by the accounting payroll office. Page I of 4 3}10:', Leave timeHs;any authoriZecUeav&-C>f-ab~encewith pay outliried:ln OCSD~s;pcflicie~'.-arid procedure~;·such as vacatjon·leave, sick leave, personaMeave,_etc. 4.0 POLICY 4.1· It is.the poli~y of.OCSD.tci.~sf8blish:theiirn~:e1pd:duration,of.:~9rklng hours:~·~;requir~d ~Y ~or~ ~1~a~~~9per;;itions · fl~W,~q~~~omeL~~fyice:nee9s,Jh~ .~ffigt~ratinana.g~m~J.J.~ of1htihi.~n resolJrces;and any·apphcal?I~ law. 4:2 It is the policy of OCSD the District to require exempt employees to complete weekly timesheets. Exempt employees must use approved leave time sick tiFRe, \•aca~ief1 tiFRe er CeFRpeRsatery tiFRe for any partial-day absences Unless umemo time" is SUthO~ed; 4:-3 In certain situations employees may not be required to use leave time forpartial-day absences and may be eligible to use "~ake YP tiFRe"er "memo time." This·.situation'rn.~Y·~occ~r if the employee received advang~_oapproval:from, his/heis~pervisor,anq if_ the emplQy~~; make~ up the sc.hect_µled. time off.inJtie same pay. perie>d week. FRere tl:laR the eighty (6Q) l:leYrs in the saFRe pay perie€1. (Please refer te the saFRple tiFResl:leet.) 4.4 On occ~sloh, · employees·trrfijyjreques~:of bti·as~ed ·tQ transiti?niJr'C)rri part+tifu~~Qi'.fUll~time _ status.or:yice--versa. lt:is:'the,fight of OCSDi:aHts sole disc~e~on/to sc~edul~t.Working hoU'r$ and assign work that :may be,:necessary to operate OCSD 'in';the· most efficie,nfi:ind economiccsl manner and in. the best interest oUhe public it serves~.· Due. consideration Win be given. to .an· employee's inpute1nd concerns ~prior to implem~~tfjtion of a schE!dule.change. Multiple transitions tofull-ttmeor.part-ti.me, re,q~ested bythe;aff~cted emp191ee,;;1shall.be __ deemed as:an.,abuse:of this,priyilege and·factored .into ·future··9()psider~ti.on~1t.C:>,r:~pprova1.:::•!\ thirty· (30) ·d~Y written· notic~:Jor~work ·schedule changes musHie :given ·to:amaff~cted employee: prior to the change. 5.0 PROCEDURE 5.1 Normal Business Hours. Administrative and business functions are normally performed between the hours of 7:30 a.m. and 5:30 p.m., Monday through Thursday, and between the hours of 7:30 a.m. and 4:30 p.m. on Friday. However, OCSD the District allows flextime for employees to choose their starting and finishing times as long as employees whose jobs involve contact with the public or outside organizations are present between the core hours of 8:00 a.m. and 4:00 p.m. In addition, department heads, or designee, may deny flextime to certain employees for reasons of business necessity, workflow, or customer service needs. 5.2 Core Hours. Individual divisions may schedule work beyond the core hours of 8:00 a.m. and 4:00 p.m., subject to approval by the department head, ofdesighee, to meet specific operating or service requirements in the most cost-effective and efficient manner. Actual starting and ending times of an employee's shift may vary depending on the operational requirements of each department. s·~a Shift Schedules. For time record keeping and accounting purposes, the "workweek" for full- time employees is 40 hours per 168-hour period, to be paid on a biweekly payroll basis of 80 hours worked. The actual work periods may be scheduled in shifts of four 9-hour days and one 4-hour day each workweek (9/80 schedule), five 8-hour days each workweek (10/80), four 10-hour days each workweek (8/80), or three 12-hourday~ and one 4-h()Ur day each workweek (7/80) at the discretion of the supervisor. The starting and ending times of individual employee workweeks may vary. 5.4 Meeting Attendance. Employee attendance at lectures, meetings, and training programs will be considered as part of an employee's work hours if attendance is requested by management. Overtime er seFRpensatery tiFRe FRay be allewee for sYch attendaRce eRly iR l::Jn1.1s1.1al circ1.1FRstaRces ane m1.1st be apprevee by tl:le eepartment heae in advance ef tl:le meeting. Page 2of4 p~5 ·~Timesheets -Exempt Employees. Exempt employees Per:seRRel, as 9efiRe9 by tRe exempt jeb classificatiGRs geRerally Gf tRe Fair: baber: StaR9ar:9s Act, are not eligible to receive overtime pay; however, ex~mpt employees must account for daily attendance. rhe following pplnts~~ft~t:b~iconsk:t0.f~~Jwll~n 'filliri~foQt!!m~ sheet~: 5.5.1 Timesheets for exempt employees $hall sAeYld indicate the days worked during the pay period and include all time taken as paid or unpaid leave. Timesheets should report a total of eighty (80) hours per pay period plus any applicable memo time. 5.5.2 Hours in excess or short of the daily total should be accounted for in the work description line titled "Memo Time". (Please refer to the sample timesheet). The appropriate subledger number should be entered, and the timesheet signed by the appropriate management level.. \/\fhenusing subledger numbers, time should be recorded in blocks of half hour increments or more. 5.5~$:.;·~'.~£mph)yees may be able to draw hours from their "memo time" in certain situations; ti9wever, memo time is NOT compensatory time and will NOT be granted on an hour for hour basis. It is to be used on an exception basis and must be approved in advance by the supervisor. For example, if ~~~ employee ~ctjedilll~~;l:B~fiau~'Dff a~~tmakes: i:ii:>:th.a~:tli'.lle'dunn91tb'~t:Pay·p~'nC>~:wI@fStl~m~.rnc;;::1'me~}J!O~y{ti~J.1s~. WGr:ks 40.5 tGtal RGblr:& iR week GRe aR9 Aeees tG blSe 2.5 RGblr:S tG gG tG a 9ectGr:'s appGiRtmeRt iR \•,reek WIG, tRe SblpeFViSGr: may appr:eve blSiAg memG time. (Please refer to the attached sample time~heets). Merl'lo time, in some occurr~nCc;!S, may be allowed for an entire day, puf.:f:Ti~y\gpfreplace:t~~;'.l;f~zof'.le.~ve tiljf~~~~ijC.ft~~s)~acatl(irj pffi~~~.when::P~§!r~~:::;~.·~o.r:examf:.l~~~-tmerno:,tir11~.·,m,~~11~!:~~·'use~·;~ft~~J9~ctiqn·iNi1t1 ~acation, sicko~;p~r~onal leavei:~me:;)'{ln 'addition~: ":memo time" sballj:i'.ofb~ am.florized for more than one· dayan a:pe1ypenod~~ih1si,ng·memo.itime:creates'~ negative:"menio timen accrual balance, orif it js··nots.cheduled:in·advance withlthe $1.Jpervisor. 5.5.4 Make l:IP time may be l:lsed if tRe emplGyee will Ree9 tG l:lse tRe 2.5 hGl:JFS in tRe fir:st week ef tRe pay per:iGs aR9 will w-0r:k aR extr:a Rel:lr:s (ef a least 2.5 Rel:lr:s) iR tRe secGRd 'Neek Gf tRe pay per:ie9 tG "make l:lp" fGr tRe SRGrtage ef Rel:lr:s. AgaiR, it is tG be l:l&e9 GR aR exceptieR basis aR9 ml:lst be appr:GlJe9 in aevaRGe by tRe sl:lpeFVisGr:. ~ Exempt personn.el timesheets shall sAeYld be submitted to TimekeepiRg iR tRe Accounting in,tJie.finance Oepartment G#iGe no later than Friday of each week. In addition. exempt employees will not receive overtime compensation, except as Extraordinary Services Compensation agreed to in applicable bargaining unit MOUs. (except as speGifically agree9 tG in aR applicable bar:gaiRiRg l:IRit MOUs) bl:lt GccasieRally may be eligible fGr: time Gff after: wGr:kiRg abRGr:mally Ieng RGl:lr:s. 5.5.6 Timesheets must be completed in ink. Time worked shall sRel:lld be charged to the appropriate work order category, and timesheets must be signed by both the employee and supervisor. If an employee is unable to complete their timesheet due to absence, the timesheet must be completed by the supervisor or designee (e.g., designee authorized by management to process employee's timesheet while on a leave-of-absence) and submitted to timekeeping. When the employee returns to work, another copy of the timesheet should be signed by both the employee and the supervisor and sent to timekeeping. ~ f1Hli'rig out ahotner·.employee's:tim~stleet, withciut}r1an~gementauthe?rgation~ ·9r ..... , falsifying·any.timesheet is' prohibited and maybe'gtounds for disciplinaryactior;t, up;to and including termination. CGlNer:ker:s, witRGl:lt maRagemeRt al:ltRGr:izatiGR, GempletiRg aRGtRer: cGwGr:ker:'s timesReet Gr: empleyee's falsifying aRy timesheet is pr:GRibited aRd may be gr:el:IR9s fGr: disGipliRar:y actiGR, l:lp tG and iRcl1:J9iRg ter:miRatieR. 5.6 Payday.·.:p~ychecks ared,lstri_buted ofr:th~··We~nesday immediately preceditjg:;the Clos~ of:a pay periotLicPaychecks received on Wednesd~y cover.the,period worked dl.iririg the previous Page 3of4 pay~period~jiff a :payday'fSlls 'on. a holi~ay~j:>aycfieckifwill :normally be distrlb:U,feCf (>~ the last working:da.y: preceding:,theholiday. ·Employees who will·'.notpe at work :on··a"payday may requestthat their checks-be.· held, 'forwarded to·1heir supeiVis,6r*: or mailed :ctir~ctly 1o 'their resideriqe.~:-.Unclaimed::paychecks··wm·b~·:heidjn Accounttllg:~:.Paychecks C>f'·i!l~ividuals·who terminat~ their ,employmenfwith OCSQ/t)re1re separated~:wlll.:be mailed dire(#ty;to·therrron the next .. regular payday subsequent to: ttie separation,dat~~ynless other arrangements ·ar~ f'nadeJcf hQlctthe· ch~c~! 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8 .1 Fair Labor Standards Act, as amended a~2 . P.()1igyJ>~1~00, .Pro R~ta':~enefibdc»r-'P.att:.1Fime-,E:iliP.loy~ ~·~~··'.·:·;:~•Ffdlfgy1~Fi:,:Ql(;)o~:·~µ1.e~J~f:~911o.llct a:~F~ PolicY.·E:2oT.~t>."Hou..s·t:>fWoik ~.]\1on~~emptEmp1oyees a~s. -":··pr()fe~ston~1 GtQup MQQ a1a· :<;$upe.V!S;9f~roup·Mou 8.7 Prefessi9Ral aR9 S\:.Jpervisgry M.O.U. Page 4of4 Orange County Sanitation District Policy Number: F100.00 Effective Date: December 15, 2004 Subject: Smoking Supersedes: Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 This policy has been developed to protect employees and the general public from the dangers associated with second-hand smoke. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 This policy applies to all Orange County Sanitation District (OCSD) employees, contractors, and the general public who are in or on OCSD property. 3.0 DEFINITIONS 3.1 Public Building -A building owned and occupied, or leased and occupied, by the State, County, City, City and County, or a California College District. In or inside a public building includes all indoor areas of the public building, except for covered parking lots. 4.0 POLICY 4.1 GENERAL INFORMATION 4.1.1 OCSD provides designated smoking areas that meet regulatory requirements and the operational needs of the organization. This policy defines employee, contractor, and general public conduct, as related to smoking, in or on OCSD property. 4.1.2 EMPLOYEE, CONTRACTOR AND PUBLIC CONDUCT 4.1.3 No OCSD employee, contractor, or member of the general public shall smoke any tobacco product in an OCSD public building or vehicle. Smoking is prohibited at OCSD except in designated areas that are clearly posted. 4.1.4 Failure to comply with the requirements of this policy shall result in disciplinary action, which includes, but isn't limited to: 4.1.4.1 Progressive disciplinary action for OCSD employees, which may result in termination for repeated violations. 4.1.4.2 Removal of contractor personnel from an OCSD public building facility or vehicle and/or termination of the contract. 4.1.4.3 Removal of a member of the general public from the impacted OCSD public building or vehicle. Page I of2 4.2 LOCATING DESIGNATED SMOKING AREAS 4.2.1 All designated smoking areas shall be located outdoors and at least 20 feet from a main entrance, exit, and/or operable window. 4.2.2 All designated smoking areas shall be clearly posted and delineated by OCSD. 4.2.3 Ash trays will be provided at each designated smoking area and will be maintained by OCSD. 5.0 PROCEDURE 5.1 RECORDKEEPING 5. 1.1 A database within the Computer Maintenance Management System (CMMS) shall be implemented to properly maintain the location of all designed smoking areas at OCSD. 6.0 EXCEPTIONS 7.0 PROVISIONS AND CONDITIONS 8.0 RELATED DOCUMENTS 8.1 Code of Federal Regulations, Title 49 (Subpart D) 8.2 California Government Code, Sections 7597-7598 8.3 California Labor Code, Section 6400-6413.5 8.4 All signed and implemented MOUs between OCSD and designated Bargaining Units/Employee Associations 8.5 Policy F41.00, Vehicle Usage 8.6 Policy F70.00, Discipline Page 2 of2 RESOLUTION NO. OCSD 04-30 AMENDING RESOLUTION NO. OCSD 98-33 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AMENDING THE HUMAN RESOURCES POLICIES AND PROCEDURES ***************************** The Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: That Exhibit ''A1' of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D10.00, Leave of Absence with Pay, set forth in Attachment No. 1, attached hereto and incorporated herein by reference. Section 2: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D50. 00, Insurance, set fourth in Attachment No. 2, attached hereto and incorporated herein by reference. Section 3: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D51. 00, Pro-Rata Benefits for Part-Time Employees, set fourth in Attachment No. 3, attached hereto and incorporated herein by reference. Section 4: That Exhibit "A11 of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D90. 00, Tuition Reimbursement Program, set fourth in Attachment No. 4, attached hereto and incorporated herein by reference. Section 5: That Exhibit ''A1' of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. D110.00, Catastrophic Illness Leave Donation Program, set fourth in Attachment No. 5, attached hereto and incorporated herein by reference. Section 6: That Exhibit "A11 of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. D130. 00, Domestic Partnership, set fourth in Attachment No. 6, attached hereto and incorporated herein by reference. Section 7: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F20. 00, Hours of Work -Non-Exempt Employees, set fourth in Attachment No. 7, attached hereto and incorporated herein by reference. Section 8: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. F20. 