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09-23-2020 Board Meeting Agenda Packet
N14 ANli�l� y � 9 � c+ o � Fir/Ms THE ENv\Po� ORANGE COUNTY SANITATION DISTRICT SPECIAL NOTICE REGARDING CORONAVIRUS (COVID-19� AND ATTENDANCE AT PUBLIC MEETINGS On March 4, 2020, Governor Newsom proclaimed a State of Emergency in California as a result of the threat of COVID-19. On March 12, 2020 and March 18, 2020, Governor Newsom issued Executive Order N-25-20 and Executive Order N-29-20, which temporarily suspend portions of the Brown Act which addresses the conduct of public meetings. The General Manager and the Chairman of the Board of Directors have determined that due to the size of the Orange County Sanitation District's Board of Directors (25), and the health and safety of the members, the Board of Directors will be participating in meetings of the Board telephonically and via Internet accessibility. PUBLIC PARTICIPATION Your participation is always welcome. The Board of Directors meeting will be available to the public online at: https://ocsd.legistar.com/Calendar.aspx You may submit your comments and questions in writing for the Board's consideration in advance of the meeting by using the eComment feature available via the webpage above or sending them to OCSDClerk(a-),ocsd.com with the subject line "PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)" or "PUBLIC COMMENT NON-AGENDA ITEM". Submit your written comments by 6:00 p.m. on Tuesday, September 22, 2020. You may also submit comments and questions for the Board's consideration during the meeting by using the eComment feature that will be available via the webpage above for the duration of the meeting. All public comments will be provided to the Board and may be read into the record or compiled as part of the record. Thank you. Serving: Orange County Sanitation District Anaheim 10844 Ellis Avenue, Fountain Valley,CA 92708 714.962.2411 • www.ocsd.com Brea Buena Park September 16, 2020 Cypress Fountain Valley NOTICE OF REGULAR MEETING Fullerton Garden Grove BOARD OF DIRECTORS Huntington Beach ORANGE COUNTY SANITATION DISTRICT Irvine La Habra La Palma Wednesday, Septebmer 23, 2020 — 6:00 P.M. Los Alamitos ACCESSIBILITY FOR THE GENERAL PUBLIC Newport Beach Due to the spread of COVID-19, the Orange County Sanitation District will Orange be holding all upcoming Board and Committee meetings by Placentia teleconferencing and Internet accessibility. This meeting will be available to the public online at: Santa Ana Seal Beach https://ocsd.legistar.com/Calendar.aspx Stanton The Regular Meeting of the Board of Directors of the Orange County Sanitation Tustin District will be held in the manner indicated above on Wednesday, Villa Park September 23, 2020 at 6:00 p.m. County of Orange Costa Mesa Sanitary District Midway City Jerk o e Ooard Sanitary District Irvine Ranch Water District Upcoming Meetings: Yorba Linda Water District GWRS Steering Committee - Monday, October 12, 2020 at 5:00 p.m. Steering Committee - Wednesday, October 28, 2020 at 5:00 p.m. Board Meeting - Wednesday, October 28, 2020 at 6:00 p.m. � o 2 1 9 1 1"E ENv\P Our Mission: To protect public health and the environment by providing effective wastewater collection, treatment, and recycling. BOARD MEETING DATES October 28, 2020 November 18, 2020 December 16, 2020 January 27, 2021 February 24, 2021 March 24, 2021 April 28, 2021 May 26, 2021 June 23, 2021 July 28, 2021 August 25, 2021 September 22, 2021 *Meeting will be held on the third Wednesday of the month ORANGE COUNTY SANITATION DISTRICT Effective 06/16/2020 BOARD OF DIRECTORS Complete Roster ALTERNATE AGENCY/CITIES ACTIVE DIRECTOR DIRECTOR Anaheim Lucille Kring Denise Barnes Brea Glenn Parker Cecilia Hupp Buena Park Fred Smith Connor Traut Cypress Mariellen Yarc Stacy Berry Fountain Valley Steve Nagel Patrick Harper Fullerton Jesus J. Silva Jan Flory Garden Grove Steve Jones John O'Neill Huntington Beach Erik Peterson Lyn Semeta Irvine Christina Shea Anthony Kuo La Habra Tim Shaw Rose Espinoza La Palma Peter Kim Nitesh Patel Los Alamitos Richard Murphy Dean Grose Newport Beach Brad Avery Joy Brenner Orange Mark Murphy Kim Nichols Placentia Chad Wanke Ward Smith Santa Ana Nelida Mendoza David Penaloza Seal Beach Sandra Massa-Lavitt Schelly Sustarsic Stanton David Shawver Carol Warren Tustin Allan Bernstein Chuck Puckett Villa Park Robert Collacott Chad Zimmerman Sanitary/Water Districts Costa Mesa Sanitary District James M. Ferryman Bob Ooten Midway City Sanitary District Andrew Nguyen Margie L. Rice Irvine Ranch Water District John Withers Douglas Reinhart Yorba Linda Water District Brooke Jones Phil Hawkins County Areas Board of Supervisors Doug Chaffee Donald P. Wagner GoJN SANITgT,/0 Q ? r c� o i H� THE ENS Orange County Sanitation District BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 - 6:00 PM Board Room Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 AGENDA POSTING: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted outside the main gate of the Sanitation District's Administration Building located at 10844 Ellis Avenue, Fountain Valley, California, and on the Sanitation District's website at www.ocsd.com not less than 72 hours prior to the meeting date and time above. All public records relating to each agenda item, including any public records distributed less than 72 hours prior to the meeting to all, or a majority of the Board of Directors, are available for public inspection in the office of the Clerk of the Board. AGENDA DESCRIPTION: The agenda provides a brief general description of each item of business to be considered or discussed. The recommended action does not indicate what action will be taken. The Board of Directors may take any action which is deemed appropriate. MEETING AUDIO: An audio recording of this meeting is available within 24 hours after adjournment of the meeting. Please contact the Clerk of the Board's office at(714) 593-7433 to request the audio file. NOTICE TO DIRECTORS: To place items on the agenda for a Committee or Board Meeting, the item must be submitted in writing to the Clerk of the Board: Kelly A. Lore, MMC, (714) 593-7433/klore@ocsd.com at least 14 days before the meeting. FOR ANY QUESTIONS ON THE AGENDA, BOARD MEMBERS MAY CONTACT STAFF AT: General Manager: Jim Herberg,jherberg@ocsd.com/(714) 593-7300 Asst. General Manager: Lorenzo Tyner, Ityner@ocsd.com/(714)593-7550 Asst. General Manager: Rob Thompson, rthompson@ocsd.com/(714) 593-7310 Director of Human Resources: Celia Chandler, cchandler@ocsd.com/(714)593-7202 Director of Engineering: Kathy Millea, kmillea@ocsd.com/(714) 593-7365 Director of Environmental Services: Lan Wiborg, Iwiborg@ocsd.com/(714) 593-7450 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 CALL TO ORDER (Board Chairman David Shawver) INVOCATION AND PLEDGE OF ALLEGIANCE Board Chairman David Shawver (Stanton) ROLL CALL AND DECLARATION OF QUORUM Clerk of the Board PUBLIC COMMENTS: Your participation is always welcome. The Board of Directors meeting will be available to the public online at: https.Ilocsd.legistar.com/Ca/endar.aspx You may submit your comments and questions in writing for the Board's consideration in advance of the meeting by using the eComment feature available via the webpage above or sending them to OCSDClerk@ocsd.com with the subject line "PUBLIC COMMENT ITEM # (insert the item number relevant to your comment)" or "PUBLIC COMMENT NON-AGENDA ITEM" Submit your written comments by 6:00 p.m. on Tuesday, September 22, 2020. You may also submit comments and questions for the Board's consideration during the meeting by using the eComment feature that will be available via the webpage above for the duration of the meeting. All public comments will be provided to the Board and may be read into the record or compiled as part of the record. SPECIAL PRESENTATIONS: SERVICE AWARDS PRESENTED IN SEPTEMBER 2020: Shabbir Basrai 25 years Senior Engineer Fawn Elizondo 30 years Program Assistant REPORTS: The Board Chairperson and the General Manager may 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. CONSENT CALENDAR: Consent Calendar Items are considered to be routine and will be enacted, by the Board of Directors, after one motion, without discussion. Any items withdrawn from the Consent Calendar for separate discussion will be considered in the regular order of business. 1. APPROVAL OF MINUTES 2020-1231 RECOMMENDATION: Page 1 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 Approve Minutes of the Regular Meeting of the Board of Directors held August 26, 2020. Originator: Kelly Lore Attachments: Agenda Report 08-26-2020 Board Meeting Minutes RECEIVE AND FILE: 2. REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH 2O20-1099 OF AUGUST 2020 RECOMMENDATION: Receive and file the following: Report of the Investment Transactions for the month of August 2020. Originator: Lorenzo Tyner Attachments: Agenda Report Investment Transactions for the Month of August 2020 3. CAPITAL IMPROVEMENT PROGRAM ANNUAL REPORT 2020-1196 RECOMMENDATION: Receive and File the Capital Improvement Program Annual Report. Attachments: Agenda Report CIP Annual Report 2019-20 4. COMMITTEE MEETING MINUTES 2020-1233 RECOMMENDATION: Receive and file the following: A. Minutes of the Operations Committee Meeting held July 1, 2020 B. Minutes of the Administration Committee Meeting held July 8, 2020 C. Minutes of the Legislative and Public Affairs Committee Meeting held July 13, 2020 D. Minutes of the Steering Committee Meeting held July 22, 2020 Originator: Kelly Lore Attachments: Agenda Report 07-01-2020 Operations Committee Minutes 07-08-2020 Administration Committee Minutes 07-13-2020 Legislative and Public Affairs Meeting 07-22-2020 Steering Committee Minutes Page 2 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 OPERATIONS COMMITTEE: 5. CAPITAL IMPROVEMENT PROGRAM CONTRACT PERFORMANCE 2020-1239 REPORT RECOMMENDATION: Receive and file the Capital Improvement Program Contract Performance Report for the period ending June 30, 2020. Originator: Kathy Millea Attachments: Agenda Report CIP Contract Report 20200630 6. GISLER-RED HILL INTERCEPTOR REHABILITATION, PROJECT NO. 2020-1240 7-65 RECOMMENDATION: A. Approve a Professional Design Services Agreement with CDM Smith to provide engineering services for Gisler-Red Hill Interceptor Rehabilitation, Project No. 7-65, for an amount not to exceed $1,754,000; and B. Approve a contingency of $175,400 (10%). Originator: Kathy Millea Attachments: Agenda Report 7-65 PDSA (Final) 7. PURCHASE SPARE INVENTORY PARTS FOR SCHWING CAKE 2020-1241 PUMPS RECOMMENDATION: A. Approve a Sole Source Purchase Order to Schwing Bioset for the purchase of spare inventory parts for the Schwing Cake Pumps for the Truckloading and Thickening and Dewatering facilities, for a total amount not to exceed $228,193, plus applicable sales tax and shipping; and B. Approve a contingency of $11,410 (5%). Originator: Rob Thompson Attachments: Agenda Report 8. PLAN2020-00 ON-CALL PLANNING STUDIES 2020-1242 RECOMMENDATION: Page 3 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 A. Approve annual Professional Services Agreements with AECOM Technical Services, Inc.; Black & Veatch Corporation; Brown and Caldwell; GHD Inc.; HDR Engineering, Inc.; Hazen and Sawyer; and Stantec Consulting Services Inc. for On-Call Planning Studies Master Contract No. PLAN2020-00, for the term November 1, 2020 through October 31, 2021, with a maximum annual contract limitation not to exceed $600,000 per Consultant; and B. Approve two additional one-year optional extensions. Originator: Kathy Millea Attachments: Agenda Report PLAN2020-01 Professional Services Agreement - AECOM PLAN2020-02 Professional Services Agreement - Black and Veatch PLAN2020-03 Professional Services Agreement - Brown and Caldwell PLAN2020-04 Professional Services Agreement - GHD PLAN2020-05 Professional Services Agreement - Hazen and Sawyer PLAN2020-06 Professional Services Agreement - HDR PLAN2020-07 Professional Services Agreement - Stantec 9. DIGESTER CLEANING AND DISPOSAL CONTRACT 2020-1243 RECOMMENDATION: A. Approve a Service Contract for Digester Cleaning and Disposal with American Process Group, Inc., per Specification No. S-2020-116513D, for a total amount not to exceed $4,636,674 per year, for the period of November 1, 2020 through October 31, 2025, with four optional one-year renewals; and B. Approve an annual contingency of $463,667 (10%). Originator: Rob Thompson Attachments: Agenda Report S-2020-1165BD Final Contract 10. BAY BRIDGE PUMP STATION REPLACEMENT, PROJECT NO. 5-67 2020-1244 RECOMMENDATION: Approve a contingency increase of $1,784,250 (25%) to the Professional Design Services Agreement with Arcadis U.S., Inc. for Bay Bridge Pump Station Replacement, Project No. 5-67, for a total contingency of $2,497,950 (35%). Originator: Kathy Millea Page 4 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 Attachments: Agenda Report PPT 09-02-2020 Operations Committee ADMINISTRATION COMMITTEE: 11. RECORDS MANAGEMENT PROGRAM UPDATE 2020-1247 RECOMMENDATION: Adopt Resolution No. OCSD 20-10 entitled: "A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 18-22". Originator: Kelly Lore Attachments: Agenda Report Resolution No. OCSD 20-10 Records Management Procedure Manual 2020 Records Retention Schedule 12. GENERAL MANAGER APPROVED PURCHASES AND ADDITIONS TO 2020-1248 THE PRE-APPROVED OEM SOLE SOURCE LIST RECOMMENDATION: A. Receive and file Orange County Sanitation District purchases made under the General Manager's authority for the period of April 1, 2020 to June 30, 2020; and B. Approve the following additions to the pre-approved OEM Sole Source List for the period of April 1, 2020 to June 30, 2020: • ALHAMBRA FOUNDRY - Manhole Frames and Covers • GARDNER DENVER / HOFFMAN - Blower Equipment, Parts and Service • GEA WESTFALIA - Centrifuge Parts and Service (Replaces OEM Manufacturer WESTFALIA - Name Change) • NUTTAL GEAR - Gear Drive Assembly and Related Parts/Equipment • SCRIPPS INSTITUTION OF OCEANOGRAPHY (SIO) - Ocean Monitoring Program • SPX Flow / LIGHTNIN - Gear Box Repair Parts, Equipment and Service • VAC-CON - Sewer Combo Cleaning Truck Rental Originator: Lorenzo Tyner Attachments: Agenda Report Page 5 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 13. REIMBURSEMENTS TO BOARD MEMBERS AND STAFF 2020-1249 RECOMMENDATION: Receive and file report of reimbursements to Board Members and Staff per Government Code Section 53065.5 for the period July 1, 2019 through June 30, 2020. Originator: Lorenzo Tyner Attachments: Agenda Report 19-20 Employee Reimbursement Report - Final 14. TREASURER'S REPORT FOR THE FOURTH QUARTER ENDED JUNE 2020-1250 30, 2020 RECOMMENDATION: Receive and file the Orange County Sanitation District Fourth Quarter Treasurer's Report for the period ended June 30, 2020. Originator: Lorenzo Tyner Attachments: Agenda Report Quarterly Treasurer's Report for the Period Ended June 30, 2020 15. PENSION COST STRATEGIES 2020-1251 RECOMMENDATION: Direct staff to advertise a Request for Proposals (RFP) to select a multiple-employer Internal Revenue Service Code Section 115 Trust Pension Account. Originator: Lorenzo Tyner Attachments: Agenda Report PowerPoint Presentation - Pension Funding LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE: 16. PUBLIC AFFAIRS UPDATE FOR THE MONTHS OF JULY THROUGH 2O20-1254 AUGUST 2020 RECOMMENDATION: Receive and file the Public Affairs Update for the months of July through August 2020. Originator: Jim Herberg Page 6 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 Attachments: Agenda Report Outreach and Media Summary Report July-August 2020 Presentation - Public Affairs Update 17. ORANGE COUNTY SANITATION DISTRICT BRANDING 2020-1255 RECOMMENDATION: Approve the new Orange County Sanitation District Logo. Originator: Jim Herberg Attachments: Agenda Report Proposed Logo Presentation - OCSD Branding 18. LEGISLATIVE AFFAIRS UPDATE FOR THE MONTHS OF JULY 2020-1256 THROUGH AUGUST 2020 RECOMMENDATION: Receive and file the Legislative Affairs Update for the months of July through August 2020. Originator: Jim Herberg Attachments: Agenda Report Federal Update - ENS Resources Representative Rouda Correspondence US EPA Letter Federal Legislative Matrix - ENS Resources State Update Townsend Public Affairs 2020-08-18 Assemblymember Reyes - Letter of Opposition AB 685 State Legislative Matrix Townsend Grant Matrix ENS Presentation TPA Presentation STEERING COMMITTEE: 19. TUSTIN AVENUE MANHOLE AND PIPE REPAIR, PROJECT NO. 2020-1257 FE17-06 RECOMMENDATION: Approve a contingency increase of $70,000 to the construction contract with Nuline Technologies, LLC for Tustin Avenue Manhole and Pipe Repair, Project No. FE17-06, for a total contingency of $105,000 (30%). Page 7 of 8 BOARD OF DIRECTORS Regular Meeting Agenda Wednesday, September 23, 2020 Originator: Kathy Millea Attachments: Agenda Report 20. HEADQUARTERS COMPLEX AT PLANT NO. 1, PROJECT NO. 2020-1258 P1-128A RECOMMENDATION: Authorize payment to the City of Fountain Valley for Building Department and Public Works Department standard fees related to the Headquarters Complex at Plant No. 1, Project No. P1-128A, for an amount not to exceed $900,000. Originator: Kathy Millea Attachments: Agenda Report NON-CONSENT: None. INFORMATION ITEMS: None. AB 1234 DISCLOSURE REPORTS: This item allows Board members to provide a brief oral report regarding the disclosure of outside committees, conferences, training, seminars, etc. attended at the Agency's expense, per Government Code§53232.3(d). CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: At this time Directors may request staff to place an item on a future agenda. ADJOURNMENT: Adjourn the Board meeting until the Regular Meeting of the Board of Directors on October 28, 2020 at 6:00 p.m. Page 8 of 8 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 BOARD OF DIRECTORS (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1231 Agenda Date: 9/23/2020 Agenda Item No: 1. FROM: James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: APPROVAL OF MINUTES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve Minutes of the Regular Meeting of the Board of Directors held August 26, 2020. BACKGROUND In accordance with the Board of Directors Rules of Procedure, an accurate record of each meeting will be provided to the Directors for subsequent approval at the following meeting. RELEVANT STANDARDS • Resolution No. OCSD 19-19 ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Minutes of the Board of Directors Meeting held August 26, 2020 Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM ORANGE COUNTY SANITATION DISTRICT MINUTES BOARD OF DIRECTORS AUGUST 26, 2020 I y S A N l Tq T�O� 2 � Q � c TANG THE Board Room Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 BOARD OF DIRECTORS Minutes August 26, 2020 CALL TO ORDER A regular meeting of the Board of Directors of the Orange County Sanitation District was called to order by Board Chairman David Shawver on August 26, 2020 at 6:06 p.m. in the Administration Building. Director Sandra Massa-Lavitt led the Pledge of Allegiance and Director Allan Bernstein delivered the invocation. Clerk of the Board Kelly Lore announced that the meeting was being held telephonically and via audio/video teleconferencing in accordance with the Governor's Executive Order No. N-29-20, due to the Coronavirus Pandemic (COVID-19). ROLL CALL AND DECLARATION OF QUORUM The Clerk of the Board declared a quorum present as follows: PRESENT: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, James Ferryman, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc ABSENT: Steve Nagel STAFF MEMBERS PRESENT: Jim Herberg, General Manager; Kelly Lore, Clerk of the Board; and Joshua Martinez were present in the Board Room. Assistant General Manager Lorenzo Tyner; Assistant General Manager Rob Thompson; Director of Engineering Kathy Millea; Director of Environmental Services Lan Wiborg; Director of Human Resources Celia Chandler; Jennifer Cabral; Brian Engeln; Tom Grant; Shamshad Hyder; Laurie Klinger; Tina Knapp; Laura Maravilla; Jeff Mohr; Tyler Ramirez; and Thomas Vu participated telephonically. OTHERS PRESENT: Brad Hogin (General Counsel) was present in the Board Room. PUBLIC COMMENTS: The Clerk of the Board announced that an eComment had been received regarding Item No. 8 and, in response, clarified that OCSD's contribution for the project will be $50,000. SPECIAL PRESENTATIONS: General Manager Herberg presented a 25-year Employee Service Award to Director of Engineering Kathy Millea. Ms. Millea presented a 30-year Employee Service Award to Principal Information Technology Analyst Shamshad Hyder. REPORTS: Chair Shawver described new technology modifications which had recently been made to OCSD's website to increase the public's participation and accessibility to the Board and Committee meetings during the pandemic, he stated that the Board Members would be receiving their talking points tomorrow, and he reported on his recent participation at the Page 1 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 CASA conference that was held virtually this year. General Manager Jim Herberg provided a COVID-19 update stating he will continue to provide his weekly report to the Board of Directors, that operations remain stable, and that the employees with positive cases have all returned to work. Mr. Herberg reported on the success of OCSD's virtual tour program and announced that the next tour would be held Saturday, September 12 at 11:00 a.m. CONSENT CALENDAR: 1. APPROVAL OF MINUTES 2020-1168 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of the Board of Directors held July 22, 2020 at 6:00 p.m. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None 2. 2020 CONFLICT OF INTEREST CODE 2020-1186 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Adopt Resolution No. OCSD 20-08 entitled, "A Resolution of the Board of Directors of Orange County Sanitation District adopting a Conflict of Interest Code which supersedes all prior Conflict of Interest Codes and amendments previously adopted". AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel Page 2 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 ABSTENTIONS: None 3. REIMBURSEMENT AGREEMENT BETWEEN ORANGE COUNTY 2020-1188 WATER DISTRICT AND ORANGE COUNTY SANITATION DISTRICT Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Approve Reimbursement Agreement with the Orange County Water District entitled "Agreement Between the Orange County Sanitation District and the Orange County Water District", in a form approved by General Counsel, for an estimated amount not to exceed $72,435, to be reimbursed to the Orange County Sanitation District for Operator Qualified Inspection Services of the Interplant Digester Gas Pipeline. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None RECEIVE AND FILE: 4. REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH 2O20-1098 OF JULY 2020 Originator: Lorenzo Tyner WITHOUT OBJECTION, ACTION TAKEN TO: Receive and file the following: Report of the Investment Transactions for the month of July 2020. 5. COMMITTEE MEETING MINUTES 2020-1199 Originator: Kelly Lore WITHOUT OBJECTION, ACTION TAKEN TO: Receive and file the following: A. Minutes of the Steering Committee Meeting held June 24, 2020 B. Minutes of the GWRS Steering Committee Meeting held January 13, 2020 PUBLIC HEARING: 6. COLLECTION OF SEWER SERVICE CHARGES VIA THE TAX ROLL 2020-1178 Originator: Lorenzo Tyner Page 3 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 Board Chairman David Shawver read the title into the record and proceeded with the Public Hearing. The Clerk of the Board stated that no comments had been received. MOVED, SECONDED, AND DULY CARRIED TO: A. Conduct a public hearing to receive input on a report filed with the Clerk of the Board entitled: "Sewer Service Charges for Collection on Tax Rolls for Fiscal Year 2020-21": 1 . Open the Public Hearing 2. Receive staff report and recommendations 3. Report of written communications by Clerk of the Board 4. Public Comment 5. Close Public Hearing 6. Discussion by Board of Directors; B. Unless there is a majority protest, adopt the report, which has the assessor's parcel numbers and amount of charges for collection on the tax rolls; C. Adopt Resolution No. OCSD 20-09 entitled "A Resolution of the Board of Directors of the Orange County Sanitation District adopting the Report proposing to collect Sewer Service Fees on the Tax Roll for Fiscal Year 2020/2021 D. Authorize execution of the "Certification of Assessment"; E. Direct staff to file a certified copy of the adopted Resolution, Report, and the Certification of Assessment with the County Auditor-Controller; and F. Direct staff to coordinate collection of sanitary sewer service charges on the general Orange County tax rolls with the County Auditor-Controller, Assessor, and Tax Collector. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None OPERATIONS COMMITTEE: None. Page 4 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 ADMINISTRATION COMMITTEE: None. LEGISLATIVE AND PUBLIC AFFAIRS COMMITTEE: None. STEERING COMMITTEE: 7. GENERAL MANAGER'S FISCAL YEAR 2020-21 WORK PLAN 2020-1221 Originator: Jim Herberg MOVED, SECONDED, AND DULY CARRIED TO: Receive and file the General Manager's Fiscal Year 2020-21 Work Plan. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None 8. WATER UCI INDUSTRY UNIVERSITY RESEARCH CENTER 2020-1222 ANALYSIS Originator: Jim Herberg MOVED, SECONDED, AND DULY CARRIED TO: Authorize the General Manager to enter into an agreement with the University of California, Irvine (UCI) and the UCI Foundation with a contribution of $50,000 for the Sewershed-scale analysis of perfluorinated compounds in wastewater in partnership with the Orange County Water District, Irvine Ranch Water District, Santa Margarita Water District, and Moulton Niguel Water District; in a form approved by General Counsel. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc Page 5 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None 9. GENERAL MANAGER'S COMPENSATION AND BENEFITS 2020-1223 Mr. Herberg left the meeting during Item No. 9. Chair Shawver provided a brief overview of the evaluation process and commended the General Manager's performance during the year. MOVED, SECONDED, AND DULY CARRIED TO: Approve a performance-based merit increase of 2.5% for the General Manager based on Fiscal Year 2019/2020 job performance, as authorized in Resolution No. OCSD 19-12. AYES: Brad Avery, Allan Bernstein, Doug Chaffee, Robert Collacott, Steve Jones, Brooke Jones, Peter Kim, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Mark Murphy, Richard Murphy, Andrew Nguyen, Glenn Parker, Erik Peterson, Tim Shaw, David Shawver, Christina Shea, Jesus Silva, Fred Smith, Chad Wanke, John Withers and Mariellen Yarc NOES: None ABSENT: James Ferryman and Steve Nagel ABSTENTIONS: None NON-CONSENT: None. INFORMATION ITEMS: None. Director Jim Ferryman arrived at the meeting at approximately 6.37 p.m. AB 1234 DISCLOSURE REPORTS: Director Ferryman provided a brief update on his recent attendance at the Border Committee Meeting. CLOSED SESSION: CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTION 54956.9(d)(4): The Board convened in closed session at 6:38 p.m. to discuss one item. Confidential minutes of the Closed Session have been prepared in accordance with the above Government Code Section and are maintained by the Clerk of the Board in the Official Book of Confidential Minutes of Board and Committee Closed Session Meetings. Page 6 of 7 BOARD OF DIRECTORS Minutes August 26, 2020 CS-1 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2020-1194 LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4) CONVENED IN CLOSED SESSION: Number of Potential Cases: 1 Initiation of litigation regarding development fees and conditions at Project OCSD Headquarters Building: City of Fountain Valley RECONVENED IN REGULAR SESSION. The Board reconvened in regular session at 6:58 p.m. CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED SESSION: General Counsel Brad Hogin did not provide a report. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: None. ADJOURNMENT: At 7:04 p.m., Chair Shawver adjourned the meeting until the Regular Meeting of the Board of Directors to be held on September 23, 2020 at 6:00 p.m. Submitted by: Kelly A. Lore, MMC Clerk of the Board Page 7 of 7 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 BOARD OF DIRECTORS (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1099 Agenda Date: 9/23/2020 Agenda Item No: 2. FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: REPORT OF THE INVESTMENT TRANSACTIONS FOR THE MONTH OF AUGUST 2020 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the following: Report of the Investment Transactions for the month of August 2020. BACKGROUND The CA Government Code requires that a monthly report of investment transactions be provided to the legislative body. Attached is the monthly report of investment transactions for the month ended August 31, 2020. RELEVANT STANDARDS • CA Government Code Section 53607 PRIOR COMMITTEE/BOARD ACTIONS N/A FINANCIAL CONSIDERATIONS N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Report of the Investment Transactions for the Month of August 2020 Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss, ACQUISITIONS 08/04/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 233.6300 1.000000 -233.63 233.63 0.00 08/04/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 299.0400 1.000000 -299.04 299.04 0.00 08/05/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 62,500.0000 1.000000 -62,500.00 62,500.00 0.00 08/06/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 85,050.0000 1.000000 -85,050.00 85,050.00 0.00 08/07/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /NOMURA 5,000,000.0000 0.999493 -4,997,462.50 4,997,462.50 0.00 SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 99.94925% 08/07/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 32,500.0000 1.000000 -32,500.00 32,500.00 0.00 08/10/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 23,598.7500 1.000000 -23,598.75 23,598.75 0.00 08/12/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /NOMURA 2,750,000.0000 0.999484 -2,748,579.93 2,748,579.93 0.00 SECURITIES INTERNATIONA/2,750,000 PAR VALUE AT 99.94836109% 08/12/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 91,484.5900 1.000000 -91,484.59 91,484.59 0.00 08/17/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,930,235.7800 1.000000 -1,930,235.78 1,930,235.78 0.00 08/17/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 788.7100 1.000000 -788.71 788.71 0.00 08/18/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 36,884.3800 1.000000 -36,884.38 36,884.38 0.00 08/18/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 622,943.0200 1.000000 -622,943.02 622,943.02 0.00 08/20/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,849.9700 1.000000 -1,849.97 1,849.97 0.00 08/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 4,914,180.3100 1.000000 -4,914,180.31 4,914,180.31 0.00 08/24/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 45,000.0000 1.000000 -45,000.00 45,000.00 0.00 08/25/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 14,036.8700 1.000000 -14,036.87 14,036.87 0.00 08/25/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 820,789.3800 1.000000 -820,789.38 820,789.38 0.00 08/26/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 68,750.0000 1.000000 -68,750.00 68,750.00 0.00 08/27/2020 3135G05X7 PURCHASED PAR VALUE OF F N M A 0.375% 8/25/25/BARCLAYS CAPITAL 7,945,000.0000 0.995320 -7,907,817.40 7,907,817.40 0.00 INC.FIXED IN/7,945,000 PAR VALUE AT 99.532% 08/27/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 13,000,000.0000 1.000000 -13,000,000.00 13,000,000.00 0.00 08/31/2020 912796XE4 PURCHASED PAR VALUE OF U S TREASURY BILL 2/25/21 /NOMURA 5,000,000.0000 0.999446 -4,997,231.11 4,997,231.11 0.00 SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 99.9446222% 08/31/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 37,354,375.0000 1.000000 -37,354,375.00 37,354,375.00 0.00 08/31/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 162,500.0000 1.000000 -162,500.00 162,500.00 0.00 TOTAL ACQUISITIONS 79,962,999.4300 -79,919,090.37 79,919,090.37 0.00 DISPOSITIONS 08/07/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -4,997,462.5000 1.000000 4,997,462.50 -4,997,462.50 0.00 08/12/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -2,748,579.9300 1.000000 2,748,579.93 -2,748,579.93 0.00 08/17/2020 31348SWZ3 PAID DOWN PAR VALUE OF F H L M C#786064 3.846% 1/01/28 JULY FHLMC -10.7300 0.000000 10.73 -10.47 0.26 DUE 8/15/20 08/17/2020 3133TCE95 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.020% 8/15/32 -120.6000 0.000000 120.60 -120.73 -0.13 08/17/2020 43815NABO PAID DOWN PAR VALUE OF HONDA AUTO 1.900% 4/15/22 -305,359.6800 0.000000 305,359.68 -305,338.30 21.38 1 of 6 U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 08/17/2020 47788BAD6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 1.820% 10/15/21 -24,281.8000 0.000000 24,281.80 -24,280.02 1.78 08/17/2020 477870AB5 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.280% 5/16/22 -234,157.1100 0.000000 234,157.11 -234,156.22 0.89 08/17/2020 47788CAC6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.660% 4/18/22 -77,806.1100 0.000000 77,806.11 -77,800.52 5.59 08/17/2020 47789JAB2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.850% 12/15/21 -271,977.5000 0.000000 271,977.50 -271,965.10 12.40 08/17/2020 47788EAC2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 3.080% 11/15/22 -249,194.8900 0.000000 249,194.89 -249,176.00 18.89 08/17/2020 65478GAD2 PAID DOWN PAR VALUE OF NISSAN AUTO 1.750%10/15/21 -135,105.6300 0.000000 135,105.63 -133,010.44 2,095.19 08/17/2020 65479GAD1 PAID DOWN PAR VALUE OF NISSAN AUTO 3.060% 3/15/23 -228,272.6800 0.000000 228,272.68 -228,265.28 7.40 08/17/2020 89239AAB9 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.830%10/15/21 -261,006.6500 0.000000 261,006.65 -260,982.95 23.70 08/18/2020 43814PAC4 PAID DOWN PAR VALUE OF HONDA AUTO 1.790% 9/20/21 -140,314.5200 0.000000 140,314.52 -138,089.22 2,225.30 08/18/2020 43814WAB1 PAID DOWN PAR VALUE OF HONDA AUTO 2.750% 9/20/21 -357,366.6800 0.000000 357,366.68 -357,343.67 23.01 08/18/2020 43814UAG4 PAID DOWN PAR VALUE OF HONDA AUTO 3.010% 5/18/22 -118,280.5300 0.000000 118,280.53 -118,277.95 2.58 08/20/2020 36225CAZ9 PAID DOWN PAR VALUE OF G N M A 1 1#080023 3.125%12/20/26 JULY GNMA DUE -168.5000 0.000000 168.50 -171.28 -2.78 8/20/20 08/20/2020 36225CC20 PAID DOWN PAR VALUE OF G N M A 1 1#080088 2.875% 6/20/27 JULY GNMA DUE -137.5600 0.000000 137.56 -140.57 -3.01 8/20/20 08/20/2020 36225CNM4 PAID DOWN PAR VALUE OF G N M A 1 1#080395 2.875% 4/20/30 JULY GNMA DUE -40.7500 0.000000 40.75 -40.38 0.37 8/20/20 08/20/2020 36225CN28 PAID DOWN PAR VALUE OF G N M A 1 1#080408 2.875% 5/20/30 JULY GNMA DUE -347.6300 0.000000 347.63 -344.10 3.53 8/20/20 08/20/2020 36225DCB8 PAID DOWN PAR VALUE OF G N M A 1 1#080965 3.250% 7/20/34 JULY GNMA DUE -897.3900 0.000000 897.39 -896.83 0.56 8/20/20 08/21/2020 43815HAC1 PAID DOWN PAR VALUE OF HONDA AUTO 2.950% 8/22/22 -250,431.4900 0.000000 250,431.49 -250,397.13 34.36 08/21/2020 404280BF5 PURCHASE OFFER PAR VALUE OF HSBC HOLDINGS PLC 2.650% 1/05/22 -4,500,000.0000 1.031400 4,641,300.00 -4,429,980.00 211,320.00 /TENDER/PURCHASE OFFER/TENDER OFFER PAID AT$1031.40 PER$1000 08/25/2020 9127963QO MATURED PAR VALUE OF U S TREASURY BILL 8/25/20 800,000 PAR VALUE AT -800,000.0000 1.000000 799,825.16 -799,825.16 0.00 100% 08/25/2020 31394JY35 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 6.500% 9/25/43 -10,766.0500 0.000000 10,766.05 -12,192.55 -1,426.50 08/25/2020 31371 NUC7 PAID DOWN PAR VALUE OF F N M A#257179 4.500% 4/01/28 JULY FNMA DUE -128.9100 0.000000 128.91 -136.34 -7.43 8/25/20 08/25/2020 31376KT22 PAID DOWN PAR VALUE OF F N M A#357969 5.000% 9/01/35 JULY FNMA DUE -1,365.5600 0.000000 1,365.56 -1,467.98 -102.42 8/25/20 08/25/2020 31381 PDA3 PAID DOWN PAR VALUE OF F N M A#466397 3.400% 11/01/20 JULY FNMA DUE -734.1500 0.000000 734.15 -718.26 15.89 8/25/20 08/25/2020 31403DJZ3 PAID DOWN PAR VALUE OF F N M A#745580 5.000% 6/01/36 JULY FNMA DUE -1,201.1000 0.000000 1,201.10 -1,291.18 -90.08 8/25/20 08/25/2020 31403GXF4 PAID DOWN PAR VALUE OF F N M A#748678 5.000% 10/01/33 JULY FNMA DUE -9.4400 0.000000 9.44 -10.15 -0.71 8/25/20 08/25/2020 31406PQY8 PAID DOWN PAR VALUE OF F N M A#815971 5.000% 3/01/35 JULY FNMA DUE -3,898.3800 0.000000 3,898.38 -4,190.76 -292.38 8/25/20 2of6 U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 08/25/2020 31406XWT5 PAID DOWN PAR VALUE OF F N M A#823358 3.674% 2/01/35 JULY FNMA DUE -858.4000 0.000000 858.40 -851.69 6.71 8/25/20 08/25/2020 31407BXH7 PAID DOWN PAR VALUE OF F N M A#826080 5.000% 7/01/35 JULY FNMA DUE -581.4700 0.000000 581.47 -625.08 -43.61 8/25/20 08/25/2020 31410F4V4 PAID DOWN PAR VALUE OF F N M A#888336 5.000% 7/01/36 JULY FNMA DUE -4,900.0400 0.000000 4,900.04 -5,267.54 -367.50 8/25/20 08/25/2020 3138EG6F6 PAID DOWN PAR VALUE OF F N M A#AL0869 4.500% 6/01/29 JULY FNMA DUE -154.6200 0.000000 154.62 -163.53 -8.91 8/25/20 08/25/2020 31417YAY3 PAID DOWN PAR VALUE OF F N M A#MA0022 4.500% 4/01/29 JULY FNMA DUE -292.0300 0.000000 292.03 -308.85 -16.82 8/25/20 08/25/2020 31397QREO PAID DOWN PAR VALUE OF F N M A GTD REMIC 2.472% 2/25/41 -3,157.3500 0.000000 3,157.35 -3,156.36 0.99 08/27/2020 912796XG9 MATURED PAR VALUE OF U S TREASURY BILL 8/27/20 13,000,000 PAR VALUE -13,000,000.0000 1.000000 12,995,164.01 -12,995,164.01 0.00 AT 100% 08/27/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -7,907,817.4000 1.000000 7,907,817.40 -7,907,817.40 0.00 08/31/2020 459052E28 MATURED PAR VALUE OF INTL BK DISC NTS 8/31/20 5,000,000 PAR VALUE AT -5,000,000.0000 1.000000 5,000,000.00 -4,993,483.33 6,516.67 100% 08/31/2020 9128281-32 MATURED PAR VALUE OF U S TREASURY NT 1.375% 8/31/20 15,000,000 PAR -15,000,000.0000 1.000000 15,000,000.00 -14,977,929.69 22,070.31 VALUE AT 100% 08/31/2020 912828VV9 MATURED PAR VALUE OF U S TREASURY NT 2.125% 8/31/20 15,000,000 PAR -15,000,000.0000 1.000000 15,000,000.00 -15,049,804.69 -49,804.69 VALUE AT 100% 08/31/2020 9128284Y3 MATURED PAR VALUE OF U S TREASURY NT 2.625% 8/31/20 7,000,000 PAR VALUE -7,000,000.0000 1.000000 7,000,000.00 -7,042,382.81 -42,382.81 AT 100% 08/31/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -49,997,231.1100 1.000000 49,997,231.11 -49,997,231.11 0.00 TOTAL DISPOSITIONS -128,634,416.8700 128,770,706.04 -128,620,848.06 149,857.98 OTHER TRANSACTIONS 08/03/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 233.63 0.00 0.00 7/31/2020 INTEREST FROM 7/1/20 TO 7/31/20 08/03/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 299.04 0.00 0.00 7/31/2020 INTEREST FROM 7/1/20 TO 7/31/20 08/05/2020 3135GOV34 INTEREST EARNED ON F N M A 2.500% 2/05/24$1 PV ON 5000000.0000 0.0000 0.000000 62,500.00 0.00 0.00 SHARES DUE 8/5/2020 08/06/2020 44932HAH6 INTEREST EARNED ON IBM CREDIT CORP 3.000% 2/06/23$1 PV ON 5670000.0000 0.0000 0.000000 85,050.00 0.00 0.00 SHARES DUE 8/6/2020 08/07/2020 06406RAA5 INTEREST EARNED ON BANK OF NY MTN 2.600% 2/07/22$1 PV ON 2500000.0000 0.0000 0.000000 32,500.00 0.00 0.00 SHARES DUE 8/7/2020 08/10/2020 594918BP8 INTEREST EARNED ON MICROSOFT CORP 1.550% 8/08/21 $1 PV ON 3045000.0000 0.0000 0.000000 23,598.75 0.00 0.00 SHARES DUE 8/8/2020 08/12/2020 3137EAEPO INTEREST EARNED ON F H L M C 1.500% 2/12/25$1 PV ON 12335000.0000 0.0000 0.000000 91,484.59 0.00 0.00 SHARES DUE 8/12/2020 3of6 U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 08/13/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 27768.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/13/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 27768.00 UNITS 0.0000 0.000000 0.00 27,768.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/13/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 27768.0000 27,768.0000 0.000000 0.00 0.00 0.00 UNITS INCREASE TO ADJUST FOR CHANGE IN CPI 08/13/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 27768.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/17/2020 3137EAEL9 INTEREST EARNED ON F H L M C M T N 2.375% 2/16/21 $1 PV ON 7500000.0000 0.0000 0.000000 89,062.50 0.00 0.00 SHARES DUE 8/16/2020 08/17/2020 31348SWZ3 INTEREST EARNED ON F H L M C#786064 3.846% 1/01/28$1 PV ON 5.3200 SHARES 0.0000 0.000000 5.32 0.00 0.00 DUE 8/15/2020 JUNE FHLMC DUE 8/15/20 08/17/2020 3133TCE95 INTEREST EARNED ON F H L M C MLTCL MTG 4.020% 8/15/32$1 PV ON 16.9100 0.0000 0.000000 16.91 0.00 0.00 SHARES DUE 8/15/2020$0.00335/PV ON 5,044.65 PV DUE 8/15/20 08/17/2020 43815NABO INTEREST EARNED ON HONDA AUTO 1.900% 4/15/22$1 PV ON 4391.8900 0.0000 0.000000 4,391.89 0.00 0.00 SHARES DUE 8/15/2020$0.00158/PV ON 2,773,821.76 PV DUE 8/15/20 08/17/2020 47788BAD6 INTEREST EARNED ON JOHN DEERE OWNER 1.820%10/15/21 $1 PV ON 94.7300 0.0000 0.000000 94.73 0.00 0.00 SHARES DUE 8/15/2020$0.00152/PV ON 62,458.45 PV DUE 8/15/20 08/17/2020 477870AB5 INTEREST EARNED ON JOHN DEERE OWNER 2.280% 5/16/22$1 PV ON 3103.9500 0.0000 0.000000 3,103.95 0.00 0.00 SHARES DUE 8/15/2020$0.00190/PV ON 1,633,657.76 PV DUE 8/15/20 08/17/2020 47788CAC6 INTEREST EARNED ON JOHN DEERE OWNER 2.660% 4/18/22$1 PV ON 1187.2500 0.0000 0.000000 1,187.25 0.00 0.00 SHARES DUE 8/15/2020$0.00222/PV ON 535,600.52 PV DUE 8/15/20 08/17/2020 47789JAB2 INTEREST EARNED ON JOHN DEERE OWNER 2.850%12/15/21 $1 PV ON 2141.1000 0.0000 0.000000 2,141.10 0.00 0.00 SHARES DUE 8/15/2020$0.00238/PV ON 901,515.39 PV DUE 8/15/20 08/17/2020 47788EAC2 INTEREST EARNED ON JOHN DEERE OWNER 3.080%11/15/22$1 PV ON 8668.4400 0.0000 0.000000 8,668.44 0.00 0.00 SHARES DUE 8/15/2020$0.00257/PV ON 3,377,316.47 PV DUE 8/15/20 08/17/2020 58770FAC6 INTEREST EARNED ON MERCEDES BENZ AUTO 1.840%12/15/22$1 PV ON 3143.3300 0.0000 0.000000 3,143.33 0.00 0.00 SHARES DUE 8/15/2020$0.00153/PV ON 2,050,000.00 PV DUE 8/15/20 08/17/2020 65478GAD2 INTEREST EARNED ON NISSAN AUTO 1.750%10/15/21 $1 PV ON 807.2000 0.0000 0.000000 807.20 0.00 0.00 SHARES DUE 8/15/2020$0.00146/PV ON 553,511.01 PV DUE 8/15/20 08/17/2020 65479JAD5 INTEREST EARNED ON NISSAN AUTO 1.930% 7/15/24$1 PV ON 6730.8700 0.0000 0.000000 6,730.87 0.00 0.00 SHARES DUE 8/15/2020$0.00161/PV ON 4,185,000.00 PV DUE 8/15/20 08/17/2020 65479GAD1 INTEREST EARNED ON NISSAN AUTO 3.060% 3/15/23$1 PV ON 8387.5300 0.0000 0.000000 8,387.53 0.00 0.00 SHARES DUE 8/15/2020$0.00255/PV ON 3,289,225.91 PV DUE 8/15/20 08/17/2020 69353RFB9 INTEREST EARNED ON PNC BANK NA MTN 2.625% 2/17/22$1 PV ON 1000000.0000 0.0000 0.000000 13,125.00 0.00 0.00 SHARES DUE 8/17/2020 08/17/2020 89239AAB9 INTEREST EARNED ON TOYOTA AUTO 2.830%10/15/21 $1 PV ON 2213.8900 0.0000 0.000000 2,213.89 0.00 0.00 SHARES DUE 8/15/2020$0.00236/PV ON 938,751.31 PV DUE 8/15/20 08/17/2020 89237VAB5 INTEREST EARNED ON TOYOTA AUTO RECV 0.264%10/15/24$1 PV ON 651.2000 0.0000 0.000000 651.20 0.00 0.00 SHARES DUE 8/15/2020$0.00022/PV ON 2,960,000.00 PV DUE 8/15/20 4of6 U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 08/18/2020 3130A7CV5 INTEREST EARNED ON F H L B DEB 1.375% 2/18/21 $1 PV ON 5365000.0000 0.0000 0.000000 36,884.38 0.00 0.00 SHARES DUE 8/18/2020 08/18/2020 43814PAC4 INTEREST EARNED ON HONDA AUTO 1.790% 9/20/21 $1 PV ON 873.1800 0.0000 0.000000 873.18 0.00 0.00 SHARES DUE 8/18/2020$0.00149/PV ON 585,371.12 PV DUE 8/18/20 08/18/2020 43814WAB1 INTEREST EARNED ON HONDA AUTO 2.750% 9/20/21 $1 PV ON 3190.2900 0.0000 0.000000 3,190.29 0.00 0.00 SHARES DUE 8/18/2020$0.00229/PV ON 1,392,127.21 PV DUE 8/18/20 08/18/2020 43814UAG4 INTEREST EARNED ON HONDA AUTO 3.010% 5/18/22$1 PV ON 2917.8200 0.0000 0.000000 2,917.82 0.00 0.00 SHARES DUE 8/18/2020$0.00251/PV ON 1,163,249.67 PV DUE 8/18/20 08/20/2020 36225CAZ9 INTEREST EARNED ON G N M A 11#080023 3.125%12/20/26$1 PV ON 33.7200 0.0000 0.000000 33.72 0.00 0.00 SHARES DUE 8/20/2020 JULY GNMA DUE 8/20/20 08/20/2020 36225CC20 INTEREST EARNED ON G N M A 1 1#080088 2.875% 6/20/27$1 PV ON 23.0100 0.0000 0.000000 23.01 0.00 0.00 SHARES DUE 8/20/2020 JULY GNMA DUE 8/20/20 08/20/2020 36225CNM4 INTEREST EARNED ON G N M A 11#080395 2.875% 4/20/30$1 PV ON 12.7100 0.0000 0.000000 12.71 0.00 0.00 SHARES DUE 8/20/2020 JULY GNMA DUE 8/20/20 08/20/2020 36225CN28 INTEREST EARNED ON G N M A 1 1#080408 2.875% 5/20/30$1 PV ON 93.7200 0.0000 0.000000 93.72 0.00 0.00 SHARES DUE 8/20/2020 JULY GNMA DUE 8/20/20 08/20/2020 36225DCB8 INTEREST EARNED ON G N M A 1 1#080965 3.250% 7/20/34$1 PV ON 94.9800 0.0000 0.000000 94.98 0.00 0.00 SHARES DUE 8/20/2020 JULY GNMA DUE 8/20/20 08/21/2020 43815HAC1 INTEREST EARNED ON HONDA AUTO 2.950% 8/22/22$1 PV ON 7211.3200 0.0000 0.000000 7,211.32 0.00 0.00 SHARES DUE 8/21/2020$0.00246/PV ON 2,933,419.30 PV DUE 8/21/20 08/21/2020 404280BF5 INTEREST EARNED ON HSBC HOLDINGS PLC 2.650% 1/05/22$1 PV ON 0.0000 0.000000 15,237.50 0.00 0.00 4500000.0000 SHARES DUE 8/18/2020$3.38611 PER$1000 ACCD INT(46 DAYS) 08/24/2020 037833BS8 INTEREST EARNED ON APPLE INC 2.250% 2/23/21 $1 PV ON 4000000.0000 0.0000 0.000000 45,000.00 0.00 0.00 SHARES DUE 8/23/2020 08/25/2020 03215PFN4 INTEREST EARNED ON AMRESCO 1.07458% 6/25/29$1 PV ON 106.5800 0.0000 0.000000 106.58 0.00 0.00 SHARES DUE 8/25/2020$0.00090/PV ON 119,021.64 PV DUE 8/25/20 08/25/2020 31394JY35 INTEREST EARNED ON F H L M C MLTCL MTG 6.500% 9/25/43$1 PV ON 3270.8200 0.0000 0.000000 3,270.82 0.00 0.00 SHARES DUE 8/25/2020$0.00542/PV ON 603,845.16 PV DUE 8/25/20 08/25/2020 31371 NUC7 INTEREST EARNED ON F N M A#257179 4.500% 4/01/28$1 PV ON 45.2700 SHARES 0.0000 0.000000 45.27 0.00 0.00 DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31376KT22 INTEREST EARNED ON F N M A#357969 5.000% 9/01/35$1 PV ON 351.2300 0.0000 0.000000 351.23 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31381PDA3 INTEREST EARNED ON F N M A#466397 3.400% 11/01/20$1 PV ON 965.9300 0.0000 0.000000 965.93 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31403DJZ3 INTEREST EARNED ON F N M A#745580 5.000% 6/01/36$1 PV ON 328.4300 0.0000 0.000000 328.43 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31403GXF4 INTEREST EARNED ON F N M A#748678 5.000% 10/01/33$1 PV ON 7.0400 SHARES 0.0000 0.000000 7.04 0.00 0.00 DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31406PQY8 INTEREST EARNED ON F N M A#815971 5.000% 3/01/35$1 PV ON 526.6100 0.0000 0.000000 526.61 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 5of6 U.S. Bank Transaction History August 2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 08/25/2020 31406XWT5 INTEREST EARNED ON F N M A#823358 3.674% 2/01/35$1 PV ON 287.7200 0.0000 0.000000 287.72 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31407BXH7 INTEREST EARNED ON F N M A#826080 5.000% 7/01/35$1 PV ON 67.6500 SHARES 0.0000 0.000000 67.65 0.00 0.00 DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31410F4V4 INTEREST EARNED ON F N M A#888336 5.000% 7/01/36$1 PV ON 633.5100 0.0000 0.000000 633.51 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 3138EG6F6 INTEREST EARNED ON F N M A#AL0869 4.500% 6/01/29$1 PV ON 30.1100 0.0000 0.000000 30.11 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31417YAY3 INTEREST EARNED ON F N M A#MA0022 4.500% 4/01/29$1 PV ON 48.9500 0.0000 0.000000 48.95 0.00 0.00 SHARES DUE 8/25/2020 JULY FNMA DUE 8/25/20 08/25/2020 31397QREO INTEREST EARNED ON F N M A GTD REMIC 2.472% 2/25/41 $1 PV ON 108.9000 0.0000 0.000000 108.90 0.00 0.00 SHARES DUE 8/25/2020$0.00071/PV ON 153,441.53 PV DUE 8/25/20 08/25/2020 9127963QO INTEREST EARNED ON U S TREASURY BILL 8/25/20$1 PV ON 800000.0000 0.0000 0.000000 174.84 0.00 0.00 SHARES DUE 8/25/2020 800,000 PAR VALUE AT 100% 08/26/2020 3135GOJ20 INTEREST EARNED ON F N M A DEB 1.375% 2/26/21 $1 PV ON 10000000.0000 0.0000 0.000000 68,750.00 0.00 0.00 SHARES DUE 8/26/2020 08/27/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 31720.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/27/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 31720.00 UNITS 0.0000 0.000000 0.00 31,720.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/27/2020 912796XG9 INTEREST EARNED ON U S TREASURY BILL 8/27/20$1 PV ON 13000000.0000 0.0000 0.000000 4,835.99 0.00 0.00 SHARES DUE 8/27/2020 13,000,000 PAR VALUE AT 100% 08/27/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 31720.0000 31,720.0000 0.000000 0.00 0.00 0.00 UNITS INCREASE TO ADJUST FOR CHANGE IN CPI 08/27/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 31720.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 08/31/2020 CASH DISBURSEMENT PAID TO BANC OF CALIFORNIA OUTGOING DOMESTIC WIRE 0.0000 0.000000 -50,000,000.00 0.00 0.00 PER DIR DTD 8/26/2020 08/31/2020 9128281-32 INTEREST EARNED ON U S TREASURY NT 1.375% 8/31/20$1 PV ON 0.0000 0.000000 103,125.00 0.00 0.00 15000000.0000 SHARES DUE 8/31/2020 08/31/2020 9128281-24 INTEREST EARNED ON U S TREASURY NT 1.875% 8/31/22$1 PV ON 6000000.0000 0.0000 0.000000 56,250.00 0.00 0.00 SHARES DUE 8/31/2020 08/31/2020 912828W48 INTEREST EARNED ON U S TREASURY NT 2.125% 2/29/24$1 PV ON 0.0000 0.000000 106,250.00 0.00 0.00 10000000.0000 SHARES DUE 8/31/2020 08/31/2020 912828VV9 INTEREST EARNED ON U S TREASURY NT 2.125% 8/31/20$1 PV ON 0.0000 0.000000 159,375.00 0.00 0.00 15000000.0000 SHARES DUE 8/31/2020 08/31/2020 9128284Y3 INTEREST EARNED ON U S TREASURY NT 2.625% 8/31/20$1 PV ON 7000000.0000 0.0000 0.000000 91,875.00 0.00 0.00 SHARES DUE 8/31/2020 TOTAL OTHER TRANSACTIONS 59,488.0000 -48,851,615.67 59,488.00 0.00 6of6 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 BOARD OF DIRECTORS (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1196 Agenda Date: 9/23/2020 Agenda Item No: 3. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: CAPITAL IMPROVEMENT PROGRAM ANNUAL REPORT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and File the Capital Improvement Program Annual Report. BACKGROUND The Capital Improvement Program Annual Report summarizes and highlights achievements of active Capital Improvement Program projects, financial data, and contract activities for fiscal year 2019/2020. This report is updated annually. RELEVANT STANDARDS • Ensure the public's money is wisely spent • Build brand, trust, and support with policy makers and community leaders • Make it easy for people to understand OCSD's roles and value to the community CEQA N/A FINANCIAL CONSIDERATIONS N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Capital Improvement Program Annual Report Fiscal Year 2019/2020 KM:sa Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM O rov" e, Go-LA10 l-y S awvt-a � y � 1 =�� •tip, ., r NU • ,� .1 •: � ` •tea' �. '' �. . ;� _ Y• � a R a.._ 1• o- - - ram- . , --- R ; O R N� "To protect public health and the environment by providing effective wastewater collection, treatment, and recycling." Vmir� f ro-M *ke Pi r"4vr of EF"i."�ftg 4A The past year has been different,to say the least.As the world deals with the impacts of the COVID-19 pandemic,I have been pleased to see a diverse Orange County Sanitation District(OCSD)workforce that continues to be dedicated to their work.We may be socially distanced,but we continue to push forward and collectively work towards the execution of OCSD's Capital Improvement Program. As the Capital Improvement Program has evolved with focusing on aging infrastructure,we have experienced the next wave of design projects. The next wave will be transitioning to large multi-year construction efforts,including the Headworks Rehabilitation at our Plant No.1 facility in Fountain Valley and the Primary Clarifiers Replacement at our Plant No.2 facility in Huntington Beach with construction values of$293 and$131 million,respectively. With the unprecedented impacts of a global pandemic,we have had to adapt and adopt new ways of doing business,and while doing so,we continue to surge onward.During the 2020-21 fiscal year,we are anticipating to advertise over 25 capital projects with a total construction value of over$550 million. On behalf of the Engineering Department,I present this annual report.It was developed to present the progress made on the Capital Improvement Program between July 1,2019 and June 30,2020 which includes over 120 capital projects through the various phases from planning,design,construction,and closeout.I hope this report increases your understanding of our Capital Improvement Program and our commitment to protect public health and the environment. AftAk Kathleen T.Millea,P.E. �� .Dire for of Engineering 0', -rab& of Introduction and Background 6 ................................................................................................................................................................ About the Agency 6 .................................................................................................................................................... Capital Improvement Program Overview 8 .................................................................................................................................................... Planning 10 ................................................................................................................................................................ Design 14 ......... ...................................................................................................................................................... Construction 18 ................................................................................................................................................................ Collection System 22 .................................................................................................................................................... Community Outreach Program 26 ................................................................................................................................................................ Financial Data 28 ................................................................................................................................................................ Program Cash Flow 30 .................................................................................................................................................... Contract Activity 32 .................................................................................................................................................... Engineering CIP Projects 36 's.......*........************'*****'**********************************'************'******'***'************'******'***'******'*****'**************'*Award 42 ................................................................................................................................................................ Board of Directors 43 ................................................................................................................................................................ �k 1 wf rov About the Agency The Orange County Sanitation District(OCSD)is a public agency that operates one of the largest wastewater facilities in the Unites States, providing wastewater collection,treatment,and recycling for approximately 2.6 million people in central and northwest Orange County. Service Area. LA Age"�/w w" HABRA BREA Af n /` YORBA V W ! > FULLE ON LINDA PLAC NTIA* 1954 year began operating PALEN A ARK S • - mile service area CYP ZE S ANAHEIM VILLA L _ ---- P • • people • LOS ANT N ALAMIT ORANGE ARD + ROP SEA BEAC TMI STER* 189 million gallons per day cm SAN A .•r rr •� rrr■ wastewater treated F UN AI AN TUSTINLim 388 miles sewer pipelines HUN INO 15 B H IRVINE off-site • • stations �._ o eon COST MESA _ LEGEND ! ocso Emergency owrell Sewer pipelines _ 1.5 miles long 6.5iool tliamebr -Plant No.'I IPtI orcsnere Pvelme NEWPORT Plant No.z(Pz) \ _ 5 miles long BEACH 10-1-diameter ■Pump Stations ❑Unincorporated orange County (white areas) J^_ OCIP ANNUAL REPORT • FISCAL YEAR 2019/20 • • _•,•• • • • • • • • • '•' • • I Pmg ratw O vzr vie,,w The Pacific Coast is significant to OCSD and our mission to protect the public health and the environment. Treated effluent that cannot be • • recycled is discharged into the ocean through a 5-mile long ocean outfall. We regularly monitor the marine life,sediment quality,and water Projects quality within 38 miles of ocean off Huntington Beach. $187 OCSD's Capital Improvement Program(CIP)is a long-term plan to rehabilitate,replace and update the agency's regional facilities.Endless ocean construction waves are characterized by size,wind,current,tide,and ocean current among other factors. Like these waves,OCSD's CIP continuously cycles costs and evolves,adjusting its overall purpose depicted on the need of its existing assets and systems.OCSD's CIP began by focusing on creating the initial infrastructure of the collections and treatment system,shifted to expanding capacity,and now on renewing aging infrastructure.OCSD's CIP has been carefully put together to cost-effectively meet future regulatory requirements,incorporating climate resiliency,seismic reliability,and maximizing resource recovery.Although the focus of the CIP may shift over time,one thing remains clear,to ensure OCSD can continue to provide the necessary levels of service. • - • ' • During the 2019-20 fiscal year,the CIP program included over 120 capital projects with a net CIP outlay of$120.8 million. CIP projects take • _ construction several years to complete the planning,design,and construction cycle.This report highlights some of the major capital projects through the costs various project phases the Engineering Department was actively involved in throughout the year.For more information regarding our CIP please visit our website at www.ocsd.com/construction. .Mdm& $785MV construction costs t t_.�.RV 01 The Newhope-Placentia Trunk Sewer,Segment B project is currently in construction on State College Boulevard in the City of Anaheim. QCIP ANNUAL REPORT • FISCAL YEAR 2019/20 ►. 0 '•' • • 9 PAsset Management Plan Our mission is to protect public health and the environment by providing effective wastewater collection,treatment,and recycling.As part of OCSD's Facilities Master Plan lays out a 20-year CIP.Within the Engineering Department,the Planning Division OCSD's long-term Capital Improvement Program(CIP)planning efforts,studies evaluate various areas of the plants and collection system to produces the Asset Management Plan that updates,modifies,and manages the 20-year CIP by continuously determine their condition and identify,evaluate,and determine the best alternative for any deficiencies or improvements needed.The results assessing the condition of OCSD's existing assets and systems to ensure they can provide the necessary levels of of these studies help support,define,and refine future CIP or short term maintenance projects to improve our facilities and systems.Staff work service.The plan includes an inventory of critical assets,an evaluation of their condition and performance,and an carefully to identify all the necessary scope of work items in the planning phase of projects to assist with successful execution to reduce risks. implementation plan to maintain,rehabilitate,and replace these assets to meet the required levels of service at the lowest life cycle cost and at an acceptable level of risk. The next pages are some of the planning studies conducted during the past fiscal year. The Asset Management Plan was finalized in December 2019 and will be updated annually. Orange County Climate Resiliency Study _ Sanitation District There are risks such as flooding,tsunami,wildfire,and extreme heat events.Climate change threatens to increase Climate Resiliency Study _ py, the risk posed by natural hazards to OCSD facilities.These risks have serious implications for public,staff,and environmental health within and around OCSD's service area. In November 2019,OCSD completed the Climate r - Resiliency Study that involved assessing the risks posed by climate change and developing adaptations to *_ mitigate those risks.The outcome was a Climate Resiliency Plan,one of the first in California broadly and Orange County specifically to integrate the implications of climate change into improved design standards,emergency preparedness,and facility operations for the future. Climate resiliency is being integrated into ongoing CIP projects. The Climate Resiliency and Adaptation Plan received the American Academy of Environmental Engineers and Scientists(AAEES)2020 Excellence in Environmental Engineering and Science Awards Grand Prize in the Planning Category. ' Stormwater Master Plan In November 2019,OCSD updated the Stormwater Master Plan to improve the management of onsite stormwater and demonstrate compliance with the stormwater provisions of the Waste Discharge Requirements.The updated Stormwater Master Plan not only looked at present requirements,but also provides guidance on improvements that will serve OCSD over the next decade as stormwater regulations evolve. dam •f PIC ikt � p Partial view of OCSD Plant No.2 in Huntington Beach. CIP ANNUAL REPORT - FISCAL YEAR 2019/20 Plant No.2 Future Site Development Plan This study evaluated locations for future support facilities at Plant No.2 in Huntington Beach.It established a site layout incorporating existing CIP projects and other focused master plans such as the Facilities Master Plan and Biosolids Master Plan that were completed in 2017. The southern end of the plant has several ongoing design and construction projects reflected in previous plans.This study developed a site layout moving the location of the main entrance and non-treatment facilities to the northern end of the plant.Having amenities such as a new warehouse,maintenance yard,and administrative building in closer proximity to the new main entrance location allows current locations to become additional space for future treatment facilities.Preliminary layouts,street plans,and architectural renderings allowed staff to receive feedback from the City of Huntington Beach.This information was also provided to the Plant No.2 neighborhood as part of OCSD's community outreach program. { R 06 NEW - t • ' < , r 5. Main Entrance !Mn' ir Demolition of the old truck loading bays on the Sludge PA 1 . Dewatering and Odor• • • • • - I Plant No. Rendering of anew site layout which moves the location of the main entrance of OCSD Plant No.2 in Huntington Beach. ® CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • D Headworks Rehabilitation and Expansion at Plant No.1 - The Plant No.1 Headworks receives untreated wastewater from six Our design choices will define the future.The Engineering = �,- 1 major trunk sewers.We receive approximately 120 million gallons of Department is in the midst of a design tidal wave of sorts,with wastewater a day at Plant No. Headworks combines and measures �� '�..•�:.Xi fiscal year 2019-20,there were 29 projects actively in design ' a number of large capital projects in design.By the end of �= the influent and removes debris and grit.From there wastewater is ' �� • � valuing$785 million in construction costs. pumped to primary and secondary treatment facilities and then to recycling at the renowned Ground Water Replenishment System.This --_,1 ; project includes major rehabilitation,new structures,and demolition of Duringa storm event,big waves can be dangerous and come _- 9 g ��. existing facilities with a construction value of$293 million. �, �r, crashing down on you.It can be overwhelming.When you g , ! MAN 011, , 1; ; think you have made it through,another big wave crashes '�- Headworks is the heart of the plant. As the first point of entry for I a ' and knocks you off your feet,taking the breath out of you. P p Y - - wastewater,all essential plant processes and utilities must remain Through strong leadership and vision,OCSD has pushed - r C in service. Odor control must always be provided.These functions }" �► _' + through the tsunami wave of design projects during the w. need to remain online as construction replaces existing facilities —� t past year and will continue to do so in the current fiscal year. Instead of allowing one project to cripple the efforts and before any demolition can occur. Skilled doctors perform open heart �, surgery methodically with a capable team and well thought out plan. reduce resources on other projects,simultaneous collective Construction of the Headworks will be the"open heart surgery"of ' ° efforts have been demonstrated. Through teamwork and _ �!♦ .,� �;� �, an understanding of the vision of OCSD's future,staff have Plant No.1.The project has been undergoing a long and thorough i • Ap ��•.. ��� design phase for the past several years. �R ,��IIn cP collaboratively dedicated the necessary attention to detail to deliver a careful and thoughtful design on man ongoing , r g g Y 9 9 �� - Design is finalized and construction will begin in 2021,lasting over 7 years. � �r �� projects. - t a ;, �!\ !• ;� _:: � .� A-Side Primary Clarifiers Replacement at Plant No.2 The following pages highlight some of the projects in the plants and collection system that have been in design for There are 14 primary clarifiers at Plant No.2 in Huntington Beach.The the past several years,many that will advertise for bid in the • ' "A-Side"clarifiers are the first set of four clarifiers constructed in the Aerial view of OCSD Plant No.1 in Fountain Valley. Represented as a heart, coming months. - 1960's.The A-Side Primary Clarifiers Replacement project not only Headworks is located at the north-eastern end of the plant. r r, constructs four new primary clarifiers,it also includes the construction of two primary sludge pump stations,odor treatment complex,electrical distribution center,electrical and fiber systems,and process controls f with a construction value of$131 million. v. I _ y� s The current A-Side clarifiers have dome covers and measure 140-feet in diameter and 21-feet high from the ground surface.The four new circular clarifiers will have aluminum flat covers instead of the dome shape,with hinged panels to allow for operator observation and maintenance access. Final design is near completion.Construction will begin in 2021 and will be completed in 2026. Construction crew looking down a 25-foot deep trench on the Carbon Canyon Pipeline Sag Repair project in the City of Brea. CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 +ri- i✓ `i 7' "7 .ram f' 4 Digester Gas Facilities + Replacement As a resource recovery agency,the digester gas facilities at both plants } - capture,clean,and compress digester S `= gas from the treatment process and converts it to power the Central - AU AV Generation facilities. — =' This project will rehabilitate and I __ J , �� �► �,, replace digester gas facilities at both Plant Nos.1 and 2 to meet current and future OCSD needs such as Air Quality � - �i � ���_ • �� \` ;. ,� �� � �' � �, , • Management District and National Fire Protection Association regulations,and future projected gas production. The construction budget is$118 million. _ Design on this project will continue to the next year with anticipated construction to commence in 2022. ~ �i ._ :r Digester gas compressor at OCSD Plant No.1 will be replaced as part of the Digester Gas Facilities Replacement project. Rehabilitation of Western Regional Sewers 1 This project is comprised of three separate contracts that encompass the western region of OCSD's service area. This project covers an area Q�\\ •— ` of over 20 miles of sewer pipelines and associated manholes primarily in the public rights of way in the cities of Anaheim,Buena Park,Cypress, \��� \,��� 1 La Palma,Cypress,Seal Beach,and unincorporated Orange County. �AA���\�, Yp p g Y r \\\ - - 2 a Staff has worked and will work closely with the involved cities throughout the design of these projects. Community outreach has also taken place during the design phase to identify and mitigate risks before construction occurs.City coordination and community outreach will continue throughout construction. - The Orange Western Sub-trunk Rehabilitation covers approximately 13,000 feet of pipe.The Los Alamitos Trunk Sewer Rehabilitation covers approximately 24,000 feet.These projects are anticipated to begin construction in the next year.The Cypress Trunk Sewer Rehabilitation covers approximately 32,000 feet of sewer pipeline and design will begin in 2021. View of the old solids storage and truck loading facility that was demolished as — r part of the Sludge Dewatering and Odor Control Project at OCSD Plant No.2. k CIP ANNUAL REPORT • FISCAL YEAR 2019/20 -- ` ; - :•�, t • • Safety Improvements Program The wave of design projects will transition to active construction projects.While many actions across the nation have been taken in response Several years ago,a Facility Wide Safety Assessment was conducted to review safety issues at OCSD's two plants and existing pump stations. to the 2020 global pandemic,OCSD's essential services have been able to continue to service the community.Construction has been ongoing Some of the safety items identified that needed to be addressed included electrical,fall protection,regulated compliance,and walkway before,during,and will continue as we get through times of uncertainty. The following are a few highlights of the active construction projects hazards.While some of the issues may have a low probability of causing injury,the consequences could be high. over the past year. Safety is a top priority and as a result,OCSD developed a plan to swiftly address the safety items.Some of the identified higher risk safety items were immediately addressed by the Operations and Maintenance Department.Other items were added to already existing capital projects where possible.The Safety Improvements Program was created to address all remaining safety items.The program comprised of 12 construction projects to streamline the improvements. Implementation of the individual projects that make up the Safety Improvements ® Program have been ongoing for a few years now.During fiscal year 2019-20,six safety construction projects were completed.Two remaining projects will be completed during fiscal year 2020-21,closing out the Safety Improvements Program. A current OCSD collection system construction project is the Newhope-Placentia Trunk Replacement project on State College Boulevard in Anaheim. Guardrails are being installed at the OCSD Plant No.2 Maintenance Building as part of the Safety Improvements Program. CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 0-0 Headworks Modifications at Plant No.2 ■� for GWRS Final Expansion In partnership with the Orange County Water District(OCWD),our agencies recycle enough water to supply the needs of 850,000 people a in central and northern Orange Count through the Groundwater Replenishment System (GWRS).Construction is ongoing on the Final g Y 9 p Y ( ) g 9 Expansion phase of this internationally recognized water purification system for indirect potable reuse. E� - s` Currently influent enters the existing Headworks at Plant No.2 in Huntington Beach via four trunk lines before being sent to primary and _ ti_• - , secondary treatment facilities and then pumped out to the ocean.The Headworks Modification project will make changes and additions to infrastructure to separate reclaimable and non-reclaimable flows,allowing reclaimable flows to be utilized for the GWRS facility.Non- 7a- i reclaimable flows will continue to be pumped out to the ocean.The final phase of GWRS will provide a reliable water source for over one million �` °' `, •�•... ~Y people,increasing the treatment capacity from 100 to 130 million gallons per day. Construction began Spring 2020 with completion by2023. , , • Outfall Low Flow Pump Station There are many components to this project.With the final expansion of GWRS,less flow will be pumped out to the ocean.This project will construct a new outfall low flow pump station to more efficiently handle the lower effluent flows,rehabilitate the Ocean Outfall Booster Station to continue to accommodate peak wet weather flows,replace the plant water pump station to maintain separation of reclaimable and non- s 'r reclaimable flows,and provide an electrical SCADA ` (supervisory control and data acquisition)system with load shedding. - - Some major construction activities over the year include the completion of cement deep soil mixing and working on the plant water pump station junction structure.The Ocean Outfall Booster Station rehabilitation and significant progress on the electrical components of the project are ongoing. Construction is expected to be completed in 2023. Excavation and shoring over the 120-inch diameter secondary effluent pipeline at OCSD Plant No.2 in preparation for the plant water pump station junction structure. N vCons truction of the plant water pump station junction CIP ANNUAL REPORT • FISCAL YEAR 2019/20 structure is underway at OCSD Plant No.2. ', '• 0 5 u vt� SARI Rock Stabilizers Removal The OCSD collection system consists of all the sewer pipelines and pump stations that collect and transport wastewater for treatment and Several years ago,a four-mile segment of the Santa Ana River Interceptor(SARI)pipeline was relocated out of the floodplain of the Santa recycling.OCSD has the responsibility to make sure the collection system has enough capacity to keep pace with economic growth and is in Ana River.During construction of the new SARI pipeline,the portion of pipe in the floodplain needed temporary protection from erosion along reliable condition. Routine maintenance keeps the wastewater flowing,but as infrastructure continues to age,CIP projects to renew or replace the riverbed. Emergency permits allowed placement of over 22,000 tons of large rocks to protect the pipeline.After construction of the new aging pipelines and pump stations are necessary. alignment of the SARI was completed,this project removed the stabilizer rocks to fulfil the permit requirements. There are nearly 400 miles of pipelines and 15 pump stations that make up the OCSD collection system.The following are some of construction The project was successfully completed in Spring 2020. projects that were active in the streets. �� p• r�• _ �. �♦1 � ^�= iri ►dal �, '�/i+�� -+ � e>, � � . L`r, A�1'�" f::.. � J� Lam �j,+t � . X.A. Lxy y' • a�' �`1 j.� ~~ �'+tea`,t- .e pre- yam` � � �► ,�- • tio:• ' .. _ 1 , ._ , ,,_ ,, r {r ar 1Prtq►la,;r �IQIX I On the Westminster Blvd.Sewer Project,trench shield shoring is used to stabilize the excavation for the dual36-inch force main pipe installation. Rocks being removed on the SARI Rock Stabilizers Removal project along the Santa Ana River riverbed. ® CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 Newhope-Placentia Trunk Replacement,Segment B Westminster Blvd.Sewer Project OCSD is upsizing a seven mile stretch of sewer pipeline along State College Boulevard in the cities of Anaheim and Fullerton.Segment A Earlier this Spring 2020,construction began on the Westminster Blvd.Sewer Project. With a construction budget of$27 million,the project will was completed in 2017 and replaced three miles in Fullerton.With a construction budget of$60 million,Segment B is currently replacing the replace the existing dual sewer force main system starting from the Seal Beach Pump Station to three miles east along Westminster Blvd.,in the remaining four miles of OCSD's Newhope-Placentia Trunk in Anaheim.Being on the streets,this project has had a very noticeable impact to the cities of Seal Beach and Westminster.The current force main system consists of only one of the two pipelines in service. public within our collection system. When construction is completed in 2022,there will be two fully functional force mains that will increase reliability and continue to provide One of the more complex sections of this project began in Spring 2020,replacing the last one-mile portion of the pipeline.The new pipeline is appropriate capacity. being constructed in the same alignment,requiring bypass piping while the construction takes place to avoid any disruptions to sewer service. In an effort to minimize risk and carefully expedite work production,long 20-hour work shifts are implemented.Not only does this require More information about the Westminster Blvd.Sewer Project can be viewed by visiting www.ocsd.com/Westminster. careful multi-agency coordination and many staffing resources,it can be a big strain on the impacted public.Construction outreach has been very active throughout the design and construction of the project by keeping the community informed of current and upcoming construction _ schedules. Construction is scheduled to be completed in 2021. - --__ More information about the project on State College Boulevard can be viewed by visiting www.ocsd.com/StateCollege. OPP- p Construction crewis shown pre-drilling a shoring beam on State College Boulevard in the City of Anaheim. Two excavators are used to install a 200-ft section of anew 36-inch diameter force main within the 10-ft deep trench excavation on Westminster Boulevard in the City of Seal Beach. CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 • O W -recce P rOg r 4W ----- Not only do we care about the public health and environment,we also care about the community. We understand construction projects can be a nuisance with noise,dust,traffic,and other associated impacts to the community. I The Community Outreach Program provides opportunities for people to learn about the project need and what to expect.This program promotes transparency,education,and building relationships.Goals of the program include promoting awareness and an understanding of the importance of the essential services OCSD provides to public health and the environment. A variety of outreach tactics are used to reach an expansive audience.They range from traditional printed material,an online presence with social media and a dedicated project webpage,in-person community meetings,email notifications and text alerts.Whether it is providing general project information,notifying about scheduled work hours and impacts,or a project update,we aim to connect and share with the =- community.Community liaisons will work closely with cities within the project location to gain insight on the cities'first-hand community - f knowledge,combine resources,and coordinate activities. , III i We are very proud of the outreach efforts I .. r • we put forward and working closely au , - - — ^• , ;M_�_ _� \ -with the community.The Newhope- - 0PPlacentia Trunk Replacement Project, , more publicly referred to as"The State College Project"since the project area is on State College Boulevard,received awards for Community Engagement1 and Outreach for Santa Ana River Basin - - - .. ii Section(SARBS)and California Water 4' I y'w Environment Association(CWEA). Get additional details about projects °' = by visiting www.ocsd.com/ - construction or by calling our community �- liaisons at 714.378.2965 or email ConstructionHotline@ocsd.com. Residents attend a public community meeting to learn more about the State College Sewer Project and the Sound blankets have been install-• to minimize public impacts -construction construction taking place in their neighborhood. _ -workoccurs on -College Boulevard of CIP ANNUAL REPORT • FISCAL YEAR 2019/20 ""yr y REPORT Similar to the Fiscal Year 2019-20 CIP Expenditure,the ten year CIP budget shows the breakdown of projects occurring at Plant No.1,Plant No.2, joint facilities,and the collection system.Projects that have not been fully scoped yet are represented as future rehabilitation and replacement. The budget for the Capital Improvement Program(CIP)is reviewed and approved by the OCSD Board of Directors on an annual basis. The Non-engineering projects are expenses from Information Technology and Operations and Maintenance.For the next ten years,the net CIP proposed budget provides for the improvements,rehabilitation,replacement,expansion,and upgrades of facilities. Each year,staff validates Outlay is$2.7 Billion. the active and future CIP projects to ensure the project scopes of work,schedule and cost estimates are accurate. The pie chart below shows the Fiscal Year 2019-20 CIP project expenses,or expenditures,of$120.8 million. It also includes expenses from Future Rehabilitation equipment and non-engineering projects by Information Technology and Operations and Maintenance. and Replacement Non-Engineering $346 million Joint Facilities Equipment $3.6 million 12.6/o IV/_ $428 million $1.8 million 3% 15.6% 2% Non-Engineering—\), Plant No.1 $20 million /_�23.5 million 0.7% 19% Ten Year Net CIP Outlay Collection System � Fiscal Yea. Plant No.1 Fiscal Year 2019-20 Collection $32.6 million 2019-20 $623 millions through system 27% CIP 22.7 Fiscal Year 2020-29 $17.7�million /o Expenditures $2.7 Billion Grand Total $120.8 Million -Plant No.2 $22.8 million 19% Equipment $8 million 0.3% Plant No.2 Joint Facilities $835 million $36.5 million 30.4/o 30% CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 P ro g rawm, C444A. Flow The current CIP is focused on aging infrastructure at both plants and OCSD service area. The coming years include the start of construction projects rehabilitating the headworks at Plant No.1,replacing primary clarifiers at Plant No.2,and replacing the Seal Beach Pump Station in the Collection System. The chart below shows the actual expenditures over the past five years and the projected CIP budget for the next ten years. Annual Net CIP Outlay $400 M $350 M $300 M $250 M — .� _ dL- !;i. $200 M — - $150 M 7 $100 M $50 M t'' $0 FY 15-161 FY 16-171 FY 17-18 FY 18-19 FY 19-20 FY 20-21 FY 21-22 FY 22-23 FY 23-24 I FY 24-25 FY 25-26 FY 26-27 I FY 27-28 I FY 28-29 FY 29-30 BudgeMctuals 1 $148 M 1 $138 M 1 $123 M 1 $163 M $120 M $147 M $241 M $294 M $301 M 1 $257 M 1 $296 M $347 M 1 $322 M 1 $309 M 1 $230 M W Primary Clarifiers at OCSD Plant •CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • • 31 CONSTRUCTION CONTRACTS • • Location(s) Project Project Name Contractor Amount of Award Date of Award The Contracts Administration and Purchasing divisions support the Engineering Department in the procurement of contracts for studies, Number design consultants,short-term maintenance and public works construction projects.Many projects take several years to complete the Plant No.1 I FE16-06 Fuel Cell Facilities Demolition MMC,Inc. $474,000 July 2019 planning,design,and construction phases before closing out. Plant No.1 P1-129 Return Activated Sludge Piping Replacement at Activated Abhe&Svoboda,Inc. $6,863,100 July 2019 As progress is made on projects throughout the year,new contracts are also awarded and construction contracts completed,as listed in the Sludge Plant No.1 following tables. Plant No.2 P2-123 Return Activated Sludge Piping Replacement at Plant No.2 Shimmick Construction Co.,Inc. $6,042,100 September 2019 Anaheim,Placentia FE17-06 Tustin Ave Manhole and Pipe Repair Nuline Technologies,LLC $350,000 October 2019 773rollo Brea FE17-01 Carbon Canyon Pipeline Sag Repairs Mike Prlich and Sons,Inc. $510,000 November 2019 Seal Beach, 3-62 Westminster Blvd Force Main Replacement Teichert Energy&Utilities $27,743,000 December2019 Location(s) Project Project Name Consultant Amount of Award Date of Award Westminster Group,Inc. Number Plant No.2 P2-122 Headworks Modifications at Plant No.2 for GWRS Final Shimmick Construction Co.,Inc. $14,487,700 January 2020 Plant No.2 PS18-09 Ocean Outfall Condition Assessment and ScopinCa Engineers,Inc. $2,744,000 March 2020 Expansion Plant Nos.1 and 2 PS18-11 ETAP Model Updates for Plants Nos.1 and 2 Brown and Caldwell $227,000 April 2020 Plant Nos.1 and 2 FE18-11 Headworks Explosive Gas Monitoring Systems at Baker Electric $2,214,000 March 2020 Plant No.1 and No.2 Plant No.2 FE18-17 Trunkline Sampler Power Feed at Plant No 2 M.Brey Electric,Inc. $101,000 April 2020 DESIGN CONTRACTS A ' ' Plant No.2 FE18-19 12KV Distribution B and East RAS Pump Station Roofing O'Connell Engineering& $674,800 June 2020 Location(s) Project Project Name Consultant Amount of Award Date of Award Replacement Construction,Inc. Number Plant No.1 P1-128C Headquarters Complex Site Preparation Resource Environmental,Inc. $1,555,000 June 2020 Costa Mesa,Irvine, 7-66 Sunflower and Red Hill Interceptor Repairs GHD $308,700 September 2019 Santa Ana Plant No.1 P1-133 Primary Sedimentation Basins No.6-31 Reliability Carollo Engineers,Inc. $1,219,650 September 2019 Improvements at Plant No.1 Plant No.1 P1-132 Uninterruptable Power Supply Improvements at Plant No.1 Tetra Tech,Inc. $784,680 October 2019 Seal Beach 3-67 Seal Beach Pump Station Replacement Lee&Ro $5,947,850 November 2019 Plant Nos.1 and 2 J-98 Electrical Power Distribution System Improvements Brown and Caldwell $2,240,000 January 2020 Plant Nos.1 and 2 J-98 Electrical Power Distri bution System Improvements SEL Eng.Services,Inc. $1,297,000 March 2020 Newport Beach 5-68 Newport Beach Pump Station Pressurization Improvements Dudek $543,0001 May 2020 ® CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CONSTRUCTION CONTRACTS COMPLETED Location(s) Project Project Name Contractor Total Contract Date of Number Amount Completion Plant No.2 P2-92A Truck Loading Bay Odor Control at Plant 2 Kiewit Infrastructure West Co. $3,671,733 August 2019 Newport Beach 6-17 District 6 Trunk Sewer Relief Charles King Company,Inc. $4,194,661 September 2019 + r•�.4 •' *. rM. ,� u_ `'"�7 Newport Beach FE15-10 East Lido Force Main Rehabilitation Charles King Company,Inc. $1,459,170 Se tember 2019 Plant Nos.1 and 2, J-1261 Exit Signs Exit Lights Electrical Disconnects Gas Detection Helix Electric $866,809 October 2019 , OCSD Service Area Plant Nos.1 and 2, J-126AH Hot Surfaces Insulation P1/P2/Bay Bridge PS/Slater PS Amtek Construction $471,434 December 2019 - Huntington Beach, ` 'r Newport Beach Plant Nos.1 and 2, J-126BFG Lights,Ladder and Walkway Hazards Amtek Construction $558,410 December 2019 OCSD Service Area _ Plant Nos.1 and 2 J-126T Insulation of E/G Exhaust Pipe Supports at Plant Nos.1 and 2 Jamison Engineering $30,500 December 2019 Plant Nos.1 and 2 J-117A Interplant Effluent Pipeline Rehabilitation Shimmick Construction Co.,Inc. $13,589,236 January 2020 Plant No.1 FE15-07 Secondary Treatment and Plant Water VFD Replacement at Helix Electric $1,887,543 March 2020 - Plant No.1 Cypress,Fullerton, J-126L Safety Improvements at Various Pump Stations ICA Construction $232,633 March 2020 Newport Beach, or _ + # Seal Beach Plant No.1 FE14-05 Plant No.1 Fleet Services UST Leak Remediation Engineering/Remediation $674,760 April 2020 Resources Group,Inc. Plant No.1 P1-101 Sludge Dewatering and Odor Cotrol at Plant No.1 W.M.Lyles Company $139,772,000 April 2020 ' - " Plant No.2 P2-110 Consolidated Demolition and Utility Improvements at Flatiron West,Inc. $18,197,000 April 2020 Plant No.2 - Yorba Linda 2-41-8 SARI Rock Stabilizers Removal Griffith Company $2,304,270 June 2020 ,,j-'� ' -re► � :�;-� t y` �%�^� : .. �u L ` Plant No.1 FE16-06 Fuel Cell Facilities Demolition MIMIC,Inc. $481,337 June 2020 .. Plant No.1 FE17-05 Plant No.1 ICS Network Extension RP Controls $333,831 June 2020 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 '•' 11. A • • Ir ENONEERIM!: CIP PROJECTS Location(s) Project Project Name Status Project Budget The following lists are projects that were active or completed during the 2019-20 fiscal year.The status,phase,and project budget(rounded to Number the nearest thousand)shown in each table are as of June 30,2020.Small capital or non-engineering projects from Information Technology and Huntington Beach PS15-02 Edinger Pump Station Rehabilitation Study Active $971,000 Operations and Maintenance are not listed. Plant Nos.1 and 2 PS15-06 Seismic Evaluation of Structures at Plant No.1 and No.2 Completed $3,860,000 OCSD Service Area PS15-08 Collections Capacity Evaluation Study Active $3,682,000 Plant Nos.1 and 2,OCSD Service Area PS15-10 2017 Facilities Master Plan Completed $3,850,000 Plant Nos.1 and 2,OCSD Service Area PS16-01 Stormwater Master Plan Completed $1,416,000 Plant No.2 PS16-02 SCE Feed Reliability Improvements Study Completed $293,000 OCSD Service Area PS17-02 Guidelines for Development in the Area of OCSD Facilities Completed $176,000 Plant No.2 PS17-03 Active Fault Location Study at Plant No.2 Active $1,300,000 Plant Nos.1 and 2 PS17-04 Office Workspace Study for Plant No 1 and No.2 Completed $110,000 a� Plant Nos.1 and 2,OCSD Service Area PS17-08 CEQA-Facilities Master Plan Active $1,170,000 Plant No.2 PS17-10 Emergency Overflow Weirs,Wing Wall Structural and Geotechnical Investigations Completed $465,000 Plant Nos.1 and 2,OCSD Service Area PS18-01 Asset Management Plan Development Completed $420,000 Fountain Valley PS18-02 Bushard Diversion Structure Rehabilitation Study Completed $96,000 Plant No.2 PS18-05 Plant No.2 Future Site Plan Development Active $217,000 Plant Nos.1 and 2,OCSD Service Area PS18-06 Go/No-Go Lights and Signage Active $495,000 Plant Nos.1 and 2,OCSD Service Area PS18-07 ASCE Review of CIP Program Completed $50,000 Plant No.2 PS18-09 Ocean Outfall Condition Assessment and Scoping Study Active $1,850,000 _ Plant No.2 PS18-10 Root Cause Analysis of Malfunctioning Process Units at TFSC Facility at Plant No.2 Completed $41,000 Plant Nos.1 and 2 PS18-11 ETAP Model Updates for Plant Nos 1 and 2 Active $553,000 Plant No.1 PS19-01 Digester 6 Pipe Stress Analysis at Plant No.1 Active $45,000 Plant No.1 PS19-02 Circular Primary Clarifier Replacement Phasing Study at Plant No 1 Completed $53,000 Plant No.1 PS19-03 Laboratory Rehabilitation Feasibility Study Active $450,000 z -Y Plant Nos.1 and 2,OCSD Service Area RE17-01 Operational Research Technical Support FY18-19 Completed $650,000 Plant Nos.1 and 2 RE17-02 Biogas Scrubber Evaluation Active $865,000 "`- Newport Beach RE17 03 Reliant Wet Well Wizard Test Completed $74,000 '1» Plant Nos.1 and 2 RE17-04 AquaNereda Aerobic Granular Sludge Process Active $242,000 Plant No.1 RE18-01 Trickling Filter Bleach Test at Plant No.1 Completed $125,000 Plant No.1 RE18-02 Protein Matrix Demonstration Study at Plant No 1 Active $150,000 y Plant No.1 RE19-01 Primary Scum Equipment Evaluation at Plant No.1 Active $31,000 A backhoe lifts a 2-foot long piece of pipe on the Carbon Canyon Pipeline Sag Repairs project in the City of Brea. Plant Nos.1 and 2,OCSD Service Area SP-196 Process Control Systems Upgrades Study Active $3,554,000 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 RECLAMATION PLANT NO.I PROJECTS LOCATED IN FOUNTAIN VALLEY JOINT FACILITIES PROJECTS LOCATED AT PLANT NO.1,PLANT NO.2,AND/OR OCSD SERVICE AREA Project Project Name Phase Project Budget Project Project Name Phase Project Budget Number Number P1-100 Digester Rehabilitation at Plant No.1 Completed $66,000,000 J-36-2 GWRS Final Expansion Coordination Construction $1,132,000 P1-101 Sludge Dewatering and Odor Control at Plant No.1 Close Out $199,500,000 J-98 Electrical Power Distribution System Improvements Preliminary Design $26,500,000 P1-105 Headworks Rehabilitation at Plant 1 Design $406,000,000 J-117A Interplant Effluent Pipeline Rehabilitation Close Out $17,295,000 P1-115 Title 24 Access Compliance and Building Rehabilitation Project Close Out $14,043,000 J-117B Outf all Low Flow Pump Station Construction $136,020,000 P1-115B Rehabilitation of Fleet Services Building,Building 8 and Paving Area Close Out $4,357,000 J-124 Digester Gas Facilities Rehabilitation Design $173,000,000 P1-128A Headquarters Complex at Plant No.1 Design $163,468,000 J-126 Safety Improvements Program Construction $16,000,000 P1-128C Headquarters Complex Site Preparation Construction $2,673,000 J-127 Natural Gas Pipelines Replacement at Plant Nos.1 and No.2 Bid and Award $1,610,000 P1-129 Return Activated Sludge Piping Replacement at Activated Sludge Plant No.1 Construction $10,300,000 J-128 Project Management Information System Construction $2,280,000 P1-132 Uninterruptable Power Supply Improvements at Plant 1 Preliminary Design $7,000,000 J-131 18150 Mt.Langley Street Building Purchase and Improvement Completed $10,200,000 P1-133 Primary Sedimentation Basins No.6-31 Reliability Improvements at Plant No.1 Design $12,000,000 P1-134 South Perimeter Security and Utility Improvements at Plant No.1 Design $10,500,000 • • . • ll 1464 P1-135 Digester Ferric Chloride Piping Replacement at Plant No.1 Design $1,360,000 Location(s) Project Project Name Phase Project Budget Number Yorba Linda 2-41-8 SARI Rock Stabilizers Removal Close Out $4,860,000 TREATMENT PLANT • 2 PROJECTS • • Fullerton 2-65 Newhope-Placentia Trunk Grade Separation Replacement Close Out $4,300,000 Project Project Name Phase Project Budget Anaheim,Fullerton 2-72 Newhope-Placentia Trunk Replacement,Segment A Completed $29,090,000 Number P2-92 Sludge Dewatering and Odor Control at Plant 2 Construction $86,768,000 Anaheim 2-72B Newhope-Placentia Trunk Replacement,Segment B Construction $82,910,000 P2-92A Truck Loading Bay Odor Control at Plant 2 Completed $3,709,000 Seal Beach,Westminster 3-62 Westminster Blvd Force Main Replacement Construction $54,000,000 P2-98A A-Side Primary Clarifiers Replacement at Plant 2 Design $221,054,000 Anaheim,Buena Park,Cypress 3-64A Orange-Western Sub-Trunk Rehabilitation Bid and Award $16,890,000 P2-9813 B/C-Side Primary Clarifiers Interim Repair at Plant 2 Construction $13,645,000 Cypress,Los Alamitos,Seal Beach 3-64B Los Alamitos Trunk Sewer Rehabilitation Design $56,886,000 P2-107 SCADA System and Network Upgrades Completed $5,000,000 Cypress,La Palma,Los Alamitos 3-64C Cypress Trunk Sewer Rehabilitation-West Preliminary Design $80,210,000 P2-110 Consolidated Demolition and Utility Improvements at Plant 2 Close Out $31,000,000 Fountain Valley 3-66 Interstate 405 Widening Project Impacts on OCSD Sewers Construction $528,000 P2-118 I Activated Sludge Aeration Basin Deck Repair at Plant No.2 Completed $1,700,000 Seal Beach 3-67 Seal Beach Pump Station Replacement Preliminary Design $78,900,000 P2-122 Headworks Modifications at Plant No.2 for GWRS Final Expansion Construction $54,000,000 Newport Beach 5-67 Bay Bridge Pump Station Replacement Preliminary Design $64,000,000 P2-123 Return Activated Sludge Piping Replacement at Plant 2 Construction $20,000,000 Newport Beach 5-68 Newport Beach Pump Station Pressurization Improvements Preliminary Design $4,066,000 P2-124 Interim Food Waste Receiving Facility Design $6,300,000 Newport Beach 6-17 District 6 Trunk Sewer Relief Close Out $7,965,000 Tustin,Irvine,Santa Ana 7-37 Gisler-Red Hill Trunk Improvements-Reach B Completed $25,213,000 P2 126 Warehouse,Electrical Substation and 12kV Service Center Replacement at Plant No.2 Project Development $9,800,000 Costa Mesa,Irvine 7-65 Gisler-Red Hill Interceptor Rehabilitation Project Development $14,800,000 P2-128 TPAD Digester Facility at Plant 2 Project Development $405,100,000 Irvine,Santa Ana 7-66 Sunflower and Red Hill Interceptor Repairs Project Development $5,500,000 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 SMALL CONSTRUCTION PROJECTS • • PROJECTS(continued) Location(s) Project Project Name Phase Project Budget Location(s) Project Project Name Phase Project Budget Number Number Brea,Fullerton FE10-21 Area 02 Craig Regional Park Manhole Improvements Design $1,359,000 Plant No.2 FE18-19 12KV Distribution B and East RAS Pump Station Roofing Replacement Construction $988,000 Plant No.2 FE13-04 Plant No.2 Trickling Filter Chemical Odor Control Completed $4,853,000 Plant No.1 FE18-20 Blower Building No.1 Air Compressors at Plant No.1 Project Development $1,200,000 Plant No.2 FE14-03 Rehabilitation of Digester Mixing Pumps at P2 Digesters E,H,R,S,and T Completed $1,178,000 OCSD Service Area FE19-01 Pump Station Portable Generator Connectors Design $1,990,000 Plant No.1 FE14-05 Plant No.1 Fleet Services UST Leak Remediation Close Out $1,487,300 Plant No.1 FE19-02 Cengen Plant Water Pipe Replacement at Plant No.1 Design $2,250,000 Plant No.2 FE15-06 Gas Compressor Building Piping Replacement at Plant No.2 Completed $1,605,000 Plant No.1 FE19-03 Trickling Filter Sludge and Scum Pumps Replacement at Plant No.1 Project Development $700,000 Plant No.1 FE15-07 Secondary Treatment and Plant Water VFD Replacement at Plant 1 Close Out $3,319,600 Plant No.1 FE19-04 Sunflower Pump Replacement at Plant No.1 Design $6,300,000 Plant No.1 FE15-09 CenGen Hot Water Pipe Bracing at Plant 1 Completed $361,000 Plant No.1 FE19-05 Engineering Trailer B Car Chargers at Plant No.1 Construction $12,000 Newport Beach FE15-10 East Lido Force Main Rehabilitation Close Out $2,228,000 Plant No.2 FE19-06 EPSA Motor Cooling Improvements at Plant No.2 Design $550,000 Plant No.2 FE16-05 Buried Water Valve Support Upgrades at Plant 2 Completed $254,800 Plant No.2 FE19-08 Secondary Treatment VFD Replacements at Plant No.2 Design $3,337,000 Plant No.1 FE16-06 Fuel Cell Facilities Demolition Close Out $960,000 Fullerton FE19-09 Newhope-Placentia Trunk Grade Separation Replacement Repairs Design $500,000 Plant No.1 FE16-10 East Basin Distribution Box Repair Completed $1,013,850 Plant No.2 FE19-10 Digesters C,D,F,G and I Gas Balance Lines Replacement at Plant No.2 Design $200,000 Irvine FE16-11 Lane Channel Crossing Close Out $500,000 Plant No.1 FE19-11 Primary Clarifiers Nos.6-31 Lighting and Alarm Improvements at Plant No.1 Project Development $1,250,000 Huntington Beach FE16-14 Slater Pump Station Valve Replacements Completed $946,940 Plant No.1 FE19-12 Rebuild Shop Fume Extractor Installation at Plant No.1 Project Development $325,000 Brea FE17-01 Carbon Canyon Pipeline Sag Repairs Construction $873,000 Plant No.1 FE17-03 Battery Storage System at Plant No.1 Construction $592,000 ; Plant No.1 FE17-05 Plant No.1 ICS Network Extension Construction $950,000 gl + Newport Beach FE17-08 Big Canyon Trunk Sewer Realignment-BCCC Maintenance Yard Completed $80,750 , Fountain Valley FE18-01 Interim Relocation to 18350 Mt.Langley Completed $353,800 Plant No.2 FE18-04 Activated Sludge Basin Lighting Repair at Plant No.2 Completed $52,900 rn rl �.• Plant Nos.1 and 2 FE18-06 CenGen Instrument Air Compressors Replacement at Plant No.1 and No.2 Design $1,450,000 �f � - SantaAna FE18-08 West Trunk Bypass Sewer Realignment Construction $158,000 Fountain Valley FE18 10 Mt Langley HVAC Replacement and Upgrades Completed $573,540 \� >R z+ Plant Nos.1 and 2 FE18-11 Headworks Explosive Gas Monitoring Systems at Plant No.1 and No.2 Construction $470,000c Huntington Beach FE18-12 Erosion Control at Santa Ana River and Hamilton Ave Design $245,000 - - Santa Ana FE18-13 Redhill Relief Sewer Relocation at State Route 55 Design $1,540,000 �"" Plant No.2 FE18-14 Plant Water Pipeline Replacement in Kinnison,Lindstrom,and Scott Tunnels at Plant No.2 Design $1,425,000 , Plant No.2 FE18-15 Plant Boiler System Relief at Plant No.2 Design $180,000 Plant No.1 FE18-16 Truck Loading Basement Drain Modifications at Plant No.1 Design $440,000 -✓ _ Plant No.2 FE18-17 Trunkline Sampler Power Feed at Plant No.2 Construction $215,000 -d' Newport Beach FE18-18 Portable Generator Connector at Lido Pump Station Close Out $106,000 Plug valve being set on a flatbed truck on the East Basin Distribution Box Repair at OCSD Plant No.1. ' • CIP ANNUAL REPORT • FISCAL YEAR 2019/20 CIP ANNUAL REPORT • FISCAL YEAR 2019/20 A wars r3o-6roL of Pi re&ta-rs American Academy of Environmental Engineers and Scientists Cities Active Director Alternate Director 2020 Grand Prize Excellence in Environmental Engineering and Science,Planning Category-Climate Resiliency and Adaptation Plan Anaheim Lucille Kring Denise Barnes Brea Glenn Parker Cecilia Hupp California Water Environment Association Buena Park Fred Smith Connor Traut 2020 2nd Place Community Engagement and Outreach: Project of the Year,Large-State College Sewer Construction Outreach Program Cypress Mariellen Yarc Stacy Berry Orange County Business Council Fountain Valley Steve Nagel Patrick Harper 2019 Turning Red Tape into Red Carpeting-Interim Food Waste Receiving Facility Fullerton Jesus J.Silva Jan Flory Garden Grove Steve Jones John O'Neill Santa Ana River Basin Section of California Water Environment Association Huntington Beach Erik Peterson Lyn Semeta 2020 1st Place Community Engagement and Outreach: Project of the Year,Large-State College Sewer Construction Outreach Program Irvine Christina Shea Anthony Kuo Spotlight Award Winner-Cindy Murra,Engineer La Habra Tim Shaw Rose Espinoza La Palma Peter Kim Nitesh Patel Los Alamitos Richard Murphy Dean Grose Newport Beach Brad Avery Joy Brenner Orange Mark Murphy Kim Nichols Placentia Chad Wanke Ward Smith Santa Ana Nelida Mendoza David Penaloza - Seal Beach Sandra Massa-Lavitt Schelly Sustarsic Stanton David Shawver Carol Warren Tustin Allan Bernstein Chuck Puckett .� 1W aVIK; ,�•.-• •A- Villa Park Robert Collacott Chad Zimmerman 4 'q�ft. =ems 4 �, R ».. -_ Agencies E Costa Mesa Sanitary District James M.Ferryman Robert Ooten ?3. ',l, Midway City Sanitary District Andrew Nguyen Margie L.Rice �r Irvine Ranch Water District John Withers Douglas Reinhart w Yorba Linda Water District Brooke Jones Phil Hawkins County Areas Member of the Board of Supervisors Doug Chaffee Donald P.Wagner ��' � r i ICJ�/! -` �_. � .. ^� • i . - ./ - �' 0 �1 ,ti' is • - ^^" :� i, j op 71/ --� _ ► _ �� _ /�� / -�i tV SANIrq Reclamation Plant No.1(Administration Office 10844 Ellis Avenue • Fountain Valley,California 92708 • 714.962.24. _ �p Q Treatment Plant No.2 22212 Brookhurst Street • Huntington Beach,California 92646 ' For more information -� Email:constructionhotline@ocsd.com • Phone:714.378.2965 • www.ocsd.com FCT�N° THE EN��Qo�`� oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 BOARD OF DIRECTORS (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1233 Agenda Date: 9/23/2020 Agenda Item No: 4. FROM: James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: COMMITTEE MEETING MINUTES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the following: A. Minutes of the Operations Committee Meeting held July 1, 2020 B. Minutes of the Administration Committee Meeting held July 8, 2020 C. Minutes of the Legislative and Public Affairs Committee Meeting held July 13, 2020 D. Minutes of the Steering Committee Meeting held July 22, 2020 BACKGROUND In accordance with the Board of Directors Rules of Procedure, an accurate record of each meeting will be provided to the Directors for subsequent approval at the following meeting. RELEVANT STANDARDS • Resolution No. OCSD 19-19 ADDITIONAL INFORMATION The minutes of the Committee meeting are approved at their respective Committees and brought forth to the Board of Directors for receive and file only. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Minutes of the Monthly Committee Meetings Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM Orange County Sanitation District �, saNiryT Wednesday, July 1, 2020 Minutes for the °° �0yo 5:00 PM OPERATIONS COMMITTEE _ ��� Board Room cc Administration Building 10844 Ellis Avenue Fountain Valley, CA 92708 (714) 593-7433 rHe CALL TO ORDER A regular meeting of the Operations Committee was called to order by Committee Chair Bob Collacott on Wednesday, July 1, 2020 at 5:03 p.m. in the Administration Building of the Orange County Sanitation District. Chair Collacott stated that the meeting was being held telephonically and via audio/video teleconferencing in accordance with the Governor's Executive Order No. N-29-20, due to the Coronavirus Pandemic (COVID-19). Chair Collacott led the Flag Salute. The Clerk of the Board announced the teleconference meeting guidelines and stated that votes will be taken by roll call. ROLL CALL AND DECLARATION OF QUORUM: Roll call was taken and a quorum was declared present, as follows: PRESENT: Robert Collacott, Mariellen Yarc, Allan Bernstein, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers ABSENT: Brad Avery STAFF PRESENT: Jim Herberg, General Manager; Kelly Lore, Clerk of the Board; and Tyler Ramirez were present in the Board Room. Rob Thompson, Assistant General Manager; Lorenzo Tyner, Assistant General Manager; Celia Chandler, Director of Human Resources; Kathy Millea, Director of Engineering; Lan Wiborg, Director of Environmental Services; Brian Engeln; Tina Knapp; and Jeff Mohr were in attendance telephonically. OTHERS PRESENT: Brad Hogin, General Counsel was present in the Board Room. PUBLIC COMMENTS: None. REPORTS: Committee Chair Collacott notified the Committee that OCSD Administrative offices would be closed on Friday, July 3 in observance of the Independence Day holiday. General Manager Jim Herberg provided a brief COVID-19 update. Page 1 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 CONSENT CALENDAR: 1. APPROVAL OF MINUTES 2020-1115 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of the Operations Committee held June 3, 2020. AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 2. NATURAL GAS PIPELINES REPLACEMENT AT PLANT NOS. 1 AND 2020-1011 2, PROJECT NO. J-127 Originator: Kathy Millea MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to.- A. Receive and file Bid Tabulation and Recommendation for Natural Gas Pipelines Replacement at Plant Nos. 1 and 2, Project No. J-127; B. Reject the bid from apparent low bidder, Well Anchored Inc., as non-responsive; C. Award a Construction Contract to Innovative Construction Solutions for Natural Gas Pipelines Replacement at Plant Nos. 1 and 2, Project No. J-127, for a total amount not to exceed $745,500-1 and D. Approve a contingency of $74,550 (10%) AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 3. EXTENSION OF COVID-19 DISINFECTING JANITORIAL SERVICES 2020-1078 Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Page 2 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 Directors to.- Approve a Sole Source Purchase Order Contract Change Order to Contract P.O. 134070-OS with Gamboa Services, Inc. DBA Corporate Image Maintenance, extending the COVID-19 disinfecting janitorial services at Plant No. 1 and Plant No. 2, from August 1 , 2020 through January 31 , 2021 , for a total change order amount not to exceed $140,400, total Purchase Order contract amount not to exceed $236,250. AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 4. BLANKET PURCHASE ORDER FOR CHEVRON 5200 LOW ASH 40 2020-1097 OIL Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: A. Approve Blanket Purchase Order for the purchase of Chevron 5200 HDAX Low Ash 40 Lubricating Bulk Oil, per Specification No. C-2020-1154BD, for the period beginning August 1 , 2020 through July 31, 2021 , with four, one-year renewal options, with the following three qualified firms, for a combined total amount not to exceed $175,000 per year: 1. Dal Chem, Inc. (DBA Alexis Oil) 2. Southern Counties Lubricants, LLC 3. Southern Counties Oil Co., a CA Limited Partnership (DBA SC Fuels); and B. Approve an annual contingency of $8,750 (5%). AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 5. SERVICE CONTRACT FOR PLANT NO. 1 THICKENING AND 2020-1103 DEWATERING ODOR CONTROL CARBON CHANGE-OUTS, SPECIFICATION NO. S-2020-1155 Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Page 3 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 A. Award a Purchase Order Contract to Prominent Systems, Inc. for Plant No. 1 Thickening and Dewatering Odor Control, Carbon Change-Outs, Specification No. S-2020-1155, for a total amount not to exceed $122,758 for the period August 1, 2020 through July 31, 2021, with four, one-year renewal options; and B. Approve a contingency of$18,414 (15%). AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 6. SHALLOW REBAR REPAIR SERVICES 2020-1123 Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Approve a Purchase Order service contract to Tharsos Inc. to provide Shallow Rebar Repair Services, per Specification No. S-2020-1161 BD, for a total amount not to exceed $272,797 for the period beginning August 1, 2020 through July 31, 2021, with four, one-year renewal options; and B. Approve an annual contingency of$13,640 (5%). AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 7. PLANT NO. 1 SUNFLOWER PUMP NO. 2 GEAR DRIVE 2020-1124 REPLACEMENT Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Award a Sole Source Purchase Order Contract to Nuttall Gear for the purchase of a Nuttall Gear Drive T/25 unit for Plant No. 1 Sunflower Pump Station, for a total amount not to exceed $198,610, plus applicable tax and freight, and B. Approve a contingency of$9,931 (5%). Page 4 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None 8. REHABILITATION OF SIXTEEN RECTANGULAR CLARIFIERS AT 2020-1125 PLANT NO. 1 Originator: Rob Thompson MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Award a service contract to J.R. Filanc Construction Company, Inc. for the mechanical rehabilitation and overhaul of sixteen rectangular primary clarifier tanks at Plant No. 1 , Specification No. S-2020-1148BD, for a total amount not to exceed $1 ,319,313; and B. Approve a contingency of $131 ,932 (10%). AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery, Allan Bernstein and Sandra Massa-Lavitt ABSTENTIONS: None Director Massa-Lavitt arrived at the meeting at 5:12 p.m. NON-CONSENT: 9. HEADWORKS REHABILITATION AT PLANT NO. 1, PROJECT NO. 2020-1010 P1-105 Originator: Kathy Millea Director of Engineering Kathy Millea provided a PowerPoint presentation which described the necessity for the sole source. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Page 5 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 Adopt Resolution No. OCSD 20-XX entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District, making findings pursuant to Public Contract Code Section 3400 in support of the sole source specification of SUEZ Water Technologies & Solutions for refurbishing four existing bar screens and for furnishing two new bar screens for Headworks Rehabilitation at Plant No. 1, Project No. P1-105". AYES: Robert Collacott, Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery and Allan Bernstein ABSTENTIONS: None Director Allan Bernstein arrived at the meeting at 5:17 p.m. 10. HEADWORKS REHABILITATION AT PLANT NO. 1, PROJECT NO. 2019-832 P1-105 Originator: Kathy Millea Director of Engineering Kathy Millea provided a PowerPoint presentation which described the need for the sole source. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Adopt Resolution No. OCSD 20-XX entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District, making findings pursuant to Public Contract Code Section 3400 in support of the sole source specification of Huber Technology for grit washing and dewatering systems for Headworks Rehabilitation at Plant No. 1, Project No. P1-105". AYES: Robert Collacott, Mariellen Yarc, Allan Bernstein, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery ABSTENTIONS: None 11. A-SIDE PRIMARY TREATMENT CLARIFIERS REPLACEMENT AT 2020-1012 PLANT NO. 2, PROJECT NO. P2-98A Originator: Kathy Millea Director of Engineering Kathy Millea provided a PowerPoint presentation which described the need for the sole source, and responded to questions from the Commtitee. Page 6 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Adopt Resolution No. OCSD 20-XX entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District, making findings pursuant to Public Contract Code Section 3400 in support of the Sole Source Specification of Hallsten Corporation, manufacturer of Truss Supported Flat Aluminum Covers for A-Side Primary Clarifiers Replacement at Plant No. 2, Project No. P2-98A, as part of Primary Treatment Rehabilitation at Plant No. 2, Project No. P2-98". AYES: Robert Collacott, Mariellen Yarc, Allan Bernstein, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery ABSTENTIONS: None Director Bernstein departed the meeting at 5:30 p.m. 12. TPAD DIGESTER FACILITY AT PLANT NO. 2, PROJECT NO. P2-128 2020-1013 Originator: Kathy Millea Director of Engineering Kathy Millea provided an informative PowerPoint presentation and responded to questions from the Committee. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: A. Approve a Professional Design Services Agreement with Brown and Caldwell to provide engineering services for Temperature Phased Anaerobic Digestion (TPAD) Digester Facility at Plant No. 2, Project No. P2-128, for an amount not to exceed $39,300,000; and B. Approve a contingency of $3,930,000 (10%). AYES: Mariellen Yarc, Doug Chaffee, Brooke Jones, Steve Jones, Lucille Kring, Sandra Massa-Lavitt, Nelida Mendoza, Jesus Silva, Fred Smith, David Shawver and John Withers NOES: None ABSENT: Brad Avery and Allan Bernstein ABSTENTIONS: None RECUSED: Robert Collacott Page 7 of 8 OPERATIONS COMMITTEE Minutes July 1, 2020 INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: None. CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: Chair Collacott requested an update on the Food Waste Processing Facility project. Board Chair David Shawver wished everyone a Happy 4th of July! ADJOURNMENT: Chair Collacott declared the meeting adjourned at 5:43 p.m. to the meeting to be held on Wednesday, September 2, 2020 at 5:00 p.m. Submitted by: Kelly A. Lo e, MMC Clerk of We Board Page 8of8 Orange County Sanitation District V�Nj SANIT,gT�o Wednesday, July 8, 2020 Minutes for the moo° �o, 5:00 PM ADMINISTRATION COMMITTEE _ Board Room Administration Building 10844 Ellis Avenue 9 2 Fountain Valley, CA 92708 o�Fcr,HG �Nv\Po�g� (714) 593-7433 rHe CALL TO ORDER A regular meeting of the Administration Committee was called to order by Committee Chair Chad Wanke on Wednesday, July 8, 2020 at 5:00 p.m. in the Administration Building of the Orange County Sanitation District. Chair Wanke stated that the meeting was being held telephonically and via audio/video teleconferencing in accordance with the Governor's Executive Order No. N-29-20, due to the Coronavirus Pandemic (COVID-19). Director Ferryman led the Flag Salute. The Clerk of the Board announced the teleconference meeting guidelines and stated that votes will be taken by roll call. ROLL CALL & DECLARATION OF QUORUM: Roll call was taken and a quorum was declared present, as follows: PRESENT: Chad Wanke, Richard Murphy, James Ferryman, Peter Kim, Mark Murphy, Steve Nagel, Andrew Nguyen, Erik Peterson, Tim Shaw, Christina Shea, David Shawver and John Withers ABSENT: Glenn Parker STAFF PRESENT: Jim Herberg, General Manager; Kelly Lore, Clerk of the Board; and Tyler Ramirez were present in the Board Room. Rob Thompson, Assistant General Manager; Lorenzo Tyner, Assistant General Manager; Celia Chandler, Director of Human Resources; Kathy Millea, Director of Engineering; Lan Wiborg, Director of Environmental Services; Janine Aguilar; Stephanie Barron; Jennifer Cabral; Brian Engeln; Tina Knapp; Laura Maravilla; Wally Ritchie; and Eros Yong were in attendance telephonically. OTHERS PRESENT: Brad Hogin, General Counsel was present in the Board Room. PUBLIC COMMENTS: None. REPORTS: Chair Wanke did not provide a report. General Manager Jim Herberg announced that the first OCSD Virtual Plant Tours will be held on July 16 at 10:00 a.m. and on July 21 at 100 p.m. and asked that Directors contact the Clerk of the Board if interested in participating. Page 1 of 5 ADMINISTRATION Minutes July 8, 2020 COMMITTEE Assistant General Manager Lorenzo Tyner stated that staff is investigating a 115 Pension Trust account and will bring back additional information and/or a recommendation to the Committee in September. CONSENT CALENDAR: 1. APPROVAL OF MINUTES 2020-1075 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of the Administration Committee held June 10, 2020. AYES: Chad Wanke, Richard Murphy, James Ferryman, Peter Kim, Mark Murphy, Steve Nagel, Andrew Nguyen, Erik Peterson, Tim Shaw, Christina Shea, David Shawver and John Withers NOES: None ABSENT: Glenn Parker ABSTENTIONS: None 2. PROPERTY MANAGEMENT SERVICES FOR 18350 MT. LANGLEY 2020-1148 STREET AND 18368-18375-18381-18384 BANDILIER CIRCLE, FOUNTAIN VALLEY Originator: Lorenzo Tyner MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Approve Amendment No. 4 of the sole source agreement with The Muller Company for Property Management Services for 18350 Mt. Langley Street and 18368- 18375- 18381- 18384 Bandilier Circle in Fountain Valley for the period of September 1 , 2020 through June 30, 2021 for a management fee of $3,200 per month plus other incurred expenses, including an additional renewal period of six months. AYES: Chad Wanke, Richard Murphy, James Ferryman, Peter Kim, Mark Murphy, Steve Nagel, Andrew Nguyen, Erik Peterson, Tim Shaw, Christina Shea, David Shawver and John Withers NOES: None ABSENT: Glenn Parker ABSTENTIONS: None Page 2 of 5 ADMINISTRATION Minutes July 8, 2020 COMMITTEE NON-CONSENT: 3. GENERAL MANAGER AUTHORITY TO TERMINATE LEASE 2020-1149 AGREEMENTS AT 18350 MT. LANGLEY STREET AND 18368 BANDILIER CIRCLE, FOUNTAIN VALLEY Originator: Lorenzo Tyner Mr. Tyner provided a brief introduction to the item and responded to questions from the Committee. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Authorize the General Manager to terminate lease agreements at his discretion for the following tenants at 18350 Mt. Langley Street and 18368 Bandilier Circle in Fountain Valley, for the period of July 1, 2020 through June 30, 2021: Lessee Property Suites Expiration Kroll/On Track 18350 Mt. Langley Street 110 06/30/2021 Western Youth Services 18350 Mt. Langley Street 200, 206, 215, 220 05/30/2021 Atlantic-Pacific Processing 18350 Mt. Langley Street 205, 210 11/30/2021 United Family 18350 Mt. Langley Street 209 03/04/2021 De La Rosa Maintenance 18368 Bandilier Circle 01/31/2023 Contractors AYES: Chad Wanke, Richard Murphy, James Ferryman, Peter Kim, Mark Murphy, Steve Nagel, Andrew Nguyen, Erik Peterson, Tim Shaw, Christina Shea, David Shawver and John Withers NOES: None ABSENT: Glenn Parker ABSTENTIONS: None 4. 2021 BENEFITS INSURANCE RENEWAL 2020-1130 Originator: Celia Chandler Director of Human Resources Celia Chandler provided an overview of the proposed benefits insurance renewals. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Page 3 of 5 ADMINISTRATION Minutes July 8, 2020 COMMITTEE Approve the Orange County Sanitation District 2021 Benefits Insurance Renewal for the amount of $12,953,965 for active employees and $958,858 for retiree-paid health premiums, for an overall not-to-exceed amount of $13,912,823, as specified below: A. WORKTERRA (medical, dental, and vision plans; and Employee Assistance Program [EAP]) - Not to Exceed $12,184,838; B. Prudential (basic life, short- and long-term disability) - Not to Exceed $718,480; C. The Standard (EMT & Manager disability) - Not to Exceed $30,000; D. BenefitWallet (Health Savings Accounts [HSA]) - Not to Exceed $20,647; E. WORKTERRA (additional retiree costs, recouped from retirees through premium payments) - Not to Exceed $958,858; and F. Approve a contingency of$695,641 (5%). AYES: Chad Wanke, Richard Murphy, James Ferryman, Peter Kim, Mark Murphy, Steve Nagel, Andrew Nguyen, Erik Peterson, Tim Shaw, Christina Shea, David Shawver and John Withers NOES: None ABSENT: Glenn Parker ABSTENTIONS: None INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: None. CLOSED SESSION: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: Board Chair Shawver expressed condolences to Director Ferryman on the recent loss of his son and to Director Shaw on the recent loss of his brother. Well wishes were also provided to Director Shea on behalf of her daughter who is currently fighting COVID-19. Page 4 of 5 ADMINISTRATION Minutes July 8, 2020 COMMITTEE BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: None. ADJOURNMENT: Chair Wanke declared the meeting adjourned at 5:25 p.m. to the Regular meeting to be held on Wednesday, September 9, 2020 at 5:00 p.m. S"ed, ell: A. L, re, MMC Clerk of the Board Page 5 of 5 Orange County Sanitation District oNI,V SA N—1,- Monday, July 13, 2020 Minutes for the = o° o ho�� 3:30 PM LEGISLATIVE AND PUBLIC A Board Room AFFAIRS COMMITTEE o Administration Building 10844 Ellis Avenue 9 Fountain Valley, CA 92708 oT �� F o� (714) 593-7433 cT/N� THE ENV\Q CALL TO ORDER A regular meeting of the Legislative and Public Affairs Committee was called to order by Committee Chair Peter Kim on Monday, July 13, 2020 at 3:31 p.m. in the Administration Building of the Orange County Sanitation District. Chair Kim stated that the meeting was being held telephonically and via audio/video teleconferencing in accordance with the Governor's Executive Order No. N-29-20, due to the Coronavirus Pandemic (COVID-19). Chair Kim led the Flag Salute. The Clerk of the Board announced the teleconference meeting guidelines and stated that votes will be taken by roll call. ROLL CALL AND DECLARATION OF QUORUM: Roll call was taken and a quorum was declared present, as follows: PRESENT: Peter Kim, Allan Bernstein, Lucille Kring, Erik Peterson, Christina Shea, David Shawver and John Withers ABSENT: None Herberg, General Manager; Kelly Lore, Clerk of the Board; and Tyler Ramirez were present in the Board Room. Rob Thompson, Assistant General Manager; Lorenzo Tyner, Assistant General Manager; Celia Chandler, Director of Human Resources; Kathy Millea, Director of Engineering; Lan Wiborg, Director of Environmental Services; Jennifer Cabral; Tanya Chong; Daisy Covarrubias; Brian Engeln; Lisa Frigo; Mark Kawamoto; Tina Knapp; Rebecca Long; Laura Maravilla; Joshua Martinez; Kelly Newell; and Tyler Ramirez were in attendance telephonically. OTHERS PRESENT: Brad Hogin, General Counsel was present in the Board Room. Eric Sapirstein, ENS Resources; Eric O'Donnell, Townsend Public Affairs (TPA); and Cori Takkinen, TPA were in attendance telephonically. PUBLIC COMMENTS: None. REPORTS: Chair Kim and General Manager Jim Herberg did not provide a report. Page 1 of 4 LEGISLATIVE AND PUBLIC Minutes July 13, 2020 AFFAIRS COMMITTEE CONSENT CALENDAR: 1. APPROVAL OF MINUTES 2020-984 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of the Legislative and Public Affairs Committee held March 9, 2020. AYES: Peter Kim, Lucille Kring, Erik Peterson, Christina Shea, David Shawver and John Withers NOES: None ABSENT: Allan Bernstein ABSTENTIONS: None Director Bernstein arrived at the meeting at 3:37 p.m. NON-CONSENT: 2. PUBLIC AFFAIRS UPDATE FOR THE MONTHS OF MARCH 2O20-1134 THROUGH JUNE 2020 Originator: Jim Herberg Administration Manager Jennifer Cabral provided the Public Affairs Update and Senior Public Affairs Specialist Rebecca Long provided a demonstration of OCSD's Virtual Tour that will take place on July 16 and 21. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Public Affairs Update for the months of March through June 2020. AYES: Peter Kim, Allan Bernstein, Lucille Kring, Erik Peterson, Christina Shea, David Shawver and John Withers NOES: None ABSENT: None ABSTENTIONS: None 3. PUBLIC AFFAIRS STRATEGIC PLAN FOR FISCAL YEARS 2020-2022 2020-1146 Originator: Jim Herberg Principal Public Affairs Specialist Daisy Covarrubias provided a PowerPoint presentation on the Public Affairs Strategic Plan FY 2020-2022 which included: an introduction to Public Affairs staff and roles, a two-year review of recent Page 2 of 4 LEGISLATIVE AND PUBLIC Minutes July 13, 2020 AFFAIRS COMMITTEE accomplishments, an overview of the current program, and a detailed plan for the next two years. MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Approve the Public Affairs Strategic Plan for Fiscal Years 2020 - 2022. 4. LEGISLATIVE AFFAIRS UPDATE FOR THE MONTHS OF MARCH 2O20-1147 THROUGH JUNE 2020 Originator: Jim Herberg Ms. Long introduced Eric Sapirstein, ENS Resources, who provided a PowerPoint presentation on the following key federal legislative activities: COVID-19 Relief (HEROES Act), Infrastructure Assistance, and Fiscal Year 2021 Appropriations. Eric O'Donnell, TPA, provided a PowerPoint presentation which included: an updated legislative schedule; FY 2020-2021 State budget; CARES Act Money; State COVID-19 response and re-opening; legislative update and priority legislation including AB 1672 (Bloom), AB2560 (Quirk), SB 931 (Wieckowski), SB 996 (Portantino), SB 1056 (Portantino), AB 2762, and AB 3163 (Salas). MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to: Receive and file the Legislative Affairs Update for the months of March through June 2020. AYES: Peter Kim, Allan Bernstein, Lucille Kring, Erik Peterson, Christina Shea, David Shawver and John Withers NOES: None ABSENT: None ABSTENTIONS: None INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: None. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. Page 3 of 4 LEGISLATIVE AND PUBLIC Minutes July 13, 2020 AFFAIRS COMMITTEE BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: None. ADJOURNMENT: Committee Chair Kim declared the meeting adjourned at 4:43 p.m. to the next Legislative and Public Affairs Committee meeting, Monday, September 14, 2020 at 12:00 p.m. Sub. itted by: Kell' A. V re, MM Cle k oft e Board Page 4 of 4 Orange County Sanitation District oNjv saruirgT�o Wednesday, July 22, 2020 Minutes for the �°° yo, 5:00 PM STEERING COMMITTEE 2 Board Room r p Administration Building 10844 Ellis Avenue 9 a Fountain Valley, CA 92708 oT�cTiNG N��P°a�� (714) 593-7433 rHe E CALL TO ORDER A regular meeting of the Steering Committee of the Orange County Sanitation District was called to order by Board Chairman David Shawver on Wednesday, July 22, 2020 at 5:05 p.m. in the Administration Building of the Orange County Sanitation District. Chair Shawver stated that the meeting was being held telephonically and via audio/video teleconferencing in accordance with the Governor's Executive Order No. N-29-20, due to the Coronavirus Pandemic (COVID-19). The Clerk of the Board announced the teleconference meeting guidelines and stated that votes will be taken by roll call. ROLL CALL AND DECLARATION OF QUORUM: A quorum was declared present, as follows: PRESENT: David Shawver, John Withers, Robert Collacott, Peter Kim, Glenn Parker, Tim Shaw and Chad Wanke ABSENT: None STAFF MEMBERS PRESENT: Jim Herberg, General Manager; Kelly Lore, Clerk of the Board; Al Garcia, and Tyler Ramirez were present in the Board Room; Assistant General Manager Lorenzo Tyner, Assistant General Manager Rob Thompson, Director of Engineering Kathy Millea, Director of Environmental Services Lan Wiborg, Director of Human Resources Celia Chandler, Tom Grant, Laurie Klinger,Tina Knapp, Laura Maravilla, and Jeff Mohr participated telephonically. OTHERS PRESENT: Brad Hogin (General Counsel) was present in the Board Room. PUBLIC COMMENTS: None. REPORTS: Chair Shawver announced that the Operations, Administration, and Legislative and Public Affairs Committee meetings would be dark in August. The Steering Committee and Board of Directors meetings will be held telephonically on their regularly scheduled date and time. General Manager Jim Herberg provided information regarding his comprehensive COVID-19 weekly update during the pandemic. He stated that operations remain stable and steady, but, unfortunately, there have been additional staff cases of COVID-19, bringing the total to eight Page 1 of 4 STEERING COMMITTEE Minutes July 22, 2020 employees. Of the eight, five have returned to work after being cleared by their physician and OCSD. Mr. Herberg stated that safeguarding the health and well-being of our employees continues to be his highest priority. CONSENT CALENDAR: 1. APPROVAL OF MINUTES 2020-1090 Originator: Kelly Lore MOVED, SECONDED, AND DULY CARRIED TO: Approve Minutes of the Regular Meeting of June 24, 2020. AYES: David Shawver, Robert Collacott, Peter Kim, Glenn Parker, Tim Shaw and Chad Wanke NOES: None ABSENT: John Withers ABSTENTIONS: None 2. JOINT POWERS AGREEMENT, SOUTHERN CALIFORNIA COASTAL 2020-985 WATER RESEARCH PROJECT AUTHORITY (SCCWRP) Originator: Jim Herberg MOVED, SECONDED, AND DULY CARRIED TO: Recommend to the Board of Directors to.- A. Adopt Resolution No. OCSD 20-04 entitled, "A Resolution of the Board of Directors of the Orange County Sanitation District approving the Tenth Amended Joint Powers Agreement confirming the creation of the agency known as Southern California Coastal Water Research Project Authority (SCCWRP), providing for continuation of SCCWRP for five years from July 1, 2021 through June 30, 2026", and B. Approve annual funding in the amount of $515,000 for FY 2021/22; $530,450 for FY 2022/23; $546,363 for FY 2023/24; $562,754 for FY 2024/25; and $579,637 for FY 2025/26. AYES: David Shawver, Robert Collacott, Peter Kim, Glenn Parker, Tim Shaw and Chad Wanke NOES: None ABSENT: John Withers ABSTENTIONS: None Board Vice-Chair Withers arrived at the meeting at 5:14 p.m. Page 2 of 4 STEERING COMMITTEE Minutes July 22, 2020 NON-CONSENT: 3. GENERAL MANAGER'S FISCAL YEAR 2020-21 DRAFT WORK PLAN 2020-1167 Originator: Jim Herberg Mr. Herberg provided an overview of his 2020-21 Draft Work Plan. MOVED, SECONDED, AND DULY CARRIED TO: Receive and file the General Manager's Fiscal Year 2020-21 Draft Work Plan. INFORMATION ITEMS: None. DEPARTMENT HEAD REPORTS: None. CLOSED SESSION: CONVENED IN CLOSED SESSION PURSUANT TO GOVERNMENT CODE SECTIONS 54956.9(d)(1), 54956.9(d)(4) & 54957(b)(1): The Committee convened in closed session at 5:17 p.m. to discuss two items. Item No. CS-1 was not heard. Confidential minutes of the Closed Sessions have been prepared in accordance with the above Government Code Sections and are maintained by the Clerk of the Board in the Official Book of Confidential Minutes of Board and Committee Closed Session Meetings. CS-1 CONFERENCE WITH LEGAL COUNSEL RE EXISTING LITIGATION - 2020-1166 GOVERNMENT CODE SECTION 54956.9(D)(1) ITEM NOT HEARD. Number of Cases: 1 Victor Garcia vs. OCSD, Workers Compensation Appeals Board Case No. WC648C32852 CS-2 CONFERENCE WITH LEGAL COUNSEL RE ANTICIPATED 2020-1165 LITIGATION - GOVERNMENT CODE SECTION 54956.9(d)(4) CONVENED IN CLOSED SESSION: Page 3 of 4 STEERING COMMITTEE Minutes July 22, 2020 Number of Potential Cases: 1 Initiation of litigation regarding development fees and conditions at Project OCSD Headquarters Building: City of Fountain Valley CS-3 PUBLIC EMPLOYEE PERFORMANCE EVALUATION 54957(b)(1) 2020-1164 CONVENED IN CLOSED SESSION: Public Employee Performance Evaluation Number of Employees: 1 • General Manager RECONVENED IN REGULAR SESSION. The Committee reconvened in regular session at 6:00 p.m. CONSIDERATION OF ACTION, IF ANY, ON MATTERS CONSIDERED IN CLOSED SESSION: General Counsel Brad Hogin did not provide a report. OTHER BUSINESS AND COMMUNICATIONS OR SUPPLEMENTAL AGENDA ITEMS, IF ANY: None. BOARD OF DIRECTORS INITIATED ITEMS FOR A FUTURE MEETING: None. ADJOURNMENT: Chair Shawver declared the meeting adjourned at 6:00 p.m. to the next Steering Committee meeting to be held on Wednesday, August 26, 2020 at 5:00 p.m. Submitted by: <<F Keller A. Lo e, MC Clefk of thoer Board Page 4 of 4 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1239 Agenda Date: 9/23/2020 Agenda Item No: 5. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: CAPITAL IMPROVEMENT PROGRAM CONTRACT PERFORMANCE REPORT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the Capital Improvement Program Contract Performance Report for the period ending June 30, 2020. BACKGROUND The Capital Improvement Program involves awarding and managing many construction and consulting contracts. In 2008, the Orange County Sanitation District Board of Directors began awarding contingencies along with construction and consulting contracts and amendments for consulting contracts up to the amount of the approved contingency. This practice reduces administrative costs, expedites resolution of project issues that arise, helps avoid Contractor delay claims, and facilitates efficient management of many contracts. The Capital Improvement Program Contract Performance Report summarizes construction and consulting contract performance and activities for the quarter ending June 30, 2020. This report is updated quarterly. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Capital Improvement Program Contract Performance Report for the period ending June 30, 2020 Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report 9ojFC oa��� For the period ending June 30, 2020 lNC 7NE EN�\P DATE: August 18, 2020 TO: Orange County Sanitation District Board of Directors FROM: James D. Herberg, General Manager Through: Kathy Millea, Director of Engineering This report summarizes the status, activities, and performance of public works construction contracts and consultant agreements. This report also identifies the names and status of projects being performed under master budgets for planning studies, research, small construction projects, O&M capital projects, and information technology projects. Table of Contents Part 1 — Construction Contracts page 2 Active Construction Contracts Construction Contracts Closed in Last Quarter Cumulative Change Order Rates — Closed Construction Contracts Part 2 — Engineering Services Agreements page 7 Active Engineering Services Agreements Active Task Orders by Master Agreement Part 3 - Master Budget Projects page 11 Planning Studies Status Report Research Program Status Report Small Construction Projects Program Status Report Information Technology Capital Program Status Report Operations and Maintenance Capital Program Status Report Part 4 - Supplemental Engineering Services Contract page 17 Supplemental Engineering Services Contract Status Supplemental Engineering Services Contract Labor Summary Page 1 "`" SA"" /°a ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report For the period ending June 30, 2020 TM1,s THE E PART 1 - CONSTRUCTION CONTRACTS Table 1 lists the construction contracts active as of June 30, 2020. The graph below shows the number and total value of projects broken down plant and collections. Active Construction Contracts Plant Projects Collections Projects 20 Contracts 5 Contracts $199 million $88 million Three construction contracts were closed in this quarter, as listed in Table 2. Page 2 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 1-Active Construction Contracts Current Award Board Award Contract Original Current Contingency Contingency Project/Contract Contractor Date Amount Change Orders Amount Contingency Contingency Used Remaining 2-72 Newhope-Placentia Trunk Replacement 2-72B Newhope-Placentia Trunk Replacement,Segment B OHL USA,INC. 06/15/2018 $58,242,000 $1,524,368 $59,766,368 6.5% 6.5% 2.6% 3.9% 3-62 Westminster Blvd Force Main Replacement 3-62 Westminster Blvd Force Main Replacement Teichert Energy&Utilities Group, 12/18/2019 $27,743,000 $0 $27,743,000 10.0% 10.0% 0.0% 10.0% Inc. J-117 Ocean Outfall System Rehabilitation J-117B Outfall Low Flow Pump Station Shimmick Construction Co.,Inc. 12/19/2018 $90,200,000 $176,877 $90,376,877 8.0% 8.0% 0.2% 7.8% J-126 Safety Improvements Program J-126C NFPA 820 HVAC and Electrical Improvements MMC,Inc. 03/05/2019 $469,000 $0 $469,000 10.0% 10.0% 0.0% 10.0% J-126JK Stairs,Hatches,Walkway Hazards,Ladders,Guardrails, Olsson Construction,Inc. 10/24/2018 $3,637,601 $917 $3,638,518 10.0% 10.0% 0.0% 10.0% Roof Fall Protection J-126PQ Ladders,Hatches,Roof Fall Protection Tharsos,Inc. 10/24/2018 $786,000 $19,905 $786,000 10.0% 10.0% 2.5% 7.5% M-FE Small Construction Projects Program FE17-01 Carbon Canyon Pipeline Sag Repairs Mike Prlich and Sons,Inc. 10/02/2019 $510,000 $0 $510,000 10.0% 10.0% 0.0% 10.0% FE18-11 Headworks Explosive Gas Monitoring Systems at Plant Baker Electric 01/22/2020 $223,984 $0 $223,984 10.0% 10.0% 0.0% 10.0% No.1 and No.2 FE18-17 Trunkline Sampler Power Feed at Plant No 2 M.Brey Electric,Inc. 03/25/2020 $101,050 $0 $101,050 20.0% 20.0% 0.0% 20.0% FE18-18 Portable Generator Connector at Lido Pump Station M.Brey Electric,Inc. 09/17/2019 $42,285 $0 $42,285 20.0% 20.0% 0.0% 20.0% - FE18-19 12KV Distribution B and East RAS Pump Station Roofing O'Connell Engineering& 05/27/2020 $674,800 $0 $674,800 10.0% 10.0% 0.0% 10.0% (a Replacement Construction,Inc. CD M-FR-820 Master Operationally Funded FE17-06 Tustin Ave Manhole and Pipe Repair Nuline Technologies,LLC 10/24/2019 $350,000 $0 $350,000 10.0% 10.0% 0.0% 10.0% M-FR-880 Master Operationally Funded MP-105 P2 CENGEN Steam Turbine Rehabilitation Dresser-Rand 03/25/2018 **$484,220 $0 $484,220 20.0% 2.5% 0.0% 2.5% MP-248 P2 Secondary Clarifier Repairs(AS Plant) W.M.Lyles Company 06/26/2019 $3,048,000 $42,255 $3,090,255 10.0% 10.0% 1.4% 8.6% MP-509 P2 Headworks Low Voltage Cable Assessment Mass Electric Construction Co. 12/18/2019 $434,327 $0 $434,327 20.0% 20.0% 0.0% 20.0% MP-638 Activated Sludge Plant Clarifier Inlet Gate Replacement Innovative Construction Solutions 12/18/2019 $658,300 $0 $658,300 10.0% 10.0% 0.0% 10.0% at Plant No.2 M-SM-CAP Operations&Maintenance Capital Program SC17-03 CenGen Oil Filter Platform Metro Builders&Engineers Group, 12/04/2019 $134,479 $10,968 $134,479 10.0% 10.0% 8.2% 1.8% Ltd. P1-115 Title 24 Access Compliance and Building Rehabilitation Project P1-115B Rehabilitation of Fleet Services Building,Building 8 and ODC Engineering&Technology 09/11/2017 $2,235,563 $61,194 $2,296,757 10.0% 10.0% 2.7% 7.3% Paving Area P1-128 Headquarters Complex P1-128C Headquarters Complex Site Preparation Resource Environmental,Inc. 6/24/2020 $1,555,000 $0 $1,555,000 10.0% 10.0% 0.0% 10.0% P1-129 Return Activated Sludge Piping Replacement at Activated Sludge Plant No.1 P1-129 Return Activated Sludge Piping Replacement at Abhe&Svoboda,Inc. 07/24/2019 $6,863,092 $0 $6,863,092 10.0% 10.0% 0.0% 10.0% Activated Sludge Plant No.1 P2-122 Headworks Modifications at Plant No.2 for GWRS Final Expansion P2-122 Headworks Modifications at Plant No.2 for GWRS Final Shimmick Construction Co.,Inc. 01/22/2020 $14,487,735 $0 $14,487,735 10.0% 10.0% 0.0% 10.0% Expansion Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 1-Active Construction Contracts Current Award Board Award Contract Original Current Contingency Contingency Project/Contract Contractor Date Amount Change Orders Amount Contingency Contingency Used Remaining P2-123 Return Activated Sludge Piping Replacement at Plant 2 P2-123 Return Activated Sludge Piping Replacement at Plant 2 Shimmick Construction Co.,Inc. 09/25/2019 $6,042,110 $0 $6,042,110 10.0% 10.0% 0.0% 10.0% P2-92 Sludge Dewatering and Odor Control at Plant 2 P2-92 Sludge Dewatering and Odor Control at Plant 2 Shimmick Construction Co.,Inc. 01/12/2015 $49,850,000 $2,530,887 $52,380,887 5.0% 6.0% 5.1% 0.9% 132-98 Primary Treatment Rehabilitation at Plant No.2 P2-986 B/C-Side Primary Clarifiers Interim Repair at Plant 2 Myers&Sons Construction,LLC 01/23/2019 $8,665,000 $38,833 $8,703,833 10.0% 10.0% 0.4% 9.6% M-FR-870 Master Operationally Funded MP-276 Central Generation Engine Overhauls at Plant No.1 and UPS Midstream Services,Inc. 10/23/2019 $5,636,335 $0 $5,636,335 20.0% 20.0% 0.0% 20.0% Plant No.2 Total $283,073,8811 $4,406,2041 $287,449,212 **Original Award was$245,424,and later amended to$484,220 with a contingency reduction by Board Action on 4/22/20 N A Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 2-Construction Contracts Closed in Last Quarter Date Board Award Final Contract Original Current Contingency Unused Project/Contract Contractor Closed Award Date Amount Change Orders Amount Contingency Contingency Used Contingency 2-41-8 SARI Rock Stabilizers Removal 2-41-8 SARI Rock Stabilizers Removal Griffith Company 6/16/2020 09/26/2018 $2,809,082 ($504,812) $2,304,270 10.0% 10.0% 0.0% 10.0% M-FIE Small Construction Projects Program FE16-06 Fuel Cell Facilities Demolition MMC,Inc. 6/2/2020 07/24/2019 $474,000 $7,337 $481,337 10.0% 10.0% 1.5% 8.5% FE17-05 Plant 1ICS Network Extension RP Controls 6/2/2020 06/26/2019 $321,889 $11,942 $333,831 10.0% 10.0% 3.7% 6.3% P1-101 Sludge Dewatering and Odor Control at Plant 1 31-101 Sludge Dewatering and Odor Control at Plant WM Lyles Company 11/28/2012 4/28/2020 $126,908,300 $12,863,644 $139,771,944 3.0% 11.5% 10.1% 1.4% 1 P2-110 Consolidated Demolition and Utility Improvements at Plant 2 32-110 Consolidated Demolition and Utility Flatiron West Inc 4/15/2020 02/09/2017 $16,730,000 $1,466,522 $18,196,522 8.0% 13.0% 8.8% 4.2% Improvements at Plant 2 Total $147,243,271 $13,844,633 $161,087,904 N M "`" SA"" /°a ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report For the period ending June 30, 2020 TM1,s THE E When the Sanitation District Board awards a construction contract, they also approve a contingency which allows the General Manager to approve contract change orders up to the amount of the contingency. One purpose of this report is to document how much of the contingency is utilized. A contract's change order rate is only meaningful when the work is completed. As such, the change order performance charts in this report are based only on contracts closed since the Board began approving contingencies in 2008. The following chart shows how cumulative change order rates have changed for plant, collections, and all contracts since the contingency system was implemented. Cumulative Change Order Rates Closed Construction Contracts -All Collections Plant 2.00% 0.00'/O o o o o o o o o o o o o o a a a a Cr a Cr a Cr a Cr a Cr a Cr a Cr a Cr a Cr a Cr a Cr Cr Page 6 ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report 9ojFC oa��� For the period ending June 30, 2020 lNC 7NE EN�\P PART 2 — ENGINEERING SERVICES AGREEMENTS The Sanitation District engages engineering consultants through Professional Service Agreements (PSAs), Professional Design Services Agreements (PDSAs), Professional Construction Services Agreements (PCSAs), and Master Professional Services Agreements (Master Agreements). PDSAs are used to obtain design engineering services, and PCSAs are a subsequent agreement with the design consultant to provide support services during construction. PSAs are used for planning studies and other consultant assignments. Master Agreements are issued to a pool of pre-qualified consultants for smaller projects. On those smaller projects, the Sanitation District solicits task order proposals from three or four of the firms and awards a task order to the most qualified consultant. There are currently six sets of Master Agreements. • 2012 Master Design Agreements (expired) • 2015 Master Design Agreements (expired) • 2018 Master Design Agreements • 2017 Master Agreements for CEQA Studies • 2017 Master Agreements for Collection Planning Studies • 2017 Master Agreements for Wastewater Treatment Planning Studies The two Master Design Agreements from 2012, and 2015 have expired, meaning no new task orders can be issued under them, but previously-issued task orders remain active until completed. Task Orders are limited by Sanitation District Ordinance No. OCSD-52 $300,000 per task order. A status table for all Active Engineering Services Agreements (PDSAs and PCSAs) is attached under Table 3, and a status table for all Active Task Orders by Master Agreement is attached under Table 4 (Master Agreements). Page 7 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 3-Active Engineering Services Agreements Award Board Award Current Contract Original Current Contingency Contingency Project Contract Type Consultant Date Amount Amendments Amount Contingency Contingency Used Remaining 2-41-8 SARI Rock Stabilizers Removal 2-41-8 SARI Rock Stabilizers Removal PCSA Michael Baker International,Inc. 09/26/2018 $215,129 $0 $215,129 10.0% 10.0% 0.0% 10.0% 2-72 Newhope-Placentia Trunk Replacement 2-72 Newhope-Placentia Trunk Replacement PCSA Lee&Ro 03/23/2016 $3,253,946 $0 $3,253,946 10.0% 10.0% 0.0% 10.0% 3-62 Westminster Blvd Force Main Replacement 3-62 Westminster Blvd Force Main Replacement PCSA Stantec Consulting Services,Inc. 12/18/2019 $1,183,000 $0 $1,183,000 10.0% 10.0% 0.0% 10.0% 3-62 Westminster Blvd Force Main Replacement PDSA Stantec Consulting Services,Inc. 07/22/2015 $6,917,175 -$1,339,457 $5,577,718 10.0% 10.0% 0.0% 10.0% 3-64 Rehabilitation of Western Regional Sewers 3-64 Rehabilitation of Western Regional Sewers PDSA AECOM Technical Services,Inc. 01/27/2016 $17,639,250 $1,088,654 $18,727,904 10.0% 10.0% 6.2% 3.8% 3-67 Seal Beach Pump Station Replacement 3-67 Seal Beach Pump Station Replacement PDSA Lee&Ro 11/20/2019 $5,947,850 $0 $5,947,850 10.0% 10.0% 0.0% 10.0% 5-60 Newport Force Main Rehabilitation 5-60 Newport Force Main Rehabilitation PCSA Brown and Caldwell 04/29/2014 $2,231,925 $839,714 $3,071,639 8.0% 38.7% 37.6% 1.0% 5-67 Bay Bridge Pump Station Replacement 5-67 Bay Bridge Pump Station Replacement PDSA Arcadis US Inc. 10/25/2017 $7,137,000 $493,983 $7,505,955 10.0% 10.0% 6.9% 3.1% 6-17 District 6 Trunk Sewer Relief 6-17 District 6 Trunk Sewer Relief PCSA RMC Water&Environment 10/10/2016 $290,000 $0 $290,000 15.0% 15.0% 0.0% 15.0% 7-66 Sunflower and Red Hill Interceptor Repairs 7-66 Sunflower and Red Hill Interceptor Repairs PDSA GHD 09/25/2019 $308,712 $0 $308,712 10.0% 10.0% 0.0% 10.0% J-117 Ocean Outfall System Rehabilitation 1-117A Interplant Effluent Pipeline Rehabilitation PCSA Brown and Caldwell OS/24/2018 $1,121,666 $112,167 $1,233,833 10.0% 10.0% 10.0% 0.0% 1-117B Outfall Low Flow Pump Station PCSA Brown and Caldwell 12/19/2018 $8,563,913 $346,857 $8,910,770 10.0% 10.0% 4.1% 5.9% J-124 Digester Gas Facilities Rehabilitation N 1-124 Digester Gas Facilities Rehabilitation PDSA Brown and Caldwell 11/15/2017 $11,770,000 -$36,411 $11,733,589 10.0% 10.0% 0.0% 10.0% CD J-126 Safety Improvements Program Co 1-126 Safety Improvements Program PDSA Arcadis 08/29/2016 **$3,040,000 $0 $3,040,000 10.0% 10.0% 0.0% 10.0% J-98 Electrical Power Distribution System Improvements 1-98 Electrical Power Distribution System Improvements PDSA Brown and Caldwell 01/29/2020 $2,240,000 $0 $2,240,000 10.0% 10.0% 0.0% 10.0% M-FIE Small Construction Projects Program FE16-11 Lane Channel Crossing PSA HDR Engineering,Inc. 06/28/2017 $131,939 $0 $131,939 10.0% 10.0% 0.0% 10.0% M-RESEAR Research Program RE17-02 Biogas Scrubber Evaluation PSA Carollo Engineers,Inc. 04/21/2017 $656,783 $63,097 $719,880 15.0% 15.0% 9.6% 5.4% M-STUDIV Planning Studies Program P515-02 Edinger Pump Station Rehabilitation Study PSA Lockwood,Andrews&Newman,Inc. 12/20/2017 $505,042 $0 $505,042 10.0% 10.0% 0.0% 10.0% P515-06 Seismic Evaluation of Structures at Plant Nos.1 and PSA Geosyntec Consultants,Inc. 06/28/2017 $2,578,028 $132,425 $2,710,453 10.0% 10.0% 5.1% 4.9% 2 P515-08 Collections Capacity Evaluation Study PSA RMC Water&Environment 08/24/2016 $2,802,675 $19,372 $2,822,047 10.0% 10.0% 0.7% 9.3% P516-01 Stormwater Master Plan PSA Michael Baker International,Inc. 07/26/2017 $715,300 $54,839 $770,139 10.0% 10.0% 7.7% 2.3% P517-03 Active Fault Location Study at Plant No.2 PSA Lettis Consultants International,Inc. 03/06/2019 $868,286 $0 $868,286 10.0% 10.0% 0.0% 10.0% P517-08 CEC1A-Facilities Master Plan PSA Dudek 02/27/2019 $812,709 $0 $812,709 10.0% 10.0% 0.0% 10.0% PS18-09 Ocean Outfall Condition Assessment and Scoping PSA Carollo Engineers,Inc. 03/25/2020 $2,744,000 $0 $2,744,000 10.0% 10.0% 0.0% 10.0% Study P1-101 Sludge Dewatering and Odor Control at Plant 1 P1-101 Sludge Dewatering and Odor Control at Plant 1 PCSA HDR Engineering,Inc. 06/28/2012 $7,140,000 $2,453,653 $9,593,653 8.0% 35.0% 34.4% 0.6% P3-105 Headworks Rehabilitation at Plant 1 P1-105 Headworks Rehabilitation at Plant 1 PDSA Carollo Engineers,Inc. 05/27/2015 $17,528,957 $7,744,413 $25,273,370 10.0% 51.0% 44.2% 6.8% P1-128 Headquarters Complex P1-128 Headquarters Complex PDSA HDR Engineering,Inc. 06/22/2016 $11,785,709 -$752,553 $11,033,156 10.0% 10.0% 0.0% 10.0% P1-128 Headquarters Complex PSA LSA Associates,Inc. 08/11/2016 $420,927 $0 $420,927 10.0% 10.0% 0.0% 10.0% P1-128C Headquarters Complex Site Preparation PCSA HDR Engineering,Inc. 6/24/2020 $178,000 $0 $178,000 10.0% 10.0% 0.0% 10.0% P3-129 Return Activated Sludge Piping Replacement at Activated Sludge Plant No.1 P1-129 Return Activated Sludge Piping Replacement at PCSA AECOM Technical Services,Inc. 07/24/2019 $140,000 $0 $140,000 10.0% 10.0% 0.0% 10.0% Activated Sludge Plant No.1 P1-129 Return Activated Sludge Piping Replacement at PDSA AECOM Technical Services,Inc. 06/20/2017 $523,039 $27,015 $550,054 10.0% 10.0% 5.2% 4.8% Activated Sludge Plant No.1 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 3-Active Engineering Services Agreements Award Board Award Current Contract Original Current Contingency Contingency Project/Contract Type Consultant Date Amount Amendments Amount Contingency Contingency Used Remaining P1-132 Uninterruptable Power Supply Improvements at Plant 1 P1-132 Uninterruptable Power Supply Improvements at PDSA Tetra Tech,Inc. 10/23/2019 $784,680 $0 $784,680 10.0% 10.0% 0.0% 10.0% Plant 1 P1-133 Primary Sedimentation Basins No.6-31 Reliability Improvements at Plant No.1 P1-133 Primary Sedimentation Basins No.6-31 Reliability PDSA Carollo Engineers,Inc. 09/25/2019 $1,219,667 $0 $1,219,667 10.0% 10.0% 0.0% 10.0% Improvements at Plant No.1 P2-110 Consolidated Demolition and Utility Improvements at Plant 2 P2-110 Consolidated Demolition and Utility Improvements PCSA Stantec Consulting Services,Inc. 01/25/2017 $1,499,839 $0 $1,499,839 10.0% 10.0% 0.0% 10.0% at Plant 2 P2-122 Headworks Modifications at Plant No.2 for GWRS Final Expansion P2-122 Headworks Modifications at Plant No.2 for GWRS PCSA CDM Smith Inc. 01/15/2020 $2,200,000 $0 $2,200,000 10.0% 10.0% 0.0% 10.0% Final Expansion P2-123 Return Activated Sludge Piping Replacement at Plant 2 P2-123 Return Activated Sludge Piping Replacement at Plant PCSA SPEC Services,Inc. 09/25/2019 $252,329 $0 $252,329 10.0% 10.0% 0.0% 10.0% 2 P2-123 Return Activated Sludge Piping Replacement at Plant PDSA SPEC Services,Inc. 02/15/2018 $668,217 $0 $668,217 10.0% 10.0% 0.0% 10.0% 2 P2-124 Interim Food Waste Receiving Facility P2-124 Interim Food Waste Receiving Facility PDSA Kennedy/Jenks Consultants 09/05/2018 $695,000 $20,717 $715,717 10.0% 10.0% 3.0% 7.0% P2-92 Sludge Dewatering and Odor Control at Plant 2 P2-92 Sludge Dewatering and Odor Control at Plant 2 PCSA Brown and Caldwell 12/17/2014 $4,798,328 $0 $4,798,328 10.0% 10.0% 0.0% 10.0% P2-98 Primary Treatment Rehabilitation at Plant No.2 P2-98 Primary Treatment Rehabilitation at Plant No.2 PDSA Black&Veatch 07/27/2016 $18,141,423 $1,279,488 $19,420,911 10.0% 10.0% 7.1% 2.9% N r�D P2-98B B/C-Side Primary Clarifiers Interim Repair at Plant 2 PCSA Black&Veatch 01/23/2019 $549,534 $0 $549,534 10.0% 10.0% 0.0% 10.0% SP-152 Climate Resiliency Study SP-152 Climate Resiliency Study PSA Hazen and Sawyer 11/28/2018 $697,952 $64,199 $762,151 10.0% 10.0% 9.2% 0.8% SP-196 Process Control Systems Upgrades Study SP-196 Process Control Systems Upgrades Study PSA Stantec Consulting Services,Inc. 03/01/2018 $1,389,866 1 $9,000 $1,398,866 10.0% 10.0% 0.6% 9.4% Total $154,287,795 1 $12,621,172 $166,783,939 **Original Award was$1,540,000,and later amended to$3,040,000 by Board Action Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 4-Active Task Orders by Master Agreement Master Agreement/Project Consultant Award Date Original Task Amendments Current Task Order Value Order Value 2012 Master Professional Design Service Agreements(Expired) FE10-21 Area 02 Craig Regional Park Manhole Improvements GHD 10/8/2012 $58,440 $41,560 $100,000 2015 Master Professional Design Service Agreements(Expired) FE14-05 Plant No.1 Fleet Services UST Leak Remediation Dudek 9/1/2015 $86,116 $73,137 $159,253 2017 Master Agreements for Wastewater Treatment Planning Studies PS17-10 Emergency Overflow Weirs,Wing Wall Structural and Geotechnical Investigations HDR Engineering,Inc. 05/21/2019 $260,415 $0 $260,415 PS18-05 Plant No.2 Future Site Plan Development Brown and Caldwell 05/22/2019 $122,389 $0 $122,389 PS18-11 ETAP Model Updates for Plant Nos 1 and 2 Brown and Caldwell 3/17/2020 $227,412 $0 $227,412 2017 Master Agreements for Collection Planning Studies No Task Orders Issued to Date -- -- -- -- -- 2017 Master Agreements for CECIA Studies No Task Orders Issued to Date 0) m 2018 Master Professional Design Service Agreements 0 FE18-06 CenGen Instrument Air Compressors Replacement at Plant No.1 and No.2 IDS Group,Inc. 04/28/2020 $89,876 $0 $89,876 FE18-13 Redhill Relief Sewer Relocation at State Route 55 GHD,Inc. 3/27/2020 $168,612 $0 $168,612 FE18-14 Plant Water Pipeline Replacement in Kinnison,Lindstrom,and Scott Tunnels at Plant Dudek 11/6/2019 $108,308 $0 $108,308 No.2 FE18-15 Plant Boiler System Relief at Plant No.2 IDS Group,Inc. 10/22/2019 $23,299 $0 $23,299 FE18-16 Truck Loading Basement Drain Modifications at Plant No.1 GHD,Inc. 12/4/2019 $70,130 $0 $70,130 FE18-19 12KV Distribution Center B and East RAS Pump Station Roof Replacement HDR Engineering,Inc. 09/16/2019 $74,771 $8,672 $83,443 FE19-02 Cengen Plant Water Pipe Replacement at Plant No.1 AECOM 04/30/2020 $156,498 $0 $156,498 FE19-06 EPSA Motor Cooling Improvements at Plant No.2 IDS Group,Inc. 05/05/2020 $88,206 $0 $88,206 FR2-0013 Trickling Filter Sludge Pump Room Exhaust Fan Relocation at Plant No.2 AECOM 11/6/2019 $75,120 $0 $75,120 1-127 Natural Gas Pipelines Replacement at Plant Nos.1 and 2 Black&Veatch 1/21/2019 $271,964 $0 $271,964 P1-135 Digester Ferric Chloride Piping Replacement at Plant No.1 Dudek 2/19/2020 $127,174 $0 $127,174 Total $2,008,730 $123,369 $2,132,099 "`" SA"" /°a ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report For the period ending June 30, 2020 TM1,s THE E PART 3 — MASTER BUDGET PROJECTS The Board-adopted budget for Fiscal Years 2018-19 and 2019-20 includes master program budgets that allow staff to more quickly initiate, execute, and manage smaller projects that fit within the scope of a particular program. The projects chartered under these program budgets are referred to as sub-projects and are managed to the same standards as projects specifically listed in the adopted budget. A status table for each of these programs listing the sub-projects is attached. Master Program Title Status Table Planning Studies Program Table 5 Research Program Table 6 Small Construction Projects Program Table 7 Information Technology Capital Program Table 8 Operations & Maintenance Capital Program Table 9 Page 11 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 5-Planning Studies Status Report Project Number Project Name Status Allocated Budget PS15-02 Edinger Pump Station Rehabilitation Study Active $ 971,000 PS15-06 Seismic Evaluation of Structures at Plant Nos.1 and 2 Active $ 3,860,000 PS15-08 Collections Capacity Evaluation Study Active $ 3,682,000 PS15-10 2017 Facilities Master Plan Closed $ 3,820,824 PS16-01 Stormwater Master Plan Active $ 1,415,700 PS16-02 SCE Feed Reliability Improvements Study Active $ 293,000 PS17-03 Active Fault Location Study at Plant No.2 Active $ 1,300,000 PS17-08 CECA-Facilities Master Plan Active $ 1,247,000 PS17-10 Emergency Overflow Weirs,Wing Wall Structural and Geotechnical Investigation! Active $ 465,000 PS18-01 Asset Management Plan Development Closed $ 331,035 PS18-05 Plant No.2 Future Site Plan Development Active $ 217,000 PS18-06 Go/No-Go Lights and Signage Active $ 495,000 PS18-09 Ocean Outfall Condition Assessment and Scoping Study Active $ 3,340,000 PS18-11 ETAP Model Updates for Plant Nos 1 and 2 Active $ 553,000 PS19-01 Digester 6 Pipe Stress Analysis at Plant No.] Active $ 45,000 PS19-02 Circular Primary Clarifier Replacement Phasing Study at Plant No] Closed $ 43,269 PS19-03 Laboratory Rehabilitation Feasibility Study Active $ 450,000 PS19-04 Chemical Evaluation Study at Plant No 1 and 2 Closed $ 977 PS19-05 Collection System Flow Level Monitoring Study Closed $ - Grand Total $ 22,529,805 Number of Chartered Projects 19 Board Approved Program Budget $ 28,652,000 Remaining Unallocated Budget $ 6,122,195 Page 12 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 6-Research Program Status Report Project Number Project Name Status Allocated Budget RE17-01 Operational Research Technical Support FY18-19. Closed $ 656,506 RE17-02 Biogas Scrubber Evaluation Active $ 865,000 RE17-03 Reliant Wet Well Wizard Test Closed $ 45,013 RE17-04 AquaNereda Aerobic Granular Sludge Process Closed $ 19,628 RE17-05 Organica FCR Process Closed $ 15,564 RE17-06 TWAS Pump Reliability Improvement Trials at Plant No.2 Closed $ 10,159 RE17-07 Super Oxygenation System Research at Seal Beach Pump Statior Closed $ 80,000 RE18-01 Trickling Filter Bleach Test at Plant No.] Closed $ 109,068 RE18-02 Protein Matrix Demonstration Study at Plant No] Active $ 310,000 RE19-01 Primary Scum Equipment Evaluation at Plant No.1 Active $ 31,000 Grand Total $ 2,141,938 Number of Chartered Projects 10 Board Approved Program Budget $ 8,500,000 Remaining Unallocated Budget $ 6,358,062 Page 13 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 7-Small Construction Projects Program Status Report Project Number Project Name Status Allocated Budget FE10-21 Area 02 Craig Regional Park Manhole Improvements Active $ 1,359,000 FE14-05 Plant No.1 Fleet Services UST Leak Remediatior Active $ 1,487,311 FE15-07 Secondary Treatment and Plant Water VFD Replacement at Plant 1 Active $ 3,319,600 FE15-10 East Lido Force Main Rehabilitation Active $ 2,228,000 FE16-06 Fuel Cell Facilities Demolition Closed $ 960,000 FE16-10 East Basin Distribution Box Repair Closed $ 1,013,850 FE16-11 Lane Channel Crossing Active $ 500,000 FE16-14 Slater Pump Station Valve Replacements Closed $ 946,940 FE17-01 Carbon Canyon Pipeline Sag Repairs Active $ 873,000 FE17-03 Battery Storage System at Plant No.1 Active $ 612,000 FE17-05 Plant 1 ICS Network Extension Active $ 950,000 FE18-06 CenGen Instrument Air Compressors Replacement at Plant No.1 and No.