10, Hours of Work -Exempt Employees, set fourth in Attachment No. 8, attached hereto and incorporated herein by reference. Section 9: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. F100.00, Smoking, set fourth in Attachment No. 9, attached hereto and incorporated herein by reference. Section 10: That all other terms and conditions of Resolution No. OCSD 98- 33, as previously recommended, shall remain in full force and effect. Section 11: That all future amendments to Resolution No. OCSD 98-33 be made by Resolution. PASSED AND ADOPTED at a regular meeting held December 15, 2004. Chair ATTEST: Board Secretary FAHR COMMITTEE AGENDA REPORT Orange County Sanitation District FROM: Lisa L. Tomko, Director of Human Resources Patrick Miles , Director of Information Technology Originator: Rich Castillon , Information Technology Manager Meeting Date 12/08/04 Item Number FAH R04-111 SUBJECT: CHANGES AND ADDITIONS TO HUMAN RESOURCES POLICIES AND PROCEDURES AS AUTHORIZED BY RESOLUTION 98-33 . GENERAL MANAGER'S RECOMMENDATION Adopt Resolution No . OCSD 04-31 , amending Resolution No . OCSD 98-33 , amending Human Resources Policies and Procedures Manual re specific Information Technology related policies. SUMMARY The attached policies are updates and additions to establish and promote the ethical , legal , and secure use of computing and electronic communications for all OCSD staff members. Staff retained TruSecure (the leading provider of intelligent risk management processes and services) to assess OCSD 's information security infrastructure against a set of standardized practices . Acting on TruSecure 's recommendations , several new policies will be implemented to address specific acceptable use practices . A Computer End-User policy establishes a uniform policy for end-user accounts and security configuration . This will ensure that guidelines are in place to secure the electronic data stored on the OCSD network and access to the network is through secure logon accounts . The existing policy was modernized to address issues regarding the use , retention , and protection of email as well as acceptable use of the Internet. A new Change Control po licy is introduced to establish a uniform method to keep all PCs , servers , and computer infrastructure at proper operating levels. The Software policy establishes a uniform method for software copyright enforcement, software selection , and maintenance . The policy will validate OCSD's diligence in adhering to e x isting copyrights . Additionally, this policy bans the installation of software on OCSD owned equipment that may not be properly licensed and registered . The new Computer Incident Response policy establishes uniform guidelines for responses to computer-related incidents and establishes procedures that will be followed and referenced in legal and discovery actions. Remote Access and Special Technology policies address emerging technologies that allow connections to the OCSD network from e xternal sites through wireless methods . PRIOR COMMITTEE/BOARD ACTIONS Human Resources Policies and Procedures Manual revisions were presented at the July 2004 FAHR and Board of Directors meetings. H \dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 14(d ) HR Pohcy & Procedure re IT POl1cies doc To Bd. of Dir . 12/15/04 Item Number 14(d) Page 1 PROJECTICONTRACTCOSTSUMMARY 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 . 18'.1 Not applicable (information item) ADDITIONAL INFORMATION Policy Number and Subject From To Reason for Change E90.00 Information Systems Man ageme nt Current Language Revised Language Retitled to establi sh detailed computer re lated policies E91 .00 End-User Policy NIA NIA New Policy E92.00 Software Policy NIA NIA New Policy E93.00 E-mail Policy NIA NIA New Policy E94.00 Internet Usage P olicy NIA NIA New Policy E95.00 Computer Incident Response Policy NIA NIA New Policy E96.00 Change Control Policy NI A NIA New Policy E97.00 Remote Access Polic y NIA NIA New Po licy E98.00 Special Technology Policy NIA NIA New Policy ALTERNATIVES N/A CEQA FINDINGS N/A ATTACHMENTS 1 . Proposed Resolution 2. E90 .00 Informatio n Systems Management 3. E91 .00 E nd-U se r Policy 4 . E9 2.00 Software Policy 5. E9 3.0 0 E-mail Policy 6. E94.00 Internet Usag e Policy 7. E95 .00 Computer Incident Response Policy 8. E96 .00 Cha ng e Control Policy 9. E97.00 Remote Access Policy 10. E98 .00 Special Techno logy Policy H ldeptlagenda\Board Agenda Repons\2004 Board Agenda & Agenda Repons\1204\llem 14(d) HR Pohcy & ProcedlJ'e re IT Pohoes doc • ) ' Page~ -' RESOLUTION NO. OCSD 04-31 AMENDING RESOLUTION NO. OCSD 98-33 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AMENDING THE HUMAN RESOURCES POLICIES AND PROCEDURES ***************************** The Board of Directors of the Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by amending Policy No. E90.00, Information Systems Management, set forth in Attachment No. 1, attached hereto and incorporated herein by reference. Section 2: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E91. 00, End-User Policy, set fourth in Attachment No. 2, attached hereto and incorporated herein by reference. Section 3: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E92. 00, Software Policy, set fourth in Attachment No. 3, attached hereto and incorporated herein by reference. Section 4: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E93.00, E-Mail Policy, set fourth in Attachment No. 4, attached hereto and incorporated herein by reference. Section 5: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E94.00, Internet Usage Policy, set fourth in Attachment No. 5, attached hereto and incorporated herein by reference. Section 6: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E95.00, Computer Incident Response Policy, set fourth in Attachment No. 6, attached hereto and incorporated herein by reference. Section 7: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E96.00, Change Control Policy, set fourth in Attachment No. 7, attached hereto and incorporated herein by reference. Section 8: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E97.00, Remote Access Policy, set fourth in Attachment No. 8, attached hereto and incorporated herein by reference. Section 9: That Exhibit "A" of Resolution No. OCSD 98-33 is hereby amended by adding Policy No. E98.00, Special Technology Policy, set fourth in Attachment No. 9, attached hereto and incorporated herein by reference. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\llem 14(d).HR Policy & Procedure re IT Policies.doc Page~ ' ·,· Section 10: That all other terms and conditions of Resolution No. OCSD 98- 33, as previously recommended, shall remain in full force and effect. Section 11: That all future amendments to Resolution No. OCSD 98-33 be made by Resolution. PASSED AND ADOPTED at a regular meeting held December 15, 2004. Chair ATTEST: Board Secretary H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 14(d).HR Policy & Procedure re IT Policies.doc Page'- Orange County Sanitation District Information Systems Management Policy Number: E90.00 Effective Date: February 2&, 2003 pecem6er·1 s~ 2004 Supersedes: DeGember 18, 2002 FebruafY:2&',•2()Qs Approved by: Lisa L. Tomko 1 A ' . ~The.purpose of thls'policfl~ to :esta~lish\anifOrm gi1i~elil'lesiincf procedures ·fqr·a1t . Jnform~tion System :Managem~nt· pol;ci~~.,,procedures; :a.nd ~pp(iqe1tion~~ 2~0.. ~ORGANIZATIONAL UNITS AFFECTED 2~f'"H:{: This p§licy appliesto a11:oragg~.,Co9nt}f'~~n.ite1tioij;fQrstrict(Q(?,~P) emp,gy~s, .independent· contractors (contract·:or~.te[tlporary ,e'f11P,iqyees);'tct)n'sultarit$;:i~ppo1nted officials. authorized volunte~rs. special eommittee rrlembers,:~f'.ld an other;partie~lwho are authorized to use OCSD'scomputerresourees-in the perfonnancEfotQCSD business. 3~0 'DEFINITIONS 4~0 · . POL.ICY 4.1 All E9X.XX policies provide rules, regulations, ancfgeri~eral standard· opefi3ting: .. { .. procedures for all uses of OCSD computer equipment, softWare, internet and e-mail~ . · chang~.control, remote access, computer incident response, and/or any ()ther cof,nputer related resource. 5.0 PROCEDURE ~~O ·.. EXCEPTIONS 6.1 . No exceptions arEf permitted fo this policy unless allthorizecfby the Gen~raiMan~ger or designee and/or Information Technology managementstaff members. 7l0 , . . PROVISIONS'~ND·CONDITIONS 7.1 Access to all OCS.D computer resources,· including but not limited to, hardware," ~oftWare, files, E!mail, and internet musU>e approved by the employee's supervisorand ! . lnfomiation Technology. manCJ.gemenfstaff members: Page 1of2 s~o ·. · '" "'':'.RELATEtfp~tQNH:NTS a.1 · t~cnn'iiuter'$:ecurity ·A~fot 1987.lPublic taW.4b0~235) 8.2 the CaJfforhia PublicJ~eoords Act Q~~_;_ · :~,J1>90QY ~sf QO, · comptj\~f En~:iJ§0,r P.olicy ~A ·J>olicy;E92'.~oo, sortWaf~:f>olicy 8.5 · · Pollc~Fee3~09, · E-rriaf1;p(>1lcy a.a· · F>oiicy·ee4~oo, 1nterrief'lJsa9e f>oll~y ~.7 .P91icy.·i;es1Qp,· c·oropiJf~rJr:tcid~ri,~;I~e,sr;>o.n~~ Poliqy a.a · Poucy'.ees:oo:·chari9in~c>ntro~ :F>oncy 8.9. , 'Policy E97.QO, Remo~~'Accei;sR91J¢y 8.~1 o . Policy~E98.00, Speci~ITechnology Policy 8~1·1 . p,olicy F40.00, Use of:Qistricfs.Propeey Page 2 of 2 Orange County Sanitation District Computer End-User 1.0 PURPOSE Policy Number: E91.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.1 To establish a uniform policy for end-user accounts and security configurations. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Account -The name assigned to a computer user, which is used to control access to computer related resources. 3.2 Character Sets -There are four character sets: 1) a through z; 2) A through Z; 3) O through 9; and, 4) special characters such as @, #, $, %, or"· 3.3 Complexity Requirements -Containing members of three of the four character sets. 3.4 Network -The collective name used for all computers and computer related resources that communicate with each other. 3.5 Password -A string of characters used to verify a user's permission for an account. 3.6 Virus-A generic name that includes all computer related infectious agents. 3. 7 Electronic snooping -The unauthorized use of or attempt to use another employee's password without the employee's consent, or the unauthorized entry to or attempt to enter the computer files and communications of another without that person's consent, or the unauthorized entry or attempt to enter the encrypted storage of e-mail messages. 4.0 POLICY 4.1 GENERAL INFORMATION 4.1.1 Internet services and e-mail are unique mediums that are viewed by most users as being different from traditional written correspondence or telephone communication. One of the greatest dangers of the use of Internet services and e-mail is that they are treated far more informally than other forms of business communication. Due to the perceived impermanence of Internet communications and e-mail messages, employees and other users often use them to express sentiments and opinions they would never memorialize in traditional business writing. In drafting any Internet communication or e-mail message, employees and other users shall exercise care and diligence because these communication mediums are a reflection of the Orange County Sanitation District (OCSD) and the employee's department. As such, employees and other users shall always Page 1of6 conduct themselves in a professional manner and refrain from sending anything by way of Internet communications or e-mail messages that would not appear in an official memorandum or letter. 4.1.2 OCSD's computer resources are provided for the purpose of conducting OCSD business, enhancing efficiency, and better serving the public interest. Internet services and e-mail are business communication tools that are made available to certain OCSD employees and other users in order to enhance efficiency and effectiveness in the performance of job duties and OCSD related business and are to be used in accordance with state and federal laws, and this policy. The e-mail system may not be used to solicit or persuade others for commercial ventures, religious or political causes, outside organizations, or other non-job- related solicitations or to support any profit entity. 4.1.3 OCSD's computer resources, regardless of their physical location or the form in which they are maintained, are the exclusive property of OCSD. Employees and other users are provided access to OCSD's computer resources as authorized by the General Manager, Department Directors and/or the Information Technology Director (IT Director). 4.1.4 Use of OCSD's computer resources, including all uses of the Internet and e-mail communications, are to be used for the accomplishment of business-related tasks and/or directly pertain to OCSD business, administration, or practices. Employees may use these resources for non-business research or browsing use only during their scheduled meal break, rest periods, and before or following work time; provided that all other Information Systems Management related policies are followed. 4.1.5 Employees are aware that all records, whether on paper or computerized, are subject to the mandatory public disclosure requirements of the California Public Records Act. The information created or transmitted on any OCSD computer resource, including Internet communications and e-mail messages, may be subject to public disclosure under the California Public Records Act or in connection with litigation. 4.1.6 Employees who are terminated or laid-off have no rights to the contents of their computer files or e-mail messages and are not allowed access to such systems. OCSD shall have the right to delete or retain any or all e-mail messages or computer files of any person no longer employed by OCSD. When an employee is separated from OCSD employment, it is the responsibility of the Department Director and the IT Director to ensure that access to OCSD's computer resources is terminated and all computer files are retained. 4.1. 7 OCSD prohibits sexual, racial, or other forms of harassment and OCSD's computer resources shall not be used for such purposes. If you are harassed or discriminated against through the use of OCSD's computer resources, you must report the act of harassment or discrimination to your direct supervisor or Department Director immediately. If you feel uncomfortable doing so, or if your direct supervisor or Department Director is the source of the harassment, condones the problem, or ignores the problem, report the harassment to Human Resources. 4.1.8 The dissemination of derogatory, defamatory, obscene, disrespectful, sexually explicit, sexually suggestive or in any other way inappropriate Internet and/or e- mail communications is prohibited. For example, OCSD prohibits the display or transmission of sexually explicit images, messages, or cartoons or any Page 2of6 -. transmission or use of e-mail communications that contain ethnic slurs, racial epithets, or anything that may be construed as harassment or disparagement of others based on their race, national origin, color, sex, sexual orientation, age, disability, religious or political beliefs, and/or any other protected class of people. Sending or forwarding a copy of these types of offensive communications on OCSD's computer system is strictly prohibited. 