-e Active $ 1,450,000 FE18-08 West Trunk Bypass Sewer Realignment Active $ 158,000 FE18-11 Headworks Explosive Gas Monitoring Systems at Plant No.1 and No. Active $ 470,000 FE18-12 Erosion Control at Santa Ana River and Hamilton Ave Active $ 245,000 FE18-13 Redhill Relief Sewer Relocation at State Route 5E Active $ 1,540,000 FE18-14 Plant Water Pipeline Replacement in Kinnison,Lindstrom,and Scott Tunnels at Plant No.: Active $ 1,425,000 FE18-15 Plant Boiler System Relief at Plant No.2 Active $ 180,000 FE18-16 Truck Loading Basement Drain Modifications at Plant No.1 Active $ 440,000 FE18-17 Trunkline Sampler Power Feed at Plant No 2 Active $ 215,000 FE18-18 Portable Generator Connector at Lido Pump Statior Active $ 106,000 FE18-19 12KV Distribution B and East RAS Pump Station Roofing Replacement Active $ 988,000 FE18-20 Blower Building No.1 Air Compressors at Plant No.1 Active $ 1,200,000 FE19-01 Pump Station Portable Generator Connectors- Active $ 1,990,000 FE19-02 Cengen Plant Water Pipe Replacement at Plant No.1 Active $ 2,250,000 FE19-03 Trickling Filter Sludge and Scum Pumps Replacement at Plant No.1 Active $ 1,100,000 FE19-04 Sunflower Pump Replacement at Plant No.1 Active $ 6,300,000 FE19-05 Engineering Trailer B Car Chargers at Plant No.1 Active $ 12,000 FE19-06 EPSA Motor Cooling Improvements at Plant No.2 Active $ 550,000 FE19-08 Secondary Treatment VFD Replacements at Plant No.2 Active $ 3,337,000 FE19-09 Newhope-Placentia Trunk Grade Separation Replacement Repairs Active $ 500,000 FE19-10 Digesters C,D,F,G and I Gas Balance Lines Replacement at Plant No.2 Active $ 200,000 FE19-11 Primary Clarifiers Nos.6-31 Lighting and Alarm Improvements at Plant No.1 Active $ 1,250,000 FE19-12 Rebuild Shop Fume Extractor Installation at Plant No 1 Active $ 325,000 FE19-13 VFD Replacements at Seal Beach Pump Station Active $ 690,000 Grand Total $ 41,170,701 Number of Chartered Projects 35 Board Approved Program Budget $ 53,250,000 Remaining Unallocated Budget $ 12,079,299 Page 14 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 8-Information Technology Capital Program Status Report Project Number Project Name Status Allocated Budget IT16-03 Plant 2 Internet Connection Active $ 50,000 IT16-05 Plant 2 Radio Repeater Upgrade Closed $ 35,000 IT16-06 Network Equipment 2016-17 Closed $ 44,302 IT16-07 Server Replacement and ObsolescencE Closed $ 337,332 IT16-08 IT Security 2016-17 Active $ 162,000 IT16-09 iPACS Enhancements Active $ 85,000 IT16-10 LIMS Compliance Improv Project Closed $ 754,800 IT16-11 Business Continuity Plan Active $ 140,000 IT17-01 VMWare Active $ 800,000 IT17-02 Upgrade Active Directory Directory to 201E Active $ 56,000 IT17-03 Upgrade ShoreTel System Server Active $ 190,000 IT17-04 PCllmprovements Closed $ 131,093 IT17-05 Conference Room Monitor Upgrade Active $ 75,686 IT17-06 Printer Obsolescence Active $ 350,000 IT17-07 Safety Management Suite Active $ 106,000 IT17-08 Perimeter Physical Security Im Closed $ 170,077 IT17-09 MYOCSD Redesign Closed $ 170,077 IT17-10 Electronic Operator Round Form Active $ 45,000 IT17-11 P2 Radio Repeater Closed $ 170,077 IT17-12 Sever/Network Power Improvements Active $ 90,000 IT17-13 Graphric Workstations for PAC Closed $ 15,000 IT17-14 Specialized Application Programing&Support Active $ 600,000 IT17-15 Data Storage Replac/Obsolescens Closed $ 600,000 IT18-02 Fleet Management Information System Active $ 250,000 IT18-03 Timecard Systems Upgrade Active $ 150,000 IT18-04 Conference Rooms Audio System Replacemeni Closed $ 90,000 IT18-05 Trusted System Document Management Active $ 100,000 IT18-06 Server Replacement and Obsolescence FY18/19-19/2C Closed $ 900,000 IT18-07 Network Equipment FY18/19-19/20 Closed $ 850,000 IT18-09 Records Management Information System Active $ 100,000 IT18-10 Board Services Management System Closed $ 60,000 IT18-11 IT Security Budget 2018-2019 Closed $ 150,000 IT19-01 IT Safety VPP Systems(IT19-01) Active $ 150,000 IT19-02 IT Enterprise Replication(IT19-02) Active $ 150,000 IT19-03 IT HP Plotter(IT19-03) Closed $ 150,000 IT19-04 IT HCI for ICS and ICS-DMZ(IT19-04) Active $ 150,000 IT19-05 IT P1&P2 Data Refresh(IT19-05) Active $ 150,000 Grand Total $ 8,577,444 Number of Chartered Projects 37 Board Approved Program Budget $ 10,000,000 Remaining Unallocated Budget $ 1,422,556 Page 15 Capital Improvement Program Contract Performance Report for Quarter Ending 06/30/2020 Table 9-Operations&Maintenance Capital Program Status Report Project Number Project Name Status Allocated Budget SC16-01 Maint.Storage Area Tool Cage Active $ 12,000 SC17-01 CENGEN#1 Elevator Rehab Active $ 12,000 SC17-02 P1 CenGen Plant Water Piping Rehabilitation Active $ 250,000 SC17-03 CenGen Oil Filter Platform Active $ 260,000 SC17-04 P1 CenGen 12KV Circuit Breaker Replacement Closed $ 220,000 SC17-05 Hidrostal Pump-TEFC Close Coupled Motor#2(Pump for SALS) Active $ 261,260 SC17-06 P1 Lab UPS System Replacement Active $ 290,294 SC18-01 P1 Primary Clarifier Fall Protection Improvements Active $ 50,000 SC18-02 Joint Cen Gen Oil Centrifuge Heater&Controls Rehabilitation(MP-18 Active $ 120,000 SC18-03 P1 SALS Main Duty Pump&Motor and Installation-Remaining 2(MP-524) Active $ 500,000 SC18-04 Edinger UPS Replacement(MP-444) Active $ 15,000 SC18-05 P1 Laboratory HVAC Boiler Burner Replacement At Plant No.] Active $ 400,461 SC18-06 Pump Station Bypass Parts-Procurement(MP-426) Active $ 500,000 SC18-08 MacArthur Pump Station-FM Valve Replacement Active $ 55,109 SC18-09 Admin Bldg UPS System Replacement Active $ 185,000 SC18-10 P2 South Scrubber Complex Bleach Pump Turndown(MP-420) Active $ - SC18-11 Lido PS Camlock Con Panel Inst(SC18-11) Active $ - SC19-02 Truck Loading-Conveyors 3&6(SC19-02) Active $ 359,176 SC19-03 Return Activated Sludge Pump Station Elevator Rehabilitation at Plant No.: Active $ 890,000 SC19-04 Standby Generator Diesel Day Tank Improvements at Plant No.] Active $ 250,000 SC19-06 EPSA Standby Power Generator Control Upgrades at Plant No.2 Active $ 1,251,500 Grand Total $ 5,881,800 Number of Chartered Projects 21 Board Approved Program Budget $ 15,622,000 Remaining Unallocated Budget $ 9,740,200 Page 16 ORANGE COUNTY SANITATION DISTRICT Capital Improvement Program Contract Performance Report 9ojFC oa��� For the period ending June 30, 2020 l,NC 7NE EN�\P PART 4 — SUPPLEMENTAL ENGINEERING SERVICES CONTRACT In May 2016, the Sanitation District Board of Directors approved a $41 million professional services agreement with Jacobs Project Management Co. to provide supplemental engineering and support staff services for a four-year term with the option of three one-year renewals. The benefits of using a supplemental engineering services contract, as opposed to hiring full-time staff or limited-term employees, include rapid mobilization of highly skilled/technical staff, flexibility to change the mix of staff positions on an immediate and as-needed basis, the ability to reduce staff as workloads decrease, access to technical experts to support special tasks, and access to staff with wastewater project experience. A status table for the supplemental engineering services contract summary is attached under Table 10, and the supplemental engineering services labor summary can be found under Table 11 . Table 10—Supplemental Engineering Services Contract Status Total Fees Time Contract $41,000,000 86 months 11) Actuals to Date $21,232,459 52% 50 months 58% Remaining $19,767,541 48% 36 months 42% 111 Assuming three 1-year extensions Table 11 -Supplemental Engineering Services Labor Summary This Quarter Inception to Date Labor Hours 9,638 158,698 Full Time Equivalents 21.4 21.2 Labor Costs (no expenses) $1,266,770 $20,795,266 Average Hourly Rate $127 $131 Page 17 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1240 Agenda Date: 9/23/2020 Agenda Item No: 6. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: GISLER-RED HILL INTERCEPTOR REHABILITATION, PROJECT NO. 7-65 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: A. Approve a Professional Design Services Agreement with CDM Smith to provide engineering services for Gisler-Red Hill Interceptor Rehabilitation, Project No. 7-65, for an amount not to exceed $1,754,000; and B. Approve a contingency of $175,400 (10%). BACKGROUND The Orange County Sanitation District (Sanitation District) owns and maintains regional conveyance facilities in the Cities of Costa Mesa and Irvine, including the 30 and 33-inch diameter Gisler-Red Hill Interceptor and the Baker Force Mains. The Gisler-Red Hill Interceptor runs approximately 15,000 feet from near Main Street Pump Station to College Avenue Pump Station near Harbor Blvd.; mostly just south of the 405 Freeway in the Cities of Costa Mesa and Irvine. The Baker Force Mains are two 42-inch diameter force mains running approximately 6,000 feet from Main Street Pump Station to Baker Street; mostly along Airway Avenue in the City of Costa Mesa. The facilities range in age from 30 to 55 years. The interceptor and force mains are not capacity deficient. RELEVANT STANDARDS • Achieve less than 2.1 sewer spills per 100 miles • Protect Orange County Sanitation District assets • California Government Code §4526: Select the "best qualified firm" and "negotiate fair and equitable fees" PROBLEM Condition assessments completed in 2015 and 2017 on the Gisler-Red Hill Interceptor indicate corrosion in most of the manholes, as well as multiple cracks in the vitrified clay piping. The Baker Force Mains have corrosion and liner failures due to the corrosive gas migration from the wet wells. Orange County Sanitation District Page 1 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1240 Agenda Date: 9/23/2020 Agenda Item No: 6. PROPOSED SOLUTION Award a Professional Design Services Agreement for Gisler-Red Hill Interceptor Rehabilitation, Project No. 7-65. The project will rehabilitate the Gisler-Red Hill Interceptor and the Baker Force Mains. TIMING CONCERNS The schedule driver of this project is to resolve the safety and reliability risks associated with deteriorated facilities to reduce the risks of potential spills and structural failures. RAMIFICATIONS OF NOT TAKING ACTION Increased risk of failure of the pipes due to continued corrosion causing a sewage spill, and, potentially, property damage. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION Consultant Selection: The Sanitation District requested and advertised for proposals for Gisler-Red Hill Interceptor Rehabilitation, Project No. 7-65, on May 13, 2020. The following evaluation criterion were described in the Request for Proposals (RFP) and used to determine the most qualified Consultant. CRITERION WEIGHT Project Understanding and Approach 35% Related Project Experience 30% Project Team and Staff Qualifications 35% Six proposals were received on June 30, 2020 and evaluated in accordance with the evaluation process set forth in Sanitation District Board of Directors' Purchasing Ordinance No. OCSD-52 (Purchasing Ordinance) by a pre-selected Evaluation Team consisting of the Sanitation District staff: Senior Engineer (Project Manager), Associate Engineer (Project Engineer), two Engineering Supervisors, and a Maintenance Supervisor. The Evaluation Team also included one non-voting representative from the Contracts Administration Division. The Evaluation Team scored the proposal on the established criterion as summarized in the table below: Firm Approach (Max 40) Related Team (Max Total Score Experience 30) (Max 100) (Max 30) 1 DM Smith 31 23 29 83 Orange County Sanitation District Page 2 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1240 Agenda Date: 9/23/2020 Agenda Item No: 6. 2 GHD 20 14 17 51 3 Michael Baker 13 13 15 41 International, Inc. 4 Tetra Tech 10 13 14 37 5 Lockwood, Andrews & 11 10 11 32 Newnam, Inc. (LAN) 6 Atkins North America, Inc. 8 11 13 32 Following scoring, the Evaluation Team concluded that interviews were not necessary to determine the most qualified consultant. CDM Smith was selected as the most qualified Consultant based on their superior project approach and detailed understanding of the risks involved with the project. The team and related project experience directly related to rehabilitation of both gravity and force mains are well suited to the scope and likely challenges of the current project. Review of Fee Proposal and Negotiations: Proposals were accompanied by sealed fee proposals. Only the fee proposal of the Evaluation Committee's highest-ranked firm, as approved by the Director of Engineering, was opened in accordance with the Purchasing Ordinance. Staff conducted negotiations with CDM Smith to clarify the requirements of the Scope of Work, the assumptions used for the estimated level of effort, and the proposed approach to meet the goals and objectives for the project. Negotiations were held with multiple follow up e-mails and calls. The fee decreased due to project meetings being held virtually instead of in person and minor revisions of effort required by subconsultants. Original Fee Negotiated Fee Proposal Total Hours 7,099 6,750 Total Fee $1,971,681 $1,754,000 The Consultant's fringe and overhead costs, which factor into the billing rate, have been substantiated. The contract profit is 7.77%, which is based on an established formula based on the Sanitation District's standard design agreements. Based on the above, staff has determined that the final negotiated fee is fair and reasonable for the level of effort required for this project and recommends award of the Professional Design Services Agreement to CDM Smith. CEQA The project is exempt from CEQA under the Class 1 categorical exemptions set forth in California Code of Regulations Sections 15301 because the project involves repairs, replacement, and or minor alteration of existing facilities involving no expansion of use or capacity. Orange County Sanitation District Page 3 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1240 Agenda Date: 9/23/2020 Agenda Item No: 6. A Notice of Exemption will be filed with the OC Clerk-Recorder after the Sanitation District Board award of the Professional Design Services Agreement contract. FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted. (Adopted Budget, Fiscal Year 2020-2021 and 2021-2022, Section 8, Page 33) and the project budget is sufficient for the recommended action. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Professional Design Services Agreement RL:dm:gc Orange County Sanitation District Page 4 of 4 Printed on 9/15/2020 powered by LegistarTM PROFESSIONAL DESIGN SERVICES AGREEMENT THIS AGREEMENT, is made and entered into to be effective the 23rd day of September, 2020 by and between the ORANGE COUNTY SANITATION DISTRICT, hereinafter referred to as "SANITATION DISTRICT", and CDM SMITH INC., for purposes of this Agreement hereinafter referred to as "CONSULTANT". WITNESSETH: WHEREAS, the SANITATION DISTRICT desires to engage a CONSULTANT for Gisler — Red Hill Interceptor and Baker Force Mains Rehabilitation, Project No. 7-65; and to provide Design services for pipe/manhole/force main rehabilitation technologies. The purpose of the project is to perform a pipeline, manhole, and force main condition rehabilitation based on a review of the existing CCTV videos and inspection reports. The successful Proposer will be responsible for performing engineering and design services to recommend and design appropriate rehabilitation procedures and to prepare bid and construction documents for rehabilitation of the system; and, WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary professional services; and, WHEREAS, the SANITATION DISTRICT has adopted procedures for the selection of professional services and has proceeded in accordance with said procedures to select a CONSULTANT to perform this work; and, WHEREAS, at its regular meeting on September 23, 2020 the Board of Directors, by Minute Order, accepted the recommendation of the Operations Committee pursuant to SANITATION DISTRICT's Purchasing Ordinance to approve this Agreement between the SANITATION DISTRICT and CONSULTANT. NOW, THEREFORE, in consideration of the promises and mutual benefits, which will result to the parties in carrying out the terms of this Agreement, it is mutually agreed as follows: 1. SCOPE OF WORK CONSULTANT agrees to furnish necessary professional and technical services to accomplish those project elements outlined in the Scope of Work attached hereto as Attachment "A", and by this reference made a part of this Agreement. A. The CONSULTANT shall be responsible for the professional quality, technical accuracy, completeness, and coordination of all design, drawings, specifications, and other services furnished by the CONSULTANT under this Agreement, including the work performed by its Subconsultants. Where approval by the SANITATION DISTRICT is indicated, it is understood to be conceptual approval only and does not relieve the CONSULTANT of responsibility for complying with all laws, codes, industry standards and liability for damages caused by errors, omissions, noncompliance with industry standards, and/or negligence on the part of the CONSULTANT or its Subconsultants. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 1 of 20 B. CONSULTANT is responsible for the quality of work prepared under this Agreement and shall ensure that all work is performed to the prevailing standards of engineering practice for clarity, uniformity, and completeness. CONSULTANT shall respond to all comments, suggestions, and recommendations on the SANITATION DISTRICT's review comment sheets (i.e. DS1, DS2 and DS3). All comments shall be incorporated into the design prior to the next submittal deadline or addressed, in writing, as to why the comment has not been incorporated. CONSULTANT shall ensure that each submittal is 100% accurate for the level of work submitted (i.e. correct references, terms, capitalization or equal status, spelling, punctuation, etc.) C. In the event that work is not performed to the satisfaction of the SANITATION DISTRICT and does not conform to the requirements of this Agreement or any applicable industry standards, the CONSULTANT shall, without additional compensation, promptly correct or revise any errors or deficiencies in its designs, drawings, specifications, or other services within the timeframe specified by the Project Engineer/Project Manager. The SANITATION DISTRICT may charge to CONSULTANT all costs, expenses and damages associated with any such corrections or revisions. D. All CAD drawings, figures, and other work shall be produced by CONSULTANTS and Subconsultants using the SANITATION DISTRICT CAD Manual. Conversion of CAD work from any other non-standard CAD format to the SANITATION DISTRICT format shall not be acceptable in lieu of this requirement. Electronic files shall conform to the SANITATION DISTRICT specifications. Any changes to these specifications by the CONSULTANT are subject to review and approval of the SANITATION DISTRICT. Electronic files shall be subject to an acceptance period of thirty (30) calendar days during which the SANITATION DISTRICT shall perform appropriate reviews and including CAD Manual compliance. CONSULTANT shall correct any discrepancies or errors detected and reported within the acceptance period at no additional cost to the SANITATION DISTRICT. E. The CONSULTANT shall ensure that all plans and specifications prepared, or recommended under this Agreement allow for competitive bidding. The CONSULTANT shall design such plans or specifications so that procurement of services, labor or materials are not available from only one source, and shall not design plans and specifications around a single or specific product, piece of major equipment or machinery, a specific patented design or a proprietary process, unless required by principles of sound engineering practice and supported by a written justification that has been approved in writing by the SANITATION DISTRICT. The CONSULTANT shall submit this written justification to the SANITATION DISTRICT prior to beginning work on such plans and specifications. Whenever the CONSULTANT recommends a specific product or equipment for competitive procurement, such recommendation shall include at least two brand names of products that are capable of meeting the functional requirements applicable to the project. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 2 of 20 F. All professional services performed by the CONSULTANT, including but not limited to all drafts, data, correspondence, proposals, reports, and estimates compiled or composed by the CONSULTANT, pursuant to this Agreement, are for the sole use of the SANITATION DISTRICT, its agents and employees. Neither the documents nor their contents shall be released to any third party without the prior written consent of the SANITATION DISTRICT. This provision does not apply to information that (a) was publicly known, or otherwise known to the CONSULTANT, at the time that it was disclosed to the CONSULTANT by the SANITATION DISTRICT, (b) subsequently becomes publicly known to the CONSULTANT other than through disclosure by the SANITATION DISTRICT. 2. COMPENSATION Total compensation shall be paid to CONSULTANT for services in accordance with the following provisions: A. Total Compensation Total compensation shall be in an amount not to exceed One Million Seven Hundred Fifty-Four Thousand Dollars ($1,754,000.00). Total compensation to CONSULTANT including burdened labor (salaries plus benefits), overhead, profit, direct costs, and Subconsultant(s) fees and costs shall not exceed the sum set forth in Attachment "E" - Fee Proposal. B. Labor As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall pay to CONSULTANT a sum equal to the burdened salaries (salaries plus benefits) actually paid by CONSULTANT charged on an hourly-rate basis to this project and paid to the personnel of CONSULTANT. Upon request of the SANITATION DISTRICT, CONSULTANT shall provide the SANITATION DISTRICT with certified payroll records of all employees' work that is charged to this project. C. Overhead As a portion of the total compensation to be paid to CONSULTANT, the SANITATION DISTRICT shall compensate CONSULTANT and Subconsultants for overhead at the rate equal to the percentage of burdened labor as specified in Attachment "E" - Fee Proposal. D. Profit Profit for CONSULTANT and Subconsultants shall be a percentage of consulting services fees (Burdened Labor and Overhead). When the consulting or subconsulting services amount is $250,000 or less, the maximum Profit shall be 10%. Between $250,000 and $2,500,000, the maximum Profit shall be limited by a straight declining percentage between 10% and 5%. For consulting or subconsulting services fees with a value greater than $2,500,000, the maximum PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 3 of 20 Profit shall be 5%. Addenda shall be governed by the same maximum Profit percentage after adding consulting services fees. As a portion of the total compensation to be paid to CONSULTANT and Subconsultants, the SANITATION DISTRICT shall pay profit for all services rendered by CONSULTANT and Subconsultants for this project according to Attachment "E" - Fee Proposal. E. Subconsultants For any Subconsultant whose fees for services are greater than or equal to $100,000 (excluding out-of-pocket costs), CONSULTANT shall pay to Subconsultant total compensation in accordance with the Subconsultant amount specified in Attachment "E" - Fee Proposal. For any Subconsultant whose fees for services are less than $100,000, CONSULTANT may pay to Subconsultant total compensation on an hourly-rate basis per the attached hourly rate Schedule and as specified in the Scope of Work. The SANITATION DISTRICT shall pay to CONSULTANT the actual costs of Subconsultant fees and charges in an amount not to exceed the sum set forth in Attachment "E" - Fee Proposal. F. Direct Costs The SANITATION DISTRICT shall pay to CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel and licenses for an amount not to exceed the sum set forth in Attachment "E" - Fee Proposal. The SANITATION DISTRICT shall also pay to CONSULTANT actual costs for equipment rentals, leases or purchases with prior approval of the SANITATION DISTRICT. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" - Allowable Direct Costs. All incidental expenses shall be included in overhead pursuant to Section 2 - COMPENSATION above. G. Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to attachment "D"Allowable Direct Costs for payment information. H. Reimbursable Direct Costs The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this section and further described in Attachment "D" - Allowable Direct Costs to this Agreement. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by Internal Revenue Service (IRS). The plan includes a combination of PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 4 of 20 reimbursements based upon receipts and a "per diem" component approved by IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/104711#. The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs inclusive but not limited to travel, lodging and meals arrangements. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or"per diem" as deemed the most practical. CONSULTANT shall be responsible for returning to the SANITATION DISTRICT any excess reimbursements after the reimbursement has been paid by the SANITATION DISTRICT. Travel and travel arrangements—Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals— Per-diem rates as approved by IRS shall be utilized for travel meals reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" - Allowable Direct Costs of this Agreement. I. Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Proposal will exceed seventy-five percent (75%) of the not-to-exceed amount of the Agreement, including approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount necessary to complete the services. Any cost incurred in excess of the approved not-to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 5 of 20 own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount is a material breach of this Agreement. 3. REALLOCATION OF TOTAL COMPENSATION The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation, provided that the total compensation is not increased. 4. PAYMENT A. Monthly Invoice: CONSULTANT shall include in its monthly invoice, a detailed breakdown of costs associated with the performance of any corrections or revisions of the work for that invoicing period. CONSULTANT shall allocate costs in the same manner as it would for payment requests as described in this Section of the Agreement. CONSULTANT shall warrant and certify the accuracy of these costs and understand that submitted costs are subject to Section 11 -AUDIT PROVISIONS. B. CONSULTANT may submit monthly or periodic statements requesting payment for those items included in Section 2 - COMPENSATION hereof in the format as required by the SANITATION DISTRICT. Such requests shall be based upon the amount and value of the work and services performed by CONSULTANT under this Agreement and shall be prepared by CONSULTANT and accompanied by such supporting data, including a detailed breakdown of all costs incurred and project element work performed during the period covered by the statement, as may be required by the SANITATION DISTRICT. Upon approval of such payment request by the SANITATION DISTRICT, payment shall be made to CONSULTANT as soon as practicable of one hundred percent (100%) of the invoiced amount on a per-project-element basis. If the SANITATION DISTRICT determines that the work under this Agreement or any specified project element hereunder, is incomplete and that the amount of payment is in excess of: i. The amount considered by the SANITATION DISTRICT's Director of Engineering to be adequate for the protection of the SANITATION DISTRICT; or ii. The percentage of the work accomplished for each project element. He may, at his discretion, retain an amount equal to that which insures that the total amount paid to that date does not exceed the percentage of the completed work for each project element or the project in its entirety. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 6 of 20 C. CONSULTANT may submit periodic payment requests for each 30-day period of this Agreement for the profit as set forth in Section 2 - COMPENSATION above. Said profit payment request shall be proportionate to the work actually accomplished to date on a per-project-element basis. In the event the SANITATION DISTRICT's Director of Engineering determines that no satisfactory progress has been made since the prior payment, or in the event of a delay in the work progress for any reason, the SANITATION DISTRICT shall have the right to withhold any scheduled proportionate profit payment. D. Upon satisfactory completion by CONSULTANT of the work called for under the terms of this Agreement, and upon acceptance of such work by the SANITATION DISTRICT, CONSULTANT will be paid the unpaid balance of any money due for such work, including any retained percentages relating to this portion of the work. E. Upon satisfactory completion of the work performed hereunder and prior to final payment under this Agreement for such work, or prior settlement upon termination of this Agreement, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this Agreement other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. F. Pursuant to the California False Claims Act (Government Code Sections 12650- 12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this Agreement may be held liable for treble damages and up to a ten thousand dollars ($10,000) civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; c) conspires to defraud the SANITATION DISTRICT by getting a false claim allowed or paid by the SANITATION DISTRICT; d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. 5. CALIFORNIA DEPARTMENT OF INDUSTRIAL RELATIONS (DIR) REGISTRATION AND RECORD OF WAGES A. To the extent CONSULTANT's employees and/or Subconsultants who will perform Work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 7 of 20 CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the Work is subject to compliance monitoring and enforcement by the DIR. B. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. C. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to SANITATION DISTRICT and/or general public upon request, provided the public request is made through SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Enforcement of the Department of Industrial Relations. D. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulation Section 16461(e). 6. DOCUMENT OWNERSHIP —SUBSEQUENT CHANGES TO PLANS AND SPECIFICATIONS A. Ownership of Documents for the Professional Services performed. All documents, including but not limited to, original plans, studies, sketches, drawings, computer printouts and disk files, and specifications prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the Agreement, or b) in accordance with other provisions of this Agreement. Notwithstanding any other provision of this paragraph or Agreement, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the plans or specifications, where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 8 of 20 7. INSURANCE A. General i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class Vill, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this Agreement. B. General Liability The CONSULTANT shall maintain during the life of this Agreement, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: Two Million Dollars ($2,000,000) per occurrence with Four Million Dollars ($4,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit equals Two Million Dollars ($2,000,000) or 1/2 the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this Agreement), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 9 of 20 D. Automotive/Vehicle liability Insurance The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate or alternatively, One Million Dollars ($1,000,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. E. Drone Liability Insurance If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of one million dollars ($1,000,000) in form acceptable to the SANITATION DISTRICT. F. Worker's Compensation Insurance The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier"SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability CONSULTANT shall maintain in full force and effect, throughout the term of this Agreement, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this Agreement, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this Agreement. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 10 of 20 In the event the present policy of insurance is written on an "occurrence" basis, said policy shall be continued in full force and effect during the term of this Agreement or until completion of the services provided for in this Agreement, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this Agreement. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. H. Proof of Coverage The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent. • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 1001 and CG 2037 1001 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit endorsement provided by carrier for the (Auto Liability) SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent. • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2065 or equivalent. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 11 of 20 I. Cancellation Notice Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. J. Primary Insurance All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable) Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this Agreement, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 12 of 20 N. Defense Costs Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. 8. SCOPE CHANGES In the event of a change in the Scope of Work, requested by SANITATION DISTRICT, the parties hereto shall execute an amendment to this Agreement setting forth with particularity all terms of the new Agreement, including but not limited to any additional CONSULTANT's fees. 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this Agreement, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this project by CONSULTANT. CONSULTANT shall include a description of the scope of work to be done by each Subconsultant and each CONSULTANT's project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant on a per-project-element basis, broken down as indicated in Section 2 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. 10. ENGINEERING REGISTRATION The CONSULTANT's personnel are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this Agreement requires the services of a registered engineer. Such services hereunder will be performed under the direct supervision of registered engineers. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 13 of 20 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this Agreement. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this Agreement during the term of this Agreement and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all project related accounting records and documents, and any other financial data. 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to make CONSULTANT an employee of the SANITATION DISTRICT. 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this Agreement, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notices shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Diane Marzano, Contracts Administrator Copy: Rich Leon, Project Manager PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 14 of 20 Notices shall be mailed to CONSULTANT at: CDM Smith Inc. 46 Discovery, Suite 250 Irvine, CA 92618 Attention: Hala Titus All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT's staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. 14. TERMINATION The SANITATION DISTRICT may terminate this Agreement at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this Agreement upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this Agreement, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT and/or CONSULTANT in accordance with Section 13 - NOTICES. 15. DOCUMENTS AND STUDY MATERIALS The documents and study materials for this project shall become the property of the SANITATION DISTRICT upon the termination or completion of the work. CONSULTANT agrees to furnish to the SANITATION DISTRICT copies of all memoranda, correspondence, computation and study materials in its files pertaining to the work described in this Agreement, which is requested in writing by the SANITATION DISTRICT. 16. COMPLIANCE A. Labor CONSULTANT certifies by the execution of this Agreement that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. B. Air Pollution CONSULTANT and its subconsultants and subcontractors shall comply with all applicable federal, state and local air pollution control laws and regulations. PDSA PROJECT NO. 7-65 Revised 072619 GISLER-RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 15 of 20 17. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each party is a person duly authorized to execute agreements for that party. 18. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this Agreement, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. 19. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this Agreement, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which it may be entitled. 20. PROGRESS REPORTS Monthly progress reports shall be submitted for review by the tenth day of the following month and must include as a minimum: 1) current activities, 2) future activities, 3) potential items that are not included in the Scope of Work, 4) concerns and possible delays, 5) percentage of completion, and 6) budget status. 21. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). 22. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses, judgments, fines, penalties, costs and expenses (including, without limitation, attorneys' fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise from or are in any manner related, directly or indirectly, to any work performed, or any operations, activities, or services provided by PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 16 of 20 CONSULTANT in carrying out its obligations under this Agreement to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this Agreement. Under no circumstances shall the insurance requirements and limits set forth in this Agreement be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this Agreement are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this Agreement. 23. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such claims. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 17 of 20 CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this Agreement until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. 24. CONSULTANT PERFORMANCE The CONSULTANT's performance shall be evaluated by the SANITATION DISTRICT. A copy of the evaluation shall be sent to the CONSULTANT for comment. The evaluation, together with the comments, shall be retained by the SANITATION DISTRICT and may be considered in future CONSULTANT selection processes. 25. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, as applicable, all of which may be amended from time to time. 26. CLOSEOUT When the SANITATION DISTRICT determines that all Work authorized under the Agreement is fully complete and that the SANITATION DISTRICT requires no further work from CONSULTANT, or the Agreement is otherwise terminated or expires in accordance with the terms of the Agreement, the SANITATION DISTRICT shall give the Consultant written notice that the Agreement will be closed out. CONSULTANT shall submit all outstanding billings, work submittals, deliverables, reports or similarly related documents as required under the Agreement within thirty (30) days of receipt of notice of Agreement closeout. Upon receipt of CONSULTANT's submittals, the SANITATION DISTRICT shall commence a closeout audit of the Agreement and will either: i. Give the CONSULTANT a final Agreement Acceptance: or ii. Advise the CONSULTANT in writing of any outstanding item or items which must be furnished, completed, or corrected at the CONSULTANT's cost. CONSULTANT shall be required to provide adequate resources to fully support any administrative closeout efforts identified in this Agreement. Such support must be provided within the timeframe requested by the SANITATION DISTRICT. Notwithstanding the final Agreement Acceptance the CONSULTANT will not be relieved of its obligations hereunder, nor will the CONSULTANT be relieved of its obligations to complete any portions of the work, the non-completion of which were not disclosed to the SANITATION DISTRICT (regardless of whether such nondisclosures were fraudulent, negligent, or otherwise); and the CONSULTANT shall remain obligated under all those provisions of the Agreement which expressly or by their nature extend beyond and survive final Agreement Acceptance. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 18 of 20 Any failure by the SANITATION DISTRICT to reject the work or to reject the CONSULTANT'S request for final Agreement Acceptance as set forth above shall not be deemed to be acceptance of the work by the SANITATION DISTRICT for any purpose nor imply acceptance of, or agreement with, the CONSULTANT'S request for final Agreement Acceptance. 27. ENTIRE AGREEMENT This Agreement constitutes the entire understanding and agreement between the Parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 19 of 20 IN WITNESS WHEREOF, this Agreement has been executed in the name of the SANITATION DISTRICT, by its officers thereunto duly authorized, and CONSULTANT as of the day and year first above written. CONSULTANT: CDM SMITH INC. By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Date Board Chairman By Kelly A. Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing & Contracts Manager Attachments: Attachment "A" — Scope of Work Attachment "B" — Labor Hour Matrix Attachment "C" — Not Attached Attachment "D" —Allowable Direct Costs Attachment "E" — Fee Proposal Attachment "F" — Not Used Attachment "G" — Not Attached Attachment "H" — Not Used Attachment "I" — Cost Matrix and Summary Attachment "J" — Not Attached Attachment "K" — Minor Subconsultant Hourly Rate Schedule Attachment "L" — OCSD Safety Standards PDSA PROJECT NO. 7-65 Revised 072619 GISLER—RED HILL INTERCEPTOR AND BAKER FORCE MAINS REHABILITATION Page 20 of 20 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1241 Agenda Date: 9/23/2020 Agenda Item No: 7. FROM: James D. Herberg, General Manager Originator: Rob Thompson, Assistant General Manager SUBJECT: PURCHASE SPARE INVENTORY PARTS FOR SCHWING CAKE PUMPS GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: A. Approve a Sole Source Purchase Order to Schwing Bioset for the purchase of spare inventory parts for the Schwing Cake Pumps for the Truckloading and Thickening and Dewatering facilities, for a total amount not to exceed $228,193, plus applicable sales tax and shipping; and B. Approve a contingency of $11,410 (5%). BACKGROUND The Orange County Sanitation District (Sanitation District) utilizes seven Schwing Cake Pumps to transfer biosolids within its facilities. The Thickening and Dewatering facility at Plant No. 1 uses three dewatering centrifuges that are critical to the solids handling process. Each of the three dewatering centrifuges utilize a dedicated Schwing Cake Pump to transfer the dewatered cake to storage silos. An additional dedicated Schwing Cake Pump is utilized to transfer cake from four individual storage silos to the truckloading hopper. RELEVANT STANDARDS • 24/7/365 treatment plant reliability • Maintain a proactive asset management program • Operate and maintain facilities to minimize impact on surrounding communities, including odor, noise, and lighting PROBLEM Operation of the Schwing Cake Pumps is critical to the solids removal process. As each of these pumps are dedicated to either a centrifuge or storage silo, the loss of a pump means the loss of use of a centrifuge or storage silo. Limitations to solids processing or storage may require solids storage in digesters or primary basins which can present permit compliance risks. Orange County Sanitation District Page 1 of 2 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1241 Agenda Date: 9/23/2020 Agenda Item No: 7. Most of the spare parts requested come from Germany and/or have long lead times. PROPOSED SOLUTION Procure spare inventory parts for Schwing Cake Pumps to maintain asset availability and minimize downtime. TIMING CONCERNS The seven Schwing Cake Pumps in both Truckloading and Thickening and Dewatering facilities are extremely critical to the treatment process. Having spare parts available in the warehouse will greatly reduce the downtime to our treatment process when repairs are required. RAMIFICATIONS OF NOT TAKING ACTION Failure to maintain adequate spare parts in inventory could result in extended equipment downtime which hampers solids processing capabilities. ADDITIONAL INFORMATION Schwing Bioset is a Board approved sole source vendor for Schwing Cake Pump replacement parts. Schwing is the original equipment manufacturer and Schwing Bioset is the only authorized distributor within our geographical region. A 5% contingency is requested in the event of pricing changes due to tariffs, delays in placing the order beyond the quote availability, or other unforeseeable changes. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This recommendation will be funded under the Repair and Maintenance line item for Plant No. 1 Maintenance Department (Budget Fiscal Year 2020-21, Section 6, Page 92). The available funding is sufficient for this action. Date of Approval Contract Amount Contingency 09/23/2020 $228,193 $11,410 ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: N/A RM:iq:st:ab:gc Orange County Sanitation District Page 2 of 2 Printed on 9/15/2020 powered by LegistarTM oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1242 Agenda Date: 9/23/2020 Agenda Item No: 8. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: PLAN2020-00 ON-CALL PLANNING STUDIES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: A. Approve annual Professional Services Agreements with AECOM Technical Services, Inc.; Black & Veatch Corporation; Brown and Caldwell; GHD Inc.; HDR Engineering, Inc.; Hazen and Sawyer; and Stantec Consulting Services Inc. for On-Call Planning Studies Master Contract No. PLAN2020-00, for the term November 1, 2020 through October 31, 2021, with a maximum annual contract limitation not to exceed $600,000 per Consultant; and B. Approve two additional one-year optional extensions. BACKGROUND The Orange County Sanitation District (Sanitation District) Ordinance No. OCSD-52 (Purchasing Ordinance) allows the Sanitation District to compile prequalified lists of firms for each professional discipline required to support engineering projects. The Purchasing Ordinance also allows the Professional Services Agreement to be extended for up to two additional one-year periods following the original term of one year. The Purchasing Ordinance delegates authority to the General Manager and Director of Engineering to solicit proposals for services to support engineering projects through individual task orders up to $300,000. RELEVANT STANDARDS • 1, 5, 20-year planning horizons • Maintain a proactive asset management program • Maintain a culture of improving efficiency to reduce the cost to provide the current service level or standard PROBLEM The Engineering Planning Division is responsible for Capital Improvement Program planning and often conducts planning studies to resolve complex engineering issues, including items frequently identified through the Asset Management Program. The normal procurement process to obtain professional engineering services is lengthy and requires significant administrative costs. Orange County Sanitation District Page 1 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1242 Agenda Date: 9/23/2020 Agenda Item No: 8. PROPOSED SOLUTION Retain a prequalified list of firms to provide professional engineering services under the $300,000 threshold, in accordance with the Purchasing Ordinance. This will enable the Sanitation District to expediently conduct these smaller studies with reduced staff costs. TIMING CONCERNS The current on-call planning studies agreements expire on October 31, 2020. RAMIFICATIONS OF NOT TAKING ACTION Without this prequalified pool of consultants for professional engineering services, the Sanitation District would need to request proposals from all consultants registered in the Sanitation District's purchasing database, which would take additional time and resources. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION Consultant Selection A Request for Qualifications for Plan 2020, Master Contract No. PLAN2020-00, was developed and publicly advertised, and a notice was sent to multiple categories of firms registered in the Sanitation District's purchasing database on May 11, 2020. The following evaluation criterion were described in the Request for Qualifications and used to determine the most qualified Consultant. CRITERION WEIGHT Execution of Work 29% Relevant Project Experience 34% Team and Staff Qualifications 37% 17 Statements of Qualifications were received on June 22, 2020 and subsequently evaluated in accordance with the evaluation process set forth in the Purchasing Ordinance by a preselected Evaluation Team consisting of the following three Sanitation District staff: Information Technology Supervisor and two Engineering Supervisors. The Evaluation Team also included one non-voting representative from the Contracts Administration Division. Each voting member of the Evaluation Team scored the Consultants using the evaluation criterion above. The results of this rating process are shown in Table 1, below. Based on the evaluation results, there was a clear natural break in the scores between the highest seven scoring firms and the other firms. Therefore, the Evaluation Team did not deem it necessary to conduct interviews. Table 1 below summarizes the final scores. Orange County Sanitation District Page 2 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1242 Agenda Date: 9/23/2020 Agenda Item No: 8. Table 1 - Consultant Firm Scoring Firm Execution Relevant Team and Staff Total Score of Work Project Qualifications (Max. 100 (Max. 29 Experience (Max. 37 Points) Points) Points) (Max. 34 Points) Black & Veatch Corporation 27 29 30 86 Brown and Caldwell 25 29 28 82 Hazen and Sawyer 19 28 31 78 HDR Engineering, Inc. 21 29 26 76 AECOM Technical Services, Inc. 20 27 28 75 GHD Inc. 21 24 26 71 Stantec Consulting Services Inc. 19 26 23 68 ARCADIS US. Inc. 18 22 23 63 Woodard & Curran 17 20 20 57 DUDEK 16 19 17 52 Wood Environment & Infrastructure 17 17 17 51 Solutions, Inc. Greeley and Hansen 10 11 19 40 Black Water Consulting Engineers, 9 15 11 35 Inc. Atkins North America, Inc. 10 11 11 32 Biogas Engineering Inc. 6 7 10 23 Over J Inc. 5 5 6 16 Spatial Wave 3 2 2 7 The Evaluation Team recommends awarding contracts to the seven highest-scoring firms: AECOM Technical Services, Inc.; Black & Veatch Corporation; Brown and Caldwell; GHD Inc.; HDR Engineering, Inc.; Hazen and Sawyer; and Stantec Consulting Services Inc. The selected firms demonstrated the most relevant experience with collection systems and wastewater treatment facilities related to the planning and development of engineering projects, the most qualified staff, and the ability to successfully execute work. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. Budget for these task orders is included in the Master Planning Studies Program (M-Studies) budget for Fiscal Years 2020-21 and 2021-22 budget, Section 8, Page 52. Orange County Sanitation District Page 3 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1242 Agenda Date: 9/23/2020 Agenda Item No: 8. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Professional Services Agreements Orange County Sanitation District Page 4 of 4 Printed on 9/15/2020 powered by LegistarTM PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND AECOM TECHNICAL SERVICES, INC. hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-01, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D"—Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or "per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 5 of 17 a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 6 of 17 AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 7 of 17 ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; '/2 the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 8 of 17 E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier "SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 9 of 17 H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 10 of 17 J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. N. Defense Costs: Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 11 of 17 done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 12 of 17 monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: AECOM Technical Services, Inc. 999 Town and Country Road Orange, CA 92868 Attention: Sujan Punyamurthula, PhD, PE, Principal-in-Charge Jagadish Gundarlahalli, PE, Program Manager All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 13 of 17 employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 14 of 17 negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 15 of 17 SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. AECOM TECHNICAL SERVICES, INC. By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-01 ON CALL PLANNING STUDIES Page 17 of 17 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND BLACK & VEATCH CORPORATION hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-02, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D"—Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or "per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. SANITATION DISTRICT will pay approved invoices within thirty days of receipt and approval by the SANITATION DISTRICT of the payment request. SANITATION DISTRICT will notify CONSULTANT within fifteen days following receipt of an invoice, if any corrections to the invoice are required from the CONSULTANT and if SANITATION DISTRICT does not approve all or part of an invoice. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 5 of 17 A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 6 of 17 SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 7 of 17 SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; 1/z the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 8 of 17 limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier"SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 9 of 17 CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. CONSULTANT shall provide the SANITATION DISTRICT with copies of its insurance certificates and amendatory endorsements affecting coverage. Confidential information may be redacted from said policies, provided that verification of coverage, name of carriers and agent/broker may not be redacted. Said policies and endorsements shall conform to the requirements herein stated. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 10 of 17 The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. SANITATION DISTRICT will not invoke the option expressed in this paragraph unless it has reasonable cause to question CONSULTANT's financial strength. N. Defense Costs: Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 11 of 17 P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 12 of 17 performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: Black & Veatch Corporation 5 Peters Canyon Road, Suite 300 Irvine, CA 92606 Attention: James H. Clark, Senior Vice President All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 13 of 17 CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 14 of 17 SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses, judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 15 of 17 indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. BLACK & VEATCH CORPORATION By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-02 ON CALL PLANNING STUDIES Page 17 of 17 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND BROWN AND CALDWELL hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-03, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 1 of 18 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 2 of 18 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D" —Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 3 of 18 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or"per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 4 of 18 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 5 of 18 a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 6 of 18 AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. D. The SANITATION DISTRICT shall furnish the CONSULTANT available studies, reports and other data pertinent to the CONSULTANT's service; obtain or authorize the CONSULTANT to obtain or provide additional reports and data as required; furnish to the CONSULTANT services of others required for the performance of the CONSULTANT's services hereunder, and the CONSULTANT shall be entitled to use and rely upon all such information and services provided by the SANITATION DISTRICT or others in performing the CONSULTANT's services under this AGREEMENT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 7 of 18 SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; 1/2 the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, products liability/completed operations (including any product manufactured or assembled), broad form property damage, contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, vicarious liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 8 of 18 other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier "SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 9 of 18 CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. CONSULTANT shall provide the SANITATION DISTRICT with copies of its insurance certificates and amendatory endorsements affecting coverage. Confidential information may be redacted from said policies, provided that verification of coverage, name of carriers and agent/broker may not be redacted. Said policies and endorsements shall conform to the requirements herein stated.. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of (ISO Forms) CG 2010 10 01 and CG 2037 10 01 or equivalent All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT shall send to the PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 10 of 18 SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. The SANITATION DISTRICT will not invoke the option expressed in this paragraph unless it has reasonable cause to question CONSULTANT's financial strength. N. Defense Costs: Liability policies (except Errors and Omissions/Professional Liability)shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 11 of 18 P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. Nothing in this section, however, requires CONSULTANT in the absence of litigation to reveal its Errors and Omissions/Professional Liability limits beyond that required above in Section 8. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 12 of 18 SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: Brown and Caldwell 18500 Von Karman Ave, Suite 1100 Irvine, CA 92612 Attention: Mike Puccio, PE All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 13 of 18 CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 14 of 18 SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses, judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 15 of 18 indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. CONSULTANT shall not be responsible for delays caused by circumstances beyond its reasonable control, including, but not limited to (1) strikes, lockouts, work slowdowns or stoppages or accidents, and (2) acts of God. While Consultant has made reasonable efforts to incorporate into its plan for the Project any known current project impacts of the COVID-19 pandemic, CONSULTANT has not accounted for, and is not responsible for, unknown future changes due to the COVID-19 pandemic, including, without limitation, additional restrictions by government agencies or others (such as the availability of the site for access or client or consultant staff or others) to the extent they delay or otherwise impact the Project. In that event, CONSULTANT will notify the SANITATION DISTRICT and work in good faith to equitably address any unexpected impacts therefrom. SECTION 25. CONSULTANT'S OPINION OF COSTS The SANITATION DISTRICT acknowledges that construction estimates, financial analyses and feasibility projections are subject to many influences including, but not limited to, price of labor and materials, unknown or latent conditions of existing equipment or structures, and time or quality of performance by third parties. The SANITATION DISTRICT acknowledges that such influences may not be precisely forecasted and are beyond the control of CONSULTANT and PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 16 of 18 that actual costs incurred may vary substantially from the estimates prepared by CONSULTANT. CONSULTANT does not warrant or guarantee the accuracy of construction or development cost estimates. SECTION 26. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 27. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 17 of 18 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. BROWN AND CALDWELL By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-03 ON CALL PLANNING STUDIES Page 18 of 18 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND GHD INC. hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-04, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D"—Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or "per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 5 of 17 a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 6 of 17 AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 7 of 17 ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; 1/z the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 8 of 17 E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier "SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 9 of 17 H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall either be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice or Consultant will provide prior written notice of coverage cancellation. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 10 of 17 J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. N. Defense Costs: Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 11 of 17 done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 12 of 17 monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: GHD Inc. 320 Goddard Way, Suite 200 Irvine, CA 92618 Attention: Greg Watanabe, PE, PACP, MACP, Contract Manager All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 13 of 17 with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 14 of 17 agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 15 of 17 SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. GHD INC. By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-04 ON CALL PLANNING STUDIES Page 17 of 17 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND HAZEN AND SAWYER hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-05, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D"—Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or "per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 5 of 17 a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 6 of 17 AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 7 of 17 ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; '/2 the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 8 of 17 E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier "SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 9 of 17 H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 10 of 17 J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. N. Defense Costs: Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 11 of 17 done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 12 of 17 monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: Hazen and Sawyer 7700 Irvine Center Drive, Suite 200 Irvine, CA 92618 Attention: Lynn Grijalva All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 13 of 17 with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 14 of 17 agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 15 of 17 SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. HAZEN AND SAWYER By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-05 ON CALL PLANNING STUDIES Page 17 of 17 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND HDR ENGINEERING, INC. hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-06, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021 ; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D"—Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or "per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. SANITATION DISTRICT will pay approved invoices within thirty days (30) of receipt and approval by the SANITATION DISTRICT of the payment request. SANITATION DISTRICT will notify CONSULTANT within fifteen days following receipt of an invoice, if any correction to the invoice is required from the CONSULTANT and if SANITATION DISTRICT does not approve all or part of the invoice. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 5 of 17 A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 6 of 17 SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 7 of 17 SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; 1/z the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 8 of 17 limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier"SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 9 of 17 CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. Where SANITATION DISTRICT is named Additionally Insured, CONSULTANT shall provide the SANITATION DISTRICT with copies of its insurance certificates and amendatory endorsements affecting coverage. Confidential information may be redacted from said policies, provided that verification of coverage, name of carriers and agent/broker may not be redacted. Said policies and endorsements shall conform to the requirements herein stated. The SANITATION DISTRICT reserves the right to require complete, certified copies of all required insurance policies, including endorsements, effecting the coverage required, at any time. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage materially changed until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT shall send to the SANITATION DISTRICT a certified letter which includes a description of PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 10 of 17 the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. N. Defense Costs: General and Automobile Liability policies shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 11 of 17 SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with Generally Accepted Accounting Principles (GAAP). The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 12 of 17 SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: HDR Engineering, Inc. 3230 El Camino Real, Suite 200 Irvine, CA 92602 Attention: Aaron Meilleur, PE, Vice President All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 13 of 17 Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 14 of 17 employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including without limitation, reasonable attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 15 of 17 recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. HDR ENGINEERING, INC. By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-06 ON CALL PLANNING STUDIES Page 17 of 17 PROFESSIONAL SERVICES AGREEMENT This AGREEMENT is made and entered into, to be effective this 1st day of November, 2020 by and between: ORANGE COUNTY SANITATION DISTRICT hereinafter referred to as "SANITATION DISTRICT" AND STANTEC CONSULTING SERVICES INC. hereinafter referred to as "CONSULTANT" RECITALS WHEREAS, pursuant to a Request for Qualifications ("Underlying RFQ") the Board of Directors of the SANITATION DISTRICT in accordance with the current Ordinance, by action on September 23, 2020 approved the award of a Professional Services Agreement ("AGREEMENT") for CONTRACT NO. PLAN2020-07, On Call Planning Studies to CONSULTANT to provide services for selected projects on a Task Order basis, from November 1, 2020 to October 31, 2021; and WHEREAS, CONSULTANT is qualified to provide the necessary services in connection with these requirements and has agreed to provide the necessary planning services; and, WHEREAS, the parties intend by this AGREEMENT to set forth the general terms and conditions that will apply to any specific project for which CONSULTANT is given a Task Order by the SANITATION DISTRICT. NOW, THEREFORE, the SANITATION DISTRICT and the CONSULTANT mutually agree as follows: SECTION 1. SCOPE OF AGREEMENT The SANITATION DISTRICT, at its sole discretion, may, from time to time during the term of this AGREEMENT, issue a Request for Task Order Proposal ("RFTOP") setting forth a detailed Scope of Work, to be performed on the identified project, and thereafter, upon receipt of a Proposal from the CONSULTANT, may issue a directive Task Order to proceed with the work. The Underlying RFTOP, including the CONSULTANT's Proposal, the Task Order, and all other attachments listed below shall be incorporated by reference and become an operative part of this Agreement, upon execution by the SANITATION DISTRICT as though fully set forth at length herein: • Executed Task Order inclusive of its Scope of Work; • The RFTOP, inclusive of the CONSULTANT's Proposal; • Attachment "A" Scope of Work • Attachment "D" Allowable Direct Costs • Attachment "K" Hourly Labor Rate Schedule • Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 1 of 17 Should any conflict or inconsistency exist in the contract documents identified in this Section, the conflict or inconsistency shall be resolved by applying the provisions in the highest priority document, which shall be determined in the following order of priority: • The terms of this AGREEMENT and any amendments thereto; • The provisions of any executed Task Order; • The provisions of the RFTOP; • Attachment "D" Allowable Direct Costs; • Attachment "K" Hourly Labor Rate Schedule; • Attachment "L" OCSD Safety Standards; • Attachment "A" Scope of Work" SECTION 2. TASK ORDER ISSUANCE BY SANITATION DISTRICT The directive Task Order issued by the SANITATION DISTRICT, shall specifically, or by reference to the RFTOP and corresponding Proposal, set forth the specific detailed terms of this AGREEMENT that are to apply to the specific project for which the services will be rendered. Those terms, shall include, but not be limited to, scope, time for performance and compensation. SECTION 3. TERM This AGREEMENT shall commence on the effective date of this AGREEMENT, and terminate on October 31, 2021 unless further extended by written agreement by the SANITATION DISTRICT and CONSULTANT. Any work that is required by a Task Order and is not finished by the date of termination shall be continued and completed by the CONSULTANT, and the terms and conditions of this AGREEMENT shall continue in effect for that time. The SANITATION DISTRICT has the option to renew this AGREEMENT twice, each with a one year term, for a maximim contract duration of three (3) years total. SECTION 4. COMPENSATION The total compensation, payable to the CONSULTANT pursuant to this AGREEMENT, shall not exceed six hundred thousand dollars ($600,000) per year in accordance with the term described in Section 3 - TERM. The compensation includes, but is not limited to, fees for professional services (based on individual burdened labor rates and Subconsultant fees), overhead, and profit. The specific amount of compensation payable to the CONSULTANT for services rendered on an individual project, pursuant to a directive Task Order, shall be established for each Task Order and shall not exceed three hundred thousand dollars ($300,000) per individual Task Order unless authorized by the SANITATION DISTRICT's Board of Directors. CONSULTANT agrees and acknowledges that the execution of this AGREEMENT does not in any way guarantee that a Task Order will be issued to CONSULTANT. Moreover, execution of this AGREEMENT shall not entitle CONSULTANT to any form of payment or compensation from the SANITATION DISTRICT without the SANITATION DISTRICT first having issued a written Task Order. A. Task Order Pricing The subsections below describe the cost elements to be used in developing the price of the written Task Orders. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 2 of 17 1) Hourly Labor Rate Schedule The services by the CONSULTANT, pursuant to each project Task Order, shall be billed to the SANITATION DISTRICT at the hourly rate ranges for each class of employee to be used, set forth in an Attachment "K" — Hourly Labor Rate Schedule, to be provided by the SANITATION DISTRICT prior to award of Agreement and incorporated herein. Hourly Labor Rates shall consist of the: Burdened Salary Rate consisting of the hourly salary rate, plus benefits for each employee or labor category specified in Attachment "K" paid by CONSULTANT and its Subconsultants to their employees. Direct Salary rates for CONSULTANT and its Subconsultants may be adjusted annually on January 1 by mutual agreement of the Parties. Escalation of the salary rate will be in accordance with CPI of LA-Orange County Index. This rate is determined by the U.S. Department of Labor Statistics, Consumer Price Index— Los Angeles/ Orange County Metropolitan Area. Burden rates for CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT, inclusive of renewals identified in Section 3 - TERM. Overhead Rate consisting of a verified or negotiated percentage specified in Attachment "K" and applied to the Burdened Salary Rate for CONSULTANT and its Subconsultants. The Overhead Rates of CONSULTANT and its Subconsultants shall remain fixed through the term of this AGREEMENT inclusive of any renewals identified in Section 3 - TERM. Profit, expressed as a percentage, shall be applied to each Burdened Salary Rate and applied Overhead Rate. Profit shall be included in the Hourly Labor Rates specified in Attachment 'W'. Profit shall remain fixed through the term of this AGREEMENT, inclusive of any renewals identified in Section 3 - TERM. 2) Direct Costs The SANITATION DISTRICT shall reimburse CONSULTANT and Subconsultants the actual costs of permits and associated fees, travel, licenses, and other services in accordance with Attachment "D" —Allowable Direct Costs, as may be specified in each Task Order proposal. The SANITATION DISTRICT shall not pay markup on such Direct Costs, Equipment rentals, leases, purchases and other direct costs not agreed to and specified in the Task Order proposal may only be reimbursed by the SANITATION DISTRICT with its prior written approval. The SANITATION DISTRICT will reimburse the CONSULTANT for reasonable travel and business expenses as described in this Section and further described in Attachment "D" —Allowable Direct Costs to this AGREEMENT. The reimbursement of the above mentioned expenses will be based on an "accountable plan" as considered by the Internal Revenue Service (IRS). The plan includes a combination of reimbursements based upon receipts and a "per diem" component approved by the IRS. The most recent schedule of the per diem rates utilized by the SANITATION DISTRICT can be found on the U.S. General Service Administration website at http://www.gsa.gov/portal/category/l 04711#. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 3 of 17 The CONSULTANT shall be responsible for the most economical and practical means of management of reimbursable costs. The SANITATION DISTRICT shall apply the most economic and practical method of reimbursement which may include reimbursements based upon receipts and/or"per diem". CONSULTANT shall return to the SANITATION DISTRICT any excess reimbursements. Travel and travel arrangements —Any travel involving airfare, overnight stays or multiple day attendance must be approved by the SANITATION DISTRICT in writing, at least fifteen (15) days in advance. Local Travel is considered travel by the CONSULTANT within the SANITATION DISTRICT general geographical area which includes Orange, Los Angeles, Ventura, San Bernardino, Riverside, San Diego, Imperial and Kern Counties. Automobile mileage is reimbursable if CONSULTANT is required to utilize a personal vehicle for local travel. Lodging — Overnight stays will not be approved by the SANITATION DISTRICT for local travel. However, under certain circumstances overnight stay may be allowed at the discretion of the SANITATION DISTRICT based on reasonableness of meeting schedules and the amount of time required for travel by the CONSULTANT. Such determination will be made on a case-by-case basis and at the discretion of the SANITATION DISTRICT. Travel Meals — Per-diem rates as approved by the IRS shall be utilized for travel meal reimbursements. Per diem rates shall be applied to meals that are appropriate for travel times. Receipts are not required for the approved meals. Additional details related to the reimbursement of the allowable direct costs are provided in the Attachment "D" —Allowable Direct Costs of this AGREEMENT. All incidental expenses shall be included in the Overhead Rate pursuant to Subsection A.1) Hourly Labor Rate Schedule above. Upon request, CONSULTANT shall provide to the SANITATION DISTRICT receipts and other documentary records to support CONSULTANT's request for reimbursement of these amounts, see Attachment "D" —Allowable Direct Costs. 3) Other Direct Costs Other Direct Costs incurred by CONSULTANT and its Contractor due to modifications in scope of work resulting from field investigations and field work required by Contract. These items may include special equipment, test equipment and tooling and other materials and services not previously identified. Refer to Attachment "Y — Allowable Direct Costs for payment information. 4) Limitation of Costs If, at any time, CONSULTANT estimates the cost of performing the services described in CONSULTANT's Task Order Proposal will exceed seventy-five percent (75%) of the not-to- exceed amount of the Task Order, including any approved additional compensation, CONSULTANT shall notify the SANITATION DISTRICT immediately, and in writing. This written notice shall indicate the additional amount PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 4 of 17 necessary to complete the services. Any cost incurred in excess of the approved not- to-exceed amount, without the express written consent of the SANITATION DISTRICT's authorized representative shall be at CONSULTANT's own risk. This written notice shall be provided separately from, and in addition to any notification requirements contained in the CONSULTANT's invoice and monthly progress report. Failure to notify the SANITATION DISTRICT that the services cannot be completed within the authorized not-to-exceed amount of a Task Order is a material breach of this AGREEMENT. B. Additional Work: For extra work not a part of this AGREEMENT, written authorization from the SANITATION DISTRICT is required prior to the CONSULTANT undertaking any extra work. C. Method of Payment: The CONSULTANT shall submit for approval by the SANITATION DISTRICT, monthly invoices based on the total services which have been satisfactorily completed and specifying a percentage of completion. The CONSULTANT's billings shall be certified for payment by the SANITATION DISTRICT only after the SANITATION DISTRICT has determined that the CONSULTANT has completed each applicable project task. CONSULTANT shall submit separate invoices for each Task Order on a monthly basis. CONSULTANT understands that submitted costs are subject to Section 11 - AUDIT PROVISIONS. D. Task Order Completion Upon satisfactory completion of the work performed under each Task Order, and prior to final payment under each Task Order for such work, or prior settlement upon termination of this AGREEMENT, and as a condition precedent thereto, CONSULTANT shall execute and deliver to the SANITATION DISTRICT a release of all claims against the SANITATION DISTRICT arising under or by virtue of this AGREEMENT other than such claims, if any, as may be specifically exempted by CONSULTANT from the operation of the release in stated amounts to be set forth therein. E. False Claims Pursuant to the California False Claims Act (Government Code Sections 12650-12655), any CONSULTANT that knowingly submits a false claim to the SANITATION DISTRICT for compensation under the terms of this AGREEMENT may be held liable for treble damages and up to a $10,000 civil penalty for each false claim submitted. This Section shall also be binding on all Subconsultants. A CONSULTANT or Subconsultant shall be deemed to have submitted a false claim when the CONSULTANT or Subconsultant: (a) knowingly presents or causes to be presented to an officer or employee of the SANITATION DISTRICT a false claim or request for payment or approval; (b) knowingly makes, uses, or causes to be made or used a false record or statement to get a false claim paid or approved by the SANITATION DISTRICT; (c) conspires to defraud the SANITATION DISTRICT by getting PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 5 of 17 a false claim allowed or paid by the SANITATION DISTRICT; (d) knowingly makes, uses, or causes to be made or used a false record or statement to conceal, avoid, or decrease an obligation to the SANITATION DISTRICT; or (e) is a beneficiary of an inadvertent submission of a false claim to the SANITATION DISTRICT, and fails to disclose the false claim to the SANITATION DISTRICT within a reasonable time after discovery of the false claim. F. California Department of Industrial Relations (DIR) Registration and Record of Wages: To the extent the CONSULTANT's employees and/or Subconsultants who will perform work during the design and preconstruction phases of a construction contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, CONSULTANT and Subconsultants shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. The CONSULTANT and Subconsultants shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code Section 1771.4(a)(3). Penalties for non-compliance with the requirements of Section1776 may be deducted from progress payments per Section 1776. Pursuant to Labor Code Section 1776, the CONSULTANT and Subconsultants shall furnish a copy of all certified payroll records to the SANITATION DISTRICT and/or general public upon request, provided the public request is made through the SANITATION DISTRICT, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the DIR. The CONSULTANT and Subconsultants shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulations Section 16461(e). G. Record of Expenses: The CONSULTANT shall keep complete and accurate records of all costs and expenses incidental to services covered by this AGREEMENT. These records will be made available to the SANITATION DISTRICT upon request. H. Reallocation of Total Compensation: The SANITATION DISTRICT, by its Director of Engineering, shall have the right to approve a reallocation of the incremental amounts constituting the total compensation payable under the Task Order, provided that the total compensation for the Task Order is not increased. SECTION 5. LIMITATIONS UPON SUBCONTRACTING AND ASSIGNMENT The CONSULTANT shall not contract with any other person or entity to perform the services required without the written approval of the SANITATION DISTRICT. This AGREEMENT may not be assigned voluntarily, or by operation of law, without the prior written approval of the SANITATION DISTRICT. If the CONSULTANT is permitted to subcontract any part of this PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 6 of 17 AGREEMENT by the SANITATION DISTRICT, the CONSULTANT shall be responsible to the SANITATION DISTRICT for the acts and omissions of its subcontractor, as it is for persons directly employed. Nothing contained in this AGREEMENT shall create any contractual relationship between any subcontractor and the SANITATION DISTRICT. All persons engaged in the work will be considered employees of the CONSULTANT. The SANITATION DISTRICT will deal directly with and will make all payments to the CONSULTANT. SECTION 6. CHANGES TO SCOPE OF WORK In the event of a change in the Scope of Work as requested by the SANITATION DISTRICT, the parties hereto shall execute an amendment to the Task Order, setting forth with particularity, all new terms of the Task Order, including but not limited to, any additional compensation. SECTION 7. DOCUMENT OWNERSHIP — CONSULTANT PERFORMANCE A. All documents in all forms (electronic, paper, etc.), including, but not limited to, studies, sketches, drawings, computer printouts, disk files, and electronic copies prepared in connection with or related to the Scope of Work or Professional Services, shall be the property of the SANITATION DISTRICT. The SANITATION DISTRICT's ownership of these documents includes use of, reproduction or reuse of and all incidental rights, whether or not the work for which they were prepared has been performed. The SANITATION DISTRICT ownership entitlement arises upon payment or any partial payment for work performed and includes ownership of any and all work product completed prior to that payment. This Section shall apply whether the CONSULTANT's Professional Services are terminated: a) by the completion of the AGREEMENT, or b) in accordance with other provisions of this AGREEMENT. Notwithstanding any other provision of this paragraph or AGREEMENT, the CONSULTANT shall have the right to make copies of all such plans, studies, sketches, drawings, computer printouts and disk files, and specifications. B. CONSULTANT shall not be responsible for damage caused by subsequent changes to or uses of the study or deliverable where the subsequent changes or uses are not authorized or approved by CONSULTANT, provided that the service rendered by CONSULTANT was not a proximate cause of the damage. C. Copies of Work Product Upon completion of the work required for each Task Order, the CONSULTANT shall deliver to the SANITATION DISTRICT the number of copies specified in the specific Task Order Scope of Work of the final report containing the CONSULTANT's findings, conclusions, recommendations, and all supporting documentation and/or final design drawings and specifications. Each Task Order will define the requirements for the deliverables. SECTION 8. INSURANCE A. General: i. Insurance shall be issued and underwritten by insurance companies acceptable to the SANITATION DISTRICT. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 7 of 17 ii. Insurers must have an "A-" Policyholder's Rating, or better, and Financial Rating of at least Class VI11, or better, in accordance with the most current A.M. Best's Guide Rating. However, the SANITATION DISTRICT will accept State Compensation Insurance Fund, for the required policy of Worker's Compensation Insurance subject to the SANITATION DISTRICT's option to require a change in insurer in the event the State Fund financial rating is decreased below "B". Further, the SANITATION DISTRICT will require CONSULTANT to substitute any insurer whose rating drops below the levels herein specified. Said substitution shall occur within twenty (20) days of written notice to CONSULTANT, by the SANITATION DISTRICT or its agent. iii. Coverage shall be in effect prior to the commencement of any work under this AGREEMENT. B. General Liability: The CONSULTANT shall maintain during the life of this AGREEMENT, including the period of warranty, Commercial General Liability Insurance written on an occurrence basis providing the following minimum limits of liability coverage: One Million Dollars ($1,000,000) per occurrence with Two Million Dollars ($2,000,000) aggregate unless aggregate applies separately to this project (via use of ISO CG 25 03 or 25 04), then aggregate limit = One Million Dollars $1,000,000 (i,e,; 1/2 the general aggregate. Said insurance shall include coverage for the following hazards: Premises-Operations, blanket contractual liability (for this AGREEMENT), products liability/completed operations (including any product manufactured or assembled), broad form property damage, blanket contractual liability, independent contractors liability, personal and advertising injury, mobile equipment, owners and contractors protective liability, and cross liability and severability of interest clauses. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement(s). If requested by SANITATION DISTRICT and applicable, XCU coverage (Explosion, Collapse and Underground) and Riggers/On Hook Liability must be included in the General Liability policy and coverage must be reflected on the submitted Certificate of Insurance. C. Umbrella Excess Liability: The minimum limits of general liability and Automotive Liability Insurance required, as set forth herein, shall be provided for through either a single policy of primary insurance or a combination of policies of primary and umbrella excess coverage. Umbrella excess liability coverage shall be issued with limits of liability which, when combined with the primary insurance, will equal the minimum limits for general liability and automotive liability. D. Automotive Vehicle Liability Insurance: The CONSULTANT shall maintain a policy of Automotive Liability Insurance on a comprehensive form covering all owned, non-owned, and hired automobiles, trucks, and other vehicles providing the following minimum limits of liability coverage: Combined single limit of One Million Dollars ($1,000,000) or alternatively, Five Hundred Thousand Dollars ($500,000) per person for bodily injury and One Million Dollars ($1,000,000) per accident for bodily injury and Five Hundred Thousand Dollars ($500,000) per accident for property damage. A statement on an insurance certificate will not be accepted in lieu of the actual additional insured endorsement. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 8 of 17 E. Drone Liability Insurance: If a drone will be used, drone liability insurance must be maintained by CONSULTANT in the amount of One Million Dollars ($1,000,000) in a form acceptable by SANITATION DISTRICT. F. Worker's Compensation Insurance: The CONSULTANT shall provide such Workers' Compensation Insurance as required by the Labor Code of the State of California in the amount of the statutory limit, including Employer's Liability Insurance with a minimum limit of One Million Dollars ($1,000,000) per occurrence. Such Worker's Compensation Insurance shall be endorsed to provide for a waiver of subrogation in favor of the SANITATION DISTRICT. A statement on an insurance certificate will not be accepted in lieu of the actual endorsements unless the insurance carrier is State of California Insurance Fund and the identifier "SCIF" and endorsement numbers 2570 and 2065 are referenced on the certificate of insurance. If an exposure to Jones Act liability may exist, the insurance required herein shall include coverage for Jones Act claims. G. Errors and Omissions/Professional Liability: CONSULTANT shall maintain in full force and effect, throughout the term of this AGREEMENT, standard industry form professional negligence errors and omissions insurance coverage in an amount of not less than Two Million Dollars ($2,000,000) with limits in accordance with the provisions of this Paragraph. If the policy of insurance is written on a "claims made" basis, said policy shall be continued in full force and effect at all times during the term of this AGREEMENT, and for a period of five (5) years from the date of the completion of the services hereunder. In the event of termination of said policy during this period, CONSULTANT shall obtain continuing insurance coverage for the prior acts or omissions of CONSULTANT during the course of performing services under the term of this AGREEMENT. Said coverage shall be evidenced by either a new policy evidencing no gap in coverage or by separate extended "tail" coverage with the present or new carrier. In the event the present policy of insurance is written on an "per occurrence" basis, said policy shall be continued in full force and effect during the term of this AGREEMENT or until completion of the services provided for in this AGREEMENT, whichever is later. In the event of termination of said policy during this period, new coverage shall be obtained for the required period to insure for the prior acts of CONSULTANT during the course of performing services under the term of this AGREEMENT. CONSULTANT shall provide to the SANITATION DISTRICT a certificate of insurance in a form acceptable to the SANITATION DISTRICT indicating the deductible or self-retention amounts and the expiration date of said policy, and shall provide renewal certificates not less than ten (10) days prior to the expiration of each policy term. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 9 of 17 H. Proof of Coverage: The CONSULTANT shall furnish the SANITATION DISTRICT with original certificates and amendatory endorsements effecting coverage. Said policies and endorsements shall conform to the requirements herein stated. All certificates and endorsements are to be received and approved by the SANITATION DISTRICT before work commences. Where SANITATION DISTRICT is named Additionally Insured, CONSULTANT shall provide the SANITATION DISTRICT with copies of its insurance certificates and amendatory endorsements affecting coverage. Confidential information may be redacted from said policies, provided that verification of coverage, name of carriers and agent/broker may not be redacted. Said policies and endorsements shall conform to the requirements herein stated. The following are approved forms that must be submitted as proof of coverage: • Certificate of Insurance ACORD Form 25 (5/2010) or equivalent • Additional Insurance (ISO Form) CG2010 11 85 or (General Liability) The combination of(ISO Forms) CG 2010 10 01 and CG 2037 10 01 All other Additional Insured endorsements must be submitted for approval by the SANITATION DISTRICT, and the SANITATION DISTRICT may reject alternatives that provide different or less coverage to the SANITATION DISTRICT. • Additional Insured Submit Endorsement provided by carrier for (Auto Liability) the SANITATION DISTRICT approval. • Waiver of Subrogation State Compensation Insurance Fund Endorsement No. 2570 or equivalent • Cancellation Notice State Compensation Insurance Fund Endorsement No. 2570 or equivalent I. Cancellation Notice: Each insurance policy required herein shall be endorsed to state that coverage shall not be cancelled by either party, except after thirty (30) days' prior written notice. The Cancellation Section of ACORD Form 25 (5/2010) shall state the required thirty (30) days' written notification. The policy shall not terminate, nor shall it be cancelled, nor the coverage reduced until thirty (30) days after written notice is given to the SANITATION DISTRICT except for nonpayment of premium, which shall require not less than ten (10) days written notice to the SANITATION DISTRICT. Should there be changes in coverage or an increase in deductible or SIR amounts, the CONSULTANT and its insurance broker/agent shall send to the SANITATION DISTRICT a certified letter which includes a description of the changes in coverage and/or any increase in deductible or SIR amounts. The certified letter must be sent to the attention of Risk Management, and shall be received by the SANITATION DISTRICT not less than thirty (30) days prior to the PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 10 of 17 effective date of the change(s) if the change would reduce coverage or increase deductibles or SIR amounts or otherwise reduce or limit the scope of insurance coverage provided to the SANITATION DISTRICT. J. Primary Insurance: All liability policies shall contain a Primary and Non Contributory Clause. Any other insurance maintained by the SANITATION DISTRICT shall be excess and not contributing with the insurance provided by CONSULTANT. K. Separation of Insured: All liability policies shall contain a "Separation of Insureds" clause. L. Non-Limiting (if applicable): Nothing in this document shall be construed as limiting in any way, nor shall it limit the indemnification provision contained in this AGREEMENT, or the extent to which CONSULTANT may be held responsible for payment of damages to persons or property. M. Deductibles and Self-Insured Retentions: Any deductible and/or self-insured retention must be declared to the SANITATION DISTRICT on the Certificate of Insurance. All deductibles and/or self-insured retentions require approval by the SANITATION DISTRICT. At the option of the SANITATION DISTRICT, either: the insurer shall reduce or eliminate such deductible or self-insured retention as respects the SANITATION DISTRICT; or the CONSULTANT shall provide a financial guarantee satisfactory to the SANITATION DISTRICT guaranteeing payment of losses and related investigations, claim administration and defense expenses. SANITATION DISTRICT will not invoke the option expressed in this paragraph unless it has reasonable cause to question CONSULTANT's financial strength. N. Defense Costs: Liability policies (except Errors and Omissions/Professional Liability) shall have a provision that defense costs for all insureds and additional insureds are paid in addition to and do not deplete any policy limits. O. Subconsultants: The CONSULTANT shall be responsible to establish insurance requirements for any Subconsultant hired by the CONSULTANT. The insurance shall be in amounts and types reasonably sufficient to deal with the risk of loss involving the Subconsultant's operations and work. P. Limits Are Minimums: If the CONSULTANT maintains higher limits than any minimums shown above, then SANITATION DISTRICT requires and shall be entitled to coverage for the higher limits maintained by CONSULTANT. Nothing in this section, however, require CONSULTANT in PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 11 of 17 the absence of litigation to reveal its Errors and Omissions/Professional Liability limits beyond that required above in other sections. SECTION 9. PROJECT TEAM AND SUBCONSULTANTS CONSULTANT shall provide to SANITATION DISTRICT, prior to execution of this AGREEMENT, the names and full description of all Subconsultants and CONSULTANT's project team members anticipated to be used on this Project under this AGREEMENT by CONSULTANT. CONSULTANT shall include a description of the work and services to be done by each Subconsultant and each of CONSULTANT's Project team member. CONSULTANT shall include the respective compensation amounts for CONSULTANT and each Subconsultant, broken down as indicated in Section 4 - COMPENSATION. There shall be no substitution of the listed Subconsultants and CONSULTANT's project team members without prior written approval by the SANITATION DISTRICT. SECTION 10. ENGINEERING REGISTRATION The CONSULTANT's personnel and Subconsultants are comprised of registered engineers and a staff of specialists and draftsmen in each department. The firm itself is not a registered engineer but represents and agrees that wherever in the performance of this AGREEMENT, requires the services of a registered engineer, such services hereunder will be performed under the direct supervision of registered engineers who are registered in California. SECTION 11. AUDIT PROVISIONS A. SANITATION DISTRICT retains the reasonable right to access, review, examine, and audit, any and all books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify that the CONSULTANT is in compliance with all requirements under this AGREEMENT. The CONSULTANT shall include the SANITATION DISTRICT's right as described above, in any and all of their subcontracts, and shall ensure that these rights are binding upon all Subconsultants. B. SANITATION DISTRICT retains the right to examine CONSULTANT's books, records, documents and any other evidence of procedures and practices that the SANITATION DISTRICT determines are necessary to discover and verify all direct and indirect costs, of whatever nature, which are claimed to have been incurred, or anticipated to be incurred or to ensure CONSULTANT's compliance with all requirements under this AGREEMENT during the term of this AGREEMENT and for a period of three (3) years after its termination. C. CONSULTANT shall maintain complete and accurate records in accordance with generally accepted industry standard practices and the SANITATION DISTRICT's policy. The CONSULTANT shall make available to the SANITATION DISTRICT for review and audit, all project related accounting records and documents, and any other financial data within 15 days after receipt of notice from the SANITATION DISTRICT. Upon SANITATION DISTRICT's request, the CONSULTANT shall submit exact duplicates of originals of all requested records to the SANITATION DISTRICT. If an audit is performed, CONSULTANT shall ensure that a qualified employee of the CONSULTANT will be available to assist SANITATION DISTRICT's auditor in obtaining all Project related accounting records and documents, and any other financial data. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 12 of 17 SECTION 12. LEGAL RELATIONSHIP BETWEEN PARTIES The legal relationship between the parties hereto is that of an independent contractor and nothing herein shall be deemed to transform CONSULTANT, its staff, independent contractors, or Subconsultants , agents or employees of the SANITATION DISTRICT and shall obtain no rights to any benefits which accrue to the SANITATION DISTRICT's employees. CONSULTANT'S staff performing services under the AGREEMENT shall at all times be employees and/or independent contractors of CONSULTANT. CONSULTANT shall monitor and control its staff and pay wages, salaries, and other amounts due directly to its staff in connection with the AGREEMENT. CONSULTANT shall be responsible for hiring, review, and termination of its staff and shall be accountable for all reports and obligations respecting them, such as social security, income tax withholding, unemployment compensation, workers' compensation and similar matters. SECTION 13. NOTICES All notices hereunder and communications regarding the interpretation of the terms of this AGREEMENT, or changes thereto, shall be effected by delivery of said notices in person or by depositing said notices in the U.S. mail, registered or certified mail, return receipt requested, postage prepaid. Notice shall be mailed to the SANITATION DISTRICT at: ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, CA 92708-7018 Attention: Clarice Marcin, Senior Contracts Administrator Copy: Adam Nazaroff, Engineering Supervisor Notice shall be mailed to CONSULTANT at: Stantec Consulting Services Inc. 300 N. Lake Avenue, Suite 400 Pasadena, CA 91101 Attention: Venu Kolli Senior Principal Area Manager/Business Center Practice Leader All communication regarding the Scope of Work, will be addressed to the Project Manager. Direction from other SANITATION DISTRICT staff must be approved in writing by the SANITATION DISTRICT's Project Manager prior to action from the CONSULTANT. SECTION 14. TERMINATION The SANITATION DISTRICT may terminate this AGREEMENT at any time, without cause, upon giving thirty (30) days written notice to CONSULTANT. In the event of such termination, CONSULTANT shall be entitled to compensation for work performed on a prorated basis through and including the effective date of termination. CONSULTANT shall be permitted to terminate this AGREEMENT upon thirty (30) days written notice only if CONSULTANT is not compensated for billed amounts in accordance with the provisions of this AGREEMENT, when the same are due. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 13 of 17 Notice of termination shall be mailed to the SANITATION DISTRICT at the address listed in Section 13 - NOTICES. SECTION 15. COMPLIANCE CONSULTANT certifies by the execution of this AGREEMENT that it pays employees not less than the minimum wage as defined by law, and that it does not discriminate in its employment with regard to race, color, religion, sex or national origin; that it is in compliance with all federal, state and local directives and executive orders regarding non-discrimination in employment; and that it agrees to demonstrate positively and aggressively the principle of equal opportunity in employment. The CONSULTANT shall comply with all applicable laws, ordinances, codes, and regulations of federal, state and local government in all aspects related to this Agreement and any work completed for the SANITATION DISTRICT. SECTION 16. AGREEMENT EXECUTION AUTHORIZATION Both the SANITATION DISTRICT and CONSULTANT do covenant that each individual executing this document by and on behalf of each Party is a person duly authorized to execute this AGREEMENT for that Party. SECTION 17. DISPUTE RESOLUTION In the event of a dispute arising between the parties regarding performance or interpretation of this AGREEMENT, the dispute shall be resolved by binding arbitration under the auspices of the Judicial Arbitration and Mediation Service ("JAMS"), or similar organization or entity conducting alternate dispute resolution services. SECTION 18. ATTORNEY'S FEES, COSTS AND NECESSARY DISBURSEMENTS If any action at law or in equity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this AGREEMENT, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. SECTION 19. WARRANTY CONSULTANT shall perform its services in accordance with generally accepted industry and professional standards. If, within the 12-month period following completion of its services, the SANITATION DISTRICT informs CONSULTANT that any part of the services fails to meet those standards, CONSULTANT shall, within the time prescribed by the SANITATION DISTRICT, take all such actions as are necessary to correct or complete the noted deficiency(ies). SECTION 20. INDEMNIFICATION To the fullest extent permitted by law, CONSULTANT shall indemnify, defend (at CONSULTANT's sole cost and expense and with legal counsel approved by the SANITATION DISTRICT, which approval shall not be unreasonably withheld), protect and hold harmless the SANITATION DISTRICT and all of the SANITATION DISTRICT's officers, directors, PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 14 of 17 employees, CONSULTANT's, and agents (collectively the "Indemnified Parties"), from and against any and all claims, damages, liabilities, causes of action, suits, arbitration awards, losses,judgments, fines, penalties, costs and expenses (including without limitation, attorney's fees, disbursements and court costs, and all other professional, expert or CONSULTANT's fees and costs and the SANITATION DISTRICT's general and administrative expenses; individually, a "Claim"; collectively, "Claims") which may arise, pertain to, or relate directly or indirectly to any work performed, or any operations, activities, or services provided by CONSULTANT in carrying out its obligations under this AGREEMENT to the extent of the negligent, recklessness and/or willful misconduct of CONSULTANT, its principals, officers, agents, employees, CONSULTANT's suppliers, CONSULTANT, Subconsultants, subcontractors, and/or anyone employed directly or indirectly by any of them, regardless of any contributing negligence or strict liability of an Indemnified Party. Notwithstanding the foregoing, nothing herein shall be construed to require CONSULTANT to indemnify the Indemnified Parties from any Claim arising solely from: (A) the active negligence or willful misconduct of the Indemnified Parties; or (B) a natural disaster or other act of God, such as an earthquake; or (C) the independent action of a third party who is neither one of the Indemnified Parties nor the CONSULTANT, nor its principal, officer, agent, employee, nor CONSULTANT's supplier, CONSULTANT, Subconsultant, subcontractor, nor anyone employed directly or indirectly by any of them. Exceptions (A) through (B) above shall not apply, and CONSULTANT shall, to the fullest extent permitted by law, indemnify the Indemnified Parties, from Claims arising from more than one cause if any such cause taken alone would otherwise result in the obligation to indemnify hereunder. CONSULTANT's liability for indemnification hereunder is in addition to any liability CONSULTANT may have to the SANITATION DISTRICT for a breach by CONSULTANT of any of the provisions of this AGREEMENT. Under no circumstances shall the insurance requirements and limits set forth in this AGREEMENT be construed to limit CONSULTANT's indemnification obligation or other liability hereunder. The terms of this AGREEMENT are contractual and the result of negotiation between the parties hereto. Accordingly, any rule of construction of contracts (including, without limitation, California Civil Code Section 1654) that ambiguities are to be construed against the drafting party, shall not be employed in the interpretation of this AGREEMENT. SECTION 21. DUTY TO DEFEND The duty to defend hereunder is wholly independent of and separate from the duty to indemnify and such duty to defend shall exist regardless of any ultimate liability of CONSULTANT and shall be consistent with Civil Code Section 2782.8. Such defense obligation shall arise immediately upon presentation of a Claim by any person if, without regard to the merit of the Claim, such Claim could potentially result in an obligation to indemnify one or more Indemnified Parties, and upon written notice of such Claim being provided to CONSULTANT. Payment to CONSULTANT by any Indemnified Party or the payment or advance of defense costs by any Indemnified Party shall not be a condition precedent to enforcing such Indemnified Party's rights to indemnification hereunder. In the event a final judgment, arbitration, award, order, settlement, or other final resolution expressly determines that the Claim did not arise out of, pertain to, or relate to the negligence, PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 15 of 17 recklessness, or willful misconduct of the CONSULTANT, to any extent, then the SANITATION DISTRICT will reimburse CONSULTANT for the reasonable costs of defending the Indemnified Parties against such Claims. CONSULTANT's indemnification obligation hereunder shall survive the expiration or earlier termination of this AGREEMENT until such time as action against the Indemnified Parties for such matter indemnified hereunder is fully and finally barred by the applicable statute of limitations. SECTION 22. COMPLIANCE WITH SANITATION DISTRICT POLICIES AND PROCEDURES CONSULTANT shall be required to comply with all SANITATION DISTRICT policies and procedures including the OCSD Safety Standards, Attachment "L" as applicable, all of which may be amended from time to time. SECTION 23. GOVERNING LAW This Agreement shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in Orange County, in the event any action is brought in connection with this Agreement or the performance thereof. SECTION 24. TIME OF ESSENCE Time is of the essence in the performance of this AGREEMENT. SECTION 25. CONFLICT OF INTEREST The CONSULTANT covenants that it presently has no interest and shall not acquire any interest, direct or indirect, which would conflict in any manner or degree with the performance of the services contemplated by this AGREEMENT. No person having such interest shall be employed by or associated with the CONSULTANT. SECTION 26. ENTIRE AGREEMENT This AGREEMENT constitutes the entire understanding and agreement between the parties and supersedes all previous negotiations between them pertaining to the subject matter thereof. PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 16 of 17 IN WITNESS WHEREOF, this AGREEMENT has been executed in the name of the SANITATION DISTRICT by its officers thereunto duly authorized, and by the CONSULTANT, as of the day and year first above written. STANTEC CONSULTING SERVICES INC. By Date Printed Name & Title ORANGE COUNTY SANITATION DISTRICT By David John Shawver Chair, Board of Directors Date By Kelly Lore Date Clerk of the Board By Ruth Zintzun Date Purchasing and Contracts Manager Attachments: Attachment "A" Scope of Work Attachment "B" Not Used Attachment "C" Not Attached Attachment "D" Allowable Direct Costs Attachment "E" Not Used Attachment "F" Not Attached Attachment "G" Not Attached Attachment "H" Proposed Staff Roles Attachment "I" Not Used Attachment "J" Not Attached Attachment "K" Hourly Labor Rate Schedule Attachment "L" OCSD Safety Standards PROFESSIONAL SERVICES AGREEMENT PLAN2020-07 ON CALL PLANNING STUDIES Page 17 of 17 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1243 Agenda Date: 9/23/2020 Agenda Item No: 9. FROM: James D. Herberg, General Manager Originator: Rob Thompson, Assistant General Manager SUBJECT: DIGESTER CLEANING AND DISPOSAL CONTRACT GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: A. Approve a Service Contract for Digester Cleaning and Disposal with American Process Group, Inc., per Specification No. S-2020-116513D, for a total amount not to exceed $4,636,674 per year, for the period of November 1, 2020 through October 31, 2025, with four optional one- year renewals; and B. Approve an annual contingency of$463,667 (10%). BACKGROUND Digesters stabilize organic solids from primary and secondary treatment processes and produce biosolids and digester gas to fuel the Orange County Sanitation District's (Sanitation District) Central Generation facilities. The Sanitation District periodically cleans the digesters to remove undigestible materials that build up over time. This material can build-up and limit process capacity and inhibit the digester's performance. After cleaning, the Sanitation District assesses the structural and mechanical conditions inside of the digesters. More frequent minor repairs inside the digesters prevent larger scale, more costly damage. RELEVANT STANDARDS • Maintain a proactive asset management program • Safe, beneficial reuse of Biosolids • Maintain a culture of improving efficiency to reduce the cost to provide the current service level or standard PROBLEM Without periodic digester cleaning to remove undigestible materials, the digester's process capacity and performance are compromised. Additionally, it is necessary to clean the Sanitation District's holding digesters more frequently to protect the newly installed centrifuges from damaging debris which can accumulate and pass through. Finally, the Sanitation District will not have the opportunity Orange County Sanitation District Page 1 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1243 Agenda Date: 9/23/2020 Agenda Item No: 9. to properly assess the structural and mechanical conditions inside the digesters. PROPOSED SOLUTION Staff recommends American Process Group, Inc. (APG) be awarded the Digester Cleaning and Disposal Service Contract. This action will support the Sanitation District's Asset Management Plan and maintain necessary solids processing capacity. TIMING CONCERNS Timely approval of the Service Contract will enable staff to stay on track with the cleaning schedule and maximize available digester capacity for solids treatment. RAMIFICATIONS OF NOT TAKING ACTION Inability to perform routine digester cleaning to remove materials that build up over time limits process capacity. Lack of cleaning also limits the ability to assess the structural and mechanical conditions of the digesters after cleaning. Finally, the centrifuges at each Plant are at risk of damage if debris is not removed from the holding digesters on a regular basis. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION The previous Digester Cleaning Service Contract was terminated due to a commercial disagreement. The former service provider claimed a higher cost and changed conditions due to a new co- thickening treatment process that introduced polymerized sludge into the digestion process at Plant No. 1. The vendor claimed this changed condition required a different method to clean and dewater the digesters. The Sanitation District decided to seek new proposals to address this situation rather than negotiate a change. A new Request for Proposal was issued on June 5, 2020 via PlanetBids. Two proposals were received by the Sanitation District and are listed below. Individual scoring was the chosen method of evaluation for this procurement. Staff performed an independent review of the proposals and ranked the proposals in accordance with the Sanitation District Purchasing Policies and Procedures and evaluated the proposals based on the following criterion: CRITERION WEIGHT Qualifications & Experience of Firm 15% Proposed Staffing & Project Organization 15% Work Plan 30% Interview 10% Orange County Sanitation District Page 2 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1243 Agenda Date: 9/23/2020 Agenda Item No: 9. Cost 30% The two proposals were received and evaluated, and both proposers were interviewed. The evaluation team ranked the firms based on both the proposals and interviews using the evaluation criterion and weighting listed above. All proposals were accompanied by a sealed cost proposal. Below are the evaluation results for the two proposals received: Rank Proposer Criterion Criterion Criterion Interview Cost Total 1 2 3 Weighted Score 1 APG 14% 14% 27% 9% 30% 94% 2 jSynagro j12% 11% j21% 5% 27% 76% Proposals Total Cost Synagro-WWT, Inc. $5,139,280.00 American Process Group, Inc. $4,636,673.51 The cost proposals received are based upon a unit cost per dry ton, unit cost per gallons of material removed and disposed, and equipment mobilization and demobilization costs. Staff recommends awarding the Service Contract to the highest-ranking proposer, American Process Group, Inc. The term of this Service Contract will begin November 1, 2020 through October 31, 2025 with four optional one-year renewals. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This recommendation will be funded under the Repair and Maintenance line item for Plant Nos. 1 and 2 Maintenance Department (Budget Fiscal Year 2020-21, Section 6, Pages 92 and 96). The available funding is sufficient for this action. Date of Approval Contract Amount Contingency 09/23/2020 $4,636,674 $463,667 (10%) ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Service Contract RM:MP:ab Orange County Sanitation District Page 3 of 3 Printed on 9/15/2020 powered by LegistarTM SERVICE CONTRACT Digester Cleaning Services Specification No. S-2020-1165BD THIS CONTRACT is made and entered into as of the date fully executed below, by and between Orange County Sanitation District, with a principal place of business at 10844 Ellis Avenue, Fountain Valley, CA 92708 (hereinafter referred to as "OCSD") and American Process Group Inc. with a principal place of business at 1201 Pacific Avenue, #600, Tacoma, WA 98402 (hereinafter referred to as "Contractor") collectively referred to as the "Parties". WITNESSETH WHEREAS, OCSD desires to temporarily retain the services of Contractor for Digester Cleaning Services, "Services"; and WHEREAS, OCSD has chosen Contractor to conduct Services in accordance with Ordinance No. OCSD-52; and WHEREAS, on September 23, 2020, the Board of Directors of OCSD, by minute order, authorized execution of this Contract between OCSD and Contractor; and WHEREAS, Contractor is qualified by virtue of experience, training, and expertise to accomplish such Services. NOW, THEREFORE, in consideration of the mutual promises and mutual benefits exchanged between the Parties, the Parties mutually agree as follows: 1. Introduction 1.1 This Contract and all exhibits hereto (called the "Contract") is made by OCSD and the Contractor. The terms and conditions herein exclusively govern the purchase of Services as described in Exhibit "A". 1.2 Exhibits to this Contract are incorporated by reference and made a part of this Contract as though fully set forth at length herein. Exhibit "A" Scope of Work Exhibit "B" Proposal and Cost Proposal Form — Best and Final Offer Dated August 12, 2020 Exhibit "C" Acknowledgement of Insurance Requirements Exhibit "D" OCSD Safety Standards and Safety SOP-102 Personal Protective Equipment (PPE) Safety SOP-604 Confined Space Safety SOP-605 Control of Hazardous Energy (LOTO) Safety SOP-626 Fall Protection Exhibit "E" Human Resources Policies 1.3 In the event of any conflict or inconsistency between the provisions of this Contract and any of the provisions of the exhibits hereto, the provisions of this Contract shall in all respects govern and control. 1.4 The provisions of this Contract may be amended or waived only by a writing executed by authorized representatives of both Parties hereto. Orange County Sanitation District 1 of 9 Specification No. S-2020-1165BD Version 080919 1.5 The various headings in this Contract are inserted for convenience only and shall not affect the meaning or interpretation of this Contract or any paragraph or provision hereof. 1.6 The term "days", when used in the Contract, shall mean calendar days, unless otherwise noted as business days. 1.7 OCSD holidays (non-working days) are as follows: New Year's Day, Lincoln's Birthday, Presidents' Day, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving Day, Day after Thanksgiving, Christmas Eve, and Christmas Day. 1.8 The term "hours", when used in this Contract, shall be as defined in Exhibit "A". 1.9 Contractor shall provide OCSD with all required premiums and/or overtime work at no charge beyond the price provided under"Compensation" below. 1.10 Except as expressly provided otherwise, OCSD accepts no liability for any expenses, losses, or action incurred or undertaken by Contractor as a result of work performed in anticipation of purchases of said services by OCSD. 2. Compensation Compensation to be paid by OCSD to Contractor, for the Services provided under this Contract, shall be a total amount not to exceed Four Million, Six Hundred Thirty- six Thousand, Six Hundred Seventy-four Dollars ($4,636,674.00) per Contract year, for a total amount not to exceed Twenty-three Million, One Hundred Eighty-three Thousand, Three Hundred Seventy Dollars ($23,183,370.00) for the Contract Term. 3. California Department of Industrial Relations(DIR) Registration and Record of Wages 3.1 To the extent Contractor's employees and/or its subcontractors who will perform Work during the design and preconstruction phases of a construction contract or perform work under a maintenance contract for which Prevailing Wage Determinations have been issued by the DIR and as more specifically defined under Labor Code Section 1720 et seq, Contractor and its subcontractors shall comply with the registration requirements of Labor Code Section 1725.5. Pursuant to Labor Code Section 1771.4, the work is subject to compliance monitoring and enforcement by the DIR. 3.2 The Contractor and its subcontractors shall maintain accurate payroll records and shall comply with all the provisions of Labor Code Section 1776, and shall submit payroll records to the Labor Commissioner pursuant to Labor Code 1771.4(a)(3). Penalties for non- compliance with the requirements of Section 1776 may be deducted from progress payments per Section 1776. 3.3 Pursuant to Labor Code Section 1776, the Contractor and its subcontractors shall furnish a copy of all certified payroll records to OCSD and/or general public upon request, provided the public request is made through OCSD, the Division of Apprenticeship Standards or the Division of Labor Standards Enforcement of the Department of Industrial Relations. 3.4 The Contractor and its subcontractors shall comply with the job site notices posting requirements established by the Labor Commissioner per Title 8, California Code of Regulation Section 16461(e). 4. Payments and Invoicing 4.1 OCSD shall pay, net thirty (30) days, upon receipt and approval, by OCSD's Project Manager or designee, of itemized invoices submitted for Services completed as described Orange County Sanitation District 2 of 9 Specification No. S-2020-1165BD Version 080919 in Exhibit "A". Unit prices shall not exceed those stated in Exhibit "B". OCSD, at its sole discretion, shall be the determining party as to whether the Services have been satisfactorily completed. 4.2 Invoices shall be emailed by Contractor to OCSD Accounts Payable at APStaff(@-OCSID.com and "INVOICE" with the Purchase Order Number and S-2020- 1165BD shall be referenced in the subject line. 5. Audit Rights Contractor agrees that, during the term of this Contract and for a period of three (3) years after its termination, OCSD shall have access to and the right to examine any directly pertinent books, documents, and records of Contractor relating to the invoices submitted by Contractor pursuant to this Contract. 6. Scope of Work Subject to the terms of this Contract, Contractor shall perform the Services identified in Exhibit"A". Contractor shall perform said Services in accordance with generally accepted industry and professional standards. 7. Modifications to Scope of Work Requests for modifications to the Scope of Work hereunder can be made by OCSD at any time. All modifications must be made in writing and signed by both Parties. 8. Contract Term The Services provided under this Contract shall be for the period of five (5) years, commencing on November 1, 2020 and continuing through October 31, 2025. 9. Renewals 9.1 OCSD may exercise the option to renew this Contract for up to four (4) one-year periods, under the terms and conditions contained herein. OCSD shall make no obligation to renew nor give reason if it elects not to renew. 9.2 This Contract may be renewed by OCSD Purchase Order. 10. Extensions The term of this Contract may be extended only by written instrument signed by both Parties. 11. Performance Time is of the essence in the performance of the provisions hereof. 12. Termination 12.1 OCSD reserves the right to terminate this Contract for its convenience, with or without cause, in whole or in part, at any time, by written notice from OCSD of intent to terminate. Upon receipt of a termination notice, Contractor shall immediately discontinue all work under this Contract (unless the notice directs otherwise). OCSD shall thereafter, within thirty (30) days, pay Contractor for work performed (cost and fee)to the date of termination. Contractor expressly waives any claim to receive anticipated profits to be earned during the uncompleted portion of this Contract. Such notice of termination shall terminate this Contract and release OCSD from any further fee, cost or claim hereunder by Contractor other than for work performed to the date of termination. 12.2 OCSD reserves the right to terminate this Contract immediately upon OCSD's determination that Contractor is not complying with the Scope of Work requirements, if the level of service is inadequate, or any other default of this Contract. Orange County Sanitation District 3 of 9 Specification No. S-2020-1165BD Version 080919 12.3 OCSD may also immediately cancel for default of this Contract in whole or in part by written notice to Contractor: ■ if Contractor becomes insolvent or files a petition under the Bankruptcy Act; or ■ if Contractor sells its business; or ■ if Contractor breaches any of the terms of this Contract; or ■ if total amount of compensation exceeds the amount authorized under this Contract. 12.4 All OCSD property in the possession or control of Contractor shall be returned by Contractor to OCSD upon demand, or at the termination of this Contract, whichever occurs first. 13. Insurance Contractor and all subcontractors shall purchase and maintain, throughout the life of this Contract and any periods of warranty or extensions, insurance in amounts equal to the requirements set forth in the signed Acknowledgement of Insurance Requirements (attached hereto and incorporated herein as Exhibit "C"). Contractor shall not commence work under this Contract until all required insurance is obtained in a form acceptable to OCSD, nor shall Contractor allow any subcontractor to commence service pursuant to a subcontract until all insurance required of the subcontractor has been obtained. Failure to maintain required insurance coverage shall result in termination of this Contract. 14. Indemnification and Hold Harmless Provision Contractor shall assume all responsibility for damages to property and/or injuries to persons, including accidental death, which may arise out of or be caused by Contractor's services under this Contract, or by its subcontractor(s) or by anyone directly or indirectly employed by Contractor, and whether such damage or injury shall accrue or be discovered before or after the termination of the Contract. Except as to the sole active negligence of or willful misconduct of OCSD, Contractor shall indemnify, protect, defend and hold harmless OCSD, its elected and appointed officials, officers, agents and employees, from and against any and all claims, liabilities, damages or expenses of any nature, including attorneys' fees: (a) for injury to or death of any person or damage to property or interference with the use of property, arising out of or in connection with Contractor's performance under the Contract, and/or (b) on account of use of any copyrighted or uncopyrighted material, composition, or process, or any patented or unpatented invention, article or appliance, furnished or used under the Contract, and/or (c) on account of any goods and services provided under this Contract. This indemnification provision shall apply to any acts or omissions, willful misconduct, or negligent misconduct, whether active or passive, on the part of Contractor of or anyone employed by or working under Contractor. To the maximum extent permitted by law, Contractor's duty to defend shall apply whether or not such claims, allegations, lawsuits, or proceedings have merit or are meritless, or which involve claims or allegations that any of the parties to be defended were actively, passively, or concurrently negligent, or which otherwise assert that the parties to be defended are responsible, in whole or in part, for any loss, damage, or injury. Contractor agrees to provide this defense immediately upon written notice from OCSD, and with well qualified, adequately insured, and experienced legal counsel acceptable to OCSD. 15. OCSD Safety Standards and Human Resources (HR) Policies OCSD requires Contractor and its subcontractor(s) to follow and ensure their employees follow all Federal, State, and local regulations as well as OCSD Safety Standards while working at OCSD locations. If during the course of the Contract it is discovered that OCSD Safety Standards do not comply with Federal, State, or local regulations, then the Contractor is required to follow the most stringent regulatory requirement at no additional cost to OCSD. Contractor and all of its employees and subcontractors, shall adhere to all applicable OCSD Safety Standards attached hereto in Exhibit "D", including Safety SOP-102 Personal Protective Orange County Sanitation District 4 of 9 Specification No. S-2020-1165BD Version 080919 Equipment(PPE), Safety SOP-604 Confined Space, Safety SOP-605 Control of Hazardous Energy (LOTO), Safety SOP-626 Fall Protection, and the Human Resources Policies in Exhibit "E". 16. Warranties In addition to the warranties stated in Exhibit "A", the following shall apply: 16.1 Manufacturer's standard warranty shall apply. All manufacturer warranties shall commence on the date of acceptance by the OCSD Project Manager or designee of the work as complete. 16.2 Contractor's Warranty (Guarantee): If within a one (1) year period of completion of all work as specified in Exhibit "A", OCSD informs Contractor that any portion of the Services provided fails to meet the standards required under this Contract, Contractor shall, within the time agreed to by OCSD and Contractor, take all such actions as are necessary to correct or complete the noted deficiency(ies) at Contractor's sole expense. 17. Force Maieure Neither party shall be liable for delays caused by accident, flood, acts of God, fire, labor trouble, war, acts of government or any other cause beyond its control, but said party shall use reasonable efforts to minimize the extent of the delay. Work affected by a Force Majeure condition may be rescheduled by mutual consent or may be eliminated from the Contract. 18. Frei_ght (F.O.B. Destination) Contractor assumes full responsibility for all transportation, transportation scheduling, packing, handling, insurance, and other services associated with delivery of all products deemed necessary under this Contract. 19. Familiarity with Work By executing this Contract, Contractor warrants that: 1) it has investigated the work to be performed, 2) it has reviewed the digesters' cleaning history provided by OCSD and 3) it understands the facilities, difficulties and restrictions of the work under this Contract. Should Contractor discover any latent or unknown conditions materially differing from those inherent in the work or as represented by OCSD, it shall immediately inform OCSD of this and shall not proceed, except at Contractor's risk, until written instructions are received from OCSD. 20. Regulatory Requirements Contractor shall perform all work under this Contract in strict conformance with applicable Federal, State, and local regulatory requirements including, but not limited to, 40 CFR 122, 123, 124, 257, 258, 260, 261, and 503, Title 22, 23, and California Water Codes Division 2. 21. Environmental Compliance Contractor shall, at its own cost and expense, comply with all Federal, State, and local environmental laws, regulations, and policies which apply to the Contractor, its subcontractors, and the Services, including, but not limited to, all applicable Federal, State, and local air pollution control laws and regulations. 22. Licenses, Permits, Ordinances and Re_pulations Contractor represents and warrants to OCSD that it has obtained all licenses, permits, qualifications, and approvals of whatever nature that are legally required to engage in this work. Any and all fees required by Federal, State, County, City and/or municipal laws, codes and/or tariffs that pertain to the work performed under the terms of this Contract will be paid by Contractor. 23. Applicable Laws and Re_gulations Contractor shall comply with all applicable Federal, State, and local laws, rules, and regulations. Contractor also agrees to indemnify and hold harmless from any and all damages and liabilities assessed against OCSD as a result of Orange County Sanitation District 5 of 9 Specification No. S-2020-1165BD Version 080919 Contractor's noncompliance therewith. Any permission required by law to be included herein shall be deemed included as a part of this Contract whether or not specifically referenced. 24. Contractor's Employees Compensation 24.1 Davis-Bacon Act— Not Used. 24.2 General Prevailing Rate — OCSD has been advised by the State of California Director of Industrial Relations of its determination of the general prevailing rate of per diem wages and the general prevailing rate for legal holiday and overtime work in the locality in which the work is to be performed for each craft or type of work needed to execute this Contract, and copies of same are on file in the Engineering Department. The Contractor agrees that not less than said prevailing rates shall be paid to workers employed on this Contract as required by Labor Code Section 1774 of the State of California. Per California Labor Code 1773.2, OCSD will have on file copies of the prevailing rate of per diem wages at its principal office and at each project site, which shall be made available to any interested party upon request. 