4.1.9 Electronic snooping or tampering by any employee is prohibited. 4.1.10 OCSD reserves the right for any reason to access, disclose or delete all messages and other electronic data sent over its electronic mail system or stored in its files. 4.1.11 No employee or contractor shall use OCSD's facilities or equipment to deliberately circulate a virus, Trojan horse, trap-door program, or any other malicious code. All employees and contractors must exercise due diligence not to distribute any malicious codes through e-mail communications or any other electronic format. 4.2 ACCESS TO COMPUTER INFORMATION/CONFIDENTIALITY 4.2.1 An employee's use of OCSD's computer resources, including, but not limited to, all computer files, Internet services, and e-mail, are not confidential. OCSD provides no assurance of privacy with respect to an employee or any other end- user of an OCSD computer resource. OCSD expressly reserves the right to access or monitor, with or without notice, any authorized end-user's use of OCSD computer resources. 4.2.2 OCSD reserves the right to monitor and record individual employee and other user computer files, as well as Internet and e-mail usage, at any time as allowed by the Electronic Communications Privacy Act of 1986. No employee or other user shall have any expectation of privacy as to his/her computer files, Internet communications, or e-mail messages. OCSD has software and systems in place that can and will monitor and record all usage for each and every user, including, but not limited to, all internal transmissions, Internet website visits, newsgroups, e-mail messages, computer files, and file transfers into and out of OCSD's internal network. OCSD representatives may access, audit, and review all activity and analyze usage patterns, and may, for whatever reason, disclose this data to ensure that the OCSD's computer resources are devoted to maintaining the highest level of efficiency and productivity. 4.2.3 Employees or contractors shall not attempt to defeat any connectivity, monitoring, or blocking software/hardware nor use any method that attempts to disguise one's login identity. An employee or contractor may not delete or intentionally hide or rename any files or data that are involved in any pending or anticipated matters. 4.3 ACCOUNTS 4.3.1 As directed by Information Technology management, a limited number of the technical staff will be assigned administration duties. 4.3.2 As directed, technical staff will deactivate and/or delete accounts. Steps will be taken to ensure that no files of value are deactivated or deleted. Page 3of6 4.3.3 Password changes will be transmitted to an end-user via secure means only. Secure methods of transmittal include voice-mail, in-person or through the end- user's manager. 4.3.4 All passwords must adhere to the complexity requirements. 4.3.5 Information Technology will force the changing of a password when the user logs on for the first time. 4.3.6 No account will be added to security or distribution groups without approval of senior technical staff, the resource owner, and/or the owner's supervisor. 4.3. 7 Staff with multiple accounts shall use discretion when using a particular account. The account with the lowest level of authorization needed to access information shall be used. 4.3.8. Senior Information Technology staff may create accounts for testing purposes as needed. 4.4 PASSWORDS 4.4.1 Subject to the constraints of this policy, a user will always be allowed to set and/or change their password. 4.4.2 A password must never be shared unless it is an emergency. Notify Information Technology if you share your password and change it as soon as practicable. 4.4.3 If a password has been compromised, change it immediately and notify Information Technology. 4.4.4 Enforcement of password requirements is automated. A password must meet the following complexity requirements: • A minimum of six (6) characters long. • Contain three (3) of the four (4) character sets. • Be changed at least every six (6) months. • Cannot be reused for 20 generations. 4.4.5 As desired and to minimize the number of passwords to remember, a user may manually change all of his/her passwords to match. 4.4.6 A written password must never be left in an unsecured location. 4.4. 7 Never repeat a password or follow a pattern that may be easily compromised. 4.4.8 Periodically, Information Technology staff will perform password audits. 4.4.9 As determined by senior Information Technology staff, certain system-oriented accounts will be exempted from these requirements. 4.4.1 O Desktop and laptop computers connected to the OCSD network will be automatically configured to lock the Computer after a predetermined inactive timeframe. Computer accounts that contain applications determined by Information Technology staff to be negatively impacted by this activity will be exempt. Under no circumstances shall this automated feature be intentionally defeated by the end-user. Page4 of6 4.5 ANTIVIRUS 4.5.1 Information Technology staff must install antivirus software on all production computers. 4.5.2 Information Technology staff will take measures to automatically update the antivirus software as updates are released by the manufacturer. 4.5.3 Senior Information Technology staff will subscribe to "virus warning" services. 4.5.4 At a minimum, antivirus software will be configured to scan all incoming files. 4.5.5 End-users will not interfere with the antivirus software in any manner whatsoever unless directed by Information Technology staff. In the event such directives are issued, it is Information Technology's responsibility to re-enable/re-configure the antivirus software. 4.5.6 End-users must notify Information Technology staff immediately if a virus is detected on the computer they are using. All work on that computer must be stopped until Information Technology issues a clearance. 4.5.7 In the event of an infection, Information Technology will take all possible steps to limit the spread of the infection. This includes, but is not limited to, isolation of the infected computer(s), shutting down servers or services and disconnecting OCSD's network from the Internet. 4.6 EXTERNAL DEVICES 4.6.1 No personally owned external device shall be connected to an OCSD's computer without approval from Information Technology. External devices include, but are not limited to, thumb drives, memory sticks, disk drives, and wireless access points. 4.6.2 If applicable, Information Technology is responsible for ensuring that all external devices are subject to standard anti-virus measures. 4.7 INTELLECTUAL PROPERTY RIGHTS 4. 7.1. It is OCSD's policy to retain all copyrights and other intellectual property rights of which it is the legal owner. All copyrights and other intellectual property rights, which are created by OCSD employees in the course and scope of their employment with OCSD, are the exclusive property of OCSD. 4.7.2 Transfer of Information • OCSD employees shall not post material on Internet or Intranet services or send material via e-mail, which is copyrighted by a party other than OCSD. • OCSD employees shall not download copyrighted materials from these services except where permitted for research use. Page 5of6 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Electronic Communications Privacy Act of 1986 8.4 Policy 830.00, Harassment Policy 8.5 Policy E90.00, Information Systems Management Policy 8.6 Policy E92.00, Software Policy 8.7 Policy E93.00, E-mail Policy 8.8 Policy E94.00, Internet Usage Policy 8.9 Policy E95.00, Computer Incident Response Policy 8.10 Policy E96.00, Change Control Policy 8.11 Policy E97.00, Remote Access Policy 8.12 Policy E98.00, Special Technology Policy 8.13 Policy F40.00, Use of District's Property Page 6of6 Software Orange County Sanitation District Policy Number: E92.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 To establish a uniform method for software copyright enforcement, software selection, and maintenance. 2.0 ORGANIZATIONAL UNITS AFFECTS 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Copyright -The exclusive legal rights to copy, reproduce, or sell a software package or document. 3.2 Software -A set of related programs, procedures, and documentation. 4.0 POLICY 4.1 Orange County Sanitation District (OCSD) staff are expected to rigorously observe and enforce copyright laws. In particular: • Copyrighted software installation is only authorized to be used on the computer for which it was purchased and intended. • No software distribution media will be copied except in the following instances: backup; disaster recovery; and/or as determined by senior Information Technology staff. • Electronic copyrighted documents used as reference material must contain a credited statement acknowledging the source. • All violations of copyright laws and this policy must be reported to an employee's supervisor or to Information Technology management immediately after it is known. 4.2 No software is to be purchased or installed without Information Technology approval. • Employees are prohibited from installing or allowing the installation of any software that has not been authorized by Information Technology. This includes, but is not limited to, personally owned, "free", licensed and hacking software. • Employees are prohibited from installing or using software which provides encryption, wipes programs, personal firewalls, or similar products unless a particular use has been authorized by Information Technology staff. • Employees are prohibited from installing or using software originating from the Internet and must notify Information Technology management if such software exists. Page 1of2 4.3 Information Technology will act as a clearing-house for all software and will perform the following: • Maintain a secure library of all software and accompanying documentation. • Maintain records detailing software usage and installations on OCSD computers. • Perform software inventories. • Provide software consulting to OCSD. • Perform all software installations. • Review the need for any new software and, if possible, present alternatives. 4.4 Employees are expected to maintain the confidentiality of all in-house and contractor authored software unless approved by management. 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00. 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 All Federal and State Copyright laws 8.3 Policy E90.00 1 Information Systems Management Policy 8.4 Policy E91.00, Computer End-User Policy 8.5 Policy E93.00, Email Policy 8.6 Policy E94.00, Internet Usage Policy 8. 7 Policy E95.00, Computer Incident Response Policy 8.8 Policy E96.00, Change Control Policy 8.9 Policy E97.00, Remote Access Policy 8.10 Policy E98.00, Special Technology Policy 8.11 Policy F40.00, Use of District's Property Policy Page2 of2 E-mail Orange County Sanitation District Policy Number: E93.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 To establish guidelines for the use of e-mail with Orange County Sanitation District (OCSD) computer resources. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Attachments -As defined and related to this policy are as follows: • An application specific file, such as a Word or Excel document that is transported with an e-mail message. The recipient must have suitable software for viewing the attachment. • A self-executing file such as an exe, com, or bat file 3.2 E-mail -A message, possibly with attachments, composed on a computer and received by a computer. A network, including the Internet, is the transmission medium. 3.3 Internet -A worldwide network of computers, adhering to universal standards that are capable of exchanging data with each other. 3.4 Confidential Information -Information that requires a "need-to-know", restricted use, or is sensitive in nature is considered confidential information. Generally, OCSD technical data, proprietary, customer, and personnel related information is confidential. Personnel related information includes, but isn't limited to; medical, recruitment, disciplinary, and performance information. Once information becomes generally available to the public, it is no longer considered confidential. Contact the Human Resources Department if there are questions. 4.0 POLICY 4.1 E-MAIL USAGE 4.1.1 E-mail, used by those affected parties in this policy through the course of their duties and/or while using OCSD computer related resources, shall always be used with the assumption that a message will be read by someone other than the intended recipient. When transmitting e-mail messages, employees and other authorized users should consider that the message, even though "deleted," may later be disclosed to outside parties, members of the public, or in connection with litigation. Due to these concerns, employees and other users are required to Page 1of5 maintain the highest standards of courtesy and professionalism when sending e-mail messages. 4.1.2 Employees shall have no right or expectation of privacy or confidentiality in any e-mail messages created, sent, received, deleted, or stored using OCSD's computer resources. Management and supervisors have the right to read and review any e-mail message created, sent, received, deleted, or stored of any employee at any time and for any reason. 4.1.3 Employees are expected to exercise good judgment in sending any e-mail communication, especially if such communication is deemed sensitive. All confidential communications shall be in hard copy form and be filed and retained in accordance with OCSD Records Retention Policies and procedures. 4.1.4 The sending of mass e-mailings on a 11 District-wide" basis to all employees without the prior authorization of a Department Director or the Director of Administration is prohibited. 4.1.5 Always err on the side of caution. Whenever an e-mail is written, assume the message is permanent and that it will be retrieved and/or printed-out. 4.1.6 All employees are representatives of OCSD and will always use appropriate language. E-mail is a unique medium that is unlike traditional written correspondence, in that, composed e-mail transmission statements, despite the intended number of recipients, can be viewed globally. 