24.3 Forfeiture For Violation—Contractor shall, as a penalty to OCSD, forfeit fifty dollars ($50.00) for each calendar day or portion thereof for each worker paid (either by the Contractor or any subcontractor under it) less than the prevailing rate of per diem wages as set by the Director of Industrial Relations, in accordance with Sections 1770-1780 of the California Labor Code for the work provided for in this Contract, all in accordance with Section 1775 of the Labor Code of the State of California. 24.4 Apprentices—Sections 1777.5, 1777.6, 1777.7 of the Labor Code of the State of California, regarding the employment of apprentices are applicable to this Contract and the Contractor shall comply therewith if the prime contract involves thirty thousand dollars ($30,000.00) or more or twenty(20)working days or more; or if contracts of specialty contractors not bidding for work through the general or prime Contractor are two thousand dollars ($2,000.00) or more or five (5) working days or more. 24.5 Workday—In the performance of this Contract, not more than eight(8) hours shall constitute a day's work, and the Contractor shall not require more than eight (8) hours of labor in a day from any person employed by it hereunder. Contractor shall conform to Article 3, Chapter 1, Part 7 (Section 1810 et seq.) of the Labor Code of the State of California and shall forfeit to OCSD as a penalty, the sum of twenty-five dollars ($25.00) for each worker employed in the execution of this Contract by Contractor or any subcontractor for each calendar day during which any worker is required or permitted to labor more than eight (8) hours in any one (1) calendar day and forty (40) hours in any one (1) week in violation of said Article. Contractor shall keep an accurate record showing the name and actual hours worked each calendar day and each calendar week by each worker employed by Contractor in connection with the project. 24.6 Record of Wages; Inspection — Contractor agrees to maintain accurate payroll records showing the name, address, social security number, work classification, straight-time and overtime hours worked each day and week, and the actual per diem wages paid to each journeyman, apprentice, worker or other employee employed by it in connection with the project and agrees to require that each of its subcontractors do the same. All payroll records shall be certified as accurate by the applicable Contractor or subcontractor or its agent having authority over such matters. Contractor further agrees that its payroll records and those of its subcontractors shall be available to the employee or employee's representative, the Division of Labor Standards Enforcement, and the Division of Apprenticeship Standards and shall comply with all of the provisions of Labor Code Section 1776, in general. Penalties Orange County Sanitation District 6 of 9 Specification No. S-2020-1165BD Version 080919 for non-compliance with the requirements of Section 1776 may be deducted from project payments per the requirements of Section 1776. 25. South Coast Air Quality Management District's (SCAQMD) Requirements It is Contractor's responsibility that all equipment furnished and installed be in accordance with the latest rules and regulations of the South Coast Air Quality Management District (SCAQMD). All Contract work practices, which may have associated emissions such as sandblasting, open field spray painting or demolition of asbestos containing components or structures, shall comply with the appropriate rules and regulations of the SCAQMD. 26. Governing Law This Contract shall be governed by and interpreted under the laws of the State of California and the Parties submit to jurisdiction in the County of Orange, in the event any action is brought in connection with this Contract or the performance thereof. 27. Breach The waiver of either party of any breach or violation of, or default under, any provision of this Contract, shall not be deemed a continuing waiver by such party of any other provision or of any subsequent breach or violation of this Contract or default thereunder. Any breach by Contractor to which OCSD does not object shall not operate as a waiver of OCSD's rights to seek remedies available to it for any subsequent breach. 28. Remedies In addition to other remedies available in law or equity, if the Contractor fails to make delivery of the goods or Services or repudiates its obligations under this Contract, or if OCSD rejects the goods or Services or revokes acceptance of the goods or Services, OCSD may (1) cancel the Contract; (2) recover whatever amount of the purchase price OCSD has paid, and/or (3) "cover" by purchasing, or contracting to purchase, substitute goods or Services for those due from Contractor. In the event OCSD elects to "cover" as described in (3), OCSD shall be entitled to recover from Contractor as damages the difference between the cost of the substitute goods or Services and the Contract price, together with any incidental or consequential damages. 29. Dispute Resolution 29.1 In the event of a dispute as to the construction or interpretation of this Contract, or any rights or obligations hereunder, the Parties shall first attempt, in good faith, to resolve the dispute by mediation. The Parties shall mutually select a mediator to facilitate the resolution of the dispute. If the Parties are unable to agree on a mediator, the mediation shall be conducted in accordance with the Commercial Mediation Rules of the American Arbitration Agreement, through the alternate dispute resolution procedures of Judicial Arbitration through Mediation Services of Orange County ("JAMS"), or any similar organization or entity conducting an alternate dispute resolution process. 29.2 In the event the Parties are unable to timely resolve the dispute through mediation, the issues in dispute shall be submitted to arbitration pursuant to California Code of Civil Procedure, Part 3, Title 9, Sections 1280 et seq. For such purpose, an agreed arbitrator shall be selected, or in the absence of agreement, each party shall select an arbitrator, and those two (2)arbitrators shall select a third. Discovery may be conducted in connection with the arbitration proceeding pursuant to California Code of Civil Procedure Section 1283.05. The arbitrator, or three (3) arbitrators acting as a board, shall take such evidence and make such investigation as deemed appropriate and shall render a written decision on the matter in question. The arbitrator shall decide each and every dispute in accordance with the laws of the State of California. The arbitrator's decision and award shall be subject to review for errors of fact or law in the Superior Court for the County of Orange, with a right of appeal from any judgment issued therein. Orange County Sanitation District 7 of 9 Specification No. S-2020-1165BD Version 080919 30. Attorney's Fees If any action at law or inequity or if any proceeding in the form of an Alternative Dispute Resolution (ADR) is necessary to enforce or interpret the terms of this Contract, the prevailing party shall be entitled to reasonable attorney's fees, costs and necessary disbursements in addition to any other relief to which he may be entitled. 31. Survival The provisions of this Contract dealing with Payment, Warranty, Indemnity, and Forum for Enforcement, shall survive termination or expiration of this Contract. 32. Severability If any section, subsection, or provision of this Contract, or any agreement or instrument contemplated hereby, or the application of such section, subsection, or provision is held invalid, the remainder of this Contract or instrument in the application of such section, subsection or provision to persons or circumstances other than those to which it is held invalid, shall not be affected thereby, unless the effect of such invalidity shall be to substantially frustrate the expectations of the Parties. 33. Damage to OCSD's Property Any of OCSD's property damaged by Contractor, any subcontractors or by the personnel of either will be subject to repair or replacement by Contractor at no cost to OCSD. 34. Disclosure Contractor agrees not to disclose, to any third party, data or information generated from this project without the prior written consent from OCSD. 35. Independent Contractor The legal relationship between the parties hereto is that of an independent contractor, and nothing herein shall be deemed to make Contractor an OCSD employee. During the performance of this Contract, Contractor and its officers, employees, and agents shall act in an independent capacity and shall not act as OCSD's officers, employees, or agents. Contractor and its officers, employees, and agents shall obtain no rights to any benefits which accrue to OCSD's employees. 36. Limitations upon Subcontracting and Assignment Contractor shall not delegate any duties nor assign any rights under this Contract without the prior written consent of OCSD. Any such attempted delegation or assignment shall be void. 37. Third Party Rights Nothing in this Contract shall be construed to give any rights or benefits to anyone other than OCSD and Contractor. 38. Non-Liability of OCSD Officers and Employees No officer or employee of OCSD shall be personally liable to Contractor, or any successor-in-interest, in the event of any default or breach by OCSD or for any amount which may become due to Contractor or to its successor, or for breach of any obligation for the terms of this Contract. 39. Read and Understood By signing this Contract, Contractor represents that he has read and understood the terms and conditions of the Contract. 40. Authority to Execute The persons executing this Contract on behalf of the Parties warrant that they are duly authorized to execute this Contract and that by executing this Contract, the Parties are formally bound. 41. Entire Contract This Contract constitutes the entire agreement of the Parties and supersedes all prior written or oral and all contemporaneous oral agreements, understandings, and negotiations between the Parties with respect to the subject matter hereof. Orange County Sanitation District 8 of 9 Specification No. S-2020-1165BD Version 080919 42. Notices All notices under this Contract must be in writing. Written notice shall be delivered by personal service or sent by registered or certified mail, postage prepaid, return receipt requested, or by any other overnight delivery service which delivers to the noticed destination and provides proof of delivery to the sender. Rejection or other refusal to accept or the inability to deliver because of changed address for which no notice was given as provided hereunder shall be deemed to be receipt of the notice, demand or request sent. All notices shall be effective when first received at the following addresses: OCSD: Jackie Lagade, Principal Buyer Orange County Sanitation District 10844 Ellis Avenue Fountain Valley, CA 92708 Contractor: John Prince, President American Process Group Inc. 1201 Pacific Avenue, #600 Tacoma, WA 98402 Each party shall provide the other party written notice of any change in address as soon as practicable. IN WITNESS WHEREOF, intending to be legally bound, the Parties hereto have caused this Contract to be signed by the duly authorized representatives. ORANGE COUNTY SANITATION DISTRICT Dated: By: David John Shawver Chair, Board of Directors Dated: By: Kelly A. Lore Clerk of the Board Dated: By: Ruth Zintzun Purchasing & Contracts Manager AMERICAN PROCESS GROUP INC. Dated: By: Print Name and Title of Officer IRS Employer's I.D. Number Orange County Sanitation District 9 of 9 Specification No. S-2020-1165BD Version 080919 Exhibit "A" SCOPE OF WORK Digester Cleaning Services EXHIBIT"A" Specification No. CS-2020-1165BD Exhibit A SCOPE OF WORK Digester Cleaning Services SPECIFICATION NO. S-2020-1165BD 1 BACKGROUND The Orange County Sanitation District (OCSD) is a wastewater treatment agency that operates and maintains major sewer interceptors and two facilities, Reclamation Plant No. 1, at 10844 Ellis Avenue, Fountain Valley and Treatment Plant No. 2, at 22212 Brookhurst Street, Huntington Beach, California. Solids collected in the primary and secondary settling basins during the liquid phases of the process are pumped to anaerobic digesters for organic waste stabilization and pathogen destruction at elevated temperatures. There are twelve (12) digesters at Plant 1 and eighteen (18) digesters at Plant 2. Of these, about five digesters are used as holding digesters. These holding digesters serve as feed tanks to sludge dewatering operations. These digesters receive only the overflows from the working digesters. Anaerobic digestion of the solids results in the production of digester gas containing methane and carbon dioxide (65%:35%). Thus, digester gas is compressed and distributed to the Central Power Generation System (CGS) at each treatment plant as a fuel for energy generation. The non-gaseous product of digestion is treated solids. The solids are dewatered using centrifuges and beneficially reused. At Plant 1, solids from the primary and the secondary sludge is thickened in centrifuges prior to feeding to digesters. By virtue of the sludge in Plant 1 digesters being conditioned with cationic polymer as part of the solids thickening process, the sludge is more viscous with poorer dewaterability characteristics (referred to as gelatinous liquid in cost matrix). As a result, the throughput of the material from Plant 1 holding and working digesters to the dewatering equipment may have to be reduced and the resultant dewatered solids may have a much lower solids content. OCSD intends to clean its in-service holding digesters on an annual basis and its in- service working digesters once every five to six years. To meet this objective, three to five holding digesters and between two to six working digesters are expected to require cleaning annually. In addition to maintaining the periodic cleaning cycle, Operation and Maintenance needs could also potentially trigger digester cleaning needs. OCSD's cleaning schedules are subject to last-minute changes based on operational needs. Whenever possible, OCSD will provide digesters back-to-back, but that is not always possible, so stand by or Demobilization charges may be incurred between digesters. For the digesters requiring cleaning, OCSD does not guarantee, 1) the number or the type of digesters that will be cleaned annually, and 2) the sludge (gallonage) and solids content. Project History: All digesters at both plants have been cleaned recently (within the past six years). Table 1 below shows data from recent digester cleaning operations. It provides quantity of material removed and the time the digesters were in active service before that cleaning. OCSD cannot guarantee a minimum number of dry tons per digester. Table 1. Dry solids contents of recently cleaned digesters Time since previous Dry tons Digester cleaning material ID ears removed P1-7 4.7 521 P2-C 2.6 189 P2-L 15.7 1164 P 1-8 5.0 350 EXHIBIT A 1 of 23 Specification No. S-2020-1165BD Table 1. cont. P1-6 N/A 775 P2-R 8.0 857 P2-T 13.3 667 P2-P 17.1 1842 P2-N 10.5 643 P 1-5 N/A 357 Time since last Dry tons Digester cleaning material ID ears removed P2-F 11.9 847 P2-S 11.0 1329 P2-G 12.1 739 P2-K N/A 350 P2-1 N/A 398 P2-0 7.3 205 2 DEFINITIONS 2.1 Biosolids —treated, non-hazardous solids from the wastewater treatment process that contain organic matter, plant nutrients such as nitrogen and phosphorus, and low levels of metals and pathogenic organisms. OCSD's Biosolids are certified and comply with the 40 Code of Federal Regulations (CFR) Part 503. 2.2 Contractor- shall mean the Contractor, including subcontractors awarded under this Digester Cleaning Contract. 2.3 Digester Contents —shall mean anything remaining in the digester when it is given to the Contractor for cleaning, including but not limited to; Biosolids, rags, grit, plastics, liquids, chemicals introduced during the treatment process and other materials that shall be removed by the Contractor under this scope of work. This also includes pieces of liner and steel cables that have separated from the digester structure. The Digester Contents may need to be separated by waste stream by the Contractor. 2.4 OCSD —shall mean the Orange County Sanitation District 2.5 OCSD Project Manager— shall mean the OCSD employee who is the main point of contact for all issues related to this maintenance Contract. 2.6 Initial Mobilization - shall mean when the Contractor, at the direction of the OCSD Project Manager has moved their equipment onto either OCSD treatment plant site for the first time, or the OCSD Project Manager authorizes and directs the Contractor to clean another digester(s) after Contractor has demobilized their equipment and moved it off of both OCSD treatment plants at the direction of the OCSD Project Manager. 2.7 Demobilization - shall mean when the Contractor, at the direction of the OCSD Project Manager, disassembles and has removed their equipment from both OCSD treatment plant sites after having cleaned digesters and returned the worksite(s) to pre-existing conditions to the satisfaction of the OCSD Project Manager. 2.8 Temporary Stand By— Direction and approval for utilizing standby must be provided in writing (e-mail is acceptable) by the Project Manager to the Contractor with an effective starting and estimated end date. Changes to this direction must also be made in writing. If EXHIBIT A 2 of 23 Specification No. S-2020-1165BD the Contractor has concerns or disputes during the cleaning of a digester and ceases work without OCSD direction and approval for temporary standby, OCSD will not pay stand by charges. Upon completion of the cleaning of a digester, if budgeting permits and OCSD intends to continue to the next available digester, if there is no digester immediately available, OCSD may require the Contractor to be on stand by and readily available upon notification to return to OCSD to start the cleaning process for the next digester. During the standby time, the Contractor shall keep all equipment on-site (at the completed digester) until notified. If the situation changes and OCSD becomes aware that the next digester won't be available soon, the Contractor and OCSD Project Manager shall mutually agree that Contractor demobilize. OCSD reserves the right to extend the standby time if it is acceptable by the Contractor. OCSD pays standby rates for each working day, not for weekends nor OCSD holidays (see OCSD website). 2.9 Digester to Digester Mobilization within the Same Treatment Plant - shall mean when the Contractor has completed cleaning of a digester to the satisfaction of the OCSD Project Manager and then is directed by the OCSD Project Manager to successively clean another digester within the same treatment plant, requiring the Contractor to disassemble equipment from the current digester and move and reassemble the equipment at the newly assigned digester, including hoses. 2.9.1 This shall not be paid for successive cleaning of digesters within close proximity where only hoses (not equipment) need to be disconnected and reconnected to the newly assigned digester. 2.10 Plant to Plant Mobilization - shall mean when the Contractor, at the direction of the OCSD Project Manager, disassembles and moves their equipment from one treatment plant and reassembles their equipment at another treatment plant in preparation for successively cleaning another digester. 2.11 OCSD SHALL, AT ITS SOLE DISCRETION HAVE THE FINAL DECISION REGARDING MOBILIZATION/DEMOBILIZATION. 3 DESCRIPTION OF WORK 3.1 Contractor is to furnish all the necessary labor, materials, and equipment, to clean and recycle/dispose of Digester Contents from the digester(s). OCSD reserves the right to choose the location and number of digesters to be cleaned and to change the specific digesters and order in which they are to be cleaned. 3.2 General Work Hours 3.2.1 Work shall be performed Monday through Friday between 7:00 a.m. and 4:00 p.m. No air compressors, diesel engines or temporary generators shall be permitted to operate between the hours of 5:00 p.m. and 7:00 a.m. 3.2.2 Contractor shall not be allowed to work on OCSD observed Holidays. 3.3 Supervision 3.3.1 While conducting cleaning operations, the Contractor shall always have a supervisor on site. This person shall have the authority to make management EXHIBIT A 3 of 23 Specification No. S-2020-1165BD decisions pertaining to this Contract. This Supervisor shall be equipped with a cell phone and the number shall be provided to the OCSD Project Manager. 3.3.2 Contractor shall provide an off-site emergency telephone number in case of emergencies. The Supervisor shall be able to communicate in English, both verbally and in writing. 3.3.3 All Forepersons shall have completed the OSHA 10-Hour Construction Training prior to starting the work. All Superintendents, Supervisors, Safety Representatives and above shall complete the OSHA 30-Hour Construction Training prior to starting work. 3.3.4 NOTE: Contractor employees, including subcontractors shall not live on the OCSD project site during the performance of this work. In addition to the requirements herein, the Contractor shall also maintain the cleanliness/housekeeping of the worksite and surrounding premises so as to comply with federal, state, local fire and safety laws, and South Coast Air Quality Management District (SCAQMD) Odor and Nuisance requirements (SCAQMD Rules 401, 402, 403), ordinances, codes and regulations. 3.4 Contractor Responsibility 3.4.1 The Contractor shall be responsible for payment of all fees, fines or other assessments or penalties levied upon OCSD by any and all local, state or federal agencies or jurisdictions, including but not limited to the South Coast Air Quality Management District resulting from odor/nuisance complaints and any other nuisances determined to be the responsibility of the Contractor, the Contractor's subcontractors, and/or the Contractor's or subcontractor's equipment and/or processes. All such fees, fines or other assessments or penalties shall be forwarded by OCSD to the Contractor, and Contractor shall pay such fees, fines or assessments or penalties within fifteen (15) calendar days of receipt from OCSD. 3.4.2 The Contractor shall be responsible for all costs associated with: • any overloaded truck and trailer combination • any breakdown of Contractor's equipment • Digester Contents releases, including Biosolids 3.4.3 The Contractor shall be responsible for all damage that they or their subcontractors cause to OCSD property. The Contractor shall exercise caution when placing equipment on OCSD property, including the digester dome structure, so that no damage occurs. 3.5 Coordination 3.5.1 The Contractor shall attend all work coordination meetings at no cost to OCSD. 3.5.2 All required road crossings for temporary piping shall be constructed to maintain flow of plant traffic. The Contractor shall coordinate the work of this Contract with the work of other contractors on the project site. 3.5.3 Coordination activities include, but are not limited to, the scheduling of work at interface locations to permit adjacent or connecting work by other contractors, EXHIBIT A 4 of 23 Specification No. S-2020-1165BD providing necessary shop drawing information to other contractors, and working with other contractors to conduct functional testing of systems and startup of the facility when necessary. 3.5.4 Contractor shall limit the work area to minimize conflict with treatment plant operation and with other contractors working at OCSD. All equipment and piping shall be installed in an approved manner and route without interference to plant operation and traffic. 3.5.5 Operational conditions permitting, OCSD will pump out liquid sludge to the maximum extent feasible. The depth of grit, scum, grease, and debris material remaining in the Digester tanks will vary. The residual material remaining in the digester is dependent on the number of years since the anaerobic digester or digested sludge holding tank was last cleaned. The top level of the debris layer will be measured from the tank floor at the sidewall of the tank to the top of the mass. When more than one measurement location is available, the residual material height will be averaged. 3.5.6 Contractor shall commence cleaning the digesters immediately upon the completion of the initial Digester measurement. Once the Contractor begins the digester cleaning, the Contractor shall continue to work until the work is complete. 3.5.7 Contractor shall acknowledge that OCSD Maintenance Staff may work on digester piping, valves, and other digester appurtenances while the digester is out of service for cleaning. 3.5.8 The Contractor shall coordinate activities with the OCSD Project Manager in order to minimize disruption of the cleaning activities. 3.6 Project/Work Elements 3.6.1 The location of the work is at Reclamation Plant No. 1, at 10844 Ellis Avenue, Fountain Valley and Treatment Plant No. 2, at 22212 Brookhurst Street, Huntington Beach, California. Contractor shall provide all labor, materials, chemicals, supplies, equipment, permits, certificates and/or registrations, transportation, and other incidentals required for the removal, mechanical dewatering, transportation, and recycling/disposal of all Digester Contents present in the digesters being cleaned; and high pressure water cleaning of the interior digester walls, floor, and piping. 3.6.2 The material in each digester contains organic and inorganic solids, grit, grease, scum, hair, plastics, rags, silt, sand, scum and other material normally found in digesters in a municipal wastewater treatment plant. Optimum operating pH is near neutral but may have varied at times from 4 to 11. 3.6.3 Iron salt, - ferric chloride is added to digesters on an as needed basis for controlling sulfide levels in digester gas and is also present in the primary sludge feed to the digesters. The added iron is likely the factor contributing to the formation of a one-half to one-inch thick layer of vivianite coating typically found on the walls of these digesters. This vivianite layer tends to collapse during the cleaning process and poses both a safety risk and potential risk to damaging pumps and dewatering equipment. EXHIBIT A 5 of 23 Specification No. S-2020-1165BD 3.6.4 The Contractor may encounter thick hair mats and heavy concentrations of grit inside the digesters. 3.6.5 CONTRACTOR SHALL ASSUME ALL RISKS AND RESPONSIBILITIES ASSOCIATED WITH THE REMOVAL, DEWATERING, AND RECYCLING/DISPOSAL OF ALL DIGESTER CONTENTS WITHIN THE DIGESTERS TO BE CLEANED, REGARDLESS OF MATERIAL TYPE, NATURE, DENSITY, COARSENESS, PERCENT SOLIDS, AND QUANTITY. OCSD MAKES NO GUARANTEE AS TO THE QUANTITY OR TYPE OF DIGESTER CONTENTS IN THE DIGESTERS. 3.6.6 Until the digesters are thoroughly cleaned and ventilated by the Contractor, there may be gas present. This gas may be combustible, composed principally of methane, which is explosive with the proper mixture of air, or may include the presence of high concentration of hydrogen sulfide. The Contractor shall provide adequate ventilation at all times and comply with all federal and state regulations regarding working in a Confined Space, and for work in Class 1, Division 1, Group D Hazardous Areas. 3.7 OCSD Damaged Equipment/Structures 3.7.1 Contractor shall immediately notify the OCSD Project Manager if any damaged or corroded structure of equipment is encountered in or on the digester. 3.8 Digester Specifications 3.8.1 OCSD may opt to clean digesters that have been recently cleaned for various reasons. OCSD CANNOT GUARANTEE A MINIMUM/MAXIMUM VOLUME OF GALLONS OR DRY TONS IN A DIGESTER. See Table 1 Digester Cleaning Volumes and History for digesters. OCSD reserves the right to change the specific digesters to be cleaned and to reduce or increase the number of digesters to be cleaned. 3.9 Cleaning Requirements 3.9.1 The Contractor shall be required to provide any and all ventilation fans. 3.9.2 If odor control is determined to be required by OCSD, OCSD shall provide carbon canisters for the Contractor to discharge ventilation air through. 3.9.3 Prior to the Contractor starting work in each digester, the Contractor, the OCSD Project Manager, a representative from Risk Management, Plant Operations, and Compliance or their designee(s), shall meet to review the Contract specifications, specific hazards and safety information, as well as to verify that all digester valves, pumps, etc., have been properly locked and tagged out so as to prevent leakage of Digester Contents back into the digester. OCSD shall be responsible for isolating all gas and sludge lines to and from the digesters. OCSD shall be responsible for opening the existing dome manhole covers. 3.9.4 The cleaning process includes removing all Digester Contents found in the digesters. These Digester Contents could be located any place in the digesters such as the cone, walls, entwined in the draft tube and associated supports and piping or wrapped around any piping. EXHIBIT A 6 of 23 Specification No. S-2020-1165BD 3.9.5 OCSD is expected to typically handover digester for cleaning with a starting digester sludge level of about one-third of its normal working level. However, there may be operational constraints that may require OCSD to hand a digester to the Contractor for cleaning, with a sludge level greater than one-third of its normal working level. 3.9.6 For digesters which are transferred to the Contractor for cleaning which have sludge at a level greater than one-third of that digester's normal working height, excess sludge will be defined as the difference in the digester volume between those two heights. 3.9.7 The Contractor shall assume that the material in the digesters contains pathogens, therefore the Contractor shall wear appropriate personal protective equipment including but not limited to, safety glasses, gloves and protective clothing. 3.9.8 Contractor shall be responsible for removing the side doors if it needs access to the inside of the digesters but not without obtaining prior approval from the OCSD Project Manager. Contractor shall assume full responsibility for any material that comes out of door openings during and after door removal. 3.9.9 The Contractor is required to flush the digester cleaning transfer (filtrate) line completely at the end of each day to prevent clogging (if applicable). 3.9.10 Contractor shall hose down the interior walls, ceiling, and floor. 3.9.11 Contractor shall coordinate with OCSD Project Manager in cleaning/flushing the bottom sludge lines at each cleaned digester. The Contractor is advised that this work shall occur after the Contractor has completed the cleaning of each digester, and may be asked to assist in removing any materials added to the digester during this process. The estimate of gallons added during the cleaning/flushing of the bottom sludge lines during the last cleaning project was 500 gallons per digester. 3.9.12 At the end of each workday, the Contractor shall affix a barrier on the digester entry manways and doors to prevent access and potential accidents. Such barrier shall prevent or minimize odors escaping from the digester. 3.9.13 The Contractor shall return the work site to its original condition, which shall include removing all Contractor supplied piping and equipment from the work site upon completion of the work. 3.10 Dewatering 3.10.1 The Contractor shall furnish all the necessary labor, materials and equipment to slurry the Digester Contents and then pump them (including the slurry water that the Contractor introduces) from the digester to the Contractor's mobile dewatering system. 3.10.2 Contractor shall furnish, install, and operate a complete mobile dewatering system, which may include: trailer-mounted belt filter press(es) or centrifuge(s), conveyors, sludge feed pumps, piping systems, polymer mixing and holding tanks, filtrate and service water piping systems, break tanks, power cables, lighting, control systems and all accessories and tools for a complete operational system. EXHIBIT A 7 of 23 Specification No. S-2020-1165BD 3.10.3 Contractor shall use dewatering equipment suitable for municipal sludge use. 3.10.4 Contractor shall use a buffer tank(s) or system prior to dewatering equipment to reduce the impacts of slug loading of recycle flows to OCSD's plant process and to ensure that discharge of suspended solids to OCSD's process is minimized. 3.10.5 The location (discharge) point of Contractor's filtrate shall be designated and approved by the OCSD Project Manager prior to the Contractor beginning cleaning operations. 3.10.6 Contractor shall not make any connection to OCSD piping prior to approval from the OCSD Project Manager. 3.10.7 The total rate at which the Contractor returns filtrate to the OCSD Plant process from the digester cleaning dewatering system or any combinations of dewatering systems, shall not exceed 500 gpm. 3.10.8 Contractor shall provide reasonable measurement of the flow discharged to OCSD's plant liquid stream by furnishing and installing a flowmeter which shall provide instantaneous and total flow metering. The method of flow measurement shall be accurate to within plus or minus one percent to ten percent (1% to 10%) of the actual flow. OCSD may check accuracy periodically. The measurement flowmeter device shall be modified or replaced by Contractor if accuracy is found to be out of prescribed range. Plant personnel shall be allowed access to the flow meter for observation/determination of accuracy of meter and precision of calibration unit. 3.10.9 Contractor shall furnish and install sampling valves on the slurry supply line and filtrate return line, in readily accessible locations, in order that the OCSD Project Manager and/or OCSD personnel may draw samples for analysis. 3.10.10 OCSD reserves the right to install a composite sampler on the filtrate line. 3.10.11 Contractor shall provide the necessary, approved equipment at the job site in order to test the discharge from the dewatering operations. 3.10.12 The dewatering system shall produce a cake greater than 20% total solids of the Digester Contents within a reasonable time as common to industry standards. Dewatering system shall operate continuously after start-up, with few interruptions and re-starts that cause excessive solids in the filtrate. 3.10.13 OCSD reserves the right to randomly sample and analyze the discharge (Digester Contents) and the cake for percent solids and other constituents for regulatory compliance monitoring purposes. The cake produced by the dewatering process shall be greater than 20% solids. See related information in Sampling Requirements section below. 3.10.14 The Contractor shall maintain a log of the operational times for the dewatering process (daily start-up, shut-down, and start and end time for any shutdowns during the day). 3.10.15 The dewatering operations discharge shall not exceed the following limits: • Flow Rate: 500 gpm • Total Suspended Solids (TSS): 1000 mg/I EXHIBIT A 8 of 23 Specification No. S-2020-1165BD • The Contractor(s) shall not use dilution water in an attempt to meet these requirements. • OCSD reserves the right to monitor and test, by any means necessary and at any time, to verify that the limits mentioned above are not exceeded. Should it be found that any of these limits are exceeded, the Contractor shall cease operations and take the necessary steps to reduce the loadings. No standby rate shall be paid to the Contractor for duration of shutdown under these conditions. 3.10.16 In addition, OCSD reserves the right to stop the Contractor's filtrate discharge to OCSD's process drain if OCSD determines that the Contractor's discharge is negatively impacting OCSD's treatment processes. An example of this is excessive polymer remaining in the Contractor's filtrate. Excessive polymer can negatively impact OCSD's treatment processes. CONTRACTOR SHALL NOT BE COMPENSATED FOR THIS SHUT DOWN. 3.10.17 Pumping and transporting of liquids from dewatering to OCSD-approved point for discharge is the sole responsibility of the Contractor. 3.10.18 Upon completion of the work, the Contractor shall restore the work area to the satisfaction of the OCSD Project Manager. 3.10.19 Contractor shall clean up and wash down work area (equipment staging area) tarps and pavement. 3.11 Sampling Requirements - OCSD's Laboratory is a nationally-accredited environmental laboratory. The Laboratory will perform the percent total solids analysis that will be the basis for the dry-tonnage invoicing. OCSD's Laboratory will provide a weekly sampling kit with sampling jars, labels, and chains of custody. 3.11.1 The Contractor shall collect a grab sample of the dewatered solids at least once per hour throughout the operations of the dewatering process (after initial start- up). The samples shall be kept on ice in a cooler onsite, mixed (made homogeneous), and a representative daily composite sample will be created to submit to the OCSD Laboratory on a daily basis. The grab sample collected shall be representative of the solids being loaded into the truck for hauling. The Contractor shall document the sampling date, time, trailer number, and other necessary data on an OCSD-provided laboratory chain of custody. OCSD's Laboratory will instruct the Contractor how to handle, store, and submit the samples to meet method requirements and ensure an accurate result. The Contractor may run their own duplicate samples, however final billing will be based on OCSD's official laboratory results. If the Contractor chooses to run parallel analyses, the Contractor is responsible for laboratory analysis costs for samples run by their certified laboratory. However, these results cannot be used for billing purposes. 3.11.2 The Contractor shall maintain a log of the loaded trailers. The log shall include the load number, date, trailer number, OCSD loading ticket number, OCSD loading ticket tonnage, load destination, and field-tested percent total solids (optional). This information in the log, along with the OCSD Laboratory chain of custody, are critical to ensuring field data can be later matched with the Laboratory results for percent total solids for accurate billing, so precision and attention to detail is key. The log shall be available upon request of OCSD staff in order to make copies. EXHIBIT A 9 of 23 Specification No. S-2020-1165BD 3.11.3 OCSD staff will enter the Laboratory's total solids results into the OCSD Biosolids Tracking System (BTS). These results will be available to the Contractor via the BTS typically within 30 days of the sample date. The Contractor can then download from the BTS a spreadsheet report of each OCSD ticket, tonnage, and associated percent total solids results. Typically, this billing process is done after the digester cleaning is completed (billed by digester). 3.11.4 OCSD reserves the right to change this sampling plan, frequency, or methodology as long as there is no net cost impact to the Contractor. 3.12 OCSD's Biosolids Tracking System - OCSD has an online Biosolids Tracking System (BTS) that is used for tracking OCSD's Biosolids loads in order to ensure accurate compliance reporting. Because digester cleanings are considered Biosolids for regulatory tracking and compliance purposes, this system is being used to track digester cleaning loads. This allows OCSD and the Contractor to validate bill of lading data including the final destination and net tons and to run a report of loads shipped and OCSD's Laboratory data. 3.12.1 The Contractor will be provided access to the online BTS. 3.12.2 The BTS initiates when a bill of lading ticket is created in OCSD's truck loading scale house. 3.12.3 OCSD staff review and approve the tickets in the BTS as confirmed with field tickets and logs. OCSD typically takes photocopies of all field tickets and reserves the right to request original copies. 3.12.4 Once approved by OCSD, the Contractor (or final recycling/disposal facility) will also review and approve the tickets/truck loads in the BTS based on field tickets and log. 3.12.5 The Contractor shall flag any disputes or discrepancies in the BTS comment field for the ticket, bring the concern to the attention of the OCSD Project Manager, and wait to approve the ticket until the issue is resolved. 3.12.6 Once total solids results are available from OCSD's Laboratory, OCSD staff input the results into the corresponding ticket's BTS comment field and click the final approval for each ticket to complete the process. 3.12.7 All tickets must complete the 3-step approval process prior to invoicing OCSD for each digester. 3.12.8 Using Mozilla's FireFox browser (doesn't work on other browsers), users can run BTS Transaction Reports can be run to see all data related to digester cleaning loads hauled. The BTS Transaction report is a spreadsheet of each OCSD ticket, tonnage, truck numbers, destinations with associated percent total solids results as a comment field. The Contractor shall utilize this report in preparing invoices for dry-ton hauling costs. Typically, this billing process is done after the digester cleaning is completed (billed by digester). 3.13 Recycling/Disposal Requirements - All OCSD Digester Contents shall be recycled/disposed of at mutually agreed upon recycling/disposal site(s), in accordance with the specifications listed herein and in conformance with the requirements of the recycling/disposal site and all applicable Federal, State and Local regulatory requirements. EXHIBIT A 10 of 23 Specification No. S-2020-1165BD 3.13.1 The Contractor will provide OCSD Project Manager written notice of any change in hauler, sub-contractors, or recycling/disposal site(s). OCSD reserves the right to reject the potential and/or alternate disposal/recycling sites at its sole discretion. Note that all sub-contractors must provide proof of same insurance requirements as Contractor. 3.13.2 OCSD reserves the right to reject the potential and/or alternate disposal/recycling sites at its own discretion. If rejected, the Contractor shall propose a different site for OCSD's approval prior to commencing work. If the Contractor does not provide OCSD with enough notice and the site is not approved or delayed, the Contractor will be responsible for project delay costs. OCSD will not incur stand-by charges. 3.13.3 OCSD reserves the right to inspect the recycling/disposal facility. 3.13.4 The Contractor shall be responsible for providing all analysis of Digester Contents required by the recycling/disposal/site(s) (including alternative sites). OCSD's routine Biosolids sample analyses are available at www.ocsd.com/nani and an example is in Appendix A-1. More recent analyses may be available upon request. 3.13.5 The Contractor shall be responsible for the final recycling/disposal of any material generated from the digester cleaning operation that is rejected by the recycling/disposal site. OCSD reserves the right to approve/reject this secondary site. 3.13.6 The Contractor shall bear all costs related to recycling/disposal including, but not limited to; recycling/disposal site closings, delays, inclement weather, releases, subhauler issues, etc. 3.13.7 Digester contents may be accepted at the following facilities, although not limited to these facilities. It is the Contractor's responsibility to profile the Digester Contents into the final receiving facility, including any sampling and analysis in addition to the data available from OCSD. The Contractor must provide OCSD with at least 45-days'notice if special sampling is required for getting OCSD's Digester Contents accepted into a facility prior to the start of the project. o Synagro's Arizona Soils compost facility, La Paz County, AZ o Nursery Products compost facility, Helendale, San Bernardino County, CA o Simi Valley Landfill, Simi Valley, CA o Buckeye Landfill, Maricopa County, AZ o Copper Mountain Landfill, Yuma County, AZ o Otay Landfill, San Diego County, CA o South Yuma County Landfill, Yuma County, AZ o AgTech/Tule Ranch Land Application Farm, Yuma County, AZ o Synagro's South Kern Compost Manufacturing Facility, Taft, CA EXHIBIT A 11 of 23 Specification No. S-2020-1165BD o Liberty Compost facility, Lost Hills, CA o Prima Deshecha Landfill, San Juan Capistrano, CA o Inland Empire Regional Composting Facility, Rancho Cucamonga, CA 3.14 Reporting Requirements - If using a landfill, the Contractor is required to submit to OCSD copies of landfill tickets at least monthly that include weight of Biosolids material and date as documentation of approved final recycling/disposal. 3.14.1 If using a compost facility, the Contractor is required to submit to OCSD a copy of the facility's monthly report to its LEA (local enforcement agency). This report includes tonnages and other related regulatory reporting information that OCSD can use when reporting the digester cleaning project in the annual Biosolids compliance report. Submittal is required within 15 days of the end of the month. See Report Requirements Checklist for Compost Facilities located within the Biosolids Contractor Requirements (Appendix A-1). 3.14.2 OCSD reserves the right to discuss OCSD's Biosolids and Digester Contents with the end-use facility staff. 3.14.3 Refer to Biosolids Contractor Requirements (Appendix A-1)for further information. 3.15 Hauling Requirements - The Contractor shall be responsible for ensuring drivers and hauling companies comply with all State of California and Federal standards and requirements for Motor Carriers, including the California Vehicle Code and the Department of Transportation (DOT) Federal Motor Carrier Safety Administration standards and requirements. State of California and DOT requirements may include, but are not limited to the following: • California Vehicle Code §658.17 Weight limits • DOT §393.95 Emergency equipment on all power units • DOT §395.3 Maximum driving time for property-carrying vehicles 3.15.1 The Contractor shall be responsible for all transportation equipment. OCSD reserves the right to inspect any of the Contractor's equipment to verify conformance with all requirements within these specifications. 3.15.2 The Contractor shall comply with all requirements contained in the Biosolids Contractor Requirements 2020 (Appendix A-1) including, but not limited to: • All trucks shall carry a copy of the truck loading Biosolids Hauling Ring (Appendix A-1, page 176). Drivers shall understand and conform with all information contained in it, be familiar with Biosolids, and provide this informational booklet to onsite emergency responders if an incident occurs during transportation, especially in order to communicate the Biosolids are non-hazardous. The Contractor may request laminated copies of the truck loading Biosolids Hauler Ring from OCSD's truck loading Operator to be kept in the trailer's tractor (truck) at all times when receiving/delivering OCSD loads. • Drivers and trailers are subject to inspection and approval by OCSD. • OCSD Driver and Trailer Approval Forms for each driver and trailer performing the work must be submitted by hauling dispatchers before the drivers' initial visit to OCSD. Note that these forms are certifying that the EXHIBIT A 12 of 23 Specification No. S-2020-1165BD dispatchers and drivers understand and conform to OCSD's trailer requirements which are contained in the Pre-Loading Trailer Inspection Guidelines and Safety Equipment Inspection Guidelines. A copy of OCSD's Biosolids Hauler Inspection form is also included for your reference. • The Contractor shall provide a list of driver names and trailer numbers that will be used to haul the material at least two weeks before the start of the work. OCSD may request inspection of trailers prior to hauling from OCSD. • The Contractor shall comply with OCSD's Biosolids Response and Recovery Plan if an incident occurs during transportation. 3.15.3 The transportation equipment shall be weighed before, during and after loading, and prior to leaving OCSD, to ensure that highway weight restrictions are not exceeded. The Contractor shall be responsible for adjusting the load if the weight limit has been exceeded. OCSD and the Contractor may mutually agree to use an alternative tare procedure (use standardized tare weights). 3.15.4 OCSD recommends the Contractor monitor loading weights with a portable scale before scaling out at OCSD's truck loading facility. 3.15.5 The Contractor will be issued a bill of lading through OCSD's scale house in order to: • Ensure that final loaded weights are less than 80,000 pounds, and driver can confirm the weights are in compliance with all transportation regulations, • OCSD Operator will perform an inspection to ensure hauler's conformance with all hauling requirements contained in the Biosolids Contractor Requirements (Appendix A-1). NO leaking trailers will be allowed to leave OCSD. On occasion, especially when material is more sandy/gritty with limited organic content to hold the water with polymers, trailers have needed to sit onsite for days until they stopped leaking. • Initiate load tracking in OCSD's Biosolids Tracking System for billing and compliance reporting purposes and is available online to the Contractor. 3.15.6 Once the loading of Digester Contents has been completed, logged, inspected, and ticketed, the Digester Contents shall be transported for recycling/disposal. 3.15.7 The Contractor shall bear all costs related to hauling including, but not limited to recycling/disposal site closings, delays, inclement weather, releases, etc. 3.15.8 Water-Tight: All trailers and bins containing Digester Contents shall not leak. Leaking trailers shall not be allowed to leave OCSD. 3.15.9 Tarping: All trailers and bins containing Digester Contents shall be tarped when not in use or staged to minimize odors. 3.16 Staging Equipment 3.16.1 Full, tarped trailers shall be hauled off site by the end of the next working day if they are not leaking. EXHIBIT A 13 of 23 Specification No. S-2020-1165BD 3.16.2 The staging and storing of hauling equipment must be pre-approved by the OCSD Project Manager. 3.16.3 All staged equipment, trailers and hauling equipment, shall be positioned on OCSD property according to the OCSD Project Manager. 3.16.4 The Contractor shall be responsible for moving and providing the proper equipment to move the hauling equipment to and from the staging areas designated by the OCSD Project Manager until they can be picked up. 3.16.5 The Contractor shall not stage containers for an excessive period of time. Staged containers shall not negatively impact OCSD operations. The OCSD Project Manager shall determine what time period is considered excessive and when the staged containers are negatively impacting operations. 3.16.6 Resources Available — Power and Water 3.16.7 Power- OCSD shall provide the Contractor and their subcontractors, free of charge during the term of this Contract, 120 volts, 60-hertz, and maximum 20-ampere electrical service. All other utilities shall be provided by the Contractor at its sole expense. The Contractor is responsible for providing any additional power to perform the work required. This may require the Contractor to bring in a temporary generator to power equipment. All electrical work shall be in accordance with the National Electric Code and the applicable provisions of the California Administrative Code. 3.16.8 Plant Water-When specifically indicated, OCSD shall furnish (with possible interruption due to power loss or maintenance) to the Contractor, free of charge, during the course of this Contract, reasonable quantities of NON-POTABLE plant effluent (plant water) from existing outlets within the treatment plant only. The conveyance systems (piping, hoses, etc.) shall be the responsibility of the Contractor and shall be provided at the Contractor's expense. Plant Water pressure is approximately 120 PSI. Historically, a Contractor was able to run two, 2-1/2-inch fire hoses at full pressure without any volume (supply) problems. The Contractor shall inform the OCSD Project Manager of its needs and request that the OCSD Project Manager designate locations at which connections may be made. Contractor shall not make connections to any OCSD piping prior to obtaining approval from the OCSD Project Manager. Plant water, non-potable, and chlorinated water, is available throughout both plants at existing hose bibs for equipment and area wash-down. If plant operation necessitates changing the connection locations, the Contractor shall do so at OCSD's request and at the Contractor's expense. 3.16.9 Potable Water- Contractor shall provide an adequate supply of clean, potable drinking water for its employees at the worksite, which shall be dispensed through approved sanitary facilities. WARNING: CONTRACTOR SHALL NOT USE ANY OCSD PIPELINE OR HOSES FOR SUPPLYING POTABLE WATER TO ITS EMPLOYEES OR SUBCONTRACTORS FOR DRINKING WATER. EXHIBIT A 14 of 23 Specification No. S-2020-1165BD OCSD shall also furnish to the Contractor, free of charge, during the course of the Contract, reasonable quantities of city (potable water)from existing outlets within the treatment plant only. The conveyance systems (piping) shall be the responsibility of the Contractor and shall be provided at its expense. The system (piping) shall include an approved backflow prevention device provided by OCSD. The Contractor shall identify the location and purpose for potable water and notify the OCSD Project Manager of this need two weeks in advance. If plant operation necessitates changing the connection locations, the Contractor shall do so at the request of the OCSD Potable Water Maintenance Specialist and at the Contractor's expense. 4 DELIVERABLES 4.1 The Contractor must provide OCSD with at least 45-days' notice if special sampling is required for profiling OCSD's Digester Contents accepted into a facility prior to the start of the project. 4.2 The Contractor shall submit the following information to the OCSD Project Manager at least two weeks prior to proceeding with the work under this Contract: 4.2.1 Work plan including project schedule for approval by OCSD Project Manager. 4.2.2 Provide a description of how the digester shall be cleaned and the material managed. 4.2.3 Include a list of equipment to be used. 4.2.4 Flow rates of pumps and equipment 4.2.5 Discharge (filtrate) flow monitoring plan for cleaning operations 4.2.6 Name of the proposed recycling/disposal site(s) and alternate disposal/recycling site(s)for OCSD review and approval including a written letter or a "pre-approval" from the recycling/disposal site (including alternates) acknowledging the facility's awareness/understanding/familiarity with the characteristics of the Digester Contents (perhaps referencing laboratory analysis that was submitted), stating the facility is legally authorized to accept this material at said facility, and the facility has enough capacity (state assumed daily tonnage) to accommodate this material over the duration of the project timeline. 4.3 The Contractor shall provide OCSD with a comprehensive spill containment and spill response plan, including all contact names and information for relevant parties for any spill occurrence (including onsite chemicals). Separately, the Contractor shall comply with OCSD's Biosolids Response and Recovery Plan if an incident occurs during transportation (Appendix A-2, page 201). The spill containment and response plans shall be for all types of on or off-site spills involving the materials utilized or produced under this project and under the direct control of the Contractor. The plan(s) must list the contact names and information for all relevant parties, including but not limited to, the Contractor, OCSD, Regulators, responders and Highway Response. 4.3.1 Site Health and Safety Plan 4.3.2 Confined Space Entry Policy/Procedure. 4.3.3 Up-to-date documentation and certification of confined space entry training for employees performing the work. 4.3.4 Site safety plan for confined space entry including a rescue procedure. EXHIBIT A 15 of 23 Specification No. S-2020-1165BD 4.3.5 Names and emails for staff that will need access to OCSD's Biosolids Tracking System. 4.3.6 A list of driver names and trailer numbers that will be used to haul the material. As applicable, OCSD Driver and Trailer Approval forms completed and submitted by the hauling dispatcher (Biosolids Contractor Requirements Appendix A-1) 4.4 After the cleaning of each digester the Contractor shall submit the following: 4.4.1 The non-hazardous waste manifest or copies of the hauler's bill of lading for every load prior to leaving OCSD Site, containing hauling company, driver name, trailer ID; destination; and signature verifying all requirements have been met. 4.4.2 Field logs: (1) Operational start ups / shut downs; (2) Truck loads; (3) Polymer usage (amount of neat (delivered, full-strength) polymer used daily. Polymer feed rates and use shall not exceed 20 lbs./ton); and (4) Filtrate discharged. 4.4.3 Invoices: The Contractor shall submit the following documentation as back-up for the invoice to the OCSD Project Manager. 4.4.3.1 An electronic monthly summary report of all truckloads of material delivered to the recycling/disposal site. Note this information is readily available in OCSD's Biosolids Tracking System as referenced in Section 3.13. The report shall include all information required to calculate the billing data as previously stated and any information not previously submitted such as: • Truck identification number • OCSD ticket number and time/date of OCSD departure and arrival of truck at the recycling/disposal site. • Wet and dry ton billing information matched to percent solids and billing total for each trailer hauled. • In-bound truck weight reported from the recycling/disposal site's certified scales • Copies of all truck load tickets from the designated recycling/disposal site(s). • Other field logs not previously submitted. 4.4.3.2 Payment shall not be made until a specified digester has been cleaned to the satisfaction of the OCSD Project Manager and the work site has been returned to pre-existing conditions. Digesters shall be considered "clean" when no visible residual material is present on the digester floor, sidewalls, piping and cables. 4.4.3.3 Additionally, payment shall not be made for the cleaning of any digester until all deliverables have been received by and to the satisfaction of the OCSD Project Manager. 5 SAFETY AND HAZARDOUS MATERIALS Safety is the top priority at OCSD therefore Contractor and any subcontractors shall follow all State and Federal safety standards. Failure to do so could result in removal and permanent suspension from OCSD property. EXHIBIT A 16 of 23 Specification No. S-2020-1165BD OCSD reserves the right to stop work at no cost to OCSD if there is an imminent safety hazard caused by the Contractor or any of its subcontractors. If work is stopped due to imminent safety hazards caused by Contractor, no stand-by pay will be paid by OCSD. The Contractor shall develop and maintain a Site-Specific Safety Program for the worksite, in accordance with OCSD Construction Safety Standards. The Plan shall include: A description of the work to be performed, highlighting the hazard analysis for each general site condition(s) and specific work task(s) • A description of the work to be performed, highlighting the hazard analysis for each general site condition(s) and specific work task(s) • Identification of the Contractor management, supervision, competent, and qualified persons • Identification of precautions to be implemented • Decision logic for the utilization of personal protective equipment • Site access control, including security measures • Emergency response plan • Incident reporting methodology • SDS inventory list; all Cal/OSHA recognized carcinogens or reproductive hazardous materials shall be denoted and highlighted on the inventory list. • Training and certification documentation • Communication methodology • The Drug Free Workplace program if not included in the Injury and Illness Prevention Program. • Measures to mitigate public exposure to hazards as applicable. • The Contractor shall submit its Site-Specific Safety Program to OCSD for review no later than fifteen (15) days after Notice to Proceed and prior to commencement of Work on the Project. 5.1 Contractor shall be aware of the use of bleach, hydrogen peroxide, ferric chloride, acid and caustic soda and the potential presence of hazardous gases in and around the plants. 5.2 There are various alarm systems installed to alert employees of possible hazardous conditions. The Contractor shall instruct its employees of these dangers and that they shall evacuate the area, including tunnels, immediately should an emergency situation occur. 5.3 Contractor is advised that digesters are classified as Class 1, Division 1, Hazardous Areas both inside and to a distance of five (5) feet beyond all the exterior walls and roof, and to a distance of ten (10) feet beyond all existing gas handling equipment. 5.4 Contractor shall securely block access to all digesters during the cleaning project to prevent unauthorized entry and minimize risk. 5.5 Contractor shall take all necessary safety precautions and shall furnish and install all equipment, labor, materials, appurtenances, gas detectors, explosion proof ventilation equipment, and all services required to meet all safety requirements for work in areas as designated above, at no additional cost to OCSD. EXHIBIT A 17 of 23 Specification No. S-2020-1165BD 5.6 Contractor is cautioned that the tunnels with digester gas piping are Class 1, Division 2 areas. 5.7 All Contractor employees shall wear hard hats, safety vests, safety toed shoes, safety glasses and appropriate protective equipment while on OCSD plant sites. 5.8 Contractor shall carry and use a 4-gas monitor at all times when on the plant site. The 4- gas monitor shall detect carbon monoxide, oxygen, hydrogen sulfide and lower explosive limits. 5.9 Contractor is responsible for every aspect of health and safety on the worksite, including the health and safety of subcontractors, suppliers, and other persons on the worksite. 5.10 Contractor shall notify OCSD Project manager of near misses, or injuries within 24 hours. Contractor shall transmit to the OCSD Project Manager written investigations of accidents and injuries encountered during cleaning within 5 business days. 5.11 Confined Spaces 5.11.1 Digesters are classified as permit required confined spaces and State law and OCSD policy on confined spaces require a two-week advance notification from the Contractor for work within confined spaces, submittal of Contractor's confined space work procedures and rescue plan, compliance with Entry Permit procedures, participation in a hazard assessment review of planned precautions and a debriefing upon completion of the confined space operation. 5.11.2 Compliance with the Cal Osha GISO Section 5157 and CSO Article 37 remains the Contractor's responsibility and OCSD review is for general compliance and coordination only. 5.11.3 Access hatches/entries need to be secured with solid physical barriers to prevent entry into the confined space at the close of each work day to the satisfaction of OCSD. 5.11.4 In accordance with the General Industry Safety Orders, Section 5157(c) (8), OCSD shall provide available information to the Contractor for each confined space location. 5.11.5 The importance of working safely in confined spaces cannot be over emphasized. Due to the continuous flow of sewage and contaminants that may be contained therein, the atmosphere may suddenly and unpredictably become lethally hazardous. Where there is conflict between applicable safety orders, laws, regulations and policies, the more stringent measures shall apply. 5.12 Regulatory Requirements 5.12.1 Scaffold erection and use - OCSD shall require a copy of the competent person evaluation and sign off of all scaffolding erected. Scaffolding shall be inspected by a competent person daily, as used. Copies of engineering approvals shall be forwarded to OCSD when applicable. OCSD shall issue a permit for this work if OCSD personnel may perform duties on scaffolds. Documentation is required the day the scaffolding is completed. 5.12.2 Cranes usage - OCSD shall require a copy of the operator training qualification as applicable and the equipment certification. OCSD will require the Contractor to submit a Critical Lift Plan for a signature from OCSD for any crane lift over a building/structure. The Contractor shall request the permit at least 1 week prior to the scheduled crane lift. EXHIBIT A 18 of 23 Specification No. S-2020-1165BD 5.12.3 Excavations - The Contractor is required to provide a copy of the applicable Cal- OSHA permit, the name of the designated competent person and stamped engineering designs as applicable. Documentation shall be provided prior to the start of the excavation. 5.12.4 Fall Protection - The Contractor shall submit a fall protection plan for all work exceeding six (6) feet in elevation. The plan shall include a licensed (CA) engineer's approval as applicable. Documentation shall be provided prior to the start of work. 5.12.5 Demolition work- Demolition work on OCSD facilities may contain regulated quantities of asbestos or lead. The Contractor shall be licensed by the California Department of Industrial Relations for demolition involving these materials. The Contractor shall submit copies of appropriate licenses, work plans, SCAQMD notifications as applicable, copies of worker training certificates and third party monitoring registrations as applicable. OCSD will be responsible for the disposal of all hazardous waste generated from these operations. Notifications shall be in accordance with applicable local, state and federal requirements. 5.12.6 Biosolids handling — OCSD requires that all Biosolids handling, hauling, disposal or recycling be conducted in accordance to all applicable federal, state and local regulations. In particular, 40 CFR 503 (Appendix A-1), OCSD's NPDES permit, and AZ Code of Regulations Article 10 if applicable. 5.13 Chemicals 5.13.1 Contractor shall provide two (2) copies of the SDS (safety data sheet) to the OCSD Project Manager for all chemicals, lubricants and polymers that it plans to use during this project at least one (1) week prior to bringing them on site. Contractor shall not bring them onto OCSD Property prior to receiving approval from the OCSD Project Manager. 5.13.1.1 The Contractor shall provide polymer material information sheets containing the percent active and viscosity of the polymer. 5.13.2 The Contractor shall first provide a list of proposed polymer(s) that shall be used to aid dewatering prior to use on-site. The polymer shall not be a Mannich-type polymer. 5.13.3 If emulsion polymer is used: 5.13.3.1 the stock polymer in the tote shall be mixed to prevent separation 5.13.3.2 make-down unit shall properly activate the polymer 5.13.3.3 the polymer injected into the process shall be a uniform solution 5.13.4 OCSD reserves the right to reject any proposed polymer prior to approval that it suspects will negatively impact its treatment plant processes. 5.13.5 Contractor shall get prior approval from OCSD on polymer make-down and delivery system. Contractor shall use a polymer make—down system that is typically used in municipal wastewater systems. Polymer use shall not exceed 20 Ibs/ton. 5.13.6 Contractor shall follow manufacturer's directions regarding use, including mixing and batching. 5.13.7 Contractor shall provide containment system for polymer storage. 5.13.8 Disposal of residues shall be in strict accordance with the printed instructions of the manufacturer. 5.13.9 Contractor shall be responsible for removal from OCSD sites and proper disposal of polymer and other chemicals and containers at the Contractor's expense. 5.14 General Codes and Regulations The Contractor shall comply with all applicable federal, state, and local codes and regulations, with particular attention accorded to the following: EXHIBIT A 19 of 23 Specification No. S-2020-1165BD 5.14.1 NFPA 820, Fire Protection in Wastewater Treatment and Collection Facilities, 1995 Edition 5.14.2 CCR Title 8, Ch.3.2, California Occupational Safety and Health Regulations (with particular attention accorded to Subchapter 4, Article 37 — Confined Spaces in Construction and Subchapter 7, Group 16, Article 108 - Confined Spaces 5.14.3 Comply with all federal, state and local anti-pollution laws, ordinances, codes and regulations when disposing of waste materials, debris and rubbish. 6 ENVIRONMENTAL CONTROL 6.1 Fugitive Dust, Air Pollutant Emissions, and Odor Abatement 6.1.1 Contractor shall maintain equipment engines in proper tune and operate cleaning equipment so as to minimize exhaust emissions. 6.1.2 The Contractor shall not discharge air pollutants (dust, smoke, or other air contaminants) into the atmosphere in such quantities that they shall cause a violation of the regulations of any legally constituted authority. 6.1.3 Contractor shall be responsible for complying with all applicable California Air Resources Board (CARB) mobile source requirements and SCAQMD rules and regulations including, but not limited to, the provisions of SCAQMD Rules 401, 402, 403, 1107, 1113, 1122, 1136, 1145, 1168 and 1171 and maintaining usage records of Volatile Organic Compound (VOC)-containing chemicals according to Paragraph C) of SCAQMD Rule 109, or in a manner as approved by the SCAQMD, and promptly providing these records to the OCSD upon request. 6.1.4 OCSD shall not be responsible for costs incurred as a result of job delays due to Contractor violations of SCAQMD rules and regulations. Contractor shall be solely responsible for any Notices of Violations, penalties or actions by SCAQMD alleging violation of SCAQMD rules and regulations issued with respect to any activity of Contractor or its subcontractors, whether the same is issued to Contractor, subcontractor or the OCSD. 6.1.5 Contractor shall immediately reimburse OCSD for any costs incurred due to SCAQMD violations with respect to Contractor or subcontractor activities. 6.1.6 Contractor shall furnish all labor, materials, and equipment required and shall carry out effective measures wherever and as often as necessary to prevent the discharge of a nuisance odor from its operation into the atmosphere in such quantity as shall violate the regulations of any legally constituted authority. 6.1.7 Equipment 6.1.7.1 The equipment required for the removal and processing of the Digester Contents shall be attended at all times while in operation. 6.1.7.2 Portable Engine-driven Equipment • The Contractor shall comply with the air quality regulations pertaining to portable engines with rated horsepower of 50 bhp or greater and other applicable portable equipment including air compressors and pumps, by meeting the following minimum requirements: • The engines or other applicable portable equipment shall have an SCAQMD permit or be registered under the CARB PERP program and display a current registration identification sticker that shall be affixed in a visible location on the registered portable engine at all times. The permit and/or certification and activity usage log identifying the date, EXHIBIT A 20 of 23 Specification No. S-2020-1165BD start and end run time hour meter reading, and location of usage shall accompany the registered portable engine at all times. • All portable generators including air compressors and pumps, 50-Hp or greater shall be actively registered under the CARB PERP Program or permitted under with the local SCAQMD. • The engines or other applicable portable equipment furnished shall satisfy the latest applicable emissions standards, as set forth in Title 13 of the California Code of Regulations (Article 5, Sections 2450-2466) and Title 40 of the Code of Federal Regulations, Part 89. • The engines or other applicable portable equipment shall be equipped with an operational and properly maintained non-resettable hour time meter. • The engines shall not reside at the same location for more than 12- consecutive months. • During fueling of all vehicles and equipment, the Contractor shall have personnel in direct control of the fueling operation at all times to prevent fuel spills and shall comply with SCAQMD Rule 461, Gasoline Transfer and Dispensing. 6.2 Noise Control 6.2.1 Normal work hours are as stated in Section 3.2 General Work Hours. Changes to work hours are subject to prior approval of the OCSD Project Manager and may require the use of noise control measures. 6.2.2 All equipment used during service shall be muffled and maintained in good operating condition. All internal combustion engine driven equipment shall be fitted with intake and exhaust mufflers that are in good condition. 