4.1. 7 Transmitting a message under another employee's name or password without their permission is prohibited. Any employee who obtains a password or user identification must keep that password confidential. 4.1.8 Employees should regularly change their individual passwords. Employees shall not share individual passwords with other individuals except for legitimate OCSD business reasons. 4.1.9 A password must never be shared unless it is an emergency. Notify Information Technology if you share your password and change it as soon as practicable. 4.1.10 All communications should follow proper etiquette, such as: • Materials posted by employees shall professionally represent OCSD. The transmission of defamatory, obscene, offensive or harassing messages or messages, which disclose personal information without authorization, is prohibited. • E-mail messages and electronic postings may be read by people beyond the addressee, and upon request, may be produced to a court in connection with litigation and should be composed accordingly. 4.1.11 Employees should carefully consider who is used on an e-mail as addressees or courtesy copies. Some employees may not want their e-mail addresses to be widely known or to receive responses from widely distributed messages. 4.1.12 Non-exempt OCSD employees are prohibited from accessing their e-mail accounts from home. If extenuating circumstances apply (i.e., lead worker "acting" as supervisor), HR will evaluate the situation on a case-by-case basis. Page 2 of 5 4.2. RETENTION OF E-MAIL 4.2.1 E-mail generates correspondence and other documentation, which may be recognized as Official OCSD Records in need of protection/retention in accordance with the California Public Records Act and as evidence in connection with litigation. Although the use of e-mail is primarily for official OCSD business, the e-mail system is intended as a medium of communication. Therefore, the e-mail system should not be used for the electronic storage or maintenance of documentation, including, but not limited to, Official OCSD Records. 4.2.2 E-mail messages sent and received, including any attachments, which are considered as Official OCSD Records, are to be stored in computer files or printed as a hard £QQY and filed in accordance with their department's filing policy. Generally, the sender of the e-mail shall be the person responsible for storing or printing and filing it accordingly. The persons responsible for a particular program or project file shall be responsible for retaining all e-mail they send or receive related to that program or project. 4.2.3 Individual employees are responsible for the management of their mailboxes and associated folders. In order to assure maximum efficiency in the operation of the e-mail system, employees are encouraged to delete e-mail messages that are not Official OCSD Records from their in-boxes once they are no longer needed. If a hard copy of data, which constitutes an Official OCSD Record, has been printed and filed in accordance with OCSD's Record Retention Policy and Schedule, the e-mail may be deleted. 4.2.4 It is the responsibility of individual employees and their Department Heads to determine if e-mail is an Official OCSD Record, which must be retained in accordance with OCSD's Record Retention Policy and Schedule. OCSD's Records Management Specialist will assist in making such a determination. Preliminary drafts, notes, or interagency or intra-agency memoranda, which are not retained by OCSD in the ordinary course of business, are generally not considered to be Official OCSD Records subject to disclosure. Employees are encouraged to delete documents, which are not otherwise required to be kept by law or whose preservation is not necessary or convenient to the discharge of OCSD duties or the conduct of OCSD business. 4.2.5 A record of additions and deletions made in the course of creating a draft letter or memorandum need not be saved. 4.2.6 Periodically, OCSD receives requests for inspection or production of documents pursuant to the California Public Records Act, as well as demands by subpoena or court order for the production of evidence in connection with litigation. In the event of such a request, the applicable Department Head shall require all employees to make available relevant e-mail files to the extent e-mail is stored in the computer and not printed and filed. The employee having control over e-mail files, once he/she is made aware of the request, shall immediately print and transmit a hard copy of any computer files that either are or may be responsive to the request or subpoena to his/her Department Head. 4.2. 7 E-mail records that are Official OCSD Records must be kept for the minimum retention periods identified in OCSD's Record Retention Disposition Schedule. Such e-mail records may not be destroyed except after approval of the Division Manager, Records Management Specialist, and General Counsel. Page 3 of 5 4.2.8 E-mail messages are subject to the same disclosure requirements as other public records. Requests from the public for e-mail records must be honored in the same manner as for other public records. E-mail messages, which are determined to be Official OCSD Records must be accessible and retrievable during their entire retention period and are to be maintained in a manner which permits easy and timely retrieval. 4.3. ATTORNEY-CLIENT PRIVILEGED COMMUNICATIONS 4.3.1 Some messages sent, received or stored on OCSD e-mail systems will constitute confidential, privileged communications between OCSD and its attorneys. Attorney-client communications should not be forwarded without consulting the General Manager's office and/or the General Counsel's office. 4.4. CONFIDENTIAL INFORMATION 4.4.1 Most communications among OCSD employees are not considered confidential. However, certain communications, such as law enforcement investigations and personnel records, may be confidential or contain confidential information. Questions about whether communications are confidential should be discussed with the employee's supervisor. 4.4.2 Employees shall exercise caution in sending confidential information on the e- mail system as compared to written memoranda, letters or phone calls, because of the ease with which such information may be retransmitted or accessed. 4.4.3 Confidential information should not be sent or forwarded to individuals or entities not authorized to receive that information and should not be sent or forwarded to other OCSD employees not directly involved with the specific matter. 4.4.4 Steps must be taken while using e-mail to ensure messages are not inadvertently sent to the wrong individual. In particular, exercise care when using distribution lists to make sure all addressees are appropriate recipients of the information. Lists are not always current and individuals using lists should take measures to ensure lists are up-to-date. 4.4.5 Employees shall not discuss confidential information outside of the workplace. 4.4.6 Confidential information should not be reproduced unnecessarily. 4.4.7 Employees shall return all tangible forms of confidential information to OCSD upon termination of employment or upon OCSD's request. 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00. Page4 of5 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Policy E90.00, Information Systems Management Policy 8.4 Policy E91.00, Computer End-User Policy 8.5 Policy E92.00, Software Policy 8.6 Policy E94.00, Internet Usage Policy 8. 7 Policy E95.00, Computer Incident Response Policy 8.8 Policy E96.00, Change Control Policy 8.9 Policy E97.00, Remote Access Policy 8.1 O Policy E98.00, Special Technology Policy 8.11 Policy F40.00, Use of District's Property Page 5 of 5 Orange County Sanitation District Internet Usage 1.0 PURPOSE Policy Number: E94.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.1 To establish acceptable use guidelines of the Internet with Orange County Sanitation District (OCSD) computer resources. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Internet -A worldwide network of computers, adhering to universal standards that are capable of exchanging data with each other. 4.0 POLICY 4.1 INTERNET ACCESS 4.1.1 Use of the Internet is becoming increasingly necessary for OCSD employees to provide effective and efficient public services. The efficient utilization of the Internet for communications and research can improve the quality, productivity, and general cost- effectiveness of the OCSD's work force. Internet capability and employee access is provided by OCSD on an "as needed11 basis and is a revocable privilege. 4.1.2 Internet access and use of online services are business communication tools, which are made available to certain OCSD employees and other authorized users in order to enhance efficiency and effectiveness in the performance of job duties and OCSD related business and are to be used in accordance with generally accepted business practices and current laws. Use of the Internet or online services should be predominantly for the purpose of OCSD business activities or contain information essential for OCSD employees to accomplish business related tasks, and/or communication directly related to business, administration, or practices of OCSD. 4.1.3 OCSD reserves the right to monitor individual Internet access and use of online services for any purpose including, but not limited to, review, audit, and disclosure of all matters transmitted over OCSD computer resources or placed in its network storage. 4.1.4 Downloaded information including e-mail attachments shall be checked for virus contamination. The Information Technology Department has information available on how to scan for viruses. 4.1.5 Downloading large data images, video and graphics shall be timed so as not to impact the performance of OCSD network. Very large files shall be downloaded after normal working hours. Page 1of3 4.2 ACCEPTABLE USE OF THE INTERNET 4.2.1 Specifically acceptable uses of the Internet includes: • Communication and information exchange that is directly related to the mission, objectives, and business activities of OCSD. • Communication and exchange of information for professional development, to maintain current training and education, or to discuss issues related to the employee or other job-related activities. • Use for advisory, standards, research, analysis, and professional society activities related to the employee or other end-user work tasks or job-related duties. • Announcement of new OCSD procedures, policies, rules, services, programs, information, or activities. • Communication with professional associations, public agencies, universities, businesses, and/or individuals associated with the facilitation of OCSD related business, research, and/or continuing education. • Authorized procurement of goods or services in accordance with applicable delegation of authority. 4.3 UNACCEPTABLE USE OF THE INTERNET 4.3.1 Specifically unacceptable uses of the Internet include: • Downloading any program, software, or application from the Internet or online services without prior written approval from both a Department Director and the IT Director and without scanning such applications for viruses before they are run, stored, or accessed. • Downloading or distributing pirated software or data. • Deliberately propagating any virus or any other destructive programming. • Downloading entertainment software or games. • Uploading any software licensed to OCSD or data owned or licensed by OCSD without the prior written authorization from both a Department Director and the IT Director. • Releasing and/or disseminating any OCSD confidential information. • Intentionally introducing OCSD's computer systems to, or experimenting with, malicious computer code(s), such as computer worms or viruses. • Transmitting any material or information on the Internet or through the use of online services in violation of applicable copyright laws or patents. Page 2 of 3 :; 5.0 PROCEDURE • Using any Internet access or online services that are likely to result in the loss of any recipients' work or which could cause congestion on OCSD's electronic network or which could otherwise interfere or disrupt OCSD's local area network users, services, or equipment. 5. 1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Electronic Communications Privacy Act of 1986 8.4 All Federal and State Copyright laws 8.5 Policy 830.00, Harassment Policy 8.6 Policy E90.00, Information Systems Management Policy 8.7 Policy E91.00, End-User Policy 8.8 Policy E92.00, Software Policy 8.9 Policy E93.00, E-mail Policy 8.10 Policy E95.00, Computer Incident Response Policy 8.11 Policy E96.00, Change Control Policy 8.12 Policy E97.00, Remote Access Policy 8.13 Policy E98.00, Special Technology Policy 8.14 Policy F40.00, Use of District's Property Page 3 of 3 Orange County Sanitation District Policy Number: E95.00 Effective Date: December 15, 2004 Computer Incident Response Supersedes: Approved by: Lisa L. Tomko 1.0 PURPOSE 1.1 Establish uniform policies and procedures for response to computer-related incidents. 1.2 Establish escalation policies. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00 3.0 DEFINITIONS 3.1 Escalation -Providing additional resources (managerial or technical) in order to solve a problem. 3.2 Digital Signature -A technical means by which computer-readable files can be shown as unmodified by the collection time. 3.3 Intrusion -Gaining access by unauthorized means. 3.4 Sabotage -Deliberate destruction of data or property. 4.0 POLICY 4.1 All collected information regarding Computer Incident Response activities must be kept confidential. 4.2 All media inquires will be directed to the Communications Division regarding any incident. 4.3 The Computer Incident Response Team (CIRT) will consist of: • Information Technology management or designees. • Human Resources management or designees. • Other staff and/or agencies may be involved as needed. 4.4 It is the CIRT's responsibility to communicate status and information to Orange County Sanitation District (OCSD) management. 4.5 CIRT's primary duties are: • Establish governing security procedures for all computer-related resources. • To minimize damage to OCSD internal and external computer related resources. • Assist and/or marshal resources sufficient to recover from an incident. Page 1of3 • Gather evidence and preserve it for future analysis and possible legal action. • In conjunction with senior management and other staff, create and prioritize a list of possible contingencies and create a plan that addresses each contingency. • Perform risk and cost-benefit analysis for prevention and/or remediation of typical computer-related incidents. These include but are not limited to: o Local disasters including earthquakes, floods, fire and terrorist activity. 0 Denial of service attacks. 0 External and internal intrusion. 0 External site vandalism. 0 Internal virus or worm attack. 0 Theft of proprietary information. 0 Sabotage. • Ensure appropriate resources such as staff and parts are readily available to deal with any computer incident contingency. 4.6 The CIRT is expected to follow chain-of-evidence procedures. These include but are not limited to: • Electronic records and logs must include a time stamp and be digitally signed. • All evidence must be documented in the appropriate log. • Document all relevant conversations. • All documents and other relevant material must be stored in a secure location under lock and key. • If necessary, seek guidance from legal counsel. 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 Page 2 of 3 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Electronic Communications Privacy Act of 1986 8.4 Policy E90.00, Information Systems Management Policy 8.5 Policy E91.00, End-User Policy 8.6 Policy E92.00, Software Policy 8.7 Policy E93.00, E-mail Policy 8.8 Policy E94.00, Internet Usage Policy 8.9 Policy E96.00, Change Control Policy 8.10 Policy E97.00, Remote Access Policy 8.11 Policy E98.00, Special Technology Policy 8.12 Policy F40.00, Use of District's Property Page 3 of 3 Orange County Sanitation District Change Control 1.0 PURPOSE Policy Number: E96.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.1 To establish a uniform method for Orange County Sanitation District's (OCSD) computer- oriented change control. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Change control -The planned process of modifying computer-related hardware or software. 3.2 Backup -A copy of a disk image. 3.3 Patch -A "small" fix that targets a "few" operating systems or application problems. 3.4 Server -A large computer, resident on the network, that supports shared resources. 3.5 Service Pack -A "large" fix that targets multiple problems. 4.0 POLICY 4.1 Only authorized Information Technology staff will initiate or perform any upgrades or changes to any computer or networking system. 4.2 Information Technology staff must verify that all patches and service packs are digitally signed or originate from a vendor's distribution media. 4.3 Prior to installation on production computers, patches and services packs must be evaluated on test computers. As much as practicable, test computers must duplicate the production environment. Detailed notes will be kept in a log book. If required, formal installation procedures may need to be created and/or modified. 4.4 Except in emergencies or with the approval of Information Technology management, a full backup is required before any patches or service packs are installed on any production server. Detailed notes of the operation will to be kept in a log book. 4.5 Log entries must contain the following information: date, time, person, problem description, change/fix description, and the results. Anything else deemed useful should also be noted. Page 1of2 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Electronic Communications Privacy Act of 1986 8.4 Policy E90.00, Information Systems Management Policy 8.5 Policy E91.00, End-User Policy 8.6 Policy E92.00, Software Policy 8. 7 Policy E93.00, E-mail Policy 8.8 Policy E94.00, Internet Usage Policy 8.9 Policy E95.00, Computer Incident Response Policy 8.10 Policy E97.00, Remote Access Policy 8.11 Policy E98.00, Special Technology Policy 8.12 Policy F40. 00, Use of District's Property Page2of2 Orange County Sanitation District Remote Access 1.0 PURPOSE Policy Number: E97 .00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.1 Establish uniform policies and methods for all types of computer-to-computer connections for Orange County Sanitation District (OCSD) computer resources using a variety of techniques. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90.00. 3.0 DEFINITIONS 3.1 Authentication -The act of verifying the identity of a user or computer. 3.2 Encrvption -The coding or scrambling 1 using sophisticated techniques, of information to prevent third parties from "reading" it. 3.3 Modem -A device used to access remote computers or networks utilizing a phone line as the transmission media. Note that a modem has the potential to bypass all network- edge security measures. 3.4 VPN -Functionality that allows the accessing of remote networks utilizing the Internet as the transmission media. 3.5 Vetting -The procedural process of appraising or examining access. 4.0 POLICY 4.1 MODEMS 4.1.1 Modems must always be the last solution to consider due to the inherent lack of security. 4.1.2 No modem shall be connected to any OCSD computer without the express approval of Information Technology management. 4.1.3 No modem will be configured to auto-answer without the express approval of Information Technology management. 4.1.4 External modems will be used with desktop computers. 4.1.5 It is the end-user's responsibility to ensure the external modem is always turned off when not in use. 4.1.6 Unless directed by Information Technology, end-users will never modify a Page 1of3 modem or an associated software configuration. 4.1. 7 A modem shall never be installed on any OCSD computer that does not have functioning and recently updated antivirus software. 4.2 VENDOR CONNECTION 4.2.1 Approved and authorized vendors may remotely connect to OCSD's network after vetting by Information Technology. 4.2.2 Vendors must submit a statement detailing the antivirus and firewall software installed on the computer being used to connect to OCSD's network. Information Technology staff shall review the submitted document before allowing access. 4.2.3 OCSD managers must request remote access and Information Technology staff must determine if the vendor meets OCSD's security requirements. 4.3 GENERAL 4.3.1 Accessing outside e-mail services from any computer connected to OCSD's network is strictly prohibited. 4.3.2 Non-OCSD computers and/or computer equipment are never to be connected to OCSD's network without the express written permission of Information Technology management. 4.3.3 Non-OCSD computers or computer equipment are not to be stationed at any OCSD facility without the express written permission of Information Technology management. 4.3.4 All computers connecting to the network from external locations must have current antivirus and firewall software installed. 4.3.5 With managerial approval, staff requiring access to OCSD's network will be issued laptops. 4.3.6 OCSD managers must request remote access for their staff. 4.3. 7 If required by an investigation, any computer used to access OCSD's network, by any means, may be impounded for an indefinite period. 4.3.8 Computers connecting to OCSD's network must be configured in a manner such that the networking password must be entered immediately prior to each connection. Do not allow the password to be saved. 4.4 INFORMATION TECHNOLOGY 4.4.1 Consistent with recommended security practices, the needs of OCSD and the capability of the involved hardware and software, the highest level of authentication and data encryption methods shall used. 4.4.2 Routinely, the remote access logs will be examined for unusual activity. 4.4.3 OCSD-resident remote access servers will be set to a "default deny" configuration. Page 2 of 3 5.0 PROCEDURE 5.1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 The California Public Records Act 8.3 Electronic Communications Privacy Act of 1986 8.4 Policy E90.00, Information Systems Management Policy 8.5 Policy E91.00, End-User Policy 8.6 Policy E92.00, Software Policy 8. 7 Policy E93.00, E-mail Policy 8.8 Policy E94.00, Internet Usage Policy 8.9 Policy E95.00, Computer Incident Response Policy 8.1 O Policy E96.00, Change Control Policy 8.11 Policy E98.00, Special Technology Policy 8.12 Policy F40.00, Use of District's Property Page 3 of 3 , Orange County Sanitation District Special Technology 1.0 PURPOSE Policy Number: E98.00 Effective Date: December 15, 2004 Supersedes: Approved by: Lisa L. Tomko 1.1 To establish configuration/deployment policies for families of technology that, if mis-configured, would expose Orange County Sanitation District's computer resources to a high level of risk. 2.0 ORGANIZATIONAL UNITS AFFECTED 2.1 The organizational units affected are outlined in policy E90. 00. 3.0 DEFINITIONS 3. 1 Access Point (AP) -A device that connects wireless computers together and may also connect to the corporate network. 3.2 Content Creator -Any staff member that creates, makes available, or publishes information on an Internet-facing server. 3.3 Domain -A logical grouping of computers that share security information and resources. 3.4 Internet -Any computer network external to OCSD's network. 3.5 Internet-Facing -A computer that is directly connected to the Internet. 3.6 WLAN -Wireless Local Area Network. 3. 7 Scanning -The act of using an instrument to detect WLANs. 3.8 Server -A computer that shares a resource. 3.9 Standalone-A computer that is NOT part of OCSD's domain but is connected to OCSD's network. 3.1 O Wireless -A family of technologies that enable networking between devices using radio signals as the medium. 4.0 POLICY 4.1 INTERNET-FACING SERVERS 4.1.1. Internet facing servers are to be configured with the highest priority placed on security configurations. 4.1.2. If possible, all Internet-facing servers are to be configured as standalone servers. Page 1of3 4.1.3. All contractor-produced software is to be reviewed by Information Technology staff before being placed in service on all Internet-facing servers. 4.1.4. Confidential materials of any type are never to be placed on any Internet-facing Server and are the responsibility of the content creator. 4.1.5. No database is to be installed on any Internet-facing server unless approved by Information Technology management. 4.1.6. All applicable laws and regulations shall be followed while using OCSD computer resources. 4.2. WIRELESS 4.2.1. No access point shall be connected to OCSD's network without approval from Information Technology management. 4.2.2. No device shall be connected to any access point without approval from Information Technology management. 4.2.3. Never deploy an access point with the default configuration. 4.2.4. Information Technology shall configure all access points. 4.2.5. Periodically, Information Technology will "sweep" the plant areas to ensure that no "rogue" access points are functioning. 4.2.6. All wireless equipment must be approved by Information Technology staff. 4.2.7. Given the nature of wireless technology and the potential for bypassing standard security measures, Information Technology will ensure that all wireless equipment is well maintained and inspected frequently. 4.2.8. No computer connected to a home-based wireless LAN will access any OCSD computer or network-hosted resource without approval by Information Technology management. 5.0 PROCEDURE 5. 1 All procedures necessary for compliance with this policy will be maintained and executed by OCSD Information Technology staff. 6.0 EXCEPTIONS 6.1 Exceptions are outlined in policy E90.00. 7.0 PROVISIONS AND CONDITIONS 7.1 Provisions and conditions are outlined in policy E90.00 8.0 RELATED DOCUMENTS 8.1 Computer Security Act of 1987 (Public Law 100-235) 8.2 Electronic Communications Privacy Act of 1986 Page 2 of 3 7 8.3 Policy E90.00, Information Systems Management Policy 8.4 Policy E91.00, End-User Policy 8.5 Policy E92.00, Software Policy 8.6 Policy E93.00, E-mail Policy 8. 7 Policy E94.00, Internet Usage Policy 8.8 Policy E95.00, Computer Incident Response Policy 8.9 Policy E96.00, Change Control Policy 8.10 Policy E97.00, Remote Access Policy 8.11 Policy F40.00, Use of District's Property Page 3 of 3 FAHR COMMllTEE Meeting Date To Bd. of Di r. 12/8/04 12/15/04 AGENDA REPORT Item Number Item Number FAH R04 -113 14(e) Orange County Sanitation District FROM: Blake Anderson , General Manager SUBJECT: NON-BASE BUILDING PAYMENT GENERAL MANAGER'S RECOMMENDATION Approve a one time only non-base building payment for the Director of Technical Services in an amount not to exceed $3,480 for his service as Acting General Manager. SUMMARY This item came before the FAHR in November. The committee , after considerable discussion , approved a one-time payment to the Director of Technical Services for his service as Acting General Manager in the amount of $7 ,948 as recommended by the General Manager. After further reflection , the General Manager asked that this item be removed from the November Board agenda for re-consideration by the FAHR in December. Approve a one-time only non-base building payment for the Director of Technical Services in an amount of $3,480 for his service as Acting General Manager. The basis for this amount is explained later in this agenda report. Current policy is silent at the Executive Management and Manager level regarding additional compensation for Directors and Managers who assume the responsibilities of an Executive Management position for an extended period of time. • As an Executive Management employee , awarding the incumbent a one-time only non-base building payment will fairly compensate the employee for assuming the additional duties of the higher level position . The assumption of these add itional duties has been critical in ensuring the District's operations continued without interruption . The General Manager began a formal medical leave of absence on September 1, 2004. He significantly cut back on his day-to-day duties in the two weeks prior to his leave and depended upon the Director of Technical Services to provide significant support during that time . The med ical leave of absence ended on October 18 , 2004 . All told , there was a total of eight work weeks of support provided by the Director of Technical Services . During this time period , the Director of Technical Services assumed the duties of the General Manager, while at the same time continuing to handle his normal duties as Director of Technical Services. Pag e 1 PRIOR COMMITTEE/BOARD ACTIONS N/A PROJECTICONTRACTCOSTSUMMARY Apply a one time only non-base building payment of one percent of annual salary fo r each month of extraordinary service provided : BUDGET IMPACT Dr. Ghirelli 's annual base salary= $174 ,032 ,. 