6.2.3 Back up bells/alarms on equipment shall only be operated between 7:00 a.m. and 7:00 p.m. Air compressors, temporary generators and diesel engines shall not be permitted to operate between 7:00 p.m. and 7:00 a.m. Any noise generated from the Contractor shall not exceed 85 dB at 3 feet. EXHIBIT A 21 of 23 Specification No. S-2020-1165BD 6.3 House Keeping and Rubbish Control 6.3.1 Contractor shall do the following before the close of each workday: 6.3.1.1 Flush organic material from belt presses/centrifuges with bleach solution 6.3.1.2 Flush organic material from screening equipment with bleach solution 6.3.1.3 Cover/close disposal bins • Full bins shall be hauled off site same day or as soon as possible after being filled 6.3.1.4 Pick up and place in covered bins/trailers any accumulation of organic material 6.3.1.5 Clean up and wash down work area including spill containment tarps and pavement with bleach solution 6.3.1.6 Contractor shall be responsible for the immediate unplugging of any drains/sumps that are clogged as a result of their operations. 6.3.1.7 Cover with tarp any open trailers. 6.3.1.8 Full trailers shall be hauled off site same day unless leaking 6.3.2 Throughout this Contract and until final acceptance of the Work by OCSD, the Contractor shall keep the worksite and other areas used by it in a neat and clean condition, and free from any accumulation of rubbish and debris. 6.3.3 The Contractor shall dispose of all rubbish and waste materials of any nature occurring at the work site and shall establish regular intervals of collection and disposal of such materials and waste. 6.3.4 The Contractor shall also keep its haul roads free from dirt, rubbish, and unnecessary obstructions resulting from its operations. 6.3.5 Disposal of all rubbish and surplus materials shall be off the project site and at the Contractor's expense, all in accordance with local, state, and federal codes and ordinances governing locations and methods of disposal, and in conformance with all applicable safety laws, and the requirements of the OSHA Safety and Health Standards for Construction. 6.3.6 Care shall be taken to prevent spillage on haul routes. Any such spillage shall be immediately contained and removed and the area cleaned per Section 6.5 Spill Control. 6.3.7 Equipment and material storage shall be confined to areas approved by the OCSD Project Manager. 6.3.8 All impacted sumps and manholes are to be free of cleaning debris at the completion of the project. All cleanup costs shall be included at no additional cost to OCSD. 6.4 Sanitation 6.4.1 Contractor shall not use any OCSD Sanitation Facilities. The Contractor shall provide fixed and/or portable chemical toilets for the use of its employees. These accommodations shall be maintained in a neat and sanitary condition. Toilets at job sites shall conform to the requirements of Title 8, California Code of Regulations. 6.4.2 Contractor shall establish a regular schedule for collection and disposal of all sanitary and organic waste. All wastes and refuse from sanitary facilities provided by the Contractor or organic material wastes from any other source related to the Contractor's operations shall be disposed of away from the site in a EXHIBIT A 22 of 23 Specification No. S-2020-1165BD manner satisfactory to the OCSD Project Manager and in accordance with all laws and regulations pertaining thereto. Disposal of all such wastes shall be at the Contractor's expense. 6.5 Spill Control 6.5.1 The Contractor and its subcontractors must be able to respond to any release in a timely manner, as instructed or required by the local enforcement and response authorities regardless of incident location. Response includes on-call crews and equipment able to clean up a 25 ton release, including transfer into a secondary trailer. Submit for acceptance by OCSD Project Manager, within 15 days of Notice to Proceed, a response plan that includes, in addition to who and how the Contractor will respond to incidents, the following: 6.5.1.1 Before commencement of work under this contract, the Contractor shall provide spill containment and response plans for all types of on or off-site spills involving the materials utilized or produced under this project and under the direct control of the Contractor and its Subcontractors. The plan(s) must list the contact names and information for all relevant parties, including but not limited to, the Contractor, OCSD, Regulators, responding/clean up parties, and Highway Response. 6.5.2 For offsite incidents involving the hauling of Digester Contents, the Contractor is required to comply with the procedure outlined in OCSD's Biosolids Response and Recovery Plan (Appendix A-1, page 201). 6.5.3 Spills of any nature caused by the activities of the Contractor and its Subcontractors, including hauling, shall be controlled, cleaned, and reported immediately in accordance with the Contractor's spill containment and response plans and OCSD's Biosolids Response and Recovery Plan for the trucking of the material, regardless of the material's classification. 6.5.4 The Contractor is also responsible for any costs associated with the clean-up of any release and recovery of Digester Contents or other spills. 6.6 Leak Prevention 6.6.1 Contractor's equipment, including but not limited to, material hauling equipment and hoses shall not leak. If a leak is detected, the Contractor shall immediately eliminate the source of the leak and clean up any material that has leaked per Section 6.5 Spill Control. 6.6.2 Hauling equipment shall not be allowed to leave the OCSD plant site if it is leaking. EXHIBIT A 23 of 23 Specification No. S-2020-1165BD oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 OPERATIONS COMMITTEE (714)593 7433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1244 Agenda Date: 9/23/2020 Agenda Item No: 10. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: BAY BRIDGE PUMP STATION REPLACEMENT, PROJECT NO. 5-67 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve a contingency increase of $1,784,250 (25%) to the Professional Design Services Agreement with Arcadis U.S., Inc. for Bay Bridge Pump Station Replacement, Project No. 5-67, for a total contingency of $2,497,950 (35%). BACKGROUND The Bay Bridge Pump Station and associated force mains were constructed in 1966 on Pacific Coast Highway just east of the Newport Back Bay Channel. The two force mains cross the channel and connect to the existing Newport force main network. The capacity is approximately 18 million gallons per day, which handles over half of Newport Beach's wastewater. The pump station is space limited and bounded on three sides by a proposed three-story, mixed-use development, and bounded on the south side by Pacific Coast Highway. Part of the existing site was lost when Pacific Coast Highway was rerouted in the late 1980s to accommodate a new Bay Bridge. Additional real estate is required to replace the pump station to meet current safety and environmental requirements which includes improved odor treatment systems. RELEVANT STANDARDS • Achieve less than 2.1 sewer spills per 100 miles • Operate and maintain facilities to minimize impacts on surrounding communities, including odor, noise, and lighting • Ensure the public's money is wisely spent PROBLEM The pump station is over 50 years old and is at the end of its useful life. The Orange County Sanitation District (Sanitation District) began planning efforts for its replacement in 2014 with a long series of discussions, negotiations, and changes in how the adjacent property would be developed. Orange County Sanitation District Page 1 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1244 Agenda Date: 9/23/2020 Agenda Item No: 10. In 2017 with the cooperation of the adjacent property owner, the Sanitation District completed a Siting Study and draft Environmental Impact Report (EIR) for a project at the northeast corner of the adjacent property, with the Sanitation District transferring the existing site to Back Bay Landing when the new pump station was completed. This arrangement offered some key advantages but required the Sanitation District to proceed with design to support the property acquisition negotiations and CEQA activities. In October 2017, the Sanitation District awarded a Professional Design Services Agreement to Arcadis U.S. In March 2018, property negotiations with the adjacent property owner reached an impasse and design efforts for the new pump station were put on hold. The impasse was related to the required Pump Station footprint and the easements required to support force main tunneling through the site and across the bay north of the bridge. It was mutually agreed with the neighboring property owner to look at expanding the existing site. Property acquisition negotiations have resumed and are continuing. Since the project was put on hold, the costs to complete the design have increased significantly. Those costs include CEQA activities, technical support for property negotiations, labor escalation costs, design efforts that need to be redone for the new site, and other design-related changes. As a result, the Board awarded contingency for the design agreement is not sufficient to complete the work. PROPOSED SOLUTION Approve a contingency increase to the Professional Design Services Agreement of $1,784,250 (25%) for a total contingency of $2,497,950 (35%). This increase will cover the additional costs to complete the work and provide an allowance for additional design-related risks. The existing project budget is sufficient to cover the requested increase in contingency therefore no increase to the project budget is required. TIMING CONCERNS Given the long lead time required to complete design, obtain regulatory approval, and the poor condition of the existing pump station, staff believes that risks of delaying design further are greater than the risk of another impasse in real estate negotiations. Additional contingency funds for engineering services are required to resume preliminary and final design, finalize property purchase agreements, and prevent further design delays to the project. RAMIFICATIONS OF NOT TAKING ACTION The Professional Design Services Agreement "not to exceed" fee will not be sufficient to complete the design of the project. PRIOR COMMITTEE/BOARD ACTIONS October 2017 - Approved a Professional Design Services Agreement with Arcadis US Inc. to provide engineering design services for the Bay Bridge Pump Station and Force Main Replacement, Project No. 5-67, for an amount not to exceed $7,137,000, and approved a contingency of$713,700 (10%). Orange County Sanitation District Page 2 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1244 Agenda Date: 9/23/2020 Agenda Item No: 10. ADDITIONAL INFORMATION The requested contingency increase is needed for additional efforts to design the new pump station at the new proposed site location, analyze a dredging option across the Back Bay Channel and new force mains alignment to the South of the Pacific Coast Highway bridge, support property negotiation efforts, complete two additional rounds of EIR analysis and recirculation, and account for escalation of labor costs over nearly three years. CEQA This project will comply with the CEQA requirement by completing an EIR. The Draft Recirculated EIR was circulated on August 7, 2020 with the public review period ending on September 21, 2020. FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted, (FY 2020-2021 and 2021-2020, Section 8 Page 28), and the project budget is sufficient for the recommended action. Date of Approval Contract Amount Contingency 10/25/2017 $7,137,000 $ 713,700 (10%) 09/23/2020 $1,784,250 (25%) ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • PowerPoint Presentation 9/2/2020 Operations Committee TL:dm:gc Orange County Sanitation District Page 3 of 3 Printed on 9/15/2020 powered by LegistarTM w - Bay Bridge Pump Station Replacement, Project No. 5-67 .w l" I Rim Contingency Increase for Elm Design Consultant PON AM - Y M `; Kathy Millea, Director of Engineering �- Operations Committee September 2, 2020 r o�N�y SANI rq;,�0� -{ •�_I, -� / iUCTIUYN SAYlR � � /' cc K�AcW r/�� THE ENv\� Why do I�K.� ping Station Pum ,► VIIIIII Force Main Sewer Flow has to be "forced" through the main Gravity Sewer because gravity alone is not enough to move it. Flow uses gravity to get to pump stations and treatment plants. An J , PUMP � � � ■ STATION ■ ■ ■ • Site Vicoinity t, Treatment Plant g� No. LIZ Olt I UNIMIRI F.]FRY, 416 ,+`' � _ ,�Lr�Y'-.• = -_ Irk �., . _` _ '�'•• . s _ r 1 ` •a •. a r :d i .rr ` i s= '1 4 A O _' ■ f' :v St Bay Bridge Pumpation r � t • ar.II _a . I . �� i s� � is r � . • s V-4 ...01' • vomit - r• � 1 r _ - N W 7V E Sc %I�K -0�2 k Existing Pump Station � ' Location 1 . L tt1111 i l `� _ += Existing Force Main ��� (f 17 l i �►, • ` Existing — Pump Station i 1•—, 1 '� - Idol[ - W 7V low S 1 %I�K -0�2 k Existing Pump Station � ' Location r j we 7 I ffr�. 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Samos��r■ • 40 Existing Force Main Jr- ? j a �_`�► � .fit,� _ .� •� Po^i' ,+ .� � Existing Pum • Station AA pp s 7 NOW ll� e , %I�K � ' -0�2 k Existing Pump Station Location *= Existing Force Main 11�y lr t[(/ 11 la dd(� R AV ,f '= .7 • .. io la , (' 1 , ;,., • ` + Existing --` — Pump Station N W -7V EAN t` '� 1 � - 4 1 r► Currently Proposed Location 1. S- I Proposed ¢ `' " j1� ;� ',► Pump Station SA r= Existing Force Main j 1G14 h . a� ► swore ,* `�' `I ^� # Existing ` Pump Station -7V - a _ %I�K -0�2 k Currently Proposed � - Location 7 ��..yy • r Proposedr Pump Station '"firw�� �= Existing Force Main ICI�U17tipAll I 01 Proposed Force Main a Existing Pump Station W _7V S I► - a 14 Project Schedule �---- ------ 0 1 Original Project Schedule I I Planning Construction � Draft EIR Certify EIR � Study Start Complete 1 0 1 1 , , I I 1 1 0 Preliminary Design Start Construction Siting NTP jComplete L-----------------------------------------------------------------------------------------------------J 15 Project Schedule ------------------------------------------------------------------------------------------------------- 0 1 Original Project Schedule 1 I 1 Planning Construction Draft EIR Certify EIR 1 Study Start Complete 0 1 1 0 I I I 0 1 0 1 Preliminary Design Start Construction 1 Siting NTP jComplete 1 0 i-----,—,—,—,---------------.—,-----,---------.—.—.---------------.---------.---------,---------,—,----- I------------------------------------------------------------------------------------------------------I 0 Current Project Schedule I I Planning Draft EIR 1st Draft Construction 1 Study Start REIR Certify EIR Complete 0 0 1 1 1 �� 1 I I I 1 0 Preliminary 2nd Draft Design Construction Design Start I i Siting REIR Restart NTP 0 1 Complete 1 1 • ------------------------------------------------------------------------------------------------ 16 •-- Project Schedule ------------------------------------------------------------------------------------------------------- 0 1 Original Project Schedule 1 I I I Planning Construction 1 Draft EIR I FCertify EIR 1 Study Start Complete 1 1 I 1 i01 I i I I I I I Preliminary Desi n Start I Construction 1 Siting g I NTP j Complete I j i—_—_—_—_—_—_—_—_—_—_—_—_—_—_—_—_—_t _—_—_—_—_—_—_—_—_—_—_—_—_—_—_� ---------------------------------------------- 0 Current Project Schedule I ; I I 1 Planning Draft EIR I 1st Draft I Certify EIR Construction Study Star 1 1 t REIR Complete 1 I I I I I 0 I II t I NI Preliminary 2nd Draft 1 Design Start i Siting REIR Rest I1 TP 0 Complete I 1 •—_-------------------------------- -------------------------------------------------------------- 17 3-year delay to start of design Additmional ZA costs •j '� Change Value Revised Site Location and Force Main Alignment $500,000 Escalation $485,000 CEQA $420,000 Design Efforts on Previous Location $350,000 Property Purchase Support $155,000 Simplified Design Submittals ($120,000) 18 %I�K-.-0�2 k T'nsultant Contract Contingency . . Original Design Contract $7,137,000 $713,700 $7,850,700 Contingency Increase Request $1,784,250 $1,784,250 C' Recommendation • Approve a contingency increase of $ 1 ,784,250 (25%) to the Professional Design Services Agreement with Arcadis U .S., Inc. for Bay Bridge Pump Station Replacement, Project No. 5-67, for a total contingency of $2,497,950 (35%). oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 ADMINISTRATION COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1247 Agenda Date: 9/23/2020 Agenda Item No: 11. FROM: James D. Herberg, General Manager Originator: Kelly A. Lore, Clerk of the Board SUBJECT: RECORDS MANAGEMENT PROGRAM UPDATE GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Adopt Resolution No. OCSD 20-10 entitled: "A Resolution of the Board of Directors of the Orange County Sanitation District Adopting the Records Management Program Procedures and Records Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 18-22". BACKGROUND The Orange County Sanitation District's (Sanitation District) Records Management Program is being updated to meet new statutory regulations and agency changes to better serve the operational needs of the Sanitation District. The Records Management Program Procedures and Records Retention Schedule review process is comprised of the Executive Management Team, General Counsel's Office, departmental subject matter experts, Clerk of the Board and Assistant Clerk of the Board/Acting Records Management Specialist. They have reviewed the updates and recommend the proposed changes. The Sanitation District's Records Management Program documents how long various types of information are to be kept, as dictated by the legal, fiscal, operational, and audit needs of the Sanitation District. As a public agency, there is an obligation to effectively manage and maintain the Sanitation District's information, most of which is classified as public information. RELEVANT STANDARDS • Maintain and adhere to appropriate internal planning documents, Resolution No. OCSD 18-22 (Current Records Retention Schedule) • Comply with Government Code § 60200 through 60204 • Comply with Government Code § 6250 et seq Orange County Sanitation District Page 1 of 2 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1247 Agenda Date: 9/23/2020 Agenda Item No: 11. PROBLEM There are current legal regulatory requirements that are not reflected in the Sanitation District's existing Records Management Program Procedures and Records Retention Schedule. PROPOSED SOLUTION Adopt the updated Sanitation District's Records Management Program Procedures and updated Records Retention Schedule to reflect the current legal regulatory requirements. TIMING CONCERNS Destruction of some records may not be authorized until the updated Records Retention Schedule is approved. RAMIFICATIONS OF NOT TAKING ACTION Records will be kept longer than legally required which will impact compliance with the current retention regulations as well as the need and cost associated with additional storage space. PRIOR COMMITTEE/BOARD ACTIONS December 2018 - Adoption of Resolution No. OCSD 18-22 Adopting the Records Management Program Policy and Procedures, Updated Retention Schedule, Authorizing Destruction of Obsolete Records, and Repealing Resolution No. OCSD 15-16. ADDITIONAL INFORMATION As dictated by the current legal, audit, business, and operational needs of the Sanitation District, changes were made to existing record types, which include the retention length, record descriptions, and legal citations. CEQA N/A FINANCIAL CONSIDERATIONS N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Resolution No. OCSD 20-10 • Records Management Procedure Manual • Records Retention Schedule Orange County Sanitation District Page 2 of 2 Printed on 9/15/2020 powered by LegistarTM RESOLUTION NO. OCSD 20-10 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT ADOPTING THE RECORDS MANAGEMENT PROGRAM PROCEDURES & RECORDS RETENTION SCHEDULE, AUTHORIZING DESTRUCTION OF OBSOLETE RECORDS, AND REPEALING RESOLUTION NO. OCSD 18-22 WHEREAS, it is necessary to establish a policy to maintain a Records Management Program ("Program") that provides for the identification, access, and protection of all records generated or received by the Orange County Sanitation District (Sanitation District); and WHEREAS, said Program ensures that all Sanitation District records are created, received, maintained, and destroyed in a legal and cost-effective manner, in accordance with operating requirements for Sanitation District business and applicable statutes and regulations; and WHEREAS, the Board of Directors of the Sanitation District are authorized, by the provisions of California Government Code Sections 60200 through 60204, inclusive to destroy records under certain conditions, and WHEREAS, it is described and appropriate to authorize the destruction of the records on a routine basis; that have been retained for a defined period of time, that are copies of originals on file with the Sanitation District, or that have been preserved in conformance with all applicable statutes. NOW, THEREFORE, the Board of Directors of Orange County Sanitation District, DOES HEREBY RESOLVE, DETERMINE, AND ORDER: Section 1: Adoption of the Current Records Management Procedures. The Board of Directors of the District hereby adopts the currently established Records Management Procedure Manual. Section 2: Adoption of Updated Records Retention Schedule. The Board of Directors of the Sanitation District hereby adopts changes to the Records Retention Schedule, set forth in Appendix "A" incorporated herein by reference. Section 3: Authorization for Destruction of Records. The destruction of records, papers, and documents is hereby authorized, pursuant to California Government Code Sections 60200 et seq., after such records have been retained for the minimum time set forth in the Records Retention Schedule. Section 4: Destruction of Records After Preservation. Any record not expressly required by law to be filed and preserved may be destroyed at any time after it is OCSD 20-10-1 preserved in conformance with the requirements of California Government Code Section 60203. Section 5: Destruction of Duplicates. Pursuant to California Government Code Section 60200, any duplicate record, paper, or document (the original or a permanent copy of which is in the files of any office or Department of the Sanitation District) may be destroyed after confirmation with Records Management that such original or permanent copy remains on file in the District. Section 6: Retention of Records Not Mentioned. All records, papers, and documents not mentioned in this Resolution shall be retained. Section 7: Resolution No. OCSD 18-22 is hereby repealed. PASSED AND ADOPTED at a regular meeting of the Board of Directors held September 23, 2020. David John Shawver Board Chairman ATTEST: Kelly A. Lore, MMC Clerk of the Board OCSD 20-10-2 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, Kelly A. Lore, Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 20-10 was passed and adopted at a regular meeting of said Board on the 23rd day of September 2020, by the following vote, to wit: AYES: NOES: ABSTENTIONS: ABSENT: IN WITNESS WHEREOF, I have hereunto set my hand and affixed the official seal of Orange County Sanitation District this 23rd day of September 2020. Kelly A. Lore, MMC Clerk of the Board of Directors Orange County Sanitation District OCSD 20-10-3 Go�N,y S A N l rq T�Dy a � Q r o cTiN�' THE ENv��o RECORDS MANAGEMENT PROCEDURE MANUAL September 2020 gypvv�v Orange County Sanitation District Procedure Number: 00 ONV ANlilt iATi9 Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL F o� TA,B THE EN\Q SUBJECT: TABLE OF CONTENTS Approved by: OCSD Board of Directors POLICY CONTACT: Clerk of the Board (Custodian of Records) REGULATORY REFERENCES: Resolution No. OCSD 20-10 California Government Code §34090 (How Long Records are Held-Records Retention) California Government Code §6250 (California Public Records Act) SECTION TITLE 1.0 RECORDS MANAGEMENT PROGRAM POLICY 2.0 PROGRAM GUIDELINES 3.0 STAFF RESPONSIBILITIES 4.0 RECORDS RETENTION 4.0 Exhibit A Records Retention Change Form 4.0 Exhibit B Records Retention Schedule 4.0 Exhibit C Records Retention Schedule Definitions 5.0 RECORDS DISPOSITION & CONFIDENTIALITY 6.0 VITAL RECORDS 7.0 HISTORICAL RECORDS 8.0 RECORDS MANAGEMENT PROGRAM AUDIT & COMPLIANCE REVIEW 9.0 RECORD HOLD AND RELEASE 10.0 PUBLIC RECORDS ACT — RELEASE OF RECORDS TO THE PUBLIC Table of Contents 1 Adopted TBD Procedure Number: 00 ONV ANlilt iATi9 N Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 °r �2 POLICY & PROCEDURE MANUAL F o TA,B THE EN\Q SUBJECT: TABLE OF CONTENTS Approved by: OCSD Board of Directors SECTION TITLE 11.0 ELECTRONIC COMMUNICATIONS POLICY 12.0 ESCROW OF BID DOCUMENTS Table of Contents 2 Adopted TBD zr Procedure Number: 1.0 saHirgr Orange County Sanitation District Effective Date: TBD 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lrh,B THE EN�P SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OCSD Board of Directors 1.0 POLICY STATEMENT 1.1 The Board of Directors shall annually adopt a Resolution updating the Records Management Procedure Manual as presented by the Custodian of Records (Clerk of the Board). The Orange County Sanitation District (Sanitation District) is committed to effective records management including but not limited to: A. Meeting legal requirements for records retention, B. Identifying and protecting all records, C. Managing record holds, D. Protecting privacy, E. Optimizing the use of space, F. Minimizing the cost of records retention, G. Providing open access to public records, and H. Disposing of outdated records properly. 2.0 PURPOSE 2.1 The purpose of the Records Management Program Policy is to establish a Records Management Program (the Program) that will develop a systematic method for managing the Sanitation District records. The Program ensures that all Sanitation District records are created, received, maintained, and dispositioned in a cost-effective manner, in accordance with operating requirements for Sanitation District business and applicable statutes and regulations. Failure to follow the Records Management Program may result in excessive costs, litigation, loss of productivity, etc. 3.0 PROGRAM RESPONSIBILITY 3.1 Under the authority of the Sanitation District's Board of Directors, the General Manager and the Executive Management Team oversee the Records Management Program. The Clerk of the Board is responsible for oversight, implementation, administration, and operation of the Sanitation District's Records Management Program. 3.2 A Record Retention Schedule Review Committee (RRSRC), made up of the Sanitation District's Assistant General Managers, Administration Records Management Policy 1 Adopted TBD zr Procedure Number: 1.0 saHirgr Orange County Sanitation District Effective Date: TBD 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lrh,B THE EN�P SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OCSD Board of Directors Manager, Clerk of the Board, Risk Manager, IT Manager and Records Management Specialist will meet as needed to review Record Retention Schedule change requests and approve changes which are then presented to the Board of Directors. 3.3 Departments/Divisions that maintain Agency records are responsible for understanding appropriate records management procedures and practices. Each Department/Division Manager, or a designee must: A. Ensure compliance with the approved Record Retention Schedule. B. Be familiar with the Agency's Records Management Policy; C. Develop the department's procedures and practices, consistent with this policy; D. Educate staff within the department about sound record management practices; E. Coordinate the disposition of records as provided in the Sanitation District's Retention Schedule; and F. Restrict access to confidential records and information appropriately. 4.0 APPLICABILITY 4.1 This Policy applies to all Sanitation District and Contract staff who create, receive, or maintain Sanitation District records. The Sanitation District requires the maintenance of Agency records in a consistent and logical manner so that the Agency: A. Meets legal standards for public examination, protection, storage and retrieval; B. Protects the privacy of customers, ratepayers and staff; C. Optimizes the use of space; D. Minimizes the cost of record retention; and E. Disposes of outdated records in accordance with the Agency's Retention Schedule applicable statutes. 4.2 Record policies apply to all records, whether they are maintained in hard (paper) copy, electronically, or in some other fashion. Each Department/Division shall appoint a Records Coordinator/s who serves as a liaison to Records Management to assist in the development, Records Management Policy 2 Adopted TBD zr Procedure Number: 1.0 saHirgr Orange County Sanitation District Effective Date: TBD 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lrh,B THE EN�P SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: POLICY OCSD Board of Directors implementation, maintenance, and adherence to a records management plan appropriate for the particular records it maintains, in cooperation with the Clerk of the Board. 4.3 The Division Records Coordinator facilitates program compliance within their respective Divisions in applying the Records Management Program policy. 4.4 The Sanitation District is subject to a range of statutes and rules regarding record retention and disclosure. All Sanitation District employees are responsible for complying with the requirements of the Records Management Program policy and the Sanitation District's Record Retention Schedule. 4.0 HISTORY OF PROGRAM 4.1 The Sanitation District, through an outside consultant, conducted the initial records inventory from February through August of 2000. The inventory consisted of a physical inventory of records stored in active office work areas and various storage areas within the Plant No. 1 and Plant No. 2 facilities. The purpose of the inventory was to describe, identify, locate, and quantify Sanitation District records. To supplement the data gathered during the physical inventory, the consultant conducted interviews with staff members from each Division who were most familiar with records creation and maintenance. 4.2 Based on the physical inventory of records and the data gathered during the interviews, the initial RRS was developed. Files were identified by their record titles and classified into record series based on having similar business functions (purposes) and retention requirements. 4.3 Extensive legal research was performed to ensure that all legal requirements were met in assigning the records retention periods to each records series. Other attributes were also assigned to each records series to ensure that vital, historical, and confidential records are properly protected and processed for retention. Records Management Policy 3 Adopted TBD Procedure Number: 2.0 °JH�y SRNITAr/oy Orange County Sanitation District 9 Effective Date: TBD 9� �2 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL N iNE fNJ SUBJECT: PROGRAM GUIDELINES Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 The Orange County Sanitation District-wide Records Management Program (the Program) is intended to effectively identify, manage, store, and destroy records that have been created and received by the Sanitation District. 1.2 Records received and created by the Sanitation District in fulfillment of its responsibility to the public and in compliance with government regulations are identified in the Record Retention Schedule (RRS), and accurate retention periods are assigned. 1.3 Sanitation District records that are no longer needed to be in the immediate office of each Division for convenient access, are processed for storage, retrieval, or disposition in accordance with the guidelines established by the Program. 1.4 Records that have met the retention requirements identified in the RRS are processed for destruction in accordance with this Program. 1.5 Historical and vital records are identified and processed in accordance with the guidelines established by the Program. 1.6 Records management activities are completed in a cost-effective manner. 1.7 The Program promotes an increase in productivity by decreasing the volume of obsolete records stored; thus, reducing the amount of time necessary for document retrieval. 1.8 The Program contributes to industry best practices by ensuring accountability, efficiency, and compliance in a cost-effective manner. 2.0 PURPOSE 2.1 Identify Sanitation District records to facilitate access to information required to conduct Sanitation District business and to provide appropriate access by the public. Program Guidelines 1 Adopted TBD Procedure Number: 2.0 oJHtV SFN17gT Oy Orange County Sanitation District 9 Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9orFC�N6 THE EN\Poa�W2 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OCSD Board of Directors 2.2 Maintain Sanitation District records for the duration of the approved retention period. 2.3 Provide access to Sanitation District records for operational, legal or public access requirements. 2.4 Protect Sanitation District records. 2.5 Ensure compliance with legal statutes and governmental regulations regarding recordkeeping and public access requirements. 2.6 Destroy Sanitation District records in accordance with the approved RRS or process those deemed historical records for long-term retention. 3.0 SCOPE 3.1 Create, receive, maintain, and dispose of Sanitation District Records. 3.2 Maintain approved RRS. 3.3 Ensure use of appropriate technology in facilitating records and information storage and retrieval. 3.4 Provide systematic control of all Sanitation District records through processing, distribution, maintenance, retrieval, and disposition. 4.0 RECORDS 4.1 Sanitation District records must be managed throughout their "life cycle". 4.2 The life cycle of a record is the time period from the creation or receipt of a record to its final disposition. 4.3 Final disposition can be either destruction or perpetual retention. Program Guidelines 2 Adopted TBD Procedure Number: 2.0 oJHtV SFN17gT Oy Orange County Sanitation District 9 Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9orFC�N6 THE EN\Poa�W2 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OCSD Board of Directors 4.4 Life cycle of a record is inclusive of five (5) stages: Stage 1 — Creation or receipt of records Stage 2 — Use or distribution Stage 3 — Storage or maintenance Stage 4 — Retention or disposition Stage 5 —Archival preservation 4.5 Some records do not require managing throughout their "life cycle". Such records are termed "transitory records". The value of transitory records is limited to a very short time, i.e., a day, a week, or no more than three months. 4.6 Transitory records do not carry the requirement to retain the documentation of any transaction. Transitory records include: Extra copies of publications, pamphlets, blank forms. These are considered "supplies" rather than records. Reference materials not produced by the District. Working copies of documents used solely until the finished record is declared or declined. Notices of meetings, events, office or holiday gatherings, or employee meetings which do not relate directly to the functional responsibility of the organization. Informational copies of widely distributed District materials. Preliminary drafts of documents such as letters, memoranda, reports, and worksheets, which do not represent significant steps in the preparation of District records, and which do not record decisions. Once the completed record is included in the filing system (in the appropriate medium), the working materials (drafts) are considered transitory records. Catalogs, trade journals, and other published materials received from other organizations, commercial firms, vendors, or private institutions, which require no action and are not needed for documentary purposes. These materials are usually considered "reference materials" and should be controlled as such but are not Sanitation District records. Program Guidelines 3 Adopted TBD Procedure Number: 2.0 °JH�y SRNITAr/oy Orange County Sanitation District 9 Effective Date: TBD 9� �2 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL N iNE fNJ SUBJECT: PROGRAM GUIDELINES Approved by: OCSD Board of Directors Incorrect versions of documents, forms, or reports that had to be regenerated in order to correct errors in typing, data entry, spelling, grammar, or format. 5.0 RECORD RETENTION SCHEDULE 5.1 The Record Retention Schedule (RRS) is a list of Sanitation District records organized by record series to which are assigned retention periods and other attributes. 5.2 The retention periods identified in the RRS have been established after extensive legal research of all government regulations applicable to the Sanitation District. 5.3 The RRS has been reviewed and has received concurrence of the various Sanitation District Divisions, Clerk of the Board, Records Management Specialist, Executive Management, Legal Counsel, (Review Team) and the Administrative Committee, as well as the approval of the District Board of Directors for implementation. 5.4 The RRS has been developed to ensure that each Department maintains its records for the duration of the period legally required by applicable legal statutes and government regulations, and until all the operational business functions are met. 6.0 HISTORICAL RECORDS 6.1 Historical records are identified and preserved. 6.2 The program ensures that records with permanent historical value are identified, documented, and preserved for the life of the Sanitation District. 6.3 The Records Management Specialist, prior to processing records for destruction, shall identify records having historical significance. 6.4 Historical records are retrieved, prepared, and processed for preservation in accordance with Procedure 7.0. Program Guidelines 4 Adopted TBD Procedure Number: 2.0 oJHtV SFN17gT Oy Orange County Sanitation District 9 Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9orFC�N6 THE EN\Poa�W2 POLICY & PROCEDURE MANUAL SUBJECT: PROGRAM GUIDELINES Approved by: OCSD Board of Directors 7.0 VITAL RECORDS 7.1 Vital records are those documents identified by each Division as necessary to enable the Sanitation District to continue vital operations in the event of a disaster or major interruption to business. 7.2 Vital records enable the Sanitation District to reconstruct its legal obligations and rights. 7.3 Vital records enable the Sanitation District to reconstruct its financial position. 7.4 Vital records enable the Sanitation District to satisfy the District's obligations to its employees. 7.5 Vital records enable the Sanitation District to protect employee and public health and safety. 7.6 Vital records enable the Sanitation District to reconstruct its assets and ownership. 8.0 CONFIDENTIAL RECORDS 8.1 Records containing proprietary or sensitive information to which access must be restricted are considered confidential. 8.2 Confidential information must be protected and preserved to avoid unauthorized disclosure that could be harmful to a person, to the Sanitation District, or to a Sanitation District business process. 8.3 Confidential records shall be managed, controlled, and disposed of separately from records containing non-confidential information. 8.4 Confidentiality of information shall be protected until it is destroyed or until the Sanitation District has changed the status of the confidentiality of information. Program Guidelines 5 Adopted TBD z+ Procedure Number: 3.0 saH,rgr Orange County Sanitation District Effective Date: TBD /9 9 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lq,B THE ENP SUBJECT: STAFF RESPONSIBILITIES Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 The Records Management Program is a decentralized administrative program. As such, Program activities are carried out by the Sanitation District Clerk of the Board (Custodian of Records); Records Management Specialist; and by Sanitation District staff in each Division. The Sanitation District Records Management Specialist is responsible for coordinating and managing the Program and Program procedures, and Division staff is responsible for complying with the Program requirements for records in their respective Divisions. In the procedures that follow, the individual responsible for running the daily operations of the Program is identified as the Records Management Specialist. 2.0 PURPOSE: The purpose of this procedure is to describe the roles and responsibilities of Records Management and Sanitation Division Staff. 3.0 STAFFING AND RESPONSIBILITIES Responsibility Action CLERK OF THE BOARD Custodian of Records of the Sanitation District ASSISTANT CLERK OF Under the direction of the Clerk of the THE BOARD Board: Serve as the Public Records / Freedom of Information Officer and coordinate public requests for information. Maintain Public Records Act Log and PRA information in the Records Management Software. Staff Responsibilities 1 Adopted TBD z+ Procedure Number: 3.0 saH,rgr Orange County Sanitation District Effective Date: TBD /9 9 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lq,B THE EN�P SUBJECT: STAFF RESPONSIBILITIES Approved by: OCSD Board of Directors Responsibility Action RECORDS MANAGEMENT Under the direction of the Clerk of the SPECIALIST Board: • Oversee the Records Management Program and act as a liaison between Division Records Coordinators, the Record Retention Schedule Review Committee, General Counsel, and the Sanitation District's Board of Directors. . Act as an advisor on all records and information management issues and related projects. • Maintain the Record Retention Schedule. • Develop and conduct training sessions on appropriate Records Management Program activities, including the Records Management Software. • Maintain the Records Management Procedure Manual and update as needed. • Coordinate record destruction suspension ("holds") and destruction resumption ("releases") with legal counsel, auditors, and the Office of Record to ensure that records are available as required. • Manage the record retention, offsite transfer, and destruction activities of the Program. • Conduct periodic audits of the Program to Staff Responsibilities 2 Adopted TBD z+ Procedure Number: 3.0 saH,rgr Orange County Sanitation District Effective Date: TBD /9 9 2 RECORDS MANAGEMENT Supersedes: 7/28/2010 r�` aaW POLICY & PROCEDURE MANUAL lq,B THE EN�P SUBJECT: STAFF RESPONSIBILITIES Approved by: OCSD Board of Directors Responsibility Action ensure compliance. • Coordinate Vital Record protection and ensure that the Vital Records Program supports the Integrated Emergency Response Plan. • Serve as Administrator for the Record Management Software, manage the program database and content for the Intranet site. DIVISION RECORDS . Review Division records and the Record COORDINATORS Retention Schedule periodically to ensure compliance with the Program. Forward any A list of Division Records requests for changes to the Record Coordinators can be found Retention Schedule to the Records in the above link. Management Specialist. • Ensure that records are maintained and protected in compliance with the Program. • Coordinate preparation of records for transfer to offsite storage. • Coordinate managing pertinent records after receipt of a Records Hold or Records Release. • Coordinate records disposition activities, including the preparation of a Records Disposition Form and obtaining approvals to destroy records in any format (hard copy or digital). Staff Responsibilities 3 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 Record retention activities of the Records Management Program (RMP) control the maintenance and storage of Orange County Sanitation District records. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct Sanitation District business are protected and accessible. The Record Retention Schedule (RRS) is the foundation of the Program and defines the period required to maintain Sanitation District records. 1.2 Record Management Terms: Term Definition Records that are required for current day-to-day business and are Active subject to frequent use; generally located near the user(if hardcopy); can easily be accessible on a networked server(if electronic); generally referred to more than once per month. FA record that assists in the operation of the business, and ensures administrative consistency and continuity, serving a particular Administrative Value purpose for that office at that particular time. In appraisal, the usefulness of records for the conduct of current or future administrative business needs. The process of determining the value and thus the disposition of Appraisal records based on their current administrative, fiscal, and legal value; their evidential and informational value; their arrangement and condition; their intrinsic value; and their relationship to other records. Records identified as having archival value or potential archival Archival Records value and designated as Historical on the OCSD Records Retention Schedule. Review for acceptance of records relating to operations, policies iAudit and procedures, financial documentation, and historical documents by regulating agencies. Closed /Completed A file or record on which action has been completed and to which an audit or further action is not likely to occur. A reproduction of the contents of an original document which is not Copy the official file copy of the agency. Copies are usually identified by Records Retention 1 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors their function, i.e., action copy, reading file copy, tickler file copy, etc. In most instances, copies will have a shorter retention than the official file copy(see Official Copy)of a record series. When specified as the "minimum retention period" means that Current superseded, rescinded, expired, or no longer useful records may be removed from the files and may be destroyed. The predetermined action taken with regard to inactive records Disposition including form of retention (hardcopy or image), period of time retained (archive or destroy), where to store (on-site or off-site), and method of destruction (recycle, burn, or shred). A document that is a copy of the original or official version of a Duplicate record. A duplicate may be a paper version or an electronic version of the official record. Evidential Value In appraisal, the value of a record that documents the activities of an organization or agency. File Integrity Accuracy and completeness of the file or records collection. Documents and accounts for receipt of or expenditure of public funds; such as budget, ledgers of accounts receivable and payable, Fiscal Value payrolls and vouchers. Documents availability of funds for operational purposes. In appraisal, records required until a financial audit is completed, or financial obligations are fulfilled. In appraisal, the value attributed to a record which preserves Historical Value documentation on significant historical events including the City's operations, origin, policies, authorities, functions, and organizations, as well as significant administrative decisions. [Legal Value In appraisal, value attributed to a record series which documents business ownership, agreements, and transactions. Life [The retention period assigned to a record that has continuing value o the organization throughout its existence. Minimum Retention Period The least amount of time a record must be kept determined by assessment of administrative, legal, fiscal, and historical values. r Office of Record The Division that created or is responsible for retaining the official copy until it is dispositioned. Official Copy The original or official copy of a record maintained by the Office of Record Any documentary material, regardless of physical form or Record characteristic, made, or received by an organization in pursuance of law or in connection with the transaction of business and used by Records Retention 2 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors that organization as evidence of activities or because of informational value. Records Retrieval IlLocating records and delivering them for use. Retention Period The period of time that records must be kept according to legal or organizational requirements. A list describing the record series, the length of time records are Retention Schedule retained (may include active and inactive storage detail), the Office of Record, and the final disposition. Supersede IThe replacement of an existing document. Designates the end of a specific term, e.g., appointed, elected Termination official's terms; employment; training, course, program; use or ownership. Documents retained for a short time having no long-term Transitory Records administrative, fiscal, legal, or archival value. These records are kept for a very short time and are not necessary to document the completion of a business transaction. Those records containing information necessary to continue the Vital Records operation of government, affirm the powers and duties of government and to protect the rights and interest of persons. Records Retention 3 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 1.3 Event Codes The records retention schedule provides information to guide the organization in maintenance of business records. Some retention periods are assigned a number representing the length of time (stated in years) for which the records must be maintained and accessible (retrievable). Others are based on the occurrence of an event or a transaction, or a combination of both. The following table describes the meaning of each event as it pertains to records retention and disposition. Event Code Event Definition Maintain records for at least one year. At the end of that and each subsequent year, review the records to determine whether or not they AR Annual Review have continuing value to the organization. If so, retain the records for one more year. If not, destroy the records in accordance with procedures. Maintain records until the audit, inspection, examination, or AA After Audit investigation is complete. Then destroy in accordance with procedures. Closed, Maintain records until the transaction or the terms of the activity, the CL Complete project, assignment, contract, etc. is closed or completed. Then destroy in accordance with procedures. Closed plus [Certain agreements, particularly grants, have a specified retention time CL +A Term of the built into the agreement. Keep according to term of the agreement. Agreement EX Expired Maintain records until the term, period, permit, or license is expired. Then destroy in accordance with procedures. LO Life of Maintain records for the "life" of the organization, project, physical LP Organization plant or building, a building system or sub-system, asset, piece of Project equipment, or component. Then destroy in accordance with procedures. RE Revised Maintain records until the record is changed or modified. Then destroy in accordance with procedures. Su Superseded Maintain records until record is superseded or made obsolete by a newer version or edition. Then destroy in accordance with procedures. Maintain records until activity is concluded or employee is terminated, TE Terminated retires, or otherwise leaves the employ of the organization. Then destroy in accordance with procedures. Records Retention 4 Adopted TBD Procedure Number: 4.0 4�JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 1.4 Characteristic Codes Some retention periods are assigned a "characteristic" to identify any special handling required for documents classified in that records series. The following table describes the meaning of each "characteristic" as it pertains to records retention and disposition. FCode Characteristics Definition Vital Records are required to be available in the event of an emergency or major interruption to normal business operations to continue to provide safe treatment of wastewater during the event. Vital Records may protect the Sanitation District's rights and interests, V Vital ensure that it can continue to effectively protect the environment, the public, and meet its obligation to its employees. Identifying records as "vital records" ensures that they are handled in a manner that protects them and makes them readily accessible during the time period that the information is vital. This characteristic does not affect the length of the retention period. Historical Records potentially have historical significance. Records may document the formation of OCSD, annexations, consolidation, major projects, and strategic direction. Historical Records may have intrinsic value due to their age, author, or special nature. Identifying H Historical records as "historical records" ensures that they are handled in a manner that protects them and preserves them for long-term storage and research purposes. This characteristic may affect the length of the retention period as historical records are usually maintained for the life of the Sanitation District. Confidential Records contain confidential, sensitive, or proprietary information that would be harmful to an employee or would harm the District's business if assessed by unauthorized individuals. C Confidential Confidential Records may be confidential throughout their useful life, or only during a portion of their useful life. Identifying records as "confidential records" ensures that they are handled in a manner that protects them from unauthorized access. This characteristic does not affect the length of the retention period. Records Retention 5 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 2.0 RECORDS CLASSIFICATION 2.1 Records are classified into Records Series to facilitate assignment of retention times, legal citations, and the overall maintenance of Sanitation District records. 2.2 Classifications contain like records grouped together based on similar business function, usage, and retention time. 3.0 RECORDS RETENTION SCHEDULE MAINTENANCE 3.1 The Record Retention Schedule is a list of Sanitation District records organized by record series to which are assigned retention periods and other attributes. 3.2 A record series is comprised of similar or related record titles that have a similar business function (purpose), are normally used and filed as a unit, and are retained for a similar time period. 3.3 Following the retention standards of the schedule ensures that the Sanitation District maintains appropriate records of Sanitation District transactions and meets its legal obligations cost effectively, by storing records as long as is operationally and legally required. The RRS shall be reviewed, evaluated, and updated periodically by Clerk of the Board, Records Management Specialist, OCSD Management, and General Counsel (RRS Review Team). 3.4 The retention periods assigned to each record series shall be maintained and updated as needed, to meet changing business, legal, and regulatory requirements. Responsibility Action Records Management Coordinate the periodic update of the Record Specialist Retention Schedule and Record Series Definitions. Provide training on RRS use and maintenance. Records Retention 6 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors Division 0 Periodically (but not less than annually) review Records Coordinator the RRS associated with records in the Division. • Match the RRS against records stored in the office, shop, field, and other storage locations. • Mark for deletion any records that are no longer maintained by the Division. • Note any new records that are not represented. Include a description of the record, the business function, the operating record retention requirements, and special records characteristics (vital, historical, or confidential). • Using a Record Retention Schedule Change Form (Exhibit A), identify any updates or changes requested and forward to the Records Management Specialist for presentation to the Record Retention Schedule Review Committee. Records Review the Record Retention Schedule Change Management Specialist Form completed by the Division Records Coordinators. Determine in which records series the record titles logically belong. • Create a new Record Series if the record title does not logically belong to an existing series. In cooperation with the requesting Division, develop a definition for the Records Series. • Assign to the new Record Series the applicable characteristics (if any): vital, historical, or confidential, as indicated by the Division Records Coordinator. Records Retention 7 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors • Determine legal retention requirements by reviewing pertinent legal citations. • Provide direction to the Division Records Coordinators for proper management of historical, vital, and confidential records. 4.0 RECORD RETENTION SCHEDULE CHANGES 4.1 The Division Records Coordinator may request a change to the RRS at any time. 4.2 Examples of changes that may initiate a change to the RRS include: • Change in the assigned Office of Record due to reorganization. • Change in the characteristics associated with the records: vital, historical, or confidential. • Change in the retention event associated with the records, for example: closed, complete, expired, or superseded. • Change in the legal and administrative requirements. • New record types that are generated or used in performing business functions. • Change in the definition of the record series that applies to Division records. Responsibility Action Division 0 Complete Record Retention Schedule Change Request Form Records (Exhibit A). Use one form for each records series to be Coordinator amended. For a change to the legal retention period, provide Records Retention 8 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors Responsibility Action the text of the applicable statue or regulation. • Secure the Division Manager's approval. • Forward the approved Record Retention Schedule Change Request Form to Records Management. Records 0 Review the completed and Division-approved Record Management Retention Schedule Change Request Form and ensure that Specialist required information is provided. • For a change to the legal retention period of an existing record series, ensure that the legal retention requirements of the record series are met and secure the approval of Legal Counsel. • If management does not agree with the change request, return the change request to the Division Records Coordinator with an explanation. • For a change to add a new Record Series, ensure that an appropriate definition of the Record Series is provided, that the retention periods are identified, and that an applicable legal citation is identified, if applicable. • For a change to the official or duplicate retention periods, ensure that the change is in accordance with the District's RMP policies and applicable legal requirements. • Update the RRS and prepare a revised RRS for approval by the RRS Review Team at their next meeting. • When approved by the RRS Review Team, annually send a copy of the newly revised RRS for review and concurrence by Records Retention 9 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors Responsibility Action the Administrative Committee and Board of Directors. • Periodically review the text of the statutes and regulations governing recordkeeping requirements of the District and update the RRS as required. • Update the Program database and intranet site as required. • Distribute the updated Record Retention Schedule (RRS). 5.0 RECORDS PURGE 5.1 Eliminate records from active files and facilitate their timely destruction after all legal and business requirements have been met. 5.2 Only records that are useful in current business activities are retained, enabling timely retrieval of frequently used records. 5.3 Records with research or historical value are preserved in a controlled environment. 5.4 Records stored offsite are reviewed semi-annually and a list of retention expired records prepared by the Records Management Specialist for each Division. Records Retention 10 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors Responsibility Action Records Issue a report of records stored offsite that are eligible for Management destruction to all Division Records Coordinators with the Specialist following information specific to each Division: • Records Series & Definitions • Retention Period Division Review the report received from the Records Records Coordinator Management Specialist. • Match the active (in office) files with the record definitions listed in the report and the Records Series assigned to it. • If there are records identified that have met their established retention periods, these are now considered obsolete records. Follow the instructions described in Procedures 5.0 for disposition of obsolete records. • If there are records identified that have not met their retention period but are no longer required to be maintained in the immediate office area, complete Disposition form for transfer to the offsite storage facility. • Records may be transferred to offsite storage at any time during their mandated retention period. Determining when, if ever, to transfer records, is based on the amount of storage area in the office or work area, and the type and frequency of access required. 6.0 INACTIVE RECORDS TRANSFER AND STORAGE 6.1 Inactive records are those records that have not met their required retention periods but are no longer current or frequently referenced. Records Retention 11 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 6.2 Inactive files management standards are established by the District to ensure that District records remain accessible and protected throughout the duration of their required retention periods. 6.3 Active files are periodically reviewed to identify those records that are inactive. 6.4 Inactive records that are identified during the review are purged from active file areas and processed for offsite storage. 6.4 Systematic control of inactive records consists of: • Properly packing the records in records storage boxes obtained from the warehouse, that are properly labeled • Preparing an index of the contents of the box using a Disposition Form. • Contacting the Records Management Specialist for a barcode. • Follow the guidelines below when packing the records: • Each box shall only contain official inactive records. Non- records and duplicate records should not be transferred to offsite storage. They are destroyed in the active office area as appropriate. Do not pack different record series in the same box. Record series packed together should have the same destruction date. Schedule the pick-up and transfer of the box(s) to the offsite storage by contacting the Records Management Specialist. Records Retention 12 Adopted TBD Procedure Number: 4.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS RETENTION Approved by: OCSD Board of Directors 7.0 PURGING TRANSITORY RECORDS 7.1 Transitory records can be purged from file storage equipment and destroyed as soon as their usefulness in the performance of business functions are met. 7.2 Do not send transitory records to offsite storage. 8.0 RETRIEVING BOXES FROM OFFSITE STORAGE 8.1 Inactive records may be retrieved from the offsite storage center at any time by contacting Records Management. 8.2 Records may be retrieved only by staff from the Division designated as "owner" of the records. 8.3 In the event that staff from a Division other than the owner, requires access to the records, the retrieval request shall be approved by the Records Management Specialist and the Division that owns the records. 8.4 Boxes retrieved from the offsite storage center shall be returned to the center with the same records and in the same order as when they were received. 8.5 Records should not be removed, nor should additional records be added. 8.6 If the box contents must be altered, complete a new Disposition Form, and contact the Records Management Specialist. Records Retention 13 Adopted TBD Procedure 4.0. 1 Records Retention Schedule Change Form Exhibit A OCSD Record Retention Schedule Change Request Form Date: Submitted by: Division#&Name: Approved by: Manager Check One: Approved by: ❑ Add ❑ Change ❑ Delete Dept Head Record Series Number: Name: Definition: Official Retention: Office of Record: Format: Confidential: Vital: Historical: REASON FOR ADDITION OR CHANGE: ------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------ ACTION TAKEN: Date of Action: Approved: New Record Series Number and Name: New Definition: New Official Retention: New Office of Record: Modified Approval: Explain Change: Denied: Reason for Denial: Record Retention Review Committee: Added to RRS: (Date) Clerk of the Board: Records Management: Board Approval: (Date) AGM: Risk Management: Legal: Form Revised 05-12-2020 Procedure 4.0.2 Records Retention Schedule Exhibit B Procedure 4.0.3 Records Retention Schedule Definitions Exhibit C PLACEHOLDER Procedure Number: 5.0 4JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV P� SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors 1.0 INTRODUCTION 1.1 Records disposition is specific set of actions taken with regard to inactive records as determined through records appraisal. 1.2 Records disposition includes determining whether Sanitation District records are eligible for destruction (records have been determined to be retention expired) or for long-term preservation (records have been determined to be historical records). 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for dispositioning retention expired and historical Sanitation District records in an organized and efficient manner. 2.2 This procedure ensures that appropriate review and approval are completed prior to destruction or long-term storage of Sanitation District records. 2.3 This procedure ensures that records that have been designated retention expired but that are subject to legal or audit holds, are maintained until resolution of the legal matter or conclusion of the audit. 3.0 PROCEDURES 3.1 Records are periodically reviewed in order to identify those records that have met the required retention periods established in the Records Retention Schedule (RRS). 3.2 The review activity usually groups records into three disposition groups: 3.2.1 Retention Expired Records: Records that have met the required retention are considered obsolete and are processed for destruction. Records Disposition &Confidentiality 1 Adopted TBD Procedure Number: 5.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors 3.2.2 Inactive Records: Records that have not met their retention periods but are no longer required to be in the immediate office area, are considered inactive and are processed for offsite storage. See Procedure 4.0. 3.2.3 Historical Records: Records that have met their business function retention requirements, but have historical or intrinsic value, are considered historical records, and are processed for long-term storage. See Procedure 7.0. 4.0 PROCESSING OFFICIAL DISTRICT RECORDS FOR DESTRUCTION 4.1 Destruction of the official version of District records requires the approval of the following: • Records Coordinator • Division Manager • Records Management Specialist • Legal Counsel 4.2 Procedures to process retention expired records for destruction are included in the following chart: Responsibility Action Records Management • Semi-annually, at the start of the calendar year and the fiscal Specialist year, issue a call to all Records Coordinators requesting a review and purge of their active records Division Records . Review existing records currently maintained in the office area Coordinators or stored offsite. Check the definitions for the Records Series listed in the RRS. Calculate destruction dates using the example in the chart below. Cross-reference records with any Requests for Record Hold on file. Records Disposition & Confidentiality 2 Adopted TBD Procedure Number: 5.0 4JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV P� SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors Responsibility Action • Purge the files in accordance with Procedure 4.0. Do not purge any documents subject to a Record Hold. • If there are records identified that have met the required retention periods, and are not subject to a Record Hold, complete a Request for Authorization to Destroy Records (Exhibit A). Note: If the volume of records to be destroyed requires a multi-page listing, use Request for Authorization to Destroy Records as an approval coversheet and attach the listing to the coversheet. Approval signatures are required only on the coversheet. • Secure the approval of the Division Manager. Division Manager Review the completed forms and authorize approval to destroy District records by signing the forms. • If you do not approve, state the reason, and return the forms to Division Records Coordinator. Division Records If the request for destruction has been authorized by Division Coordinator management, return the approved Request for Authorization to Destroy Records to Records Management for further processing. • If the request for destruction has not been approved, contact the Records Management Specialist. Reasons for postponing scheduled destruction may include ongoing or pending audits, investigations, or litigation. Records Management Review the approved forms and determine if these records Specialist have historical value or are subject to an existing Record Hold. Records Disposition &Confidentiality 3 Adopted TBD Procedure Number: 5.0 4JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV P� SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors Responsibility Action • If there are records identified that contain historical value to the District, process the records as detailed in RMP Procedure 7.0, Historical Records Program. • If there are no historical records identified, and none of the records are subject to an existing Record Hold, sign the forms approving destruction. • Provide to Legal Counsel for review and approval. Legal Counsel . Determine whether to approve or disapprove the request for destruction of records. • If approved, sign and return the form to the Records Management Specialist. • If not approved due to=a Legal Hold: • State the reason for the Legal Hold (pending audit, investigation, or litigation) • Provide an estimated length of time to hold the records • Complete "Request for Record Hold" portion of Record Hold and Release Form. • Return the completed forms, along with any special instructions, to the Records Management Specialist. Records Management • If approved, send a signed copy of the approved forms to the Specialist Division Records Coordinator. • If the request for destruction of records is disapproved: • Advise the Division of the decision. • Resolve any problems. Division Records If approved, proceed with destruction procedures. Coordinator Records Disposition &Confidentiality 4 Adopted TBD Procedure Number: 5.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors Responsibility Action • If not approved due to Legal Hold, maintain records until notification of the release of the records from Legal Hold is received. • If not approved due to Historical Records designation, box records and transfer to the Records Management Specialist. Records Management • Coordinate destruction of records. If the records are Specialist confidential, arrange for destruction that will protect the confidentiality of the information. • After destruction, ensure that a Certificate of Destruction is properly completed and signed. • Maintain the Certificate of Destruction in the appropriate files. • Update the RMP database if applicable. 5.0 PROCESSING DUPLICATE RECORDS FOR DESTRUCTION 5.1 Duplicate records are the record series maintained by Divisions that are not identified as the Office of Record in the RRS. 5.2 Retention periods of duplicate files are identified in the RRS. These are the maximum retention periods allowed for the duplicate records. 5.3 Duplicate records may be destroyed at any time during and up to the end of the assigned duplicate retention time. 5.4 Duplicate records should not be transferred or stored offsite. They are destroyed when the retention requirements of these records are met as established in the RRS. 5.5 Duplicate records are destroyed in the office or work area. Records Disposition & Confidentiality 5 Adopted TBD Procedure Number: 5.0 4JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV P� SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors 5.6 No formal destruction authorization is required to destroy duplicate records. 5.7 If the records contain confidential information, they should be shredded to protect the confidentiality of the information. If the records are not confidential, they may be recycled or discarded. 