1.0% x $174 ,032 = $1 ,740 2 months of service= $1 ,740 x 2 = $3 ,480 1Z! This item has been budgeted 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 N/A ALTERNATIVES Do not approve the recommended non-base build ing payment. CEQA FINDINGS N/A ATTACHMENTS None Pag e 2 GWRS Steering Committee November 8, 2004 MINUTES GROUNDWATER REPLENISHMENT SYSTEM STEERING COMMITTEE (A Committee of Orange County Water District and Orange County Sanitation District Directors) OCWD Boardroom, 10500 Ellis Avenue, Fountain Valley Monday, November 8, 2004, 5:30 p.m. COMMITTEE MEMBERS Anthony -Present Cook -Present Kraemer -Present McCracken -Present Eckenrode -Present Anderson -Present ALTERNATE MEMBERS Barr -Present Franklin -Present Chavez -Not Present Collins -Present Duvall -Present Cavecche -Present DIRECTORS IN ATTENDANCE Bilodeau -Present Debay -Present CONSENT CALENDAR (ITEM NO. 1) 1. MINUTES OF PREVIOUS MEETING RECOMMENDATION: APPROVE MINUTES OF THE OCTOBER 11, 2004 GROUNDWATER REPLENISHMENT SYSTEM STEERING COMMITTEE MEETING AS MAILED. END OF CONSENT 2. CONTRACT NO. GWRS-2004-1 - GROUNDWATER REPLENISHMENT SYSTEM ADVANCED WATER PURIFICATION FACILITY (J.F. SHEA CONSTRUCTION, INC.): CHANGE ORDERN0.4. RECOMMENDATION: Agendize for November 17 OCWD Board meeting: Authorize issuance of Change Order No. 4 for a decrease in contract price totaling $786,200 and no increase in contract time. MATTERS FOR CONSIDERATION -1 - MOTIONNOTE ANTHONY-MOTION, AYE COOK-AYE KRAEMER-AYE ECKENRODE-AYE MCCRACKEN-SECOND, AYE ANDERSON-AYE ANTHONY-AYE COOK-AYE KRAEMER-MOTION, AYE ECKENRODE-AYE MCCRACKEN-SECOND, AYE ANDERSON-AYE AGENCY OCWD OCSD OCWD OCWD ACTION TAKEN COMMITTEE APPROVED RECOMMENDATION COMMITTEE APPROVED RECOMMENDATION 3. ADDENDUM NO. 5 TO PROFESSIONAL SERVICES AGREEMENT WITH MWH AMERICAS, INC. FOR CONSTRUCTION MANAGEMENT SERVICES FOR THE GROUNDWATER REPLENISHMENT SYSTEM PROGRAM RECOMMENDATION: Agendize for the November 17 OCWD and December 15 OCSD Board Meetings: Approve and authorize issuance of Addendum No. 5 to the Professional Services Agreement with Montgomery Watson Harza, increasing the authorized amount by $214,162 from $13,359,084 to an amount not to exceed $13,573,246 for changes in the Scope of Work. 4. AWARD OF CONTRACT TO ENVIRONMENTAL SCIENCE ASSOCIATES FOR MONITORING SERVICES FOR ARCHAEOLOGICAL, PALEONTOLOGICAL, AND CULTURAL RECOURCES MONITORING RECOMMENDATION: AGENDIZE FOR NOVEMBER 17 OCWD BOARD MEETING: AUTHORIZE ISSUANCE OF A PROFESSIONAL SERVICE AGREEMENT TO ENVIRONMENTAL SCIENCE ASSOCIATES CONSULTANTS IN AN AMOUNT NOT TO EXCEED $148,554 TO PROVIDE ARCHAEOLOGICAL, PALEONTOLOGICAL, AND NATIVE AMERICAN MONITORING SERVICES FOR THE GROUNDWATER REPLENISHMENT SYSTEM PIPELINES AND BARRIER PROJECTS. 5. FINAL NEEDS ASSESSMENT AND ARCHITECTURAL PROGRAM FOR THE PROPOSED VISITORS CENTER RECOMMENDATION: AGENDIZE FOR NOVEMBER 17 OCWD AND DECEMBER 15 OCSD BOARD MEETINGS: A) RECEIVE AND FILE THE FINAL NEEDS ASSESSMENT AND ARCHITECTURAL PROGRAM FOR THE PROPOSED VISITOR'S CENTER; AND B) AUTHORIZE ESTABLISHMENT OF A NOT TO EXCEED BUDGET OF $5.9 MILLION FOR THE DESIGN, CONSTRUCTION AND EQUIPPING OF A 8,500 GROSS SQUARE FOOT VISITOR CENTER BY SHIFING FUNDS FROM THE AWPF CONSTRUCTION CONTINGENCY, THUS MAINTIANING THE OVERALL PROGRAM BUDGET AT $487.9 MILLION. -2- GWRS Steering Committee November 8, 2004 ANTHONY-AYE COOK-AYE KRAEMER-AYE ECKENRODE-MOTION, AYE MCCRACKEN-SECOND, AYE ANDERSON-AYE ANTHONY-AYE COOK-MOTION, AYE KRAEMER-AYE ECKENRODE-AYE MCCRACKEN-AYE ANDERSON-SECOND, AYE ANTHONY-MOTION, AYE COOK-SECOND, AYE BARR-AYE ECKENRODE-AYE MCCRACKEN-AYE ANDERSON-AYE COMMITTEE APPROVED RECOMMENDATION DIRECT STAFF TO ISSUE AN INTERIM PROFESSIONAL SERVICES AGREEMENT TO ENVIRONMENTAL SCIENCE ASSOCIATES UNDER THE GENERAL MANAGER'S SIGNllNG AUTHORITY AND RE- ISSUE AN RFP TO COMPLETE THE REMAINING ARCHAEOLOGICAL, PALENONTOLOGICAL AND CULTURAL RECOURCES MONITORING. RECEIVE AND FILE THE REPORT AND DIRECT STAFF TO BRING BACK AN APPROACH ON HOW TO MOVE FORWARD WITH THE PROJECT. ) 1./ GWRS Steering Committee November 8, 2004 INFORMATIONAL ITEMS 6. ADVANCED WATER PURIFICATION FACILITY COST SAVINGS UPDATE 7. PROJECT SCHEDULE AND BUDGET UPDATE 8. CONSTRUCTION PROJECTS PROGRESS PROJECT PROGRESS PHOTOS OUTREACH 9. MONTHLY CHANGE ORDER UPDATE 10. STATUS REPORT • Grants and Loans Update • Public Information and Education Update DIRECTORS' ANNOUNCEMENTS/ REPORTS GENERAL MANAGERS' ANNOUNCEMENTS/ REPORTS ADJOURNMENT 6:45 p.m. -3 - BOARD OF DIRECTORS Meeting Date To Bel. of Di r. 12/15/04 AGENDA REPORT I tem Number Item Number lS(b) Ora nge County Sanitation Di strict FROM: David Ludwin , Director of Engineering Originator: Wendy Sevenandt, GIP Project Manager SUBJECT: GROUNDWATER REPLENISHMENT SYSTEM , JOB NO . J-36 GENERAL MANAGER'S RECOMMENDATION Approve Amendment No . 5 to the Professional Services Agreement with Montgomery Watson Harza , providing for additional construction management services for the Groundwater Replenishment System , Job No. J-36, for an add itional amount of $214, 162, increasing the total amount not to exceed $13 ,573 ,246 to be equally shared with the Orange County Water D istrict. SUMMARY • In February 2002 , the Board of Directors (Board) approved a Profess ional Services Agreement (PSA) with Montgomery Watson Harza (MWH) to provide construction management services for the Groundwater Replenishment (GWR) System . • Amendment No . 5 is for increased fees to have MWH provide an inspector for the Warehouse modifications , which was a position that is outside the orig inal scope of services for the construction manager. • Amendment No . 5 is for $214 , 162 increasing the PSA from $13,359 ,084 to an amount not to exceed $13 ,573 ,246 . OCSD 's 50% share of Amendment No . 5 would be $107 ,081 . PRIOR COMMITTEE/BOARD ACTIONS 1. February 27 , 2002 -Board approval of PSA 2 . October 22 , 2003 -Board approval of Amendment Nos . 1 and 2 3 . August 25, 2004 -Board approval of Amendment Nos. 3 and 4 . 4 . November 8 , 2004 -GWR System Steering Committee approva l of Amendment No . 5. PROJECT/CONTRACT COST SUMMARY Authorization of $107 ,081 from the Construction Phase budget is being requested as shown in the attached Budget Information Table. Revis ed 06/04/03 Page 1 BUDGET IMPACT ~ D D D This item has been budgeted .(Line item : Se ction 8-pg 14 1, Water Management Projects , J-36 ) This item has been budgeted , but there are insufficient funds. This item has not been budgeted . Not applicable (information item) ADDITIONAL INFORMATION See attached GWR System Steering Committee (GWRSCC) Agenda Item Submittal. ALTERNATIVES No alternatives were considered as Montgomery Watson Harza has a qualified inspector available for the negotiated rate . CEQA FINDINGS The Environmental Impact Report/Environmental Impact Statement (EIR/E IS) for the GWR System was certified by the OCSD and the 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 . Amendment No . 3 was approved by OCSD on March 24 , 2004 and by the GWR System Steering Committee on December 1, 2003. ATTACHMENTS 1. Budget Information Table 2 . Agenda Item Submittal to the GWRSSC RE : Addendum No . 5 to Professiona l Services Agreement with MWH Americas , Inc. for construction management services for the Groundwater Rep lenishment System Program . 3 . Professional Services Agreement Status Report WS :ba :eh :lc H :\ntglo bal\Agenda Draft Reports\Joint Board s\Agend a Report.j -36.MW H.doc Revised 06/04/03 Page 2 ""'· ORIGINAL PROJECT/PHASE AUTHORIZED BUDGET '. ' : . . . Phase 1 -Project Development $ 700,000 Phase 2 -Preliminary Design Phase 3 -Design $ 9,849,000 Phase 4 -Construction $ 98,481,000 Phase 5 -Commissioning 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 , . t=UNDS . .. THIS , · '. BUDGET PROJECT .. INCREASE REVISED. AUTHORIZED TO AUTHORIZATION BUDGET. ~. ' <: '1DE9REASE BUDGET •:1, DATE REQUEST:'' ~:· :. >' < ' -·. ·-· : ~~-" • : ;,.., ; ; ;• ~ r'.l i; ~ .. -~ ; :_·~ I· .· ~ ; ><: ·', ' 11,000 $ 11,000 $ 11,000 3,321,000 $ 3,321,000 $ 3,321,000 17,246,540 $ 17,246,540 $ 17,246,540 217,933,460 $ 217,933,460 $ 215,357,558 $ 107,081 977,000 $ 977,000 $ 977,000 " 171,000 $ 171,000 $ 171,000 ' <.' ; 12,000,000 $ 12,000,000 251,660,000 $ -$ 251,660,000 $ 237,084,098 $ 107,081 $ 45,000,000 $ 45,000,000 $ 45,000,000 < PROPOSED ESTIMATED .. . .. 1"0TAL ... EXPENDITURE: A4THORIZATION :TO DATE./J:: ::,; , '' .. ~~- :,; ' ·;_, .'- $ 11,000 $ 10,088 $ 3,321,000 $ 3,319,874 $ 17,246,540 $ 15,613,610 $ 215,464,639 $ 36,909,267 $ 977,000 $ 451,841 $ 171,000 $ 81,761 $ - $ 237, 191, 179 $ 56,386,441 $ 45,000,000 8,708,855.68 PROJECT NET $ 121,925,000 $ 191,206,000 206,660,000 $ 192,084,098 $ 107,081 $ 192,191,179 $ 47,677,585 PSA/Contract Design PSA $ 18,907,913 $ 18,907,913 ··~ $ 18,011,496 $ 18,011,496 $ 15,381,772 Construction Manangement Services PSA $ 6,994,542 $ 6,994,542 ;'.· $ 6,445,283 $ 107 081 $ 6,552,364 $ 1,193,500 Construction Contract $ 203,294,901 $ -$ 203,294,901 \:: $ 193,697,953 $ 193,697,953 $ 34,500,000 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\[ltem 15(b).MWH-att 1.xlslMWH ad5 H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 15(b).MWH-att 1 ,. .ESTl~TED ' EXPENDED TO L.c>Are<%> ,--<:: <<'~ A ' ~. ·~; , ; 1>1~ ,•; ·:<';··;'. 92% 100% 91% 17% 46% 48% 0% 24% 19% 25% 85% 18% 18% \ AGENDA ITEM SUBMITTAL Meeting Date: November 8, 2004 To: Groundwater Replenishment System Steering Committee From: Virginia Grebbien Blake Anderson Staff Contact: Mike Markus Budgeted: Partially Funding Source: OCWD/OCSD/Grants Program/Line Item No.: 17200/40015 Cost Estimate: $214, 162 increase to PSA General Counsel Approval: N/A Project Report Approved: Yes CEQA Compliance: Yes Subject: ADDENDUM NO. 5 TO PROFESSIONAL SERVICES AGREEMENT WITH MWH AMERICAS, INC. FOR CONSTRUCTION MANAGEMENT SERVICES FOR THE GROUNDWATER REPLENISHMENT SYSTEM PROGRAM SUMMARY This change involves increased fees to provide an inspector for the Warehouse modifications, which was a position that is outside the original scope of services for the construction manager. This position is necessary because of the complexity of the construction and the close interface required with City inspectors. RECOMMENDATION Agendize for the November 17 OCWD and December 15 OCSD Board Meetings: Approve and authorize issuance of Addendum No. 5 to the Professional Services Agreement with Montgomery Watson Harza, increasing the authorized amount by $214,162 from $13,359,084 to an amount not to exceed $13,573,246 for changes in the Scope of Work. DISCUSSION/ANALYSIS The building of a new warehouse and modifications to the existing warehouse to transform it into new shop space was not in the original scope of work for the construction management services of the GWR System Program. At that time the original scope of construction management services was being developed alternatives were being studied that would have had shop space shared between the two agencies. When it became apparent that shared shop facilities would not be feasible and a new shop/warehouse space had to be developed on the OCWD site the construction management agreement had already been awarded. At last month's meeting staff proposed to have Montgomery Watson Harza (MWH) provide a full time inspector for 20 months at an hourly rate of $92.41 per hour. The committee requested that staff reevaluate the need for a full-time inspector and also questioned the hourly cost of the proposed inspector. -1 - Staff has reevaluated the need for a full-time inspector for this work and has concluded that full-time inspection will be required to assure that the conditions of the building permit issued by the City of Fountain Valley are met. This facility is the only building being constructed that requires a building permit from the City and the permit issued by the City stipulates that he District provides continuous Special Inspection with that inspector being certified in accordance with the Uniform Building Code Section 106.3.5. The permit also contains stringent reporting requirements throughout construction. The inspector that will be provided for this project will have the certifications that will allow him to act as the Special Inspector and he will be able to act as the regular inspector who insures that the construction is in compliance with our plans and specifications as well. By serving in both capacities the District will not have to retain outside special inspection, which will result in cost savings. Work has recently begun at the Warehouse and the Contractor has submitted their schedule for work in this area that shows the work being completed in 17 months, which is the recommended duration for the inspector. Staff also renegotiated an hourly rate with MWH for the inspector and came to an agreement that an individual with the requisite experience could be provided at $78. 7 4 per hour. This rate is very competitive with rates from other Construction Management firms. The Warehouse modifications contract duration is 17 months and the proposal is to supply an inspector just for this period of time. This means that the budget for additional inspection for the Warehouse modifications would have to be adjusted to 17 months. The hourly inspection rate for this inspector was negotiated to be $78. 7 4 per hour. The additional amount for the contract would be (78.74 $/hr)(160 hr/mo)(17 mo) = $214, 162. The result is an additional increase of $214, 162 to the contract amount for these additional services. Finally, staff negotiated with MWH to provide additional services, such as processing Contractor's request for information, submittals handling and review, contract change order processing and negotiation, as well as construction documentation at no additional cost to the District. The budget currently has $180,640 remaining for outside inspection services, which means that $33,522 is not currently budgeted. Staff recommends reducing the program contingency from $2,573,665 to $2,540, 143 to cover these additional expenses PRIOR COMMITTEE ACTIONS July 12, 2004 Recommend issuance of Addendum No. 3, which increases the PSA by $224,006 for cost of living adjustments, and Addendum No. 4, which increases the PSA by $244,512 for additional inspection services for the Barrier Project. -2- \ October 15 & 22, 2003 OCWD and OCSD Boards (respectively) approved and authorized issuance of Addendum No. 1, which increases the PSA by $1,423,992; for changes in the Scope of Work; and Addendum No. 2, which increases the PSA by $523,536 for cost of living adjustments. November 25, 2002 OCWD Board authorized removal of temporary spending cap. August7,2002 May 13, 2002 OCWD Board approved and authorized execution of Professional Services Agreement for a total cost not to exceed $10,943,038; with the stipulation that only $335,822 of the $10,943,038 to be expended at this time for a limited scope of construction management services, pending approval of the proposed Operations and Maintenance Agreement for the GWR System by both the OCSD and OCWD. Authorized issuance of a Task Order to Montgomery Watson Harza (MWH) in the amount of $49,950 for limited construction management services during the next two months, with this amount being subtracted from their proposal for providing construction management services for the entire project if the Orange County Water District (OCWD) Board approves that proposal. -3 - Total Project Budget= Consultant Start Date of Project Date Amendment Original 10/22/2003 1 10/22/2003 2 8/25/2004 3 8/25/2004 4 Pending 5 Professional Services Agreement Status Report Groundwater Replenishment System $251,660,000 Montgomery Watson Harza May 1994 Job No. J-36 Description Construction Management Services Additional services due to project schedule extension Cost of living adjustment for April 2003 Cost of living adjustment for April 2004 Provide inspector for Barrier Facilities Contract Provide inspector for Warehouse modifications $ $ $ $ $ $ *The total amount of the PSA is reported. The total amount is cost shared 50% between OCSD and OCWD. H:\dept\agenda\Board Agenda Reports\2004 Board Agenda & Agenda Reports\1204\ltem 15(b).MWH-att 3 \ . ' Cost• Accumulated Costs 10,943,038.00 1,423,992.00 $ 12,367,030.00 523,536.00 $ 12,890,566.00 224,006.00 $ 13,114,572.00 244,512.00 $ 13,359,084.00 214,162.00 $ 13,573,246.00 .. BOARD OF DIRECTORS AGENDA REPORT Orange County Sanitation District FROM: David Ludwin , Director of Engineering Originator: Mike Lucero, Project Manager SUBJECT: HYDROGEN PEROXIDE FACILITY MODIFICATIONS JOB NO . FE02-08 GENERAL MANAGER'S RECOMMENDATION Meeting Dat e Item Numbe r Reject bid from J & W Construction Specialties for Hydrogen Peroxide Facility Modifications, Job No . FE02-08 , for non-compliance with the District's insurance requirements . SUMMARY To Bd. of Dir . 12/15/04 Item Number 16 • The project is for the construction of piping modifications at four hydrogen peroxide facilities . The mod ifications are necessary to decrease the potential for malfunction of the metering pumps as a result of hydrogen peroxide off-gassing. These problems have been occurring consistently at the four hydrogen peroxide feed stations and prevent the delivery of chemicals to the trunk lines and scrubbers , causing interruption of the sulfide oxidation process. Because of these interruptions, higher concentrations of hydrogen sulfide exist, causing odors in the vicinity of Plant No. 2 . • This project was designed by Black & Veatch Corporation . Plans and Specifications were completed on January 29 , 2004 . Sealed bids were received on May 18 , 2004 . The lowest bid was from J & W Construction Specialties for $81 ,500. A construction contract was awarded to J & W Construction Specialties by the General Manager, per Delegation of Authority , Section 7 .04 .A. Subsequent to the award, J & W Construction Specialties could not meet the insurance requirements set forth in Section 16 and 30 on the construction bid documents and was deemed to be non- responsive . Per the Delegation of Authority , Section 6 .03.F , this bid may be rejected by the Board of Directors . • Summary information on the Job No. FE02-08 budget and bids are as follows : Project Budget: Construction Budget: Engineer's Estimate: Low Responsive Bid : High Bid : Number of Bids : $179 ,950 $114 ,950 $ 92 , 100 $ 93 ,724 $159 ,378 5 • The Director of Engineering will recommend award of the construction contract to the second low bidder, J .R. Filanc Construction Company , Inc., for an amount not to Page 1 exceed $93 ,724 . The award of the contract to J .R. Filanc Construction Company , Inc. will be made by the General Manager since the amount is less tha n $100 .000 . PR IOR COMMITTEE/BOARD ACTIONS None . This project was des ign e d under the Facilities Engin e ering program . PROJECT/CONTRACT COST SUMMARY Authorization of $93 ,724 for the construction contract is be ing requested . Th is authorization is within the Job No . FE02-08 budget. The tota l project budget is $179 ,950 . Please refer to the attached Budget Information Table for additional detail. BUDGET IMPACT [XI Th is item has been budgeted . (Line ite m: CI P Y2 004-2005 Budget Section 8, P.129) D Th is item has been budgeted , but there are i nsufficien t fund s. D This item has not been budgete d . D Not ap p licable (informati on item ) ADDITIONAL INFORMATION N/A ALTERNATIVES N/A CEQA FINDINGS Exe m pt ATTACHMENTS 1. Budget Info rmation T abl e 2. Bid Tabulation 3. Bid Summ a ry ML:lc:jo :e h H :\n tgloba l\Agenda Draft Reports\Joint Boa rds \FE02-08 Agenda Report121504.doc Page 2 PROJECT/PHASE Phase 1 -Project Development Phase 2 -Preliminary Design Phase 3 -Desi!:m Phase 4 -Construction Phase 5 -Commissioning Phase 6 -Close-Out Phase 7 -Contingency PROJECT TOTAL !Reimbursable Costs PROJECT NET Design PSA Construction Contract EDMS: 003778575 ORIGiNAL AUTHORIZED BUDGET. $ $ 9,200 $ $ 93,516 $ $ $ 20,544 $ $ 123,260 $ $ 123,260 $ $ -$ $ 80,000 $ ' 11 ,,, BUDGET INFORMATION TABLE Hydrogen Peroxide Facility Modifications JOB NO. FE02-08 CURRENT ',_: :; PROPOSED .. BUDGET PROJECT INCREASE BUDGET /DECREASE : '. 900 41,200 114,950 900 22,000 179,950 $ 179,950 $ 25,000 $ 110,000 $ $ $ $ $ $ $ -$ -$ -$ $ PR(:>,POSEO.~,;: .9:: '' .•.. F.9.~9~.::ViY· :'.:<:· .. )\11i1i .. :· .i,ifr{ /:;:"PR()Ji~~;~o::: .:·~~~Jl~ATEQ.;?'. :J:·~s"l'iM~f~&,,~ REVISED ' AUTHORIZED TO AU'J'HORIZATION ." · : TOTAL' ' ,. . EX~ENDITURE . EXPENDED TO BUDGET DAl'e. , :Reauesr:: .. ···" AurHo~~noN. ':/roDATe:.·.-: IJA~<~) • . /1'.:: .. . . ,,;\:r;;· .. " ,;,r;+; ·· <.,;,.\" ........ ;:1,L· ;, . · · :,;~~ ·;). , · · ; :Jt1f;J~:;:. :•:· $ 900 < $ 900 $ -$ 900 $ 900 100% ';· 41,200 .. $ 41,200 $ 41,200 $ 36,800 89% 114,950 ;::' $ 4,950 $ 93,724 $ 98,674 $ 0% ::ii ... -'·· $ -$ #DIV/O! ;.: 900 $ 900 $ -$ 900 $ 0% :' 22,000 $ -$ -$ -$ 0% 179,950 $ 47,950 $ 93,724 $ 141,674 $ 37,700 27% l''I 179,950 $ 47,950 $ 93,724 $ 141,674 $ 37,700 27% PSA/Contract 25,000 :'•: $ 25,000 $ -$ 25,000 $ 25,000 100% 110,000 :·;il $ $ 93,724 $ 93,724 0% - December 8, 2004 11:00 a.m. BID TABULATION HYDROGEN PEROXIDE FACILITY MODIFICATIONS JOB NO. FE02-08 Engineer's Estimate: $92, 100 Construction Contract Budget: $114,950 CONTRACTOR TOTAL BID 1. J & W Construction Specialties $ 81,500 2. J.R. Filanc Construction Company, Inc. $ 93,724 3. Rehmann Construction $ 109, 126 4. J. F. Shea Construction Inc. $ *114,398 5. Caliagua Inc. $ 159,378 6. $ 7. $ I have reviewed the bids submitted for the above project. J & W Construction Specialties did not meet insurance requirements set forth in sections 16 and 30 of the bid document and was therefore deemed non-responsive. I, therefore, recommend award to J.R. Filanc Construction Company, Inc. in the bid amount of $93,724 as the lowest and best bid. *Corrected amount. J.F. Shea's incorrect total was $114,397. 003772623 Revised 05119/98 David A. Ludwin, P.E. Director of Engineering OCSD • P.O. Box 8127 • Fountain Valley, CA 92728-8127 • (714) 962-2411 BID SUMMARY HYDROGEN PEROXIDE FACILITY MODIFICATIONS JOB NO. FE02-08 J & W Construction Specialties Filanc Item Approx. Qty Unit Total No. Price Price 1 Lump Sum $ $ 2 Lump Sum $ 81,500 $ 81,500 Subtotal $ 81,500 *Add(+) or Delete(-) $ $ 81,500 J & W Construction Specialties Item No. 2 Subtotal Approx. Qty Lump Sum $ Lump Sum $ *Add(+) or Delete(-) J.F. Shea Unit Total Price Price $ 114,397 $ 114,397 $ 114,398 $ - '.:$;, t1~1:398. J.F. Shea $ $ $ $ $ Unit Price 500 $ Total Price 500 93,224 $ 93,224 $ 93,724 $ $ >93,724 Filanc Caliagua Inc. Unit Total Price Price 1,000 $ 1,000 158,378 $ 158,378 $ 159,378 -$ Caliagua Inc. J&W Construction Specialties did not meet insurance requirements set forth in sections 16 and 30 of the Bid Documents and was. therefore, deemed non-responsive. 3772654 1 of 1 .. Rehmann Construction Unit Total Price Price $ -$ $ 109,126 $ 109,126 $ 109,126 Rehmann Construction 12/9/2004 ORANGE COUNTY SANITATION DISTRICT PERIOD: November 1, 2004 -November 30, 2004 TO: PDC Committee FROM: David A. Ludwin, P.E. Director of Engineering STAFF CONTACT: Larry Rein CONSTRUCTION PROGRESS • Yorktown/Bushard Intersection: o Work at the intersection was completed on November 15, 2004. • Bushard between Banning and South Hamilton: o Verizon completed the installation of a new communication cable at Landfall Dr intersection. Sidewalk restoration from Landfall Dr to Hamilton Ave was completed. Final asphalt cap and striping is scheduled for the week of December 6, 2004. Epoxy repair of discovered bell cracks continues. • Bushard between North Hamilton and Panacea: o During November, 640-feet of 108-inch pipe were installed. 108-inch installation continues north of Hamilton intersection and 230-feet of pipe-paid-for remains to be installed. The 230-feet of pipe installation is estimated to be complete by middle of December, 2004. Street restoration work will proceed. Discovered ten cracked bells between Hamilton and Waterfront, bell cracks epoxy repairs are in progress. • Summary Progress to Date (See Weekly Status Report For November 26, 2004 in Communications Department Package) o 108-inch Pipe: 7 ,084-feet of pipe have been installed. Pipe has been installed close to the Panacea I Bushard intersection (1,275-feet north of Hamilton/Bushard intersection). TECHNICAUPROBLEM SOLVING ISSUES: • Submittals Reviews o The 108-inch pipe submittal received on October 6, 2004 has not yet been returned to the Contractor. OCSD has had concerns with the review done by the design engineer, Boyle Engineering. These problems are being addressed and the submittal is expected to be returned to the Contractor prior to December 9, 2004, after which the manufacturing of the pipe is expected to begin. o A revised submittal for the 96-inch RCP was accepted on November 9, 2004 with several comments that the Contractor will need to address. COMMUNITY OUTREACH/ PUBLIC CONCERNS: • Construction Notifications o Bushard closure from Hamilton to Conrad -distributed November 23, 2004. o Final paving on Bushard between Banning and Hamilton -distributed December 2, 2004. • Weekly Updates (4) o November 5, 2004 o November 12, 2004 o November 19, 2004 o November 26, 2004 • Property Damage Complaints o During November, OCSD received 15 new complaints for a total of 92 to date. Of the 92 complaints, 66 have filed claims with OCSD risk management to date. No claims were settled or denied by Rados' insurance companies during November and only one complaint has been settled to date. LEGAL ISSUES AND CONCERNS: LR: • Homeowner Claims o During November, all 9 of the claims submitted to OCSD risk management were represented by legal counsel, Masry & Vititoe, for a total of 61 claims represented by Masry & Vititoe. Each of these claims was for unspecified damages and was in the amount of 2 million dollars. • Liquidated Damages o Liquidated damages continued to accrue at the rate of $2,000 per calendar day, for a total of $498,000 from March 27, 2004. This amount will be reduced by $152,000 with the confirmation of Change Orders 11 and 12. o To date, specific site work liquidated damages were also accrued for work on Adams Avenue ($237,000) and Hamilton Avenue ($1,000). The liquidated damages on Adams Avenue may be adjusted for justifiable delays. • Other Legal Issues o The geotechnical consultant retained by the General Counsel's office has submitted a draft report of its analysis of the dewatering and vibration study to address allegations of damage to adjacent properties. Staff is requesting minor revisions to the report for clarity. The final report will be made available to the public for review. Orange County Sanitation District CONSTRUCTION UPDATE CONSTRUCTION CONTINUES: November 2004 ENDING: Approximately end of December 2004 WHAT: Road Closure for Bushard Trunk Sewer Replacement Project WHERE: Bushard Street from mid-Hamilton Avenue to Conrad Drive ATLANTA AV • HAMILTON AV N ----------------------This construction is part of the Orange County Sanitation District's (OCSD) Bushard Trunk Sewer Project which is replacing a major, aging sewer pipeline. Panacea Drive was recently closed at Bushard Street to prepare for upcoming pipe installation across Panacea. The closure on Bushard Street has been extended from Hamilton Avenue to Conrad Drive for traffic safety purposes. Once the pipe is installed, this road closure will remain in place to restore and pave Bushard Street. Traffic coming from Hamilton Avenue has access to the neighborhood via Northshore Lane and Spyglass Lane. Waterfront Drive is completely close to thru traffic. Traffic traveling both east and west on Hamilton Avenue is able to continue through the intersection, but turns onto Bushard are restricted. Access to neighborhood from Atlanta Avenue is available thru Firebrand Lane. These closures and detours are in place 24 hours a day. The closure on Bushard Street from Hamilton Avenue to Conrad Drive will be opened in late December 2004. Construction is scheduled to occur weekdays from 7 a.m. to about 4 p.m. Occasionally work may continue past 4 p.m. but will be confined to the closed areas. When crews finish each day, any open trenches will be barricaded or fenced. The safety and welfare of our residents is a priority to all of us at OCSD. If you have any questions, please call the Construction Hotline at (714) 378-2965. For further information about the project, or to sign up for a-Subscriptions to get regular updates on projects near you, please visit our Web site at www.ocsd.com. Again, thank you for your patience during this period. ORANGE COUNTY SANITATION DISTRICT CONSTRUCTION NOTIFICATION STARTING: Monday, December 6, 2004 DURATION: 1 week WHAT: Partial Closure of Bushard Street for final asphalt paving WHERE: Bushard Street from Banning Avenue to Hamilton Avenue HAMILTON AV .A. N BANNING AV This construction is part of the Orange County Sanitation District's (OCSD) Bushard Trunk Sewer Project which is replacing a major, aging sewer pipeline. Please be assured that OCSD has planned construction activities in a manner that will minimize the impact to you. During this phase of construction: • Bushard Street will be partially closed for final asphalt paving. • Traffic traveling on Bushard Street will be restricted during the day. • Parking will be prohibited on Bushard Street from Banning Avenue to Hamilton Avenue. • Turns onto Bushard Street from Banning Avenue and Hamilton Avenue will be restricted. Traffic control will be provided to direct drivers where deviations apply. The partial closure will be implemented from 7:00 a.m. to 5:00 p.m. from Monday thru Friday. These closures will be removed at the end of each day and traffic will be restored. If you have any questions, please call the Construction Hotline at (714) 378-2965. For further Information about the project, or to sign up for a-Subscriptions to receive regular updates about projects near you, please visit our Web site at www.ocsd.com. Thank you for your patience during this period. Subject: OCSD Bushard Weekly Update -Nov 5 -Nov 12 Bushard Street -108-inch pipe installation: Banning Ave and North-Hamilton intersection: .Bushard is open to thru traffic between Banning Ave. and north-Hamilton Ave. intersection . . Street restoration is 96 percent complete. Restoration work (sidewalk replacement, final asphalt cap and street striping) is pending between Landfall Dr and Hamilton until Verizon completes installation of a new communication cable at this location. Cable installation started last Wednesday November 3, 2004 . . Sidewalk restoration from Landfall Dr to Hamilton Ave is estimated to be complete by the last week of November, 2004. North-Hamilton to Panacea intersection: .Bushard is closed to thru traffic between north-Hamilton and Panacea intersection . . This week, 120-ft of 108-inch pipe was installed, the 8-inch waterline at Waterfront/Bushard was replaced and existing concrete encasement around the old 54-inch pipe is being removed . . Next week removal of existing concrete encasement and 108-inch pipe installation will continue. .Work is 50 percent complete and estimated to be completed by the third week of December, 2004. Bushard Street -Intersection work: South Yorktown and Bushard Intersection -60-inch sewer installation: .Bushard is closed to thru traffic between Pettswood Dr and south-Yorktown intersection . . This week, siphon airlines were installed and backfill and compaction activities were completed . . Next week base paving will be completed . . Work is 85 percent complete and estimated to be completed by November 15, 2004. Please visit http://www.ocsd.com/civica/filebank/blobdload.asp?BlobID=4114 for an updated Construction Map. If you have any questions please call the Construction Hotline at (714) 378-2965. If you would like to be removed from this distribution list please reply to this e-mail. 1 1-,,, < :::; 0 z <.:> < ~ I Orange County Sanitation District Bushard Trunk Sewer Construction Project Weekly Status Update -November 5, 2004 ELLIS AV ..J w z ~ u >-w ::j ~ FOl..N AIN GARFIELD AV ..... ,,, 1-,,, Cl: :> :c ~ 0 0 Cl: al I NDIANAPOUS AV OCSD PLANT N0.1 Insta lled 108-inch Pipe an d Complete d Inte rsection St ructures I Current Construction Areas D I Upcom i ng Construction Areas FOR MORE INFORMATION CALL CONSTRUCTION HOTLINE (714) 378-2965 Current Yorktown I Bushard Insta llation of 60-inch Pi pe. Start: Se pte mbe r 27, 2004. Estimated Completion : November 15, 2004 Bushard St. fully closed between Mid-Yorktown Ave and Pettswood Dr Intersection. Current Hamilton I Bushard In stallation of 108-inch pipe . Start: October 4, 2004. Estimated Completion: Th ird week of December, 2004 Bushard St. fully closed between North-Hamilton Ave and Pan acea Dr In tersection. Subject: OCSD Bushard Weekly Update -Nov 12 -Nov 19 Bushard Street -108-inch pipe installation: Banning Ave and North-Hamilton intersection: .Bushard is open to thru traffic between Banning Ave. and north-Hamilton Ave. intersection . . Sidewalk restoration from Landfall Drive to Hamilton Ave. is estimated to be complete by the last week of November 2004 . . Street restoration is 96 percent complete. Verizon has completed their cable installation and final asphalt cap and striping is scheduled for the week of December 6, 2004. North-Hamilton to Panacea intersection: .Bushard is closed to thru traffic between north-Hamilton and the Panacea intersection . . Panacea has been closed to thru traffic for pipe installation until January 2005 . . This week, 200-ft of 108-inch pipe was installed and removal of existing concrete encasement around the old 54-inch pipe was complete . . Next week 108-inch pipe installation will continue . . Contractor will suspend construction activities on November 11, 2004 due to Veterans Day Holiday . . Work is 60 percent complete and estimated to be complete by the third week of December 2004. Bushard Street -intersection work: South-Yorktown and Bushard intersection -60-inch sewer installation: .Bushard is closed to thru traffic between Pettswood Drive and south-Yorktown intersection . . This week base paving was completed . . Traffic closure will be restored next Monday, November 15, 2004 . . Work is 96 percent complete. Please visit http://www.ocsd.com/civica/filebank/blobdload.asp?BlobID=4149 for an updated Construction Map. If you have any questions please call the Construction Hotline at (714) 378-2965. If you would like to be removed from this distribution list please reply to this e-mail. 1 ... <I) <( :::; 0 z ~ :!!: Orange County Sanitation District Bushard Trunk Sewer Construction Project Weekly Status Update -November 12 , 2004 ELLIS AV .... w z ~ u > w :J ~ FOl.f'I AJN GARFI ELD AV ... (/) ... (/) ir ::> J: >:'. 0 0 ir ID INDIANAPOLIS AV OCSD PLANT N0.1 • I nstalled 108-inch Pipe and Completed Intersection Structur es I Current Construction Areas D I Upcoming Construction Areas FOR MORE INFORMATION CALL CONSTRUCTION HOTLINE (714) 378-2965 Current Yorktown I Bushard Installation of 60-inch Pipe. Start: September 27, 2004. Estimated Completion: November 15, 2004 B u shard St. fully closed between Mid-Yorktown Ave an d Pettswood Dr Intersection. Curre nt Hamilton I Bushard Installation of 108-inch pipe. Start: October 4, 2004. Estimated Completion : Third week of Dece mber , 2004 Bushard St. fully closed between North -Hamilton A ve and Pa nacea Dr Intersection . Subject: OCSD Bushard Weekly Update -Nov 19 -Nov 26 Bushard Street -108-inch pipe installation: Banning Ave and North-Hamilton intersection: .Bushard is open to thru traffic between Banning Ave. and north-Hamilton Ave. intersection . . Sidewalk restoration from Landfall Drive to Hamilton Ave. is estimated to be complete by November, 30, 2004 . . Street restoration is 96 percent complete. Final asphalt cap and striping is scheduled for the week of December 6, 2004. North-Hamilton to Conrad Drive intersection: .Bushard is closed to thru traffic between north-Hamilton and Conrad Dr. intersection . . This week 200-ft. of 108-inch pipe was installed . . Next week 108-inch pipe installation will continue . . Contractor will suspend construction activities on November 25 and 26, 2004 due to Thanksgiving Holidays . . Work is 70 percent complete and estimated to be complete by the last week of December 2004. Bushard Street -intersection work: South-Yorktown and Bushard intersection -60-inch sewer installation: .on Monday, November 15, 2004 work was completed and traffic was restored to normal operations. Please visit http://www.ocsd.com/civica/filebank/blobdload.asp?BlobID=4163 for an updated Construction Map. If you have any questions please call the Construction Hotline at (714) 378-2965. If you would like to be removed from this distribution list please reply to this e-mail. 1 1- <J) <( ~ 0 z ~ 2: Orange County Sanitation District Bushard Trunk S ew e r Con struction Proj e ct Weekly Status Update -November 19, 2004 EL LIS AV _, w z ~ u > w ~ FOLNt AJN GARFIEL D AV 1- <J) 1- <J) a: :> :c >:: 0 0 a: ID O CSD PLANT N0.1 • Installed 1 OB-inch Pipe and Completed Interse ction Structures I Current Construct ion Areas D I Upcoming Construct ion Areas FOR MORE IN FORMATION CALL CONSTRUCTION HOTLINE (71 4) 378-2965 Curre nt Hamilton I Bushard -In s tallatio n of 1 OB-inch p ipe. Start: October 4, 2004. Estimated Completion: End of December , 2004 Bushard St. fully closed between North-Hamilton Ave and Conrad Dr Intersection. Subject: OCSD Bushard Weekly Update -Nov 26 -Dec 3 Bushard Street -108-inch pipe installation: Banning Ave and North-Hamilton intersection: Bushard is open to thru traffic between Banning Ave. and north-Hamilton Ave. intersection. Sidewalk restoration from Landfall Dr to Hamilton Ave has been completed. Street restoration is 97 percent complete. Final asphalt cap and striping is scheduled for the week of December 6, 2004. North-Hamilton to Conrad intersection: Bushard is closed to thru traffic between north-Hamilton and Conrad intersection. This week 152-ft of 108-inch pipe was installed. Next week 108-inch pipe installation will continue. Contractor will suspend construction activities on November 25 and 26, 2004 due to the Thanksgiving Holiday. Work is 75 percent complete and estimated to be completed by the last week of December 2004. Please visit http://www.ocsd.com/civica/filebank/blobdload.asp?BlobID=4209 for an updated Construction Map. If you have any questions please call the Construction Hotline at (714) 378-2965. If you would like to be removed from this distribution list please reply to this e-mail. 1 !- "' <( ::::; 0 z ~ ::i:: l Orange County Sanitation District Bushard Trunk Sewer Construction Project Weekly Status Update -November 26, 2004 ELLIS AV ..; w z ~ u > w ~ FOUN AIN GARFIELD AV ocso PLANT N0.1 • Installed 1 OB-inch Pipe and Complet ed Intersection Structures I Current Construction Are as D I Upcoming Construction Areas FOR MORE IN FORMATION CALL CONSTRUCTION HOTLINE (714) 378-2965 Current Hamilton I Bushard -In stallation of 108-inch pipe. Start: October 4, 2004. E stimated Completion: End of December 2004 Bushard St. fully c losed between North -Hamilton Ave and Conrad Dr Intersection. STATE OF CALIFORNIA) ) SS. COUNTY OF ORANGE ) Pursuant to California Government Code Section 54954.2, I hereb y certify that the Notice and Agenda for the Regular Board Meeting of Orange County Sanitation District to be held on &r~ ; ~. 2004, was duly posted for public . ) inspection in the main lobby of the Districts' offices on de d!,v,L /Ct <)' , 2004. I ;ct' IN WITNESS WHEREOF , I have hereunto set my hand this 9 day of tJ&c:,vf-tL-. 2004 . Penny M. Kyl.e, Secreta , Board of Directors Orange County Sanitation District H:\DEPT \ADMIN \BS \FORMS\AGENDA CERT IFICATI ON .DOC • ; l I ROLL CALL BOARD OF DIRECTORS ORANGE COUNTY SANITATION DISTRICT MEETING DATE: 12/15/04 TIME: 7 :00 p.m . (SIMONIAN) .................... ANDERSON ................... __ / (WILSON) ........................ BANKHEAD ................... ~ ~ __ (FRESCH I) ....................... BORTLE ...................... _, _,_ __ (AMBRIZ) .......................... CAVECCHE ................... _ ~ __ (GARCIA) ......................... CHRISTY ..................... ~ ~ __ (CRANDALL) .................... COLLINS ...................... __ ,/"' ~ __ (BROADWATER) ............ DALTON ....................... ___L {p/.p[)'/_9 _ (KAWASHIMA) ................. DAVERT. ....... .. ..... .... ... a-c-c- (SHAWVER) ................... DONAHUE ..................... ~ ~ (WILSON) ......................... DUVALL ...................... _L _L_ __ (DICKINSON) ................... ECKENRODE ................. ~ _L_ __ (SCHAFER) ...................... FERRYMAN ................... ___u:___ //" __ COERPER) ...................... GREEN ......................... ~ (,•L1fS2_ (POE) ................................ JEMPSA ....................... __:::::.__ ~ (SHEA) ............................ KROM .......................... ~ ~ (SONDHI) ......................... LUEBBEN ..................... ~ ~ (DOW) ............................. MARSHALL.................. ~ / (SWAN) ........................... MILLER . . . . . . .. . . . . . . . . . . . . .. ... CL-cc (BEAUMAN) ..................... MOORE ........................ ___.L_ ~ (EPPERSON) ................... NEUGEBAUER. ............. ~ ___i:::::::._ (WEBB) ........................... RIDGEWAY ................... --1L_ _.L_ (HERNANDEZ) ................. SIDHU.......................... CL.----~ (SMITH, CHUCK) ............ SILVA ........................... ~ __L__ (HERMAN) ........................ WAl:K-ER ....................... ____±:::____ / (ANTOS) .......................... YOST ........................... ----6:L. ~ __ STAFF: Anderson Beekman Ghirelli Kovac Kyle Ludwin Miles Ooten Streed Tomko OTHERS : Woodruff Nixon 12/15/04 ' j. t/ ' ~ • l . L/ ,/ / V' L -1 .A.l°~ee-1/ .v 1 a/'"' ;oa 1)£~( x' cu,i ~ -r1~40~ H:\dept\a dmin\BS\DIRE CT OR\Directors Roll Cal l.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 meeting for distribution. DATE : AGENDA ITEM NO . * * * * * * * * * * * * * * * * * * * * * * * * * * * * * * NAME : (please print) HOME ADDRESS : 23Coo3 (number/street) kJu-v\) L (\) V /vLL€__ ~ TELEPHONE : (city/zip code) ( ) '-f(__ S-L~:> -~(o -'5') REPRESENTING : (self/name of organization) -· SIGN-IN SHEET ORANGE COUNTY SANITATION DISTRICT /c 1 /; S-lo t BOARD MEETING ~--'-~7+-"--"-+;~~~~~~~~- NAME ORGANIZATION/FIRM (please print) (please print) ~Lpfl ~~D1~1&u el-~ /l l "14 C·r" G~,,,r H:\WP.DTA\ADMIN\BS\FORMS\SIGN-IN FORM .DOC