6.0 PRESERVATION, PROTECTION AND DESTRUCTION OF CONFIDENTIAL RECORDS 6.1 Confidential records are those records containing information that is proprietary or sensitive, and to which access must be restricted. This includes recorded information about an identifiable individual including: • The individual's name, home, or business address or home or business telephone • The individual's race, national or ethnic origin, color or religious or political beliefs or associations • The individual's age, sex, marital status, or family status • An identifying number or symbol assigned to the individual • The individual's fingerprints, other biometric information, blood type, or genetic information • Information about the individual's health and health care history, including information about a physical or mental disability • Information about the individual's educational, financial, employment or criminal history, including criminal records where a pardon has been given Records Disposition &Confidentiality 6 Adopted TBD Procedure Number: 5.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: RECORDS DISPOSITION AND Approved by: CONFIDENTIALITY OCSD Board of Directors 6.2 Confidential information must be protected and preserved to avoid unauthorized disclosure that could be harmful to a person, to the Sanitation District, or to a Sanitation District business process. 6.3 Confidential records shall be managed, controlled, and disposed of separately from records containing non-confidential information. All confidential records disposed of by the District must be shredded. 6.4 The Office of Record for records designated as confidential shall destroy the official copy of confidential records following the approved destruction procedures. The Records Disposition Form (Exhibit B) should be clearly marked as confidential records. Any duplicate copies of records designated as confidential will also be shredded, when these records are no longer needed, to ensure their confidentiality. 6.5 Confidentiality of information shall be protected until it is destroyed or until the Sanitation District has changed the status of the confidentiality of information. It is suggested that: • Active confidential records should be maintained in Red folders. • Confidential records should be distributed in sealed Red Envelopes or those that specify confidential material. • Confidential records sent to offsite storage must be in securely taped boxes, or safes, and designated as confidential on the Records Disposition Form. Red Confidential labels should be placed on the outside of the box. • The Disposition Form should also indicate who is allowed to retrieve and review the confidential boxes. Escrow records usually require that both parties to the escrow are present when the material is reviewed. Both parties must also sign off on the destruction notice. Records Disposition & Confidentiality 7 Adopted TBD Request for Authorization to Destroy Records Instructions 1. Identify records that are eligible for destruction. ,M 2. Fill in the fields below and be as descriptive as possible in the Record Description field(add rows as necessary). 3. Print Request for Authorization to Destroy Records&attach Disposition Form detailing records for destruction. 4. If not the submitter,obtain the Records Coordinator's signature.Also obtain the Department/Division Manager's signature.Submit original to Records Management. 5. Records Management will obtain Legal Counsel's approval&finalize request for destruction. Records Coordinators will receive a copy for reference. Please contact Tina Knapp at ext. 7190 for questions/assistance or you may send an email to RecordsManagement@OCSD.com. Division From To Retention Retention Number Dept.of Record Record Type Record Description Year Year GRM Barcode Length No. Attach Disposition Form further detailing records for destruction. Total Boxes: 1 Complete this section for authorization to destroy records I certify that these OFFICIAL RECORDS AND COPIES are past the retention period specified by OCSD's Records Retention Schedule and that all audit, business, and administrative requirements have been satisfied. Further,I certify that no HOLD has been placed on these OFFICIAL RECORDS AND COPIES due to any litigation,claim, negotiation,audit,or public records request and all legal,business, and administrative requirements have been satisfied.I certify that all information on this form is accurate and true to my knowledge by providing my signature. Required Approval Submitter's Name&Signature: Name(Print) Signature Date Records Coordinator Name& Signature: Name(Print) Signature Date Department/Division Manager Name &Signature: Name(Print) Signature Date Legal Counsel Name&Signature: Name(Print) Signature Date Records Management Name& Signature: Name(Print) Signature Date Form Created 01/22/2020 2019 Records Management Disposition Form Board Services These Fields Are For Reference Only Auto-population is Based on Record Type,"To Year"and Trigger Please send completed form to: recordsmanagement@ocsd.com Date *SAVE FORM TO YOUR COMPUTER BEFORE ENTERING DATA *Document prints on legal size paper Required Fields If Applicable I Retention Information Trigger Date User Box Division Record Type Record Description From Year To Year (If Applicable) Number Submitted By Disposition Historical Confidential Retention Retention Eligible for Media Format (Select the Applicable Category (Project Number,Name,Specific Date Ranges,Specific Record Type, (xxxx-Do Not (xxxx-Do Not Year Terminated, Date Submitted (Select From List (Select GRM Barcode Length Destruction From the List Any Details to Aid in Clear identification f ication ofRecords Leave Blank Leave Blank Superseded,Expired, 2 of 2,,etc.) Below) Yes/No) (Years)(Select Ves/NoJ Number (January 1) Closed,etc. 1 Procedure Number: 6.0 "`4 SAN„ Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL 9° rFC'Y° THE SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 Vital records are those documents that contain information that enables the Orange County Sanitation District (Sanitation District) to continue vital and critical operations in the event of a major interruption to business. 1.2 Such interruptions could be natural disasters (for example, earthquake, pandemic, sudden and severe energy shortage, or flood) or man-made disasters (for example, accidental fire, cyberterrorism, arson, or civil unrest) which result in the loss of the normal means of access to vital records. 1.3 In most organizations, vital records comprise between two and five percent of the total record volume. During the initial records inventory, vital records titles were identified and assigned to Records Series. Vital records are identified with a "V" on the Record Retention Schedule. 2.0 PURPOSE 2.1 The purpose of the vital records management is to ensure that vital records are identified, protected, and accessible during or shortly following a disaster or major interruption to business. 3.0 SCOPE 3.1 Vital records are either irreplaceable or very difficult to replace. 3.2 Absence of vital records, or the inability to locate or translate vital records (in the case of machine-readable or digital records) means that the Sanitation District could not provide critical services to the public and its employees during a disaster or shortly thereafter. Vital Records 1 Adopted TBD Procedure Number: 6.0 "`4 SAN„ Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL 9° rFC'Y° THE SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors 3.3 Vital records are maintained and protected in the format (paper, digital, Bold Planning, etc.) that is most appropriate for efficient retrieval. 3.4 Vital records include records that enable the Sanitation District to: 3.4.1 Provide required Sanitation District safety and health services during and immediately following a disaster or other major interruption to business. 3.4.2 Meet the obligations to Sanitation District employees and retirees. 3.4.3 Reconstruct legal obligations and rights. 3.4.4 Establish the financial position of the Sanitation District. 3.4.5 Reconstruct the Sanitation District's assets and ownership. 4.0 PROCEDURES Responsibility Action Clerk of the Board/ Records Develop procedures for protecting vital records, either Management by storing them onsite in fire-resistive equipment or Specialist by sending copies offsite. Identify viable onsite or remote storage sites for records protection. Coordinate vital records protection procedures with the Sanitation District's Integrated Emergency Response Plan. Develop procedures for retrieving vital records within the identified time requirements following a disaster. Vital Records 2 Adopted TBD Procedure Number: 6.0 OO�SV SAN/it Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9OtfC ��W= POLICY & PROCEDURE MANUAL O LNG /I'E Et1\P SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors Coordinate, identify, and develop agreements with vendors to provide records retrieval or recovery services required following a disaster. Work with the Risk Manager to ensure the Vital Records Management Program meets the Sanitation District needs. Risk Manager Review the vital records procedures to ensure that the Sanitation District interests are protected and to ensure minimum exposure to risk in the event of a disaster. Division Records Identify vital records based on an evaluation of Coordinator division business functions. Comply with procedures that protect vital records. Determine the frequency with which vital records must be stored both onsite and offsite. Routinely copy and forward vital records to onsite or offsite protective storage facilities. 5.0 VITAL RECORDS CATEGORIES 5.1 The following is a list of the record categories that are usually considered vital. The Records Series containing vital records are identified as such on the Records Retention Schedule. Financial Accounts Receivable Fixed Asset Inventories General Ledger Loan Payments Registers Proving Payment Statements Stock Certificates Tax Returns Vital Records 3 Adopted TBD Procedure Number: 6.0 OO�SV SAN/it Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9OtfC ��W= POLICY & PROCEDURE MANUAL O LNG /I'E Et1\P SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors Negotiable Benefits Instruments Bonds Checks Claims Notes Payroll Retiree Benefits Ownership Capital Investments Deeds District Charter or Formation Records Leases Titles District Board Meeting Minutes Administration Delegation of Authority Ordinances Resolutions Contracts/ Major capital improvements or construction contracts Agreements or other major agreements Insurance Policies and Endorsements Engineering Drawings Maps Specifications Computer Code Software Manuals (if created by District) Applications Software Licenses Vital Records 4 Adopted TBD Procedure Number: 6.0 "`4 SAN„ Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL 9° rFC'Y° THE SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors 6.0 VITAL RECORDS FORMAT 6.1 Select the format for protecting and maintaining vital records that ensures accessibility and usability during a disaster or emergency response: 6.1.1 Source document (original or designated official version, regardless of format). 6.1.2 Distributed copy (copy of record that is routinely distributed). 6.1.3 Reproduced copy (hard copy of record that is copied for Vital Records Program needs). 6.1.4 Scan (Scanned for Vital Records Program needs). 6.1.5 Magnetic Tape (digital version of vital record). 6.2 Select Vital Records Protection Methods 6.2.1 Select the method most appropriate to protect the vital record. 6.2.2 Verify existing dispersal of record, ensure that vital records are available in multiple, geographically separate locations as part of normal business activities. 6.2.3 Improve dispersal by initiating distribution of copies of vital records to a secure location at the time of document creation. 6.2.4 Duplicate records by reproducing copies of vital records in a medium appropriate to efficient storage and use and send to a secure location. Vital Records 5 Adopted TBD Procedure Number: 6.0 OO�SV SAN/it Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: 7/28/2010 9OtfC ��W= POLICY & PROCEDURE MANUAL O LNG /I'E Et1\P SUBJECT: VITAL RECORDS Approved by: OCSD Board of Directors 6.2.5 Move vital records from active use areas when no longer needed for active reference and send to a secure location. 6.2.6 Store vital records onsite in a secure location, such as the vault, that meets NFPA standards for fire-resistance. 6.3 Select Vital Records Update Frequency 6.3.1 Determine how often it is necessary to update vital records to ensure that the information is current. Vital Records 6 Adopted TBD �V SANI Tq Orange County Sanitation District Procedure Number: 7.0 4o N Ti N RECORDS MANAGEMENT Effective Date: TBD p POLICY & PROCEDURE MANUAL Supersedes: 7/28/2020 9or�cJ/�s iNE EHVP�a��i SUBJECT: HISTORICAL RECORDS Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 It is the policy of the Orange County Sanitation District (Sanitation District) to identify and preserve records that have historical significance for the Sanitation District. 2.0 PURPOSE 2.1 The purpose is to ensure that all Sanitation District records are reviewed for historical value prior to destruction through the application of well-accepted appraisal criteria. 2.2 Historical records are processed according to standard archival practice to ensure their preservation. 3.0 RESPONSIBILITY 3.1 The identification and review of Historical Records is administered under the authority of the Sanitation District's Records Management Program. 3.2 Both the Office of Record and the District's Records Management Specialist have a direct role in the implementation of identifying Historical Records. 4.0 OBJECTIVES 4.1 The objectives are: 4.1.1 Identify Sanitation District records of historical value. 4.1.2 Process Sanitation District records of historical value in a manner that will ensure that they are properly preserved. 4.1.3 Prepare a finding guide to the Sanitation District's historical records to facilitate access to the records by Sanitation District staff and outside researchers. Historical Records 1 Adopted TBD �V SANI Tq Orange County Sanitation District Procedure Number: 7.0 4o N Ti N RECORDS MANAGEMENT Effective Date: TBD p POLICY & PROCEDURE MANUAL Supersedes: 7/28/2020 9or�cJ/s iNE EHVPa��i SUBJECT: HISTORICAL RECORDS Approved by: OCSD Board of Directors 4.1.4 Promote the use of the Sanitation District's historical records in such areas as agency planning, management, development, public relations, and litigation support. 5.0 SCOPE 5.1 The scope includes the identification of records designated as historical on the retention schedule, the application of standard appraisal criteria at the end of the official retention period, and the processing and arrangement of historical records. 5.1.1 Processing and arrangement for paper records include: 5.1.1.1 Removal of hardware (staples, brads, and other fasteners) 5.1.1.2 Placing documents in acid free folders and boxes that meet the standards for archival preservation. 5.1.1.3 Preparation of inventories and finding guides to the historical records. 6.0 PROCEDURE 6.1 The policy applies to all Sanitation District and contract staff who create, receive, or maintain Sanitation District records. Historical Records 2 Adopted TBD Procedure Number: 8.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 aW2 PROCEDURE MANUAL r�cT/�B THE EN�P@ SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: AUDIT AND COMPLIANCE REVIEW OCSD Board of Directors 1.0 INTRODUCTION 1.1 The Records Management Program Compliance Audit reviews and monitors compliance with the Orange County Sanitation District's (Sanitation District) Records Management Program. 1.2 Periodically, the Records Management Specialist conducts a compliance audit with several Divisions. 1.3 All Divisions should complete the audit process every two years. 2.0 PURPOSE 2.1 The purpose of the Records Management Program Compliance Audit is to ensure that all Sanitation District records are created, received, maintained, and disposed of in accordance with the Board of Directors approved Records Management Policy and Procedure. 3.0 PROGRAM PROCEDURES Responsibility Action Records Review how Division records are kept, where they are located, in Management what format (hardcopy or electronic), and security (who has Specialist access). Compare records eligible to be destroyed with those actually destroyed by the Division. Note any records series destroyed prematurely or that have been retained beyond the approved destruction date. Review with staff, their knowledge and understanding of the Sanitation District Records Management Program, particularly the Records Retention Schedule and Records Disposition Policy. Write a summary report of findings with recommended corrective action, if necessary, such as additional training or revisions to Audit & Compliance Review 1 Adopted TBD Procedure Number: 8.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/28/2010 aW2 PROCEDURE MANUAL r�cT/�B THE ENP@ SUBJECT: RECORDS MANAGEMENT PROGRAM Approved by: AUDIT AND COMPLIANCE REVIEW OCSD Board of Directors existing documentation. Submit the report to the Division Manager and Department Head. Division Assist Records Management Specialist in conducting the records Records compliance review in the designated Divisions. Coordinator Respond to the summary audit report findings by identifying which corrective actions are planned or have been completed. Inform Records Management of changes within the Division and business practices that potentially may have an effect on the Records Management Program. Audit & Compliance Review 2 Adopted TBD Procedure Number: 9.0 oJNt4 SANI7groN Orange County Sanitation District s Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL FN6 THE ENPO� SUBJECT: RECORD HOLD AND RELEASE Approved by: OCSD Board of Directors 1.0 INTRODUCTION 1.1 At any time during the life of a record or record series, there may be circumstances that require the "holding" or suspension of destruction of certain record series or types of records from being disposed of due to reasons specified by the legal counsel, auditors, or department managers. 1.2 Destruction suspension is a hold placed on the scheduled destruction of records that may be relevant to foreseeable or pending litigation, governmental investigation, audit, special organizational requirements, or other business needs not contemplated when the records were originally scheduled for disposal. 1.21 The five types of holds are: A. RIM Hold — used when there is cause for Records Management to research records for inconsistent, missing or incorrect information B. Legal/Regulatory Hold - Financial Audits and Anticipated or Pending Litigation C. Department Hold — Request from a department with justification D. Historical Hold — Preservation with justification E. Retention Schedule Change Hold — used when a change, addition, or deletion is required until the time the RRS can be changed 1.3 Depending upon the circumstances, a "Record Hold" may require the retention of all documents of a certain kind, whether they are hard copy records, electronic records, or non-records, as defined in Procedure 4.0. Record Hold and Release 1 Adopted TBD Procedure Number: 9.0 oJNt4 SANI7groN Orange County Sanitation District s Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL FN6 THE ENPO� SUBJECT: RECORD HOLD AND RELEASE Approved by: OCSD Board of Directors 1.4 Once a "Record Hold" has been placed on particular records or record series, the records will not be disposed of until a "Record Release" has been issued by a Record Hold Requestor. 2.0 PURPOSE 2.1 The purpose of this procedure is to describe the procedures for suspending destruction or placing a hold on the destruction of records that may be relevant to foreseeable or pending litigation, governmental investigations, audits, or other special Sanitation District requirements, and for releasing the hold when it is no longer necessary. 2.2 This procedure requires that the Clerk of the Board, Records Management Specialist, and Division Records Coordinators be notified when holds on the destruction of certain records are necessary. 2.3 This procedure ensures that records subject to holds for any purpose, are maintained until resolution or conclusion of the matter. 3.0 SCOPE 3.1 This Procedure documents the process of suspending destruction or placing a hold on the destruction of records. 3.2 This Procedure applies to any record, non-record, or transitory record, in any format, at any time during the life of the record or transitory record. Record Hold and Release 2 Adopted TBD Procedure Number: 9.0 oJNt4 SANI7groN Orange County Sanitation District s Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL FN6 THE ENPO� SUBJECT: RECORD HOLD AND RELEASE Approved by: OCSD Board of Directors 4.0 PROCEDURES FOR REQUESTING RECORDS DESTRUCTION HOLD Responsibility Action Legal Counsel Upon becoming aware of the need for the suspension of Division Managers destruction of certain Sanitation District records that may be relevant to foreseeable or pending litigation, governmental investigations, audits, other special District requirements, or other business reasons, notify the Clerk of the Board. Clerk of the Review all documentation submitted by Record Hold Board/Records Requestor. Contact Record Hold Requestor to clarify Management Specialist scope of requested Hold if necessary. • Upload all information to GovQA Legal Holds to reflect the Hold and the Estimated Date of Release. • Route Legal Hold to EMT, IT, Manager, and Records Coordinators in all affected Divisions along with any specific instructions. Division Records . Review and file all Record Hold & Release Forms Coordinators forwarded by GovQA portal. • Prior to purging files in accordance with Procedure 4.0 or completing a Request for Authorization to Destroy Records, cross-reference records identified to be purged or destroyed against Record Hold Requests on file. Identify documents subject to a Record Hold. Do not purge or request destruction of any documents subject to a Record Hold. • The EDMS Administrator (IT) will place a Legal Hold on relevant records in the EDMS System. Record Hold and Release 3 Adopted TBD Procedure Number: 9.0 oJNt4 SANITgrON Orange County Sanitation District s Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL FN6 THE ENPO� SUBJECT: RECORD HOLD AND RELEASE Approved by: OCSD Board of Directors 5.0 PROCEDURES FOR REQUESTING RELEASE OF RECORDS DESTRUCTION HOLD Responsibility Action Clerk of the . Periodically review Record Hold & Release GovQA portal Board/Records and identify Estimated Dates of Release for previously Management Specialist placed Records Destruction Holds. • If the Estimated Date of Release on a Record Hold has passed, contact the Record Hold Requestor to inquire whether release of the Hold is appropriate. If the Record Hold Requestor indicates that release of the Hold is appropriate, route a Release Form through GovQA to the Record Hold Requestor and request completion. If the Record Hold Requestor indicates that release of the Hold is not yet appropriate, obtain and note the new Estimated Date of Release. Legal Counsel and Upon determining that a Hold on the destruction of certain Division Managers District records is no longer needed, the originator of the Record Hold shall notify the Clerk of the Board and route an "Authorization for Release" through the GovQA portal with any specific instructions. Records Management Review Authorization for Release and update GovQA. Specialist Route release to Records Coordinators in all affected Divisions, along with any specific instructions. Record Hold and Release 4 Adopted TBD Procedure Number: 9.0 oJNt4 SANITgrON Orange County Sanitation District s Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/28/2010 POLICY & PROCEDURE MANUAL FN6 THE ENPO� SUBJECT: RECORD HOLD AND RELEASE Approved by: OCSD Board of Directors Responsibility Action Division Records • Review Authorization for Release forwarded by the Coordinators Records Management Specialist. • Identify documents within scope of Authorization for Release and remove any notation of prior Hold. Any transitory records or records falling within the scope of the Authorization for Release may be purged or destroyed in accordance with Procedures 4.0 and 5.0, respectively. • The EDMS Administrator will manually release the Administrative Hold in the EDMS System. Record Hold and Release 5 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC 1.0 STATEMENT OF POLICY AND LAW The California Public Records Act (Government Code §6250 et seq.) (the "CPRA" or "Act") declares that access to information concerning the conduct of the people's business is a fundamental and necessary right of every person. In furtherance of that policy, the Act mandates, with specified exceptions, that public records are open to inspection at all times during the office hours of state and local agencies. The Act, however, recognizes a number of specific statutory exemptions to the general rule of public disclosure. The Act also authorizes local agencies to adopt procedures for making records available and for recovering the direct costs of duplicating those records. The spirit of the Act, and the policy of the Orange County Sanitation District (Sanitation District), is to permit access to all disclosable public records in the possession of the Sanitation District, unless doing so would constitute an unwarranted invasion of personal privacy or the request calls for the production of records that are exempt from disclosure under the Act. Other records may be kept confidential on a case-by-case basis only after a Sanitation District determination that the public interest served by non-disclosure clearly outweighs the public interest served by disclosure. An example of that type of record would be preliminary drafts of agreements prepared to facilitate discussion and/or negotiations, if disclosure prior to final agreement would have an adverse effect on the negotiation process. However, such analysis will usually involve the assistance of General Counsel. In addition, California courts have also recognized that certain records need not be disclosed if disclosure would reveal the public agency's decision-making process in such a way as to discourage candid discussion within the agency, which would thereby undermine the agency's ability to perform its functions. Public Records Act 1 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC 2.0 PROCEDURE 1.1 The Clerk of the Board/Custodian of Records (PRA Team) receives and processes all Public Records requests in accordance with Government Code Section 6250 - 6270.7. California Public Records Act and Sanitation District Board approved Policy Resolution No. OCSD 18-22. The PRA Team interprets each public record request in accordance with Government Code Section 6253.1 and attempts to assist members of the public to identify the record that contains the information they request. 1.2 The Sanitation District uses the GovQA Public Records Request Management Software (GovQA) to receive, correspond, route, track, and respond to Public Records requests. 1.3 To ensure consistency with the process of records requests, if a Department/Division receives a request from the public or agency to provide public records, the Department/Division should direct the requestor to the OCSD Public Records Portal on the OCSD.com website so that the request may be routed and tracked in the GovQA portal for response. The PRA team should be notified and will be able to assist. 2.0 PROCESS 2.1 Requests are received by the Sanitation District and placed in GovQA by either the requestor or in a few cases the PRA Team; and the Sanitation District Staff users/approvers enter the portal to respond or upload documents to fulfill the request. 2.2 When a request is initially received, the PRA Team immediately responds to the requestor, via GovQA, with an email receipt of request that provides a legal explanation of the PRA process. The PRA Team determines if the request is complete or requires clarification (e.g., too broad; apparent typographical errors; etc.). If necessary, the PRA Team contacts the requestor for clarification. Public Records Act 2 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC If the PRA Team and Department Head believe that employee rights or significant interests of the Sanitation District could be compromised by the requested disclosure, the PRA team and Department Head shall discuss the request with General Counsel prior to making such disclosure. 2.3 TIMELINESS. Although Sanitation District policy encourages a quicker response, the CPRA requires that the person requesting copies of Sanitation District records be notified within ten (10) calendar days of the Sanitation District's determination as to whether the request, in whole or in part, calls for the production of disclosable, non- privileged records that are in the possession of the Sanitation District. Occasionally, where assistance of General Counsel is appropriate for example, the full ten (10) calendar days may be required in order to make the requisite determination. Under the Act, the Sanitation District may also be entitled to an additional fourteen (14) calendar days in which to make its initial determination under the following four (4) circumstances: 2.3.1. There is a need to search for and collect the requested documents from other offices, or offsite storage, separate from the office processing the request; 2.3.2. There is a need to search for, collect, and examine a voluminous amount of separate and distinct records which are demanded in a single request; or 2.3.3. There is a need to consult with another Agency or Department having a substantial interest in the determination of the request. This includes requests for Certified Payrolls from a Sanitation District Contractor or Sub-Contractor. 2.3.4. In the case of electronic records, there is a need to compile data, write programming language or a computer program, or to construct a computer report to extract data. Public Records Act 3 Adopted TBD Procedure Number: 10.0 4JN`y S A N I iq I/O Orange County Sanitation District Effective Date: TBD 2 9 RECORDS MANAGEMENT Supersedes: 7/22/2010 �r �= POLICY & PROCEDURE MANUAL F°N6 THE ENV P� SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC If the additional fourteen (14) calendar days are needed, either the General Counsel or PRA Team must notify the Requestor, in writing, of the reason or reasons for the fourteen (14) day extension and the date on which the determination is expected. If the final determination is to deny a request to inspect or copy Sanitation District records, the General Counsel or the PRA Team shall notify the Requestor, in writing, of the reasons for the denial. 2.4 PARTIAL DISCLOSURE. If portions of the requested record(s) are determined to be exempt from disclosure and those portions can be reasonably segregated from the rest of the record(s) by deletion, redaction or other means, the non-exempt portion shall be provided to the Requestor. 2.5 COST OF COPIES. Under the Act, the Sanitation District is entitled to be reimbursed by the Requestor for the direct costs of duplication. The Sanitation District has, however, made a policy determination to not charge the Requestor for the first ten (10) pages. If a Public Records Act request calls for the production of records in excess of ten (10) pages, then the Requestor shall be required to pay twenty cents per page for each additional page, which shall be reimbursement of the Sanitation District's direct costs for duplication. The reimbursement rate shall not include recovery of costs for staff time spent searching for, retrieving, reviewing, evaluating and/or handling of responsive records. At the sole discretion of the Sanitation District, the Sanitation District may require the Requestor to submit, in advance, a check based on the estimated direct duplication costs. Public Records Act 4 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC Electronic records, which can easily be transmitted to the Requestor via GovQA will not be subject to the twenty-five cents per page copying charge. At the sole discretion of the Sanitation District, and depending on the estimated number of responsive records, the Requestor or the Sanitation District may retain the professional reprographic services of a bonded copy service. The Requestor shall be required to pay for or reimburse the Sanitation District for the direct costs of duplication associated with the use of a bonded copying service. In the event the Sanitation District approves of the use of a bonded copying service, the Requestor may select and retain a bonded copying service; however, such selection shall be subject to the Sanitation District's approval. 2.6 COST OF VIDEOTAPES, AUDIOTAPES, COMPACT DISCS OR THUMB DRIVE. The charge to the Requestor for copies of videotapes, audiotapes, compact disc, DVD recordings, or thumb drives shall be at the District's actual cost of reproduction. 2.7. MEDIA CONTACTS. Employees are encouraged to refer all media contacts and media inquiries to the PAO Officer/Administration Manager. All information requests requiring production of records shall be processed in accordance with the terms of this Policy, and upon completion of the preparation of the copies, shall be delivered to the requesting media representative by the Administration Manager. Department Heads shall report any and all media contacts to the Administration Manager as soon as possible. The Administration Manager shall coordinate any action required by such contact with the Clerk and keep the appropriate Department Head, General Manager, and General Counsel informed. 2.8. FORMS. Public Records Act 5 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC GovQA generated forms and letters shall be used by Sanitation District staff for purposes of complying with this administrative policy. 2.9 ACCESS TO FILES. No member of the public and no Sanitation District employee, other than an employee of the Department processing records, shall enter GovQA or any file cabinets, record storage areas or containers that hold Sanitation District records, except when authorized by the PRA Team or Department head. When a requestor is reviewing physical files, a member of the Sanitation District staff must be present during the entire file review. This may be the Clerk or staff member of the Department that owns the records. The Requestor may not remove any records during the file review. 2.10. REMOVAL OF RECORDS. The unauthorized removal of any record of the Sanitation District is a violation of California Government Code Section 6201, and is punishable by imprisonment, or fine, or both. 2.11 LITIGATION DOCUMENTS. The charge for all copies of any Sanitation District document or record produced pursuant to a subpoena or request for production of documents issued by a Court or an authorized administrative or regulatory agency or tribunal, shall be twenty-five ($.25) cents per page to reimburse the Sanitation District for its costs of research, retrieval, examination, handling, copying, and certification of the documents. Public Records Act 6 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC In the event, due to size or volume of the responsive records, special reproduction services are required, the person making the request shall pay the actual charges incurred for either the Sanitation District's in-house copy service, or an outside copy service. For large records request, the Sanitation District shall require an advance deposit based on the estimated direct copying costs. Said deposit shall be paid by the Requestor prior to the Sanitation District commencing any work to obtain and copy the requested records. Litigation document requests shall be handled by the General Counsel and the Clerk of the Board. 3.0 ROUTINE REQUESTS 3.1 If the PRA Team determines the nature of the request to be routine (e.g., Site Assessments, stale check data requests, contract documents etc.), the team will then determine which Department should receive the request and route it accordingly via GovQA. The following types of requests route directly to the staff liaison that has been pre-designated by the Manager or Department head: A. Contracts and Purchasing If a request is made to either division, the entire division including the Supervisor and Manager are notified. The request is fulfilled, and the Supervisor or Manager approves prior to release. This prevents delays in turn around due to absenteeism. Routine requests include RFP/RFQ bidder information; cumulative purchase order lists; and contract compliance. B. Environmental Services requests for Site Assessment data are routed to a designated staff member in Environmental Services and is only escalated to a Supervisor or Manager when there is an underlying issue with the property or a permittee. Public Records Act 7 Adopted TBD Procedure Number: 10.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 7/22/2010 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC C. Finance Department routine requests for stale check data and Sewer Service Fees/Rebate requests automatically route to a designated staff member as determined by the Assistant General Manager/Director of Finance and Administrative Services. D. Planning/Engineering requests for Sewer connection/lateral maps and requests for Certified Payroll route to a designated staff member as determined by Assistant General Manager/Director of Operations and Maintenance. E. Human Resources requests are sent to a designated staff member as determined by the Human Resources Manager. 4.0 NON-ROUTINE REQUESTS: 4.1 Non-routine requests consist of a variety of things. Examples of these are: All emails/correspondence for a certain staff member, which requires IT assistance for E-Discovery, requests from law offices, or any request that the Clerk of the Board believes or determines is related to anticipated or current litigation. 4.2 Non-routine requests are sent to the affected Manager, Executive Management and/or General Counsel before beginning the process. Each department will assist with the process for research and retrieval and approval of what is released to the public. 5.0 COMPLETION 5.1 Once a request has been completed by the affected department/division, the request routes back to the PRA Team for final review before release. The review consists of checks for accuracy, confidentiality, or personal information, and redaction prior to its release. 5.2 The Clerk of the Board will provide a weekly summary containing the number of PRA's received and processed with assigned Public Records Act 8 Adopted TBD Procedure Number: 10.0 Orange County Sanitation District / Effective Date: TBD I , RECORDS MANAGEMENT Supersedes: 7/22/2010 POLICY & PROCEDURE MANUAL SUBJECT: PUBLIC RECORDS ACT - Approved by: RELEASE OF RECORDS TO THE OCSD Board of Directors PUBLIC department detail to the Administration Manager and/or General Manager. Public Records Act 9 Adopted TBD Procedure Number: 11.0 oJ�,1 SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors 1.0 INTRODUCTION 1.1 The Electronic Communications Policy of the Records Management Program controls the maintenance and storage of Orange County Sanitation District (Sanitation District) electronic mail records, text messages, instant messages, voicemail, and social media. Following the retention procedures ensures compliance with pertinent statutory, regulatory, operating, and administrative recordkeeping requirements. In addition, it ensures that records needed to conduct Sanitation District business are protected and accessible. The Records Retention Schedule (RRS) is the foundation of the Program and defines the periods required to maintain Sanitation District records, including all electronic communications. See Records Management Policy No. 4.0 for Records Classification. 2.0 PURPOSE 2.1 POLICY OBJECTIVES: 2.1 .1 Provide clear and concise direction regarding use and retention of the Sanitation District's electronic communications systems, including electronic mail (email), text messaging, instant messages, and voicemail. 2.1 .2 Comply with all applicable State and Federal laws and Sanitation District Personnel Policy 5.10 related to the use of email and all other forms of electronic communication. 2.1 .3 Address the California Supreme Court's 2017 decision in City of San Jose v. Superior Court of Santa Clara County, holding that a Public Agency employee's communications related to the conduct of public business are subject to the California Public Records Act, even if they were sent or received using a personal account or personal device. 3.0 SCOPE/BACKGROUND 3.1 This policy applies to all persons (including employees, appointed officials, interns, and contractors) who are permitted to use the Sanitation District's Electronic Communications Policy 1 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors computing or network resources, particularly the email functions of the system ("Authorized Users"). "Email" means any electronic communication to or from any Authorized Users using the Email System, including all information, data, and attachments to the electronic communication. "Email System" means the system of devices (including hardware, software, and other equipment) owned and controlled by the Sanitation District or the Authorized User for the purpose of facilitating the electronic transmission. "Electronic Communications" includes any and all electronic transmission, and every other means of recording upon any tangible thing in any form of communication or representation, including letters, words, pictures, sounds, symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored. Without limiting the nature of the foregoing, electronic communications include email, texts, instant messages, voicemails, and include communications on or within applications (apps) such as Facebook Messenger, Twitter, Microsoft Teams, etc. 4.0 POLICY 4.1 ROLES AND RESPONSIBILITIES 4.1 .1 The Board Services and Information Technology (IT) divisions are responsible for administering this policy and procedure. 4.1 .2 The Sanitation District Clerk of the Board and/or the Records Management Specialist or Designee (Clerk), with the advice of General Counsel, will monitor compliance and make the final determination of official records of the Sanitation District. 4.1 .3 All Authorized Users are responsible for compliance with this policy and procedure. 4.2 DEFINITION OF "OFFICIAL SANITATION DISTRICT RECORD": Under this Policy, the definition of"Official Sanitation District Record" is the same as the definition provided in the California Public Records Act (Cal. Gov. Code§ 6250 et seq.) (Public Records Act) for "public records" and "writing": Electronic Communications Policy 2 Adopted TBD Procedure Number: 11.0 oJ�,1 SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors "... `Public records" include any writing containing information relating to the conduct of the public's business prepared, owned, used, or retained by any state or local agency regardless of physical form or characteristics ..." ... 'Writing' means any handwriting, typewriting, printing, photostating, photographing, photocopying, transmitting by electronic mail or facsimile, and every other means of recording upon any tangible thing any form of communication or representation, including letters, words, pictures, sounds, or symbols, or combinations thereof, and any record thereby created, regardless of the manner in which the record has been stored." 4.3 ELECTRONIC COMMUNICATION RELATED TO SANITATION DISTRICT BUSINESS IS AN OFFICIAL SANITATION DISTRICT RECORD 4.3.1 Email and other forms of electronic communication, such as voicemail, texts, instant messaging and social media posts, generate correspondence and other types of records that can be recognized as Official Sanitation District Records and may be subject to disclosure under the Public Records Act. In addition, any Official Sanitation District Record created through email and other forms of electronic communication must be protected and retained in accordance with records retention laws. 4.3.2 Messages transmitted using the Sanitation District's Email System or Sanitation District-owned equipment with capabilities for text messaging and/or voicemail, should be messages which involve Sanitation District business activities and contain information essential to accomplishment of business-related tasks, or can otherwise be recognized as Official Sanitation District Records. Any incidental (personal) email, text, instant message, or voice messages are not considered public records but may still be discoverable. All electronic communications are the property of the Sanitation District. Electronic Communications Policy 3 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors 4.4 SANITATION DISTRICT EMAIL SYSTEM IS NOT FOR STORAGE The Sanitation District reserves the right to retrieve and make proper and lawful use of any and all electronic communications transmitted through the Sanitation District's Email System and any Sanitation District-owned and subsidized equipment. Although the use of electronic communications is considered official Sanitation District business, the Sanitation District's communications systems, including email, text messaging, instant messaging, and voicemail, are intended as a medium of communication only. Therefore, the Email System and any Sanitation District-owned or subsidized equipment such as cell phones should not be used for the electronic storage or maintenance of documentation, including, but not limited to, Official Sanitation District Records. Regarding email, the system administrator performs regular electronic back-up of the Sanitation District's Email System; however, the back- up is not a copy of all Sanitation District email activity that occurred during any given period. 5.0 GUIDELINES FOR PROPER EMAIL USAGE 5.1 Authorized Users are responsible for managing their mailboxes, including organizing and deleting any non-Sanitation District related messages that do not constitute Official Sanitation District Records. Authorized Users are responsible for determining if emails contain substantive information regarding Sanitation District business or may later be important or useful for carrying out Sanitation District business, and thus could be considered as Official Sanitation District Records. 6.0 USE OF SANITATION DISTRICT ELECTRONIC COMMUNICATIONS VIA PERSONAL ACCOUNTS 6.1 Sanitation District accounts shall be used to conduct Sanitation District business. Authorized Users should not use personal accounts for the creation, transmission, or storage of electronic communications regarding Sanitation District business. 6.2 All Authorized Users shall, within 90 days following the adoption of this updated policy, search all private, non-governmental electronic messaging accounts to Electronic Communications Policy 4 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors which they have user access and locate any electronic communications that might constitute an Official Sanitation District Record. All such communications shall be forwarded to the Authorized User's Sanitation District-provided account. To the extent the Authorized User believes that any part of such communications contains personal matter not related to the conduct of the public's business, the Authorized User shall provide a declaration, as set forth in Exhibit A. 6.3 If an Authorized User receives an electronic message regarding Sanitation District business on his/her non-Sanitation District electronic messaging account, or circumstances require such person to conduct Sanitation District business on a non-Sanitation District account, the Authorized User shall either: (a) copy ("cc") any communication from an Authorized User's personal electronic messaging account to his/her Sanitation District electronic messaging account; or (b) forward the associated electronic communication to his/her Sanitation District account no later than 10 days after the original creation or transmission of the electronic communication. 6.4 Authorized Users shall endeavor to ask persons sending electronic communications regarding Sanitation District business to a personal account to instead utilize the Authorized User's business account and, likewise, shall endeavor to ask a person sending an electronic communication regarding non- Sanitation District business to use the Authorized User's personal or non- Sanitation District electronic messaging account. 7.0 ELECTRONIC COMMUNICATIONS AND PRIVACY 7.1 NO EXPECTATION OF PRIVACY 7.1 .1 Personnel Policy 5.10 states that Sanitation District Electronic Communication devices are the exclusive property of the Sanitation District. Authorized Users have no right or expectation of privacy or confidentiality in any message created, sent, received, deleted, or stored using the Sanitation District Email System or any Sanitation District- owned or subsidized communication devices. All messages and any attachments on the Sanitation District's computer network, Email System, Sanitation District-owned system or device, or Sanitation Electronic Communications Policy 5 Adopted TBD Procedure Number: 11.0 oJ�,1 SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors District subsidized communication device are subject to Sanitation District review and disclosure of electronic communications regarding Sanitation District business. 7.1 .2 Electronic communications regarding Sanitation District business that are created, sent, received, or stored on an electronic messaging account may be subject to the Public Records Act, even if created, sent, received, or stored on a personal account or personal device. Most communications that include Authorized Users are not confidential communications; however, certain communications such as investigations, personnel records, or attorney-client communications may be confidential or contain confidential information. Questions about whether communications are confidential, and how they are to be preserved, should be discussed with the Clerk. 7.2 USE CAUTION WITH CONFIDENTIAL INFORMATION All Authorized Users must exercise a greater degree of caution in sending confidential information on the Sanitation District's electronic communications systems than they take with other media because of the risk that such information may be copied and/or retransmitted. All email correspondence containing confidential information should be tagged as such and stored in a clearly labeled confidential folder to protect and preserve the privacy and confidentiality of the record. When in doubt, do not use email, text messaging, instant messaging, or voicemail as a means of confidential communication. 8.0 PUBLIC RECORDS REQUESTS, RETENTION, AND DESTRUCTION Electronic communications are a business tool which shall be used in accordance with generally accepted business practices and all Federal and State laws, including the California Public Records Act, to provide an efficient and effective means of intra- agency and interagency communication. Under most circumstances, communications sent electronically are public records, subject to disclosure under the California Public Records Act and subject to records retention laws applicable to a variety of government agencies. 8.1 PRESERVING ELECTRONIC MESSAGES - PUBLIC RECORDS ACT Electronic Communications Policy 6 Adopted TBD Procedure Number: 11.0 oJ�,1 SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors REQUESTS, SUBPOENAS, CLAIMS, AND POTENTIAL CLAIMS AGAINST THE SANITATION DISTRICT The Sanitation District receives requests for inspection or production of documents pursuant to the Public Records Act, as well as subpoenas or court orders for documents. In the event such a request or demand includes electronic messages, Authorized Users who have control over or access to any such messages, once they become aware of the request or demand, shall use their best efforts, by reasonable means available, to temporarily preserve any such message until it is determined whether the message is subject to preservation, public inspection, or disclosure. Authorized Users shall contact the Clerk regarding any such messages that are within their control. 8.2 CALIFORNIA PUBLIC RECORDS ACT 8.2.1 In the event a Public Records Act request is received by the Sanitation District seeking electronic communications of Authorized Users, the Clerk shall promptly transmit the request to the applicable Authorized User whose electronic communications are sought. The Clerk shall communicate the scope of the information requested to the applicable Authorized User, and an estimate of the time within which the Clerk intends to provide any responsive electronic communications to the requesting party. 8.2.2 It shall be the duty of each Authorized User receiving such a request from the Clerk to promptly conduct a good faith and diligent search of all Business and Personal electronic messaging accounts and devices for responsive electronic communications. The Authorized User shall then promptly transmit any responsive electronic communications to the Clerk. Such transmission shall be provided in sufficient time to enable the Clerk to adequately review and provide the disclosable electronic communications to the requesting party. If the Authorized User is unable to transmit the responsive communications, the IT division has the ability to extract the pertinent communications and ensure the appropriate metadata is preserved. Electronic Communications Policy 7 Adopted TBD Procedure Number: 11.0 OJNly SRNI iqT Oy � I oN Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9ofc ANC THE ENyPoa�W? SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors 8.2.3 Based on the nature of the Public Records Act request, the Clerk may also request an eDiscovery of all electronic email records and instant messages through the IT division. 8.2.4 In the event an Authorized User does not possess responsive electronic communications from the Sanitation District's owned or subsidized electronic messaging account, the Authorized User shall so notify the Clerk by way of a written declaration (Exhibit A). 8.3 AUTOMATIC DELETION OF EMAIL The Sanitation District's email system automatically deletes Sanitation District emails, including any text messages that become emails, which are more than 24 months old from "Inbox" and "Sent" email folders of each Sanitation District email user. Email in "Deleted" folders will be automatically removed after ninety (90) days. 8.4 EMAIL FOLDER MANAGEMENT 8.4.1 Authorized Users are responsible for the daily management of their email boxes and associated folders. To ensure maximum efficiency in the operation of the Email System, Authorized Users are directed to delete email messages that are NOT Official Sanitation District Records from their inboxes on a weekly basis. These Transitory email records, based on the content of the information which only have a retention value of a few days or weeks, can be deleted from the Email Inbox upon review and determination when the purpose of the information has been fulfilled - which can be any time up to 90 days. All email records moved to Deleted will be automatically purged by IT after 90 days. Examples of such messages are personal emails, solicitations, email advertisements/ announcements, or newsletters. 8.4.2 If email messages that are not Official Sanitation District Records are necessary for transitory work, preliminary drafts, or preparation of work product or personal notes, Authorized Users should either move the record to a dedicated email (working) folder, print the email and maintain the paper copy, or create a PDF version of the email Electronic Communications Policy 8 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors (save as PDF) and store the file in an electronic folder on the Sanitation District's network drive (OneDrive, SharePoint and SharePoint Online) to be deleted when no longer needed. 8.4.3 Attachments to email messages should be retained or disposed of according to the content of the attachment itself, not according to the email transmitting the attachment. Many email attachments are duplicates of existing documents or are draft versions of documents that might not be retained by the Sanitation District after the final version of the document is complete. If you need help in determining whether an attachment to an email message must be retained, please contact the Clerk. 8.5 DETERMINATION OF RECORD In accordance with Records Management Policy 4.0, it is the responsibility of Authorized Users to determine if an electronic communication is an Official Sanitation District Record which must be retained in accordance with the Sanitation District's Records Retention Policy. Electronic communication messages (including any attachments) that are deemed to be Official Sanitation District Records shall be preserved. Authorized Users shall consider the content of an electronic communication when determining if it is an Official Sanitation District Record. The Clerk can assist in making such a determination. In addition, following is a general guideline for determining whether an electronic communication is an Official Sanitation District Record: Electronic Communications that are Electronic Communications that generally considered as Public are generally NOT considered as Records Public Records (Retention time is 2 years or more) (Retention time is no more than 90 days) Electronic Communications Policy 9 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors Electronic Communication that is Personal messages and created or received in connection with announcements not related to official Sanitation District business. official Sanitation District business. Electronic Communication that shows Duplicate documents (copies or how a Sanitation District policy was excerpts) distributed for created or how a decision was made by convenience or reference. Sanitation District staff and/or the Sanitation District Board of Directors. Electronic Communication that begins, Transmittal messages that merely authorizes, or completes an item or a assist the flow of work. transaction of official Sanitation District business. Electronic Communication that Electronic Communications documents significant official decisions containing preliminary drafts, notes, or commitments reached verbally or interagency or intra-agency (person-to-person, by phone, or in memos that are not retained in the conference) and not otherwise ordinary course of business. Gov. documented in Sanitation District files. Code § 6254(a). Records that are normally retained do not qualify for this exemption. 8.6 ELECTRONIC COMMUNICATIONS UPON TERMINATION Upon an Authorized User's retirement or termination, IT will forward the user's Electronic communications to the immediate supervisor for review. In accordance with the policy herein, it is the Supervisor's duty to review and determine which email/text messages, voicemails etc. should be preserved, retained, or Electronic Communications Policy 10 Adopted TBD Procedure Number: 11.0 OJNly SRNI iqT Oy � I oN Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9ofc ANC THE ENyPoa�W? SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors disposed of according to the content of the email and following the approved Sanitation District's Records Retention Schedule. Once determined, the Supervisor should either transfer the records to a dedicated email (working) folder in their email inbox, print the communication and maintain the paper copy, or create a PDF version of the email (save as PDF) and store the file in an electronic folder on the Sanitation District's network drive (OneDrive, SharePoint and SharePoint Online) to be retained or to be deleted when no longer needed. Once completed, IT will dispose of the entire mailbox after 90 days unless otherwise requested by supervisor. Electronic Communications Policy 11 Adopted TBD Procedure Number: 11.0 OJNly SRNI iqT Oy I oN Orange County Sanitation District Effective Date: TBD RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9ofc ANC THE ENyPoa�W? SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors Exhibit "A" In the matter of: Declaration of: California Public Records Act Request Pursuant to Gov. Code § 6250 et seq. Print or type name of user Re: DECLARATION REGARDING SEARCH Insert name of record request OF PERSONAL ELECTRONIC MESSAGING ACCOUNTS Request #: STATE OF CALIFORNIA COUNTY OF ORANGE ORANGE COUNTY SANITATION DISTRICT I, declare: Print name 1. I received notice of a California Public Records Act ("CPRA") request regarding a search of my personal electronic messaging account(s). 2. 1 understand that the CPRA request seeks: Insert text of CPRA request. Electronic Communications Policy 12 Adopted TBD Procedure Number: 11.0 oJ�,j SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors 3. 1 am the owner or authorized user of the following personal electronic messaging account and have the authority to certify the records: Insert description of personal electronic messaging account(s). 4. 1 have made a good faith, diligent, thorough, and complete search of the above mentioned personal electronic messaging account(s) for all electronic communications potentially responsive to the above mentioned CPRA request. 5. Any responsive electronic communications discovered, and referenced below, were prepared, or used by me in the ordinary course of business at or near the time of the act, condition, or event. 6. Any responsive electronic communications discovered, and referenced below, are true copies of all records described in the above mentioned CPRA request. Check the applicable box: ❑ I certify that I do not possess responsive electronic communications. ❑ I certify that I cannot reasonably recover responsive electronic communications without technical assistance. Explain efforts to retrieve responsive electronic communications and why you were unable to recover responsive electronic communications. Add technical assistance required. ❑ I certify that I discovered potentially responsive electronic communications from my personal electronic messaging account, but I am withholding that information because the information is "personal" business. This is for the following reasons: Electronic Communications Policy 13 Adopted TBD Procedure Number: 11.0 oJ�,1 SRN/TgT W a Orange County Sanitation District Effective Date: TBD 9 RECORDS MANAGEMENT Supersedes: None POLICY & PROCEDURE MANUAL 9orFCJ/N� THE SUBJECT: ELECTRONIC COMMUNICATIONS Approved by: POLICY OCSD Board of Directors Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. ❑ I certify that I discovered potentially responsive electronic communications from my personal electronic messaging account. I am providing all responsive information. However, some information is non-responsive, and I am withholding that information, because the information is personal business. This is for the following reasons: Describe with sufficient facts why the contested information is personal business and not subject to the CPRA. Attach additional pages, if necessary. I declare under penalty of perjury under the laws of the State of California that the foregoing is true and correct and that I have personal knowledge of the facts set forth above. Executed this day of 20 , in , California. By: Print Name: Electronic Communications Policy 14 Adopted TBD Procedure Number: 12.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors This Procedure applies only to Invitation for Bids (IFBs) with an award amount of $10,000,000 or more, to the lowest responsive, responsible bidder. 1.0 PRE-BID 1.1 If Escrow of Bid Documents (Escrow) is required (per Bid Requirements Form), Contracts Administrator (CA) will notify Records Management the need for escrow and will establish a time and date for Bidders to submit their Bid Documents for escrow as specified in the Special Provisions, "Escrow of Bid Documents." a. This date and time submission will be within the date and time set forth in the Contract's Special Provisions. b. The date must also be coordinated with Records Management's schedule (e.g., check to see that if the Escrow Bid Document submission date is on a Friday, Records Management is available). 1.2 CA submits a Meeting Planner to reserve a room in the Administration Building for receipt of the Bid Documents for escrow. 1.3 CA schedules a meeting with Records Management, via Outlook Calendar, on the date and time scheduled for receipt of Bid Documents for escrow. 1.4 Upon receipt of the Outlook meeting request, Records Management schedules the date for Offsite Storage (GRM) to transfer the Escrow Bid Documents to offsite storage. 1.5 GRM requires 24 hours' notice for pick-up, and usually picks up between 11:00 a.m. and 2:00 p.m. (Therefore, it is best to schedule receipt of the Bid Documents in the morning) 2.0 BID OPENING 2.1 At Bid opening, the Sanitation District announces the two (2) lowest Bidders who will be required to submit their Bid Documents for escrow within the date and time set forth in the Special Provisions. Escrow of Bid Documents 1 Adopted TBD Procedure Number: 12.0 tiV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors 2.2 At the Bid Opening, Bidders shall be reminded that: 2.2.1 Failure to timely submit Bid Documents for escrow may result in a Bidder being deemed non-responsive. 2.2.2 Escrowed Bid Documents must be delivered in a sealed container, marked with the project name and the words "Escrowed Bid Documents." If Bidders are not using a safe, Bidders should use a regular document storage size box (10"x12"x15"). 2.3 The Escrowed Bid Documents shall be accompanied with a Bid Document Certification, signed by an individual authorized by the Bidder to execute the Bidding proposal, stating that the material in the Escrowed Bid Documents constitutes the complete, only, and all documentary information used in preparation of the Bid and that he or she has personally examined the contents of the Escrowed Bid Documents container and has found that the documents in the container are complete. n!arr a e!Ewa.!n oaa..a a.one a.anpr.ary n<a �Nam�pn 1W n P4dv d N YG�q M IApCC YAM OMOn BiO.tn npwwY ti M O W M Vw�l YarO ea w+nb d!�lwpn m Om�a mvs N lia Iv!K N 0aanw4 �! awf��w anfr 9QnRi!d nOwpW wOYWO a M YOOM q nw[V•M tl9dip MWwn Me011nv TYY CwCM WY Escrow of Bid Documents 2 Adopted TBD Procedure Number: 12.0 tiV SAN1111 Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors 3.0 POST BID OPENING 3.1 After Bid Opening, but no later than the date and time for receipt of Escrow Bid Documents, the CA will prepare a "Records Storage Facility Transfer Request," for each Bidder's Escrowed Bid Documents. OCSD Escrow Records Storage Transfer Request& Tracking Date: Project Number and Name: Offsite Storage Location&Tracking Contractor: Ba rcode: Requestor. Division Name and Number: Meeting/Transacting TransactionfActivity Authorization Signatures Comments/Notes Date and Time Intake of Escrow Bid Contractor Representative Name Documents Meeting Contractor Representative Si nature Escrow Bid Documents Records Management Name Sent Offsite Records Management Signature Escrow Bid Documents Records Management Name Retrieval Records Management Si nature Release of Escrow Bid I or Representative Name Documents Meeting Con rector Representative Si nature Storage Intake Approved By: Date: OCSD Records Management Storage Perm-but Approved By: pgrmout Date: OCSD Records Vement A separate form is required for each Bidder's Escrowed Bid Documents due to the fact each Bidder's escrow box is assigned a separate bar code to be affixed to the Form. Also, each Bidder must sign the Escrow of Bid Documents 3 Adopted TBD Procedure Number: 12.0 ,4 SANI rqT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors Records Storage Facility Transfer Request Form applicable to their documents. After the meeting — scan and save a copy of all documents. 3.2 In preparation for the arrival of Bidders on the date set for receipt of Escrowed Bid Documents, the CA shall prepare an attendance sign-in record form for record of attendance. The representative of each company and all the Sanitation District staff in attendance must fill out. A copy should be made and provided to each representative of the company delivering documents and the original kept on file with Record Management. ORANGE COUNTY SANITATION DISTRICT ATTENDANCE RECORD Escrow of Bid Documents Meeting (Date and Time of Meeting) (Project Number) (project Name and Information) Name Company. Address- Telephone Email. Name Company Address Telephone Email Name Company Address. Telephone Emad Name, Company Addrew: Telephone Email: Email 1ronrna—l17 a wo-� vie Escrow of Bid Documen s 4 Adopted TBD Procedure Number: 12.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors 3.3 At the time and date for submission of Bid Documents for escrow, the two lowest Bidders will hand deliver their Bid Documents to Sanitation District Records Management and the CA. The Sanitation District Staff /Contractor will open and review the contents together at the Sanitation District. 3.4 Each bidder will fill out and sign an "Intake of Escrow Bid Documents" previously filled out by Records Management. Escrow of Bid Documents 5 Adopted TBD Procedure Number: 12.0 Orange County Sanitation District / Effective Date: TBD I , RECORDS MANAGEMENT Supersedes: 9/13/2006 POLICY & PROCEDURE MANUAL SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors 4 ORANGE COUNTY SANITATION DISTRICT RECORD OF RECEIPT FOR: Escrow of Bid Documents Records (Insert Date and Time) (INSERT PROJECT NO.AND PROJECT NAME) Name: Company: Address; Telephone: Email: Signed: I Name: Company: Orange County Sanitation District Address: 10844 Ellis Ave.Fountain Valley,CA 92708 Telephone: Email: Signed: 3.5 After the Sanitation District approves of the documentation in the Bidders' Bid Documents, the Sanitation District Records Management will affix GRM bar codes and ID numbers on Records Storage Transfer form and to each Bidder's Escrowed Bid Document box. The Bidders, the CA and Records Management shall all sign the completed Records Storage Facility Transfer Request. 3.6 Each Bidder, the CA and Records Management will receive a copy of the completed form for their records and future reference. Escrow of Bid Documents 6 Adopted TBD Procedure Number: 12.0 SV SAHI7gT Orange County Sanitation District Effective Date: TBD /9 RECORDS MANAGEMENT Supersedes: 9/13/2006 2 POLICY & PROCEDURE MANUAL W r�cT/�B THE ENV\P as SUBJECT: ESCROW OF BID DOCUMENTS Approved by: OCSD Board of Directors 3.7 GRM will thereafter take possession of the apparent two low bidder's Escrowed Bid Documents and transfer them to its document storage facility. 4.0 AFTER CONTRACT AWARD 4.1 Following the Award of the Contract, the Sanitation District will return the Escrowed bid Documents to the unsuccessful Bidder(s). The CA will complete the Escrow Records Retrieval Form and obtain receipt signatures from the Bidder(s), the CA and Records Management. 5.0 EXCEPTIONS 5.1 In the event of a bid protest or other problem with the apparent low bid, the CA will contact the third, and perhaps fourth apparent low bidders and complete procedure numbers 9 and 10 above. 5.2 For Design-Build (DB) Projects, only the Proposal Documents of the successful proposer will be escrowed, after the award of contract by the Board of Directors. Escrow of Bid Documents 7 Adopted TBD Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital FDistrictwide Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) DWO01 Published Articles Written/Contribution by OCSD Staff LO GC§60201;SOS c24 DWO02 Historical Records: LO H GC§60201 Photos,Slides Used by O&M,Videos,Correspondence DWO03 Non-Historical Photos&Videos NN GC§60201 Speeches and Presentations: GC§60201 DW004 Presentations Not Made at Board/Committee Meetings NN Some records may be kept for historical value Reference Files: DWO05 Equipment Manuals, Process Workflows,Budget Planning Documents,Training Material, S EL, P GC§60201, GC§53161 Standby Assignments/Stormwatch DWO06 Speeches and Non-Marketing Related Presentations&Supporting Documents(Includes S+2 GC§60201;SOS c24 PowerPoints) 1 Districtwide Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Board Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) BSDO01 Affidavits of Publications Notices LO EL, P GC§60201, GC§54960.1(c)(1) BSDO02 Board and Committee Meeting Agenda Packets and Meeting-Related Materials: LO EL, P GC§34090; SOS c22,SOS c42 Agenda,Agenda Reports&Attachments,Presentations,GM Monthly Report Agreements&Contracts,Political&Outside Jurisdictions/Agencies: GC§60201,GC§60201(d)(9),GC BSDO03 Cooperative Agreements,JPAs(Joint Powers Authorities),JFAs(Joint Finance Authorities), LO EL, P §60201(d)(1) Interagency, Reimbursement Agreements BSDO04 Annexation Files LO EL, P GC§34090, GC§60201(d)(1);SOS c28 BSDO05 Bids-Awarded (Board Reviewed) LO EL, P GC§60201(d)(6); SOS c30,SOS c27 BSDO06 Bids-Unsuccessful (Board Reviewed) 2 EL, P GC§34090,GC§60201(d)(11),GC §602010(d)(6);SOS c30 2 Board Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Board Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) BSDO07 Board Administration Files: T+10 EL, P PC§801.5 22;29 USC§1113;SOS c18;GC Loyalty Oaths, Election Records, Directors Lists,Contact Information §34090(d)(1) BSDO08 Conflict of Interest(FPPC Filings) T+7 EL, P GC§81009(e);SOS c18 Purchasing,Contracts&Agreement Files-Capital Improvement Projects(CIP)&Non-CIP- Committee or Board Approved: BSDO09 Includes Authorization Documents;Change Orders;Amendments;Notices;Published LO EL, P GC§60201; CCP 337;CCP 337.15;SOS c22; Invitation for Bid(IFB)Documents, including Specifications&Drawings,Solicitation Addenda SOS c30 and Bulletins Issued; Notices of Intent to Award;Notices of Award;Notices to Proceed; Notices of Completion BSD011 Ethics Training: EX+5 EL, P GC§53235.2(b) Sexual Harassment Board Only, Ethics Training Board&Employee BSDO12 Formation Files LO EL, P GC§60201(d)(1) Land Records: BSDO13 Easements,Grant Deeds,Quit Claim Deeds,Abandonments, Condemnations, Real Estate LO EL, P GC§60201(d)(8), GC§34090(a) Purchase&Sale,Property Agreements, Encroachment Permits, Etc. 3 Board Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Board Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) BSDO14 Legal Opinions LO EL, P SOS c23 BSDO15 Litigation Files CL+6 EL, P GC§60201(d)(4) BSDO16 Meeting Minutes: LO EL, P GC§60201(d)(3) Board&Board Committees BSDO17 Ordinances LO EL, P GC§60201(d)(2) BSDO18 Recorded Project Documents: LO EL, P GC§60201(d)(8); SOS c26 Notices of Completion, Easements, Deeds BSDO19 Resolutions LO EL, P GC§60201(d)(2),GC§34090 4 Board Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Board Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) Tapes&Digital Recordings(Audio&Video): GC§54953.5(b) BSD020 Board or Committee Meetings LO EL Minimum retention 30 days or until adoption of the minutes Per Brown Act BSD021 Director Communications: 3 EL, P PC 801.5 22;29 USC§1113 General Board Correspondence BSD023 Public Record Act Requests CL+2 EL, P GC§60201(d)(5); SOS c23 BSD024 Grand Jury Reports/Responses LO EL, P GC§60201 BSD025 Records Retention Schedules LO EL, P CCP§343;SOS c23;-Schedules are superseded when updated. BSD026 Records Destruction Records: LO EL, P GC§60201; SOS c23 Approvals,Certificates, Requests 5 Board Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Board Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) BSD027 Records Management Annual Audits: S+3 EL, P GC§60201 Inventory,Storage,Destruction 6 Board Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed wC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Stora a Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Contracts, Purchasing, and Materials Management Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Purchasing,Contracts&Agreement Files-Capital Improvement Projects(CIP)-Not Committee or Board Approved: Includes Insurance Certificates;Authorization Documents;Change Orders;Amendments; Notices; Pre-Award Bid/Proposal Package; Bid/Proposal Evaluation Materials;Protest Documents; Project Documents; Published Invitation for Bid(IFB)Documents,including Specifications&Drawings,Addenda and Bulletins Issued,Bid Requirements Form,Question GC§60201;CCP 337; CCP 337.15; SOS c22; CPM001 &Answer Logs,Outreach Materials, Evaluator Certifications,Responsiveness&Responsibility LO EL, P SOS c30 Review Documents(Safety,Finance, Experience Requirements),Clarification Requests& Responses,and Bid/Proposal Evaluation Memorandum;Notice of Award Recommendations; Protest and Associated Documents;Determination on Protests;Appeals;Determination of Appeals; Preliminary Notices;Stop Notices; Notices of Completion For Purchasing,Contracts&Agreement Files that are Committee or Board approved, please see BSDO09 Purchasing,Contracts&Agreement Files-Non-CIP Projects-Not Committee or Board Approved: Includes Insurance Certificates;Authorization Documents;Change Orders;Amendments; Notices; Pre-Award Bid/Proposal Packages; Bid/Proposal Evaluation Materials;Protest Documents; Project Documents; Published Invitation for Bid(IFB)Documents,including Specifications&Drawings,Addenda and Bulletins Issued,Bid Requirements Form,Question CPM002 &Answer Logs,Outreach Materials, Evaluator Certifications,Responsiveness&Responsibility CL+7 EL, P GC§60201;CCP 337; SOS c30 Review Documents(Safety,Finance, Experience Requirements),Clarification Requests& Responses,and Bid/Proposal Evaluation Memorandum;Notice of Award Recommendations; Protest and Associated Documents;Determination on Protests;Appeals;Determination of Appeals; Preliminary Notices;Stop Notices; Notices of Completion For Purchasing,Contracts&Agreement Files that are Committee or Board approved, please see BSDO09 7 Contracts,Purchasing,and Materials Management Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Contracts, Purchasing, and Materials Management Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) CCP§337.15: Unsuccessful Escrow Bid Documents are returned to Contractor after Contract is awarded.The Escrow Bid Documents for the Awarded Contractor are CPM003 Escrow Bid Documents LF C,V returned at the end of the life of the facility (business preference to retain these documents longer than required by§CCP 337.15,which indicates CL+10).OCSD acts as a temporary custodian of the documents, which remain the property of the bidders. CPM005 Purchase Order&Requisition Files(Including Committee or Board Approved): LO EL, P GC§60201(d)(12); CCP§337; SOS c30 Open Annual(OA),Open Blanket(OB),Open Purchase(OP),and Open Service(OS) Warehouse and Materials Management Records: CPM008 Sales Orders,Discrepancies,Add To Stores, Receivers, Return To Vendors(RTV),Shipping CL+4 EL, P GC §60201; GC§34090;CCP§337;SOS c29 Records, Inventories, Disposal of Surplus Assets CPM009 Procurement Card Documentation Reconciliation, Requisition Credit Card Purchases, Reports, CL+1 GC§60201 Agreement,Correspondence 8 Contracts,Purchasing,and Materials Management Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Contracts, Purchasing, and Materials Management Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) CPM019 Certificates of Insurance LO EL, P CCP§337.15;SOS c24 Purchasing&Contracts Support Documents-CIP&Non-CIP-Committee or Board Approved: Includes Pre-Award Bid/Proposal Packages;Bid/Proposal Evaluation Materials; Project Documents; Bid Requirements Forms;Question&Answer Logs;Outreach Materials; GC§60201;CCP 337; CCP 337.15;SOS c22; CPM020 Evaluator Certifications; Responsiveness&Responsibility Review Documents(Safety, LO EL, P SOS c30 Finance, Experience Requirements),Clarification Requests and Responses; Bid/Proposal Evaluation Memorandum; Notice of Award Recommendations; Protest and Associated Documents, Determination of Protests;Appeals;Determination of Appeals; Preliminary Notices;Stop Notices 9 Contracts,Purchasing,and Materials Management Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software MJ EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Engineering Retention Retention Length Special Storage Number Record Type g Media Type Retention Citations/Comments (Years Unless Consideration Specified) CEQA Documents: 14 CCR§15095©, 14 CCR§15208, 14 CCR Includes Environmental Impact Reports and Addenda,Negative Declarations,Notices of §15075, 15094, 14 CCR§15062, 14 CCR ENG001 Completion and Determination,Comments on Environmental Documents,Statements of LO §15112;GC§60201,GC§60201(d)(10);SOS Overriding Considerations, Exemptions,Technical Studies, Initial Studies, Mitigation and c27 Monitoring Reports CEQA General Correspondence with Outside Cities/Agencies: 14 CCR§15095(c), 14 CCR§15208, 14 CCR ENG002 Includes Written and Electronic Correspondence 25 §15075, 15094, 14 CCR§15062, 14 CCR §15112;GC§60201(d)(1 0);SOS c27 City or County Plans: SOS c28,SOS c27,SOS c26,GC ENG003 Specific Plan, Master Plan 20 §60201(d)(10) ENG004 Utility Requests: CL+2 GC§60201;SOS c29 Received Plans,OCSD Response ENG005 General Correspondence: CL+10 GC§60201; CCP§337.15 Internal and/or Project-Related Meeting Discussions,Correspondence,Meeting Minutes Agreements,Annexations, Land Records,Connection Permits, Encroachment Permit ENG006 Supporting Documentation: LO GC§60201(d)(8) Letters,Meeting Minutes 10 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software MJ EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Engineering Retention Retention Length Special Storage Number Record Type g Media Type Retention Citations/Comments (Years Unless Consideration Specified) Project Development: ENG007 Correspondence,Feasibility Study,Gate Review, Meeting Agendas and Minutes, Project CL+10 GC§60201 Photos,Handoff Documents,Consultant Monthly Report Preliminary Design: ENG008 Correspondence,Design Submittal,Gate Review,Meeting Agendas and Minutes, PDR CL+10 GC§60201 Documentation,Project Photos,Public Outreach,Consultant Monthly Report Design: ENG009 Consultant Monthly Report,Correspondence, Design Submittal, FDS,Gate Review, Meeting CL+10 GC§60201 Agendas and Minutes,Project Photos,Public Outreach, Handoff Documents,ETAP Documents Construction and Installation: Consultant Monthly Report,Contract Submittal,Correspondence,Gate Review, Inspection ENG010 Documentation,Meeting Agendas and Minutes,Project Photos, Public Outreach, Requests CL+10 CCP§337.15 and Changes(Bulletin,Contractor Cost Proposal, Delay and Schedule Analysis, Field Change Order, Request for Change, Request for Information, Request for Proposal,Time and Materials Report),Safety Documentation, ETAP Documents Commissioning: ENG011 Correspondence,Gate Review, Meeting Agendas and Minutes, Project Photos,Substantial CL+10 CCP§337.15 Completion-Beneficial Use, Use Prior to Completion,Substantial Completion, Final Completion,Testing Documentation Closeout: ENG012 Correspondence,Gate Review, Meeting Agendas and Minutes, Project Photos, Final CL+10 GC§60201(d)(1 2);CCP§337.15 Acceptance and Release of Retention,Warranty Documentation 11 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software Mj EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Engineering Retention Retention Length Special Storage Number Record Type g Media Type Retention Citations/Comments (Years Unless Consideration Specified) Professional Service Agreement: Solicitation(Addendum and Question Answer Document,Award Document,Meeting Agendas ENG013 and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal,Request for CL+10 GC§60201(d)(1 2);CCP§337.15 Qualification,Scope of Work,Sole Source,Statement of Qualification and Evaluation), Contract Administration(Agreement Closeout,Amendment and Reallocation,Conformed Agreement Package,Consultant Invoice) Professional Design Service Agreement: Solicitation(Addendum and Question Answer Document,Award Document,Meeting Agendas ENG014 and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal,Request for CL+10 GC§60201(d)(1 2);CCP§337.15 Qualification,Scope of Work,Sole Source,Statement of Qualification and Evaluation), Contract Administration(Agreement Closeout,Amendment and Reallocation,Conformed Agreement Package,Consultant Invoice) Professional Construction Service Agreement: Solicitation(Addendum and Question Answer Document,Award Document,Meeting Agendas ENG015 and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal,Request for CL+10 GC§60201(d)(1 2);CCP§337.15 Qualification,Scope of Work,Sole Source,Statement of Qualification and Evaluation), Contract Administration(Agreement Closeout,Amendment and Reallocation,Conformed Agreement Package,Consultant Invoice) Construction Agreement: Solicitation(Addendum and Question Answer Document,Award Document,Bid and ENG016 Evaluation, Invitation for Bid Document,Meeting Agendas and Minutes, Protect Document, CL+10 GC§60201(d)(1 2);CCP§337.15 Sole Source)Contract Administration(Certified Payroll,Change Order,Claims Documentation,Conformed Contract Package,Contract Closeout,Contractor Progress Payment,Other Agreement,Stop Notice Request-Release 12 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software MJ EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Engineering Retention Retention Length Special Storage Number Record Type g Media Type Retention Citations/Comments (Years Unless Consideration Specified) Task Order: Solicitation(Addendum and Question Answer Document,Award Document,Meeting Agendas ENG017 and Minutes, Proposal and Evaluation, Protest Document, Request for Proposal,Request for CL+10 GC§60201(d)(1 2);CCP§337.15 Qualification,Scope of Work,Sole Source,Statement of Qualification and Evaluation), Contract Administration(Agreement Closeout,Amendment and Reallocation,Conformed Agreement Package,Consultant Invoice) ENG018 Budget Documentation: CL+10 GC§60201; CCP§337.15 Budget Table and Schedule Documentation(Construction Schedule Documentation) 14 CCR§15095, 14 CCR§15208, 14 CCR ENG019 CEQA Correspondence CL+10 §15075, 15094, 14 CCR§15062, 14 CCR §15112;GC§60201(d)(1 0);SOS c27 Project-Related Permit Documentation: AQMD,Army Corps of Engineers,CEQA Permits,Certification of Environmental Compliance, ENG020 Contaminated Soil Manifest,Dewatering Data, Encroachment/Right of Way,Mitigation CL+5 GC§60201 Measure Monitoring Reporting,Permit for Construction, RWQCB,Storm Water Compliance Reporting,City/County Permits,CalTrans Permits,OSHA Excavation Permits,EPA,CA Dept. of Fish&Game,OCFCD Permit for Construction, Railway Permit for Construction Engineering Drawing: ENG021 Conformed Set Drawings S GC§60201 Conformed Set Drawings are superseded by Record Drawings&retained pursuant to ENG031 13 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software Mj EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Engineering Retention Retention Length Special Storage Number Record Type g Media Type Retention Citations/Comments (Years Unless Consideration Specified) ENG023 Code and Standards S+10 GC§60201; CCP§337.15 Design Documentation: ENG024 Engineering Study and Analysis, Final Planning Study Report,Preliminary Design LF GC§60201 Report/Technical Memoranda, Engineering Calculations,Geotechnical and Geophysical Reports, Hazardous Materials Report,Hydrogeologic Report,Seismic Report Construction Specialty: ENG025 Electrical Test Report,Geotechnical Report, Instrumentation Testing,Materials Testing LF GC§60201 Report, Mechanical Testing,Other Test Report,Soil Report,Structural Testing,Survey Report, Commissioning Procedure, Inspection Daily Report and Construction Photo Facility Reports: ENG027 CIP Annual Report,OCSD Master Plan(Generated by Eng. Dept.),Strategic or Facility-Wide LO SOS c27 Planning Study Report(Seismic,Climate,Capacity,etc.) ENG028 Specification Conformed LO GC§60201 ENG029 Connection Permit: S+2 GC§60201; SOS c29,SOS c44 Trunk Sewer Connection Permit 14 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes CCP Code of Civil Procedure(CA) CL Closed or Completed Orange County Sanitation District CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code S Superseded Type. IRS Internal Revenue Service SP Separated LC Labor Code(CA) T Terminated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) Media Types and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget CD CD proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code EL Electronic records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State FD Floppy Disk regardless of Media Type. USC United States Code P Paper • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code TA Tapes when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H Historical destruction. V IVital ir Engineering Retention Retention Length Special Storage Number Record TypeMedia Type Retention Citations/Comments (Years Unless Consideration Specified) Facility Permits: ENG030 AQMD, Permit to Operate,CA Coastal Commission/Coastal Development, Building Permit, LF+5 GC§60201 Fire Department Permit ENG031 Engineering Drawing: LO GC§60201 Record Drawings(Tunnel Cross-Section,Vault Detail) ENG032 Shop Drawings LO GC§60201 ENG033 CEQA Related Documentation Pertaining to Meeting Agendas and Meeting Minutes LO GC§60201(d)(3) 15 Engineering Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Environmental Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) ESDO01 Air Emmissions Permitting Files(AQMD,CARB,Other): LO CCP§338(k);SOS c27,SOS c17 Final Permit,Testing Reports, Permit Applications,Correspondence Asset Specific Emission Records: ESDO02 Various Equipment and Operational Information, Including Logs OB+7 GC§60201; SOS c26 Please see OMD014&OMD016 for retention of some records within ESDO02 Biosolids Management Records: 40 CFR§503.17,40 CFR§122.410)(2),40 ESD003 Biosolids Hauling, Use, EMS Activities LO CFR§122.21;SOS c47 GC§60201;SOS c22;40 CFR 403.12(o),40 ESDO04 Chain of Custody-Laboratory 7 CFR 503.17(a)(3)(i),(a)(4),40 CFR 122.410)(2), 122.210)(4)-(6) ESDO05 Collection Systems Records: 6 GC§60201;SOS c33, SOS c43 Problem Reports and Customer Complaints Compliance Program Documentation: SOS c25,SOS c27,SOS c45;40 CFR 141.33, ESD006 Storm Water,SSO, Post Construction Mitigation, SSMP(WDR) LO 40 CFR Part 141,40 CFR 122.41 16 Environmental Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Environmental Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) ESDO09 Environmental Audit Records: LO GC§60201 Conducted By OCSD ESDO10 Environmental Audit Records: LO GC§60201; SOS c27;SOS c17 Conducted By Outside Parties ESD011 Interagency(Outside)Agreements and Documentation MOU LO GC§60201;GC§60201(d)(1);SOS c-24 ESDO12 Lab SOP's LO GC§60201 Laboratory Records: ESDO13 Sample Preparation Records, Raw Data, Data Logs, Data Packets, QA/QC Reports, Final 7 GC§60201; SOS c22,SOS c33 Processed Data, LIMS Reports, Lab Equipment Maintenance and Sterilization ESDO14 Non Permittee Files: 6 GC§60201 Inspection Reports Data,Correspondence 17 Environmental Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Environmental Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) ESDO15 OMP Field Datasheets: LO GC§60201; SOS c46; 40 CFR 141.33 Field Data and Collection Documentation,Animal Counts,Fish Collection Observations ESDO16 NPDES Permitting Files: LO EL 40 CFR§122.410)(2),40 CFR§403.12(o) Final Permit, Permit Applications,Special Studies&Reports,Correspondence ESDO17 Permittee Files: EX+6 40§CFR 122.410)(2),§403.12(o) Discharge Permits and Urban Runoff ESDO19 Cleanup,Abatement,and Remediation of Underground Storage Tanks LO 23 CCR§2772; SOS c33 Compliance and Annual Reports: ESD020 Discharge Monitoring Reports(DMR),Marine Monitoring Annual Report(MMAR), Biosolids LO P GC§60201;40 CFR§ 122.41Q) Annual Report ESD021 Waste Hauler Manifests 10 40 CFR§403.12(o)(v)(2);SOS c33 18 Environmental Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Environmental Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) ESD022 Unprocessed Instrumentation Files&Lab Reports LO H,V GC§60201;40 CFR§ 122.41 Q) 19 Environmental Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) FAD001 Accounting Reports: 4 GC§60201;SOS a1 Quarterly and Monthly Reports GC§60201(d)(12);SOS c29;CL refers to final payment Freeze on all FAD002 records for the timeframe of 1/1/2010 through 12/31/2013. Freeze until 1/1/2048 for the purposes of fulfilling Build America Bonds IRS requirements.OCSD issued Build America Accounts Payable Files: Bonds in 2010(outstanding through 2044)for FAD002 Vendor and Contractor Invoices,Bills,Statements,Any Non-Discharged Debt CL+7 which we are receiving a federal subsidy to offset our interest costs.The IRS guidance found states that all issuers should have records retention policies that maintain bond documents&related records(including documents supporting the disposition of funds) for at least the life of the bonds plus three years(through 2047). FAD003 Accounts Receivable Files CL+7 GC§60201(d)(12);CCP§337 et seq.;SOS c29; CL refers to final payment 20 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) FAD004 Annual Report-Financial LO H GC§60201;SOS c30 Audit Records: FAD005 Financial Statements,Audit Management Letters, Comprehensive Annual Financial Report LO H GC§60201 et seq.; SOS c30 (CAFR) FAD006 Bank Signature Cards S+5 GC§60201 Banking Records: FAD007 Deposit Receipts,Bank Statements,Checking Account Reconciliation,Cash Transfer Report 6 GC§60201;SOS c29; SOS c30 (LAIF,Wire Transfers,and Intrabank Transfers),Adjustments-Returned Checks(NSF),ACH Returns, Positive Pay Exceptions Bonds: CCP§336(a),§337.5;GC§43900 et seq.;GC FAD008 Certificates of Participation,Transcripts, Disclosure Reports, Registers, Issue Records, LO §60201 et seq. Determination of Allocation FAD009 Budgets(Adopted) LO H,V during GC§60200;SOS c29 current FY 21 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) FAD010 Budgets vs.Actual: 5 GC§60201;§34090;SOS c29 Supporting Documentation Summaries,Worksheets, Goals and Objectives, Milestones Check Records: FAD011 Cancelled Payroll Checks,Voided Copies For Automatic Deposits, Registers, Requests for 7 GC§60201(d)(1 2); CCP§337; SOS c29 Hand Checks&Interim Payroll Checks GC§60201(d)(12);CCP§337;SOS c29 Changed to LO as it is beneficial for OCSD to FAD012 Capital Facility Capacity Charges(CFCC) LO H EL,P maintain copies of permits for fee calculations in the future and historical reference for fees paid for parcels. FAD013 Expense Reports 7 GC§60201(d)(12); CCP§337, SOS a FAD014 Financial Statements 10 SOS c39 Financial System: FAD015 ERP Database,Access Database, Utility Billing LO GC§60201 Data is interrelated across platforms 22 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) FAD016 Fixed Asset Records LF GC§60201;SOS c29;Life of Asset FAD017 General Ledger LO SOS c29,GC§60201(d)(1 2) Investment Records: FAD018 Investment Policy,Custodian Bank Transaction Records,Asset Detail,Asset Summary,Yield, LO GC§34090;CCP§337;GC§53607;SOS c30 Statements,LAIF Withdrawals/Deposits,Portfolio Withdrawals/Deposits,Treasurer's Report, GASB 40 Report,GASB 72 Report FAD019 Journal Entries LO GC§60201;CCP§337;SOS c29 FAD020 Local Resources Program Reports(LRP)/Water Certifications LO GC§60201;40 CFR 141.91 OCERS Files: CL+7 GC§60201(d)(12);29 CFR§516.6(a)(1);CL FAD021 Copies of OCERS Payments,Statements refers to final payment 23 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) FAD022 OCERS Retirement Report LO GC§60201(d)(12);29 CFR§516.6(a)(1); Business Value Payroll Records(Generated from Payroll Taxes): GC§60201(d)(12);CCP§337;29 CFR Timesheets; Payroll Registers and Reports; Unemployment Claims;Garnishments; Payment §§516.5,516.6(a)(1); IRS Reg.§31.6001- FAD023 of Labor Costs Including Salaries,Wages,Compensation,and Deductions For Employees, T+7 1(e)(2);26 CFR§1.6001-1;R&T§19530;29 Board Members,and Contractors(DE-6&941 Forms-Quarterly and Annual Payroll Tax CFR 516.5(a)-(b);SOS c30 Returns FAD024 Petty Cash Records 7 GC§60201(d)(1 2); CCP§337; SOS a FAD025 Rate Studies 10 GC§60201; Business Value FAD026 Rebates and Refunds: 7 GC§60201 Sewer Service Fees FAD027 State Controller's Reports LO GC§60201;SOS c30 24 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V JVital Financial Management and Administrative Services Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) 29 CFR§516.5;SOS c30; IRS Reg.§31.6001- FAD028 Tax Records-Employee&Retirees: 7 1(e)(2); R&TC§19530;29 CFR§516.5- W-2's, 1099R,Annual Information Returns for Employees and Retirees 516.6;29 USC§436;GC§60201(d)(12);29 CFR§31.605-1,§31.600-1(d) FAD029 Tax Records(Generated From A/P&Vendor Files): 7 GC§60201 Vendor FAD030 Trial Balance Records 7 SOS c22;GC§60201(d)(1 2);GC§60201(d)(4) Claims(Excluding Workers Comp Claims): FAD031 Claims Against OCSD/OCSD Employees(Wrongdoing by OCSD/OCSD Employees, Project LO GC§60201 Related Injury), Employment Claims(Wrongful Termination, Harassment, Discrimination) FAD032 Redevelopment Agency(RDA)Records: LO GC§60201;SOS c29 Records Regarding Member Agency RDA Required Payment to OCSD 25 Financial Management and Administrative Services Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital General Manager's Office Retention Retention Length Special Storage Number Record Type (Years unless Consideration Media Type Retention Citations Comments Specified) GM0001 Annual OCSD Reports: LO H GC§60201 OCSD Strategic Plan GM0007 GM Monthly Reports 2 GC§60201 LO in BSDO02 as part of Board agenda packet distribution/retention GM0009 Executive Management Team (EMT)Meeting Files: 2 GC§60201; SOS a2 Agenda,Agenda Report, Handouts GM0016 Travel Records 7 GC§60201 GM0017 Executive Management Team (EMT)Meeting Minutes LO GC§60201;SOS a2 26 General Manager's Office Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Human Resources Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Classification&Compensation: 29 CFR§1627.3; GC§12946;GC§60201; HRD001 Class&Comp Studies,Class Specifications,Salary Surveys,Salary Schedules, Pay Types, LO SOS c21 Reclass Requests,Desk Audits Temporary Employees: CL+7 CCP§§336(a),337 et seq.;GC§60201;SOS HRD002 Hiring Documents,Tracking Spreadsheet, Request Forms c22,CCP§343 Deferred Compensation Records: 26 CFR§31.6001-1(e)(2);26 CFR§16001-1; HRD003 Participation Agreements LO 29 CFR§1627.3;SOS c30 District Benefit Contracts: 29 CFR§1627.3(b)(2);-29 USC§1027; 11 HRD004 Health,Dental,Vision,Other Benefit Contracts LO CCR§560;28 CCR§1300.85.1;GC§60201 HRD005 EEO-4 Reports and Files: CL+3 29 CFR§1602.30 Documents Required to Generate EEO-4 Report Employee&Labor Relations Files: 29 CFR§516.5;GC§12946;SOS c20;GC HRD006 Memorandums of Understanding(MOU),Arbitration,Grievances, Union Requests,Employee LO §60201;29 CFR§1602.31;29 CFR Rights,Appeals, Investigations,Performance Improvement Plans(PIP),Disciplinary Actions §1627.3(b)(1)(ii);SOS c20 and Complaints,Sexual Harassment,Civil Rights 27 Human Resources Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Human Resources Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Employee Benefit Plans and Programs: T+7 GC§12946;GC§60201(d)(12);29 CFR HRD007 Health Insurance,Supplemental Life Insurance,Beneficiary Designations, Records, Retirees: §1627.3(b)(2);29 CFR§§1602.30,32; LC Repayment Agreements,Eligibility Changes,Development Pay,Rideshare Death+7 §1197.5 Human Resources/ERP Database: HRD009 Electronic Records Management-JDE,Cornerstone,Workterra(Data Shared Across These LO GC§60201 Systems/Feed Into Each Other) HRD010 1-9 Forms&Self-Identification Forms T+3 8 USC§1 324a(b)(3)(B);8 CFR §1274a.2(b)(2)(i)(A) Medical Files: T+30 8 CCR§3204(d)(1)et seq., GC§§12946, HRD011 Fitness for Duty, Leaves of Absence, Interactive Process,Workers Comp Retirees: 60201 Medical Files are excluded from Personnel Files which are retained in HRD013 Death+30 HRD012 Organization Charts S+2 GC§60201(d)(1)et seq. Personnel Files: Includes Application,Awards, Disciplinary Actions,Certifications,Commendations, 29 CFR§§1602.31,1627.3(b)(ii),8 CCR HRD013 Employment Verifications,(pre-2011)Evaluations,Licenses,Status Change Forms, Policy T+7 V until §3204(d)(1)et seq.,GC§§12946,60201;29 Acknowledgements,Waiver of Responsibility for Voluntary Activities,Training Records, Pay separation USC§1113 Docs,Emergency Contacts,Change of Address,Outside Employment, Resignation Excludes Medical Records which are retained in HRD011 28 Human Resources Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Human Resources Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Recruitment Records: 29 CFR§1602 et seq.&§1627.3(a)(b),2 CCR HRD014 Advertisements,Job Brochures,Test Data, Rating Sheets,Questions, Eligibility Lists, CL+3 §7287.0(c)(2),8 CCR§11040,GC§12946; Electronic/NEOGOV Records SOS c21 Retention begins after hiring decision Training Program Records: HRD015 Class Attendance Sheets,Schedules,Classes Offered,Curriculum or Syllabus,Training T+7 GC§60201;SOS c21 Materials Development(Data Shared Across These Systems/Feed Into Each Other) HRD016 Background Checks: T+7 GC§60201;SOS c21 Candidate Background Checks HRD017 Human Resources Programs: CL+3 EL GC§12946;SOS c20 Rideshare,Tuition Reimbursement,Computer Loan, Development Pay HRD018 District Benefit Plans: EX+5 GC§60201;SOS c21 Benefits Summary Plan Descriptions(Health, Dental,Vision,Other) 29 Human Resources Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed 4 =A-CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Human Resources Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) HRD019 OCSD U(Formerly Known as BLAST)Development Records: LO H EL GC§60201;SOSc28 Research Material,Timeline HRD020 OCSD U(Formerly Known as BLAST)Procedures S+2 EL GC§60201;SOS c23 HRD021 OCSD U(Formerly Known as BLAST)Professional Development Articles From External NN EL GC§60201 Sources HRD022 OCSD U(Formerly Known as BLAST)Program Files: S+2 EL GC§60201;SOS c19 Minutes, Marketing Material, Program/Training Evaluations,Quarterly Reports HRD023 OCSD U(Formerly Known as BLAST)Working Documents: S EL GC§60201 Member Rosters-Active&Inactive 30 Human Resources Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C IConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Human Resources Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) HRD024 Workers Compensation Files, Including Claims LO CCR§14311;§15400.2; LC§110-139.6; SOS c24 31 Human Resources Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software =A-EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN lWhen No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB jObsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Information Technology Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) ITDO01 Access Authorization Forms: T+3 GC§60201 Email Access Requests, Internet Access Requests, Mobile Devices Access ITDO02 Wiring Specs and Test Results-Loop Drawings LF+2 GC§60201; SOS c22;SOS a1 Active until revised/rescinded/superseded System and Software Documentation: Network Design, Instruction,Licenses,License Codes,Agreements,Systems List,Permission SOS c22;GC§60201;GC§34090 et seq.;GC ITD003 to Directories,SharePoint Lists, Hardware and Software Documentation,Source Code, IT S+2 §34090 et seq. Manuals GIS(Geographic Information System)Database: ITDO04 Layers S GC§60200;GC§60201 et seq. Data is interrelated across platforms ITDO05 Information/Activity Logs: 2 GC§60201 Internet,Phone, Badge,Visitors 32 Information Technology Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD JCD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Information Technology Retention Retention Length Special Storage Number Record Type (Years unless Consideration Media Type Retention Citations Comments Specified) ITDO06 IT Help Desk System: CL+3 GC§60201 Service Tickets,Change Requests and Releases ITDO07 Network Diagrams/System Configurations/Maps/Plans 4 GC§60201; GC§34090 et seq.; SOS c22 ITDO08 IT Asset Inventory Database: S+2 GC§60201;GC§34090 et seq. IT Assets, Printers, Hardware,SCCM,Server Lists,Asset Explorer ITDO13 System Log(Database): S+2 SOS c22 Transaction Logs, Error Logs 33 Information Technology Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) cL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software =A-EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN lWhen No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB jObsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C 1Confidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Information Technology Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations/Comments Specified) Recordings of routine video surveillance must be retained for at least one(1)year. Recordings of telephone and radio communications must be retained for at least 100 days. In the event that the recordings are evidence in any claim filed or any pending ITDO15 Video Surveillance Files and System Security Database 1 litigation,they shall be preserved until pending litigation is resolved. Notwithstanding the foregoing,if written minutes or an audio recording of the video surveillance is taken, the video sureveillance can be destroyed after 90 days.The written minutes and audio recording can be destroyed after two(2)years. GC 53160,53161. ITDO16 Two-Way Radio Licensing and Information EX+2 GC§60201; GC§34090 ITDO18 Virtual Computer Files: NN GC§34090.7; SOS c22 Replication for Disaster Recovery Purposes ITDO23 DigSmart/DigAlert Database/Tickets(Formerly Known as USA Tickets) 3 GC§60201 34 Information Technology Adopted: 09/23/2020 Citation Codes Retention Codes z Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H Historical destruction. V IVital Operations & Maintenance Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Chemical Inventory Records(OPERATIONS): GC§60201;49 CFR 172.704(d),49 CFR OMD001 Delivery,Transfer, Usage, Manifest Worksheet, Inventory Logs 2 199.117; SOS c33 OMD002 Complaint Files and Problem Reports(OPERATIONS): 2 EL GC§60201; SOS c42 Related to Organization's Operations-Odor, Noise,Call Center Complaints OMD004 Flow Records(OPERATIONS) LO GC§60201 OMD005 Logs(OPERATIONS): 30 GC§60201 Control Center Plant Operations OMD006 Logs(OPERATIONS): 3 GC§60201;40 CFR 122.410)(2) Operations Monthly Logs, Inspector Diaries,Control Center Visitor Logs OMD007 Monthly Reports: 2 EL GC§60201 Operating and Status Reports, Key Performance Indicator Reports(Generated by 810) 35 Operations and Maintenance Adopted: 09/23/2020 Citation Codes Retention Codes z Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H Historical destruction. V IVital Operations & Maintenance Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) OMD008 O&M Policies&Procedures: S+5 EL GC§60201; SOS c19 Guidelines, Checklists,Standard Operating Procedures OMD009 Operating Journals(OPERATIONS): 2 EL, P GC§60201; GC§53161 Alarm Summary(EL), Operations Round Sheets(EL, P), Midnight Readings(EL) Operating Records(OPERATIONS): OMD010 Activated Sludge(AS)Plant Reports(EL, P),Operator Schedules(P), Biosolids Hauling 5 EL, P GC§60201;40 CFR 122.41 0)(2) Tickets(P), Grit&Screening Tickets(P) Process Data(OPERATIONS): OMD011 Monthly Summary of Operations(MSOs)[ELI,Treatment Plant Operational Data(TPODs) LO EL GC§60201 [ELI AQMD: 1-Cengen Emissions Reports,2-AQMD Round Sheets,3-Flare Reports Emissions Reports are used as part of Title V OMD014 OB+7 P permitting,which is addressed in ESD002; Some of these records are key records to be retained for ESD002,please forward to ES OMD014 needs to match ESD002 for retention if storage becomes burdensome Facility Maintenance&Repair(MAINTENANCE): OMD015 LOTO Audits, Underground Storage Tank Permits,Assessment&Testing Results-Data, LF+2 EL, P GC§60201; SOS c47 Corrective&Preventative Maintenance Records(Job Plans,Work Orders) 36 Operations and Maintenance Adopted: 09/23/2020 Citation Codes Retention Codes z Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H Historical destruction. V IVital Operations & Maintenance Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) Generator Operation Logs(OPERATIONS): GC§34090; logs are used as part of AQMD OMD016 Fixed or Stationary OB+7 P Title V permitting,which is addressed in Some of these records are key records to be retained for ESD002,please forward to ES ESD002; OMD016 needs to match ESDO02 if storage becomes burdensome for retention OMD017 Pressure Vehicle CNG Tank Inspection Certification(FLEET) LF+2 EL, P GC§34090 et.seq.; SOS c47,SOS c47; DMV &State Requirement OMD018 Vehicle Smog Check Inspection Report(FLEET) LF+2 EL, P GC§60201; DMV&State Requirement OMD019 CHP Commercial Inspection: LF+2 P 49 CFR§396.11(c)(2); GC§60201;CHP, DMV Bit Inspection(CHP Commercial Vehicle Inspection),CHP Safety Maintenance Inspection &State Requirement OMD020 Certifications: LF+2 EL, P 8 CCR§14300.33(a); GC§60201 et seq.; LC Mobile Crane,Vehicles, Equipment Calibration Certification §6429c; DMV&State Requirement Chain of Custody: 8 CCR§14300.33(a); GC§60201 et seq.; OMD021 Source Control, Split Sample 5 SOS c21 37 Operations and Maintenance Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConficlential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Operations & Maintenance Retention Retention Length Special Storage Number Record Type (Years Unless Consideration7 Media Type Retention Citations Comments Specified) OMD022 Collection System Process Data(COLLECTIONS): LO GC§60201 Pump Station,CRISP OMD023 Inspection Reports&Photos(COLLECTIONS): 10 GC§60201; SOS c45 Manhole OMD024 Sewer Line Maintenance Files(COLLECTIONS) 10 GC§60201 Vehicle Records(FLEET): OMD026 Equipment Files, Maintenance, Registrations,Vehicle Titles("Pink Slips"),Vehicle Citations LF+2 8 CCR§3203(b)(1),49 CFR§396.21(b)(1),49 Vehicle Titles/Pink Slips are transferred to new owner upon sale of vehicle;all other CFR§396.3(c);CCP§337 et seq.;GC§34090 records are retained until Disposal of Vehicle or Equipment+2 years 38 Operations and Maintenance Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule MCFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Public Affairs ff Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) PA0001 Education Curriculum: S+2 GC§60201;SOS c24 Sewer Science,Water Festival,Other PA0002 Outreach/Event File: S+5 GC§60201; SOS c24 Tour Documentation, RSVP's,Sign-in Sheets,Other Related Information Marketing Material: PA0003 Flyers,General Brochure, Marketing Brochures, Newsletters, Email Blasts, Marketing Related S+7 GC§60201; SOS c19 Presentations/PowerPoi nts GC§60201;SOS c40 PA0006 Press/Media Releases LO H SOS allows S+2;however,based on business needs,preferred retention is LO PA0007 Publication Proofs(Non-Board and/or CPM Related): S+2 GC§60201; SOS c24 General Marketing PA0008 Website Content Archiving S+2 GC§60201 PageFreezer provides services;Board Services manages 39 Public Affairs Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Public Affairs uw- Retention Retention Length Special Storage Number Record Type (Years Unless Consideration7 Media Type Retention Citations Comments Specified) Employee Events: GC§60201 PA0009 Agency Awards,Recognitions,Announcements LO H Legal advice is S+2;however,based on business needs,preferred retention is LO Legislative Files: GC§60201;SOS c28 PA0010 Letters of Support,Opposition LO Legal advice is S+2; however,based on business needds,preferred retention is LO Social Media Archiving: PA0011 Facebook,Twitter,YouTube, Instagram S+2 GC§60201 PageFreezer provides services;Board Services manages Annual Reports: PA0012 OCSD Annual Report, Public Affairs Strategic Plan,Legislative Plan LO H GC§60201 All items taken to the Board for approval(annually,every two years) 40 Public Affairs Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule MCFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Risk Management and Safety ff Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) RMS002 DOT Random Drug&Alcohol Test Records 5 C 29 CFR§1627.3(b)(v);49 CFR§382.401 et seq.;GC§12946,GC§60201 RMS003 Emergency Exercises&Drills,After Action Reports NN GC§60201;29 CFR 1910.119(g),29 CFR §1910.120(q) Emergency Response: GC§60201;29 CFR 1910.119(g),29 CFR RMS004 Response&Disaster Recovery Files, Emergency Operations Center Activiation Notifications& LO §1910.120(q) Records RMS006 Industrial Hygiene&Safety Files-Location: LF 8 CCR§3204;29 CFR§1910 Hazard Assessments,Site Assessments, Industrial Hygiene Reports,Surveys,Audits RMS007 Medical Files-Occupational: T+30 C 8 CCR§3204;29 CFR§1910 Fit Testing OSHA Compliance Records: RMS008 Citations,Appeals Related,Correspondence LO OMB 1220-0029;29 CFR§1904.4; SOS a2 OSHA 300&301 Logs retained in RMS012 41 Risk Management and Safety Adopted: 09/23/2020 Citation Codes Retention Codes z Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SIR Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H Historical destruction. V IVital Risk Management and Safety Retention Retention Length Special Storage Number Record Type (Years Unless Consideration Media Type Retention Citations Comments Specified) 8 CCR§3203 et seq.; GC§60201 et seq. RMS010 Risk&Safety Committee and Meeting Documents 4 Retention aligns with Voluntary Protection Program(VPP) OSHA Logs: 8 CCR§14300.33(a),29 CFR§1904.33,29 RMS012 300&301 Logs 7 CFR§1904.44;GC§60201 et seq.; LC §6429c RMS014 Accident&Incident Records CL+7 GC§60201; CCP§338; CFR§1904.6;SOS c24 RMS015 Asbestos&Lead Abatement Records LO GC§60201; CCR§1529(n)6 Hazardous Materials Records: GC§60201;40 CFR§122.21(p),40 CFR RMS016 Business Plans, Hazardous Materials Inventory, Disclosures 5 §122.41 8 CCR§14300.33(a),29 CFR§1904.33,29 RMS017 Calibration Gas Detectors Annual Recertification 5 P CFR§1904.44;GC§60201 et seq.; LC §6429c 42 Risk Management and Safety Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule CFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Risk Management and Safety Retention Retention Length Special Storage Number Record Type (Years Unless Consideration7 Media Type Retention Citations Comments Specified) 5157(e)(6);5157(d)(14);29 CFR RMS018 Confined Space Records&Entries 4 1910.146(e)(6);40 CFR§122.410)(2);GC 3400,53161;SOS c42 Retention aligns with VPP 8 CCR§3204(d)(1)et seq.,40 CFR Hazardous Waste Records: §122.410)(2),40 CFR§141.33(b),26 CCR RMS019 Manifests, Disposals, Recyclable Non Hazardous Waste Material,Batteries,etc. LO §22-64470(a);GC§12946,§60201;CCR §66262.40(a),§66264.71(b)(6);SOS c47 RMS020 HazMat Permits, Environmental Health Permits: LO GC§60201 Bulk Chemicals, Fire,Battery Storage RMS021 Safety Data Sheets(SDS) LO 8 CCR§5194;29 CFR§1910 Training Records-Safety: GC§60201; SOS c21;Applies to Paper RMS024 Rosters,Syllabus,Schedule,Curriculum Material Only 7 Records RMS025 Training Database LO GC§60201 43 Risk Management and Safety Adopted: 09/23/2020 Citation Codes Retention Codes Orange County Sanitation District CCP Code of Civil Procedure(CA) CL Closed or Completed CCR California Code of Regulations EX Expired or Expiration Records Retention Schedule MCFR Code of Federal Regulations LF Life of Facility,Equip.or Software EC Elections Code(CA) LO Life of Organization or Permanent General Retention Schedule Information GC Government Code(California) MA Maturity H&S Health&Safety Code NN When No Longer Needed • This Records Retention Schedule pertains to any and all Official Records of the Sanitation District regardless of Media IRC Internal Revenue Code OB Obsolete Type. IRS Internal Revenue Service S Superseded LC Labor Code(CA) SP Separated • Public Records Act requests,litigation,audits,claims,and investigations may suspend the stated retention periods PC Penal Code(CA) T Terminated and notification of such will be made.As stated in the Sanitation District's Records Retention Policy,authorization and OMB Office of Management&Budget Media Types proper destruction methods are required prior to destroying all Official Records,regardless of Media Type.When original R&TC Revenue&Taxation Code CD CD records have reached their destruction term,all copies and duplicates must be destroyed,along with the original, SOS Secretary of State EL Electronic regardless of Media Type. USC United States Code FD Floppy Disk • Copies,notes,preliminary drafts,and transitory records are not considered Offical Records and can be destroyed WC Water Code P Paper when no longer needed for Sanitation District business and do not require prior authorization. Special Storage Consideration TA Tapes C lConfidential • Official Records cannot be discarded in trash bins.They must be submitted to Records Management for secure H I Historical destruction. V IVital Risk Management and Safety ff Retention Retention Length Special Storage Number Record Type (Years unless Consideration Media Type Retention Citations Comments Specified) RMS026 Radiation License&Disposal Records LO GC§60201 GC§60201;29 CFR 1910.252,29 CFR RMS027 Job Site Safety Analysis(JSSA),Job Hazard Analysis(JHA), Hot Work Permits 4 1910.132,29 CFR 1904.6;O.M.B.No. 1218- 0176 Retention aligns with VPP RMS028 PPE Assessments S GC§60201;29 CFR 1910.132 GC§60201;29 CFR 1910.147(c)(7), (f)(2), RMS029 Lock Out Tag Out Audits(LOTO) 4 (c)(6) Retention aligns with VPP RMS030 Industrial Hygiene&Safety Files- Personnel: T+30 GC§60201;3204-(d)(1)(B);29 CFR Industrial Hygiene Reports-Air Sampling, Noise Testing and Workplace Contaminants 1910.1020 Vehicle Inspection&Equipment Checks Files: 49 CFR§396.11 (c)(2),49 CFR§396.21(b)(1); RMS032 Daily Safety Checks,Pre-Starts,Commercial Vehicle Pre-Starts and Forklift Inspections, Pre- 4 GC§60201 Trip Inspections,CHP Inspections, Daily Vehicle Inspections, Daily Equipment Checks 44 Risk Management and Safety Adopted: 09/23/2020 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 ADMINISTRATION COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1248 Agenda Date: 9/23/2020 Agenda Item No: 12. FROM: James D. Herberg, General Manager Originator: James D. Herberg, General Manager SUBJECT: GENERAL MANAGER APPROVED PURCHASES AND ADDITIONS TO THE PRE-APPROVED OEM SOLE SOURCE LIST GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: A. Receive and file Orange County Sanitation District purchases made under the General Manager's authority for the period of April 1, 2020 to June 30, 2020; and B. Approve the following additions to the pre-approved OEM Sole Source List for the period of April 1, 2020 to June 30, 2020: • ALHAMBRA FOUNDRY - Manhole Frames and Covers • GARDNER DENVER / HOFFMAN - Blower Equipment, Parts and Service • GEA WESTFALIA - Centrifuge Parts and Service (Replaces OEM Manufacturer WESTFALIA - Name Change) • NUTTAL GEAR - Gear Drive Assembly and Related Parts/Equipment • SCRIPPS INSTITUTION OF OCEANOGRAPHY (SIO) - Ocean Monitoring Program • SPX Flow / LIGHTNIN - Gear Box Repair Parts, Equipment and Service • VAC-CON - Sewer Combo Cleaning Truck Rental BACKGROUND Staff provides the Administration Committee and the Board of Directors quarterly reports of General Manager approved and executed purchases between $50,000 and $100,000; maintenance and repair Services Task Orders between $50,000 and $300,000; and additions to the pre-approved OEM Sole Source List. The list of additions to the pre-approved OEM Sole Source List displays the original equipment manufacturers (OEM) added this quarter that require sole source procurement to maintain, service, or replace equipment currently in operation at Orange County Sanitation District (Sanitation District) facilities because the parts and/or service can only be provided by the OEM or their designated representative. Orange County Sanitation District Page 1 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1248 Agenda Date: 9/23/2020 Agenda Item No: 12. RELEVANT STANDARDS • Quarterly financial reporting • Ensure the public's money is wisely spent PRIOR COMMITTEE/BOARD ACTIONS December 2016 - Minute Order 12(b) authorized the General Manager to ratify additions or deletions to the OEM Sole Source list on the General Manager's quarterly approved purchases agenda report. ADDITIONAL INFORMATION In accordance with Board purchasing policies, Ordinance No. OCSD-52, the General Manager has authority to approve and execute purchases between $50,000 and $100,000. Below is a summary of General Manager approved purchases, in amounts exceeding $50,000, for the fourth quarter of fiscal year 2019-20: Vendor Name Amount Department Description/Discussion ALHAMBRA $65,247.00 Operations & Purchase of Manhole Frames and Covers FOUNDRY CO LTD Maintenance Sole Source Justification 2271 Reason: Unique Product/Service CAL BUILDING $53,260.00 Operations & Fire Suppression System Maintenance, SYSTEMS, INC. Maintenance Testing, and Inspection Services 7/1/20 to /30/21 with 4 Optional 1-Year Renewal Periods Specification No. S-2020-1118 CAPITAL COATINGS $72,360.00 Operations & Plant 2 Effluent Pump Station Annex (EPSA) INDUSTRIAL, INC. Maintenance Suction and Discharge Pipelines Coatings Repairs (CTO-0017) Specification No. S- 020-1145 CORTECH $53,040.00 Dperations & Purchase of 2 Seepex Rotors Board ENGINEERING Maintenance pproved OEM Sole Source List M.O. 12/14/16, Item 12 (B) CR&R $90,000.00 Dperations & Convenience Blanket PO to Provide and Maintenance Dump 40 Trash Dumpsters at Plant 1 & 2 /1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) ENVIRONMENTAL $92,200.00 Administrative ESRI Enterprise Advantage Program, SYSTEMS Services including Technical Advisors, Account RESEARCH Planning, & Webcasts 7/1/20 to 6/30/21 INSTITUTE (ESRI) Board Approved OEM Sole Source List M.O. 12/14/16, Item 12 PRO-CRAFT $95,000.00 Operations & On-Call Plumbing Repair Services 7/1/20 to CONSTRUCTION, Maintenance /30/21 with 4 Optional 1-Year Renewal INC. & VERNE'S Periods Specification No. S-2020-1171 PLUMBING Orange County Sanitation District Page 2 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1248 Agenda Date: 9/23/2020 Agenda Item No: 12. GRAYBAR ELECTRIC $53,000.00 Operations & Lido Pump Station "Turn Key" UPS COMPANY WALNUT Maintenance Replacement US Communities Contract# CA EV2370, in Accordance with Ordinance CSD-52 Section 2.03 (B) Cooperative Purchases GRAYBAR ELECTRIC $80,00.00 Operations & Convenience Blanket PO for Miscellaneous COMPANY WALNUT Maintenance Electrical Parts & Supplies 7/1/20 to 6/30/21 CA GM Article 2, Section 2.2 (b) (1) HOME DEPOT $75,000.00 Administrative Convenience Blanket PO for Miscellaneous Services Material 7/1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) MICROSOFT $97,963.00 Administrative 8mnual Supporting and Consult Services for CORPORATION Services Microsoft Premier 9/17/20 to 9/16/21 Board pproved OEM Sole Source List M.O. 12/14/16, Item 12 NEAC COMPRESSOR$50,531.96 Operations & Purchase of 1 Penn Pro Compressor Sole SERVICE INC. Maintenance Source Justification 2253 Reason: OEM Parts/Materials Available from Only One Source ONESOURCE $80,000.00 Operations & Convenience Blanket PO for Miscellaneous DISTRIBUTORS INC Maintenance Electrical Supplies & Parts 7/1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) ORANGE COUNTY $99,000.00 Administrative Convenience Blanket PO for Notices, REGISTER Services Classifieds, and Legal Advertising 7/1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) PMWEB, INC. $82,500.00 Administrative Support & Maintenance/Hosting for Project Services Management Information System (J-128) 8/1/20 to 7/31/21 Board Approved OEM Sole Source List M.O. 8/28/18, Item 7 PUMPACTION CORP - 90,000.00 Operations & Annual Services on Putzmeister and SHG USA Maintenance Support Equipment at Plant 2 5/15/20 to 5/14/21 Sole Source Justification 2267 Reason: OEM Parts/Materials Available from Only One Source RAINBOW DISPOSAL $90,000.00 Operations & Convenience Blanket PO for Providing and CO., INC. Maintenance Servicing Dumpsters for Plant 1 & 2 7/1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) REGENTS OF UNIV $82,166.67 Administrative Install and Maintain Water Quality Sensors OF CALIFORNIA SD Services on Newport Pier Monitor Station 7/1/20 to 6/30/21 with 4 Optional 1-Year Renewal Periods Sole Source Justification 2243 Reason: Unique Product/Service SAFETY SHOE $70,000.00 Human Convenience Blanket PO for On-Site Safety SERVICES Resources Shoe Service 7/1/20 to 6/30/21 GM Article 2, Section 2.2 (b) (1) SCHWING BIOSET $80,400.28 Operations & Purchase of 2 Hydraulic Cylinders and 2 Maintenance Material Cylinders for Schwing Sludge Transfer Pump Board Approved OEM Sole Source List M.O. 12/14/16, Item 12 Orange County Sanitation District Page 3 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1248 Agenda Date: 9/23/2020 Agenda Item No: 12. SMS PIPELINE dba $69,320.00 Operations & Interplant Digester Gas Pipeline LIBERTY ENERGY Maintenance Maintenance Service 7/1/20 - 6/30/21 with 4 Optional 1-Year Renewal Periods Specification No. S-2020-1138 SPARKLETTS- $60,000.00 Administrative Convenience Blanket PO for Bottled Water DALLAS Services Delivery to Plants 1 and 2 7/1/20 to 6/30/22 GM Article 2, Section 2.2 (b) (1) THOMPSON 55,000.00 Operations & Convenience Blanket PO for Miscellaneous INDUSTRIAL SUPPLY Maintenance Supplies, Gaskets, Bearings, and Seals INC 7/1/20 to 6/30/22 GM Article 2, Section 2.2 (b) (1) TRIMBLE $81,600.00 Administrative Maintenance of the 40 Trimble Unity NAVIGATION LTD Services Platform Licenses 4/9/20 to 4/8/22 Sole Source Justification 2260 Reason: Unique Product/Service U.S. POSTAL $70,000.00 General Convenience Blanket PO with US Postal SERVICE (HASLER) Manager's Office Service (Hasler) for Postage 7/1/20 to 6/30/22 GM Article 2, Section 2.2 (b) (1) UNITED PARCEL $81,600.00 Administrative Convenience Blanket PO for United Parcel SERVICE CERRITOS Services Service Freight Charges 7/1/20 to 6/30/22 CA GM Article 2, Section 2.2 (b) (1) WECK $89,344.00 Environmental Outside Laboratory Testing Services for LABORATORIES, INC. Services Special Projects 7/1/20 to 6/30/21 with 4 Optional 1-Year Renewal Periods Specification No. S-2020-1125 XYLEM DEWATERING 53,375.42 Operations & Purchase of 6-inch Mounted Tier-4 Pump SOLUTIONS / Maintenance and Parts Approved CORF Budget FY 19/20 GODWIN PUMPS Board Approved OEM Sole Source List M.O. 12/14/16, Item 12 In accordance with the same Board purchasing policies, the General Manager has authority to approve and execute maintenance and repair Services Task Orders between $50,000 and $300,000. Below is a summary of General Manager approved maintenance and repair Services Task Orders, in amounts exceeding $50,000, for the fourth quarter of fiscal year 2019-20: Vendor Name Amount Department Description/Discussion CHARLES KING CO $90,700.00 Operations & Rocky Point Pump Station Cable INC Maintenance Replacement (FRC-006) Specification No. OB-2020-1168 of Master Service Contract -2018-942BD-2 O'CONNELL $90,790.00 Operations & Plant 1 Polymer Feed Pump Variable Speed ENGINEERING & Maintenance Drive Replacement Project No. TOB-2020- CONSTRUCTION 1164 of Master Service Contract S-2018- INC I 1942BD-6 ATTACHMENT N/A Orange County Sanitation District Page 4 of 4 Printed on 9/15/2020 powered by LegistarTM oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 ADMINISTRATION COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1249 Agenda Date: 9/23/2020 Agenda Item No: 13. FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: REIMBURSEMENTS TO BOARD MEMBERS AND STAFF GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file report of reimbursements to Board Members and Staff per Government Code Section 53065.5 for the period July 1, 2019 through June 30, 2020. BACKGROUND Government Code Section 53065.5 requires all Special Districts to disclose any reimbursements paid by the district within the immediately preceding fiscal year of at least one hundred dollars ($100) or more for each individual charge for services or product received. The individual charge includes, but is not limited to, tuition reimbursement; certificate or license reimbursement; or meals, lodging, transportation, or registration fee reimbursed to any employee or member of the governing body of the district. The disclosure requirement shall be fulfilled by including the reimbursement information in a document published or printed at least annually by a date determined by that district and shall be made available for public inspection. Attached is the report of these reimbursements for the fiscal year ended June 30, 2020. RELEVANT STANDARDS • Government Code Section 53065.5 PRIOR COMMITTEE/BOARD ACTIONS September 2019 - Annual report of reimbursements per Government Code Section 53065.5 for the period July 1, 2018 through June 30, 2019. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Report of reimbursements per Government Code Section 53065.5 for the period July 1, 2019 through June 30, 2020 Orange County Sanitation District Page 1 of 1 Printed on 9/15/2020 powered by LegistarTM Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 250 689240 Abodia,Mohaab Information Technology Analyst II 238.67 Unity Pro Programming Training Temecula, CA 9/24-9/26/19 160 133276 Abushaban, Randa Regulatory Specialist 4,291.00 Tuition Reimbursement 161 133276 Abushaban, Randa Regulatory Specialist 4,291.00 Tuition Reimbursement 160 673555 Acayan,Antonio Engineer 206.00 Membership Renewal 110 153808 Adams,Matt Senior Plant Operator 150.00 Certification Reimbursement 750 540091 Alexander,Jennifer L. Senior Plant Operator 150.00 Certification Reimbursement 250 267151 Alvarez,Angela N. Principal Accountant 100.00 Certification Reimbursement 620 8133 Amezcua,Gerardo Operations Supervisor 100.00 Employee Appreciation Lunch 880 676289 Anagnostou,Asterios K. Plant Operator 125.00 Certification Reimbursement 870 111587 Andrade, David Lead Mechanic 564.85 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 110 671461 Andrews, Dana V. Senior Construction Inspector 125.00 Certification Reimbursement 110 671461 Andrews, Dana V. Senior Construction Inspector 149.00 NEC Training 9/19/19 110 576333 Andrews, David R. Plant Operator 150.00 Certification Reimbursement 630 8432 Ariston, Emilio Power Plant Operator II 102.00 Certification Reimbursement 160 688781 Baltierra, Lorraine Accounting Assistant II 1,464.50 Tuition Reimbursement 220 688781 Baltierra, Lorraine Accounting Assistant II 1,508.10 Tuition Reimbursement 750 630521 Barela, Gilbert G. Senior Mechanic 190.71 CWEA Board Meeting Reno, NV 10/18/19 630 630521 Barela, Gilbert G. Senior Mechanic 591.67 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 230 401040 Barwick, Kelvin L. Principal Environmental Specialist 2,126.72 Malacologist Meeting Pacific Grove, CA 8/11 -8/17/19 110 9128 Basrai, Shabbir S. Senior Engineer 115.00 Certification Reimbursement 630 681791 Behravan, Pegah Engineer 115.00 Certification Reimbursement 160 681791 Behravan, Pegah Engineer 140.00 Membership Renewal 160 659833 Berokoff, Daniel D. Engineer 115.00 Certification Reimbursement 110 511556 Biedermann, Jason C. Mobile Crane Operator 695.00 Certification Reimbursement 830 511556 Biedermann, Jason C. Mobile Crane Operator 996.27 Crane Operator Training Las Vegas, NV 3/9-3/14/20 220 676131 Breiter,Michelle L. Senior Environmental Specialist 1,066.36 CSQA Conference Monterey, CA 10/5- 10/9/19 161 9110 Brown,Jeffrey Senior Engineer 225.00 Certification Reimbursement 880 684060 Brown,Megan Plant Operator 125.00 Certification Reimbursement 160 164718 Cabral,James Maintenance Supervisor 104.00 Certification Reimbursement 160 111202 Cabral, Jennifer M. Administration Manager 635.79 CASA Winter Conference Indian Wells,CA 1/21 - 1/23/20 110 9187 Cady, Pongsakdi Information Technology Supervisor 948.63 Gartner Conference Las Vegas, NV 12/8- 12/12/19 160 9187 Cady, Pongsakdi Information Technology Supervisor 715.27 MISAC Conference Monterey, CA 9/29- 10/2/19 160 9187 Cady, Pongsakdi Information Technology Supervisor 1,703.96 RSA Conference San Francisco, CA 2/24-2/28/20 770 648819 Calvo, Reed Lead Storekeeper 1,074.74 Tuition Reimbursement 620 648819 Calvo, Reed Lead Storekeeper 1,188.87 Tuition Reimbursement 760 667913 Camarillo, Frank Plant Operator 150.00 Certification Reimbursement 110 640542 Cardenas, Kim A. Accounting Supervisor 120.00 Certification Reimbursement 250 79935 Cassidy,William D. Engineering Supervisor 116.00 Certification Reimbursement 160 79935 Cassidy,William D. Engineering Supervisor 102.00 Certification Reimbursement 160 79935 Cassidy,William D. Engineering Supervisor 191.57 CWEA Board Meeting Reno, NV 10/17- 10/18/19 620 666099 Chandler, Celia M. Director of Human Resources 2,054.62 CALPELRA Conference Monterey, CA 11/18- 11/22/19 750 687332 Chandupatla, Pragathi R. Information Technology Analyst III 1,027.56 Microsoft Training San Diego, CA 9/29- 10/3/19 870 8766 Cheffs, Peter Lead Mechanic 556.73 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 750 7819 Cleveland, Donald R. Lead Mechanic 104.00 Certification Reimbursement 830 539321 Collins, Rodney L. Safety&Health Supervisor 330.00 Certification Reimbursement 820 671883 Compton,Travis J. Electrical Technician II 175.00 Certification Reimbursement 161 671883 Compton,Travis J. Electrical Technician II 140.28 Tuition Reimbursement 250 671883 Compton,Travis J. Electrical Technician II 226.00 Tuition Reimbursement Prepared By: Lisa Henshaw Page 1 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 630 515451 Connor,Matthew J. Senior Plant Operator 150.00 Certification Reimbursement 750 528841 Coronet, Robbie A. Maintenance Specialist 150.00 Certification Reimbursement 840 485124 Coss, Ronald J. Environmental Laboratory Et Operations Manager 104.00 Certification Reimbursement 830 554548 Crider,Suzanne A. Principal Staff Analyst 500.00 AACE Virtual Conference 160 554548 Crider,Suzanne A. Principal Staff Analyst 1,895.00 Certification Reimbursement 630 554548 Crider,Suzanne A. Principal Staff Analyst 129.00 Membership Renewal 770 405868 Cuellar, Raul Engineering Supervisor 115.00 Certification Reimbursement 840 662400 Cutler, Donald W. Engineering Supervisor 225.00 Certification Reimbursement 830 288075 DaSilva,Andy Engineer 115.00 Certification Reimbursement 160 288075 DaSilva,Andy Engineer 332.00 Membership Renewal 161 288075 DaSilva,Andy Engineer 2,393.72 Tuition Reimbursement 250 651461 Davies, Cyril Senior Engineer 115.00 Certification Reimbursement 160 651461 Davies, Cyril Senior Engineer 743.92 NFPA Training Las Vegas, NV 3/8-3/11/20 250 176014 DeVries, Patrick Thys Principal Human Resources Analyst 160.00 Certification Reimbursement 160 323256 Dhodia, Hemal Engineer 115.00 Certification Reimbursement 160 96903 Diaz,Arturo Principal Environmental Specialist 192.00 Membership Renewal 110 113953 Dix,Martin A. Engineering Supervisor 129.00 Certification Reimbursement 250 635743 Downer, Sid M. Lead Plant Operator 365.00 Certification Reimbursement 840 635743 Downer, Sid M. Lead Plant Operator 255.00 Certification Reimbursement 620 669581 Dudek,Marta A. Environmental Specialist 2,872.36 Tuition Reimbursement 110 681256 Escobar, Kevin A. Source Control Inspector 1 388.74 Tri-State Collection Training Las Vegas, NV 8/6-8/8/19 220 681256 Escobar, Kevin A. Source Control Inspector 1 549.45 Tuition Reimbursement 160 293819 Escobar, Santiago A. Associate Engineer 250.00 Certification Reimbursement 750 660287 Fenton, Justin M. Engineering Supervisor 115.00 Certification Reimbursement 160 573221 Fernandez, Birger L. Engineer 225.00 Certification Reimbursement 630 573221 Fernandez, Birger L. Engineer 115.00 Certification Reimbursement 230 417172 Ferraro, Benjamin J. Senior Environmental Specialist 195.74 Laboratory Aquarium Supplies 230 2015 Ferry, Cynthia L. Administrative Assistant 102.30 Kitchen Supplies for P1 Ops Staff 250 2015 Ferry, Cynthia L. Administrative Assistant 315.62 OCSD/OCWD Ops Luncheon 880 2015 Ferry, Cynthia L. Administrative Assistant 116.80 Snacks for 2019 Open House 160 2015 Ferry, Cynthia L. Administrative Assistant 126.68 Staff Appreciation Supplies 161 404081 Finch,Joel C. Senior Environmental Specialist 1,321.86 Tuition Reimbursement 161 404081 Finch,Joel C. Senior Environmental Specialist 1,321.86 Tuition Reimbursement 161 404081 Finch,Joel C. Senior Environmental Specialist 2,377.64 Tuition Reimbursement 110 404081 Finch,Joel C. Senior Environmental Specialist 2,872.36 Tuition Reimbursement 822 683796 Finkelstein, Brian P. Associate Engineer 115.00 Certification Reimbursement 160 683796 Finkelstein, Brian P. Associate Engineer 140.00 Membership Renewal 160 683796 Finkelstein, Brian P. Associate Engineer 180.00 Membership Renewal 160 579420 Fladrich, John C. Senior Plant Operator 150.00 Certification Reimbursement 830 108644 Francis,Victoria L. Senior Engineer 1,107.02 ASCE Conference Nashville,TN 7/20-7/24/19 840 108644 Francis,Victoria L. Senior Engineer 225.00 Certification Reimbursement 630 681088 Frattali,John M. Safety Et Health Supervisor 170.00 Certification Reimbursement 630 681088 Frattali,John M. Safety&Health Supervisor 270.00 Certification Reimbursement 630 681088 Frattali,John M. Safety Et Health Supervisor 180.00 Certification Reimbursement 830 681088 Frattali,John M. Safety&Health Supervisor 112.65 ICS 400 Training Riverside, CA 9/4-9/5/19 770 681088 Frattali,John M. Safety Et Health Supervisor 209.56 OSHA Training San Diego, CA 10/14- 10/16/19 160 681088 Frattali,John M. Safety&Health Supervisor 279.41 OSHA Training San Diego, CA 8/12-9/5/19 870 675201 Freeman,Jesse M. Maintenance Specialist 288.00 Certification Reimbursement Prepared By: Lisa Henshaw Page 2 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 110 336348 French,John W. Engineer 115.00 Certification Reimbursement 630 370861 Frigo, Lisa A. Environmental Supervisor 387.83 CASA Winter Conference Indian Wells, CA 1/21 - 1/23/20 110 648421 Frost,April Operations Supervisor 150.00 Certification Reimbursement 160 648421 Frost,April Operations Supervisor 1,860.17 Tuition Reimbursement 630 678575 Gass, Beck T. Maintenance Supervisor 215.00 Certification Reimbursement 160 568641 Gerber, Harold T. Engineering Supervisor 115.00 Certification Reimbursement 630 568641 Gerber, Harold T. Engineering Supervisor 192.00 Membership Renewal 630 568641 Gerber, Harold T. Engineering Supervisor 158.00 Membership Renewal 830 568641 Gerber, Harold T. Engineering Supervisor 317.52 NACWA Conference Austin,TX 11/19- 11/22/19 760 497900 Gilbert,William L. Construction Inspection Supervisor 265.00 Certification Reimbursement 830 680481 Gillon, Camille E. Human Resources Analyst 1,491.00 Tuition Reimbursement 220 680481 Gillon, Camille E. Human Resources Analyst 1,491.00 Tuition Reimbursement 760 668772 Goldsmith,Matthew G. Construction Inspector 475.00 Certification Reimbursement 740 653757 Gomez, Charmayne B. Administrative Assistant 553.39 Employee Appreciation Lunch 620 653757 Gomez, Charmayne B. Administrative Assistant 138.00 Tuition Reimbursement 620 653757 Gomez, Charmayne B. Administrative Assistant 206.00 Tuition Reimbursement 620 653757 Gomez, Charmayne B. Administrative Assistant 239.00 Tuition Reimbursement 630 653757 Gomez, Charmayne B. Administrative Assistant 286.00 Tuition Reimbursement 630 653757 Gomez, Charmayne B. Administrative Assistant 552.00 Tuition Reimbursement 160 647269 Gonzales, Casey Plant Operator 150.00 Certification Reimbursement 160 674689 Gonzales,Jed C. Maintenance Superintendent 995.00 Certification Reimbursement 820 674689 Gonzales,Jed C. Maintenance Superintendent 995.00 Certification Reimbursement 110 647242 Gonzalez, Lorenzo Senior Plant Operator 150.00 Certification Reimbursement 870 674021 Gonzalez,Mike Electrical Technician II 132.05 Certification Reimbursement 160 681740 Gozon,Arlan I. Maintenance Specialist 300.00 Certification Reimbursement 750 681740 Gozon,Arlan I. Maintenance Specialist 207.92 Mileage Reimbursement 8/10-8/25/19 160 294491 Grande, Steve Lead Mechanic 613.25 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 750 687121 Hachim, Sabrina Z. Safety Et Health Representative 1,026.41 OSHA Training San Diego, CA 3/8- 3/12/20 110 32441 Halverson, David P. Engineering Supervisor 115.00 Certification Reimbursement 161 614897 Hamilton, Bradley A. Information Technology Supervisor 874.68 Cornerstone Training Santa Monica, CA 11/12- 11/14/19 630 459971 Haney, Lisa Regulatory Specialist 849.47 CASA Annual Conference San Diego, CA 8/21 -8/23/19 630 459971 Haney, Lisa Regulatory Specialist 1,519.98 NACWA Conference Minneapolis,MN 7/16-7/19/19 870 673601 Harris, Sterling W. Senior Engineer 115.00 Certification Reimbursement 160 673601 Harris, Sterling W. Senior Engineer 391.48 Tuition Reimbursement 161 673601 Harris, Sterling W. Senior Engineer 395.40 Tuition Reimbursement 160 673601 Harris, Sterling W. Senior Engineer 450.00 Tuition Reimbursement 840 673601 Harris, Sterling W. Senior Engineer 771.45 Tuition Reimbursement 110 11199 Haworth,Michael T. Operations Supervisor 150.00 Certification Reimbursement 840 5019 Herberg,James D. General Manager 395.54 CASA Annual Conference San Diego, CA 8/21 -8/23/19 160 5019 Herberg,James D. General Manager 555.74 CASA Strategic Planning Session Sacramento, CA 12/4- 12/6/19 710 5019 Herberg,James D. General Manager 264.87 CASA Winter Conference Indian Wells, CA 1/21 - 1/22/20 610 5019 Herberg,James D. General Manager 1,304.14 WEFTEC Conference Chicago, IL 9/22-9/25/19 160 675251 Hernandez,Angel J. Lead Instrumentation Technician 180.00 Certification Reimbursement 160 675251 Hernandez,Angel J. Lead Instrumentation Technician 200.00 Tuition Reimbursement 750 5023 Hetherington,Michelle R. Senior Engineer 225.00 Certification Reimbursement 160 678399 Hino,Michael R. Senior Information Technology Analyst 987.81 ESRI User Conference San Diego, CA 7/9-7/11/19 760 664421 Ho, Chia Feng Maintenance Supervisor 1,234.64 SMRP Conference Louisville, KY 10/6- 10/10/19 250 685337 Horn,Curtis R. Engineer 160.00 Membership Renewal Prepared By: Lisa Henshaw Page 3 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 630 172486 Hsiao, Lina Accounting Supervisor 137.76 GFOA Training Long Beach, CA 2/3-2/6/20 110 683948 Huynh, Brian Safety&Health Representative 548.00 Certification Reimbursement 880 683948 Huynh, Brian Safety Et Health Representative 146.56 OSHA Training Carson, CA 10/2- 10/4/19 750 298273 Jaime,Aurelio Senior Mechanic 104.00 Certification Reimbursement 630 579446 Jenkins, Stuart A. Senior Plant Operator 150.00 Certification Reimbursement 840 664641 Johnson, Christopher L. Senior Plant Operator 170.00 Certification Reimbursement 160 664641 Johnson, Christopher L. Senior Plant Operator 230.00 Certification Reimbursement 160 664659 Jones,Christopher N. Plant Operator 225.00 Certification Reimbursement 870 682267 Kaur, Kiranpreet Engineer 180.00 Membership Renewal 160 682267 Kaur, Kiranpreet Engineer 140.00 Membership Renewal 220 9523 Kawamoto,Mark H. Engineering Supervisor 2,702.44 WEFTEC Conference Chicago, IL 9/22-9/25/19 830 599885 Keen, Edward V. Lead Instrumentation Technician 205.00 Petty Cash Reimbursement 3/27-5/21/20 620 121355 Khublall, Hardat S. Senior Engineer 115.00 Certification Reimbursement 620 121355 Khublall, Hardat S. Senior Engineer 225.00 Certification Reimbursement 160 121355 Khublall, Hardat S. Senior Engineer 164.00 Membership Renewal 160 670936 Kiang,Yen-Po Senior Environmental Specialist 2,872.36 Tuition Reimbursement 750 640921 Kibby,Mark A. Boat Captain 635.08 Pacific Marine Expo Seattle,WA 11/21 - 11/23/19 160 131983 Klinger, Laurie J. Senior Human Resources Analyst 150.00 Certification Reimbursement 750 563671 Lagade, Jackie M Principal Buyer 650.00 Certification Reimbursement 760 186706 Lahlou,Michael Associate Engineer 174.00 Membership Renewal 760 89914 Lapite, Elizabeth A. Administrative Assistant 1,050.00 Tuition Reimbursement 160 655461 Long, Rebecca Senior Public Affairs Specialist 602.33 CASA Annual Conference San Diego, CA 8/21 -8/23/19 630 655461 Long, Rebecca Senior Public Affairs Specialist 191.05 CASA Winter Conference Indian Wells, CA 1/21 - 1/23/20 620 655461 Long, Rebecca Senior Public Affairs Specialist 1,486.59 DC Policy Forum Washington, DC 2/23-2/26/20 820 397280 Lopez,John M. Plant Operator 150.00 Certification Reimbursement 870 3532 Losurdo, Linda Administrative Assistant 155.13 Petty Cash Reimbursement 4/13-6/15/20 760 123959 Luna, Lourdes Human Resources Assistant 3,000.00 Tuition Reimbursement 160 123959 Luna, Lourdes Human Resources Assistant 3,000.00 Tuition Reimbursement 760 672587 Maldonado,Miguel A. Electrical Technician II 295.68 Certification Reimbursement 770 385422 Mansell II, Selwyn D. Operations Supervisor 100.00 Employee Appreciation Lunch 160 385422 Mansell II, Selwyn D. Operations Supervisor 100.00 Employee Appreciation Lunch 870 497467 Martinez, Chad M. Source Control Inspector I 447.67 Tri-State Collection Training Las Vegas, NV 8/6-8/8/19 161 684457 Matthews, Enisha C. Accounting Assistant II 1,553.13 Tuition Reimbursement 830 684457 Matthews, Enisha C. Accounting Assistant II 3,187.00 Tuition Reimbursement 630 2040 May,Todd A. Maintenance Specialist 102.00 Certification Reimbursement 830 2049 McKinley, Lorinda Principal Environmental Specialist 195.00 Membership Renewal 830 2049 McKinley, Lorinda Principal Environmental Specialist 225.00 Membership Renewal 110 624016 Mendez,Marcos D. Data Management Technician II 285.00 Certification Reimbursement 110 624016 Mendez,Marcos D. Data Management Technician II 473.83 ESRI User Conference San Diego, CA 7/10-7/11/19 160 73445 Meregillano,Tom B. Senior Regulatory Specialist 529.92 Bioresources Symposium Sacramento, CA 11/14- 11/15/19 110 73445 Meregillano,Tom B. Senior Regulatory Specialist 196.20 CASA Meeting Oakland, CA 12/13/19 220 73445 Meregillano,Tom B. Senior Regulatory Specialist 1,486.27 WEFTEC Conference Chicago, IL 9/22-9/25/19 110 149155 Michaels, Robert Information Technology System Et Operations Manager 506.94 ESRI User Conference San Diego, CA 7/9-7/10/19 760 149155 Michaels, Robert Information Technology System Et Operations Manager 1,771.31 RSA Conference San Francisco,CA 2/24-2/28/20 750 4049 Millea, Kathleen T. Director of Engineering 437.81 Engineering Retreat Irvine, CA 10/24/19 760 4049 Millea, Kathleen T. Director of Engineering 150.00 Reimbursement PMP 630 574944 Mohr,Jeffrey D. Engineering Manager 115.00 Certification Reimbursement 140 574944 Mohr, Jeffrey D. Engineering Manager 328.00 Membership Renewal Prepared By: Lisa Henshaw Page 4 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 140 574944 Mohr, Jeffrey D. Engineering Manager 129.00 Membership Renewal 740 667606 Montes,Julio C. Maintenance Specialist 492.59 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 160 687308 Montoya,Adam M. Human Resources Analyst 584.31 NEOGov Conference Las Vegas, NV 10/7- 10/10/19 620 120053 Morey,Michael N. Senior Plant Operator 150.00 Certification Reimbursement 160 157139 Murra,Cindy K. Engineer 115.00 Certification Reimbursement 760 157139 Murra,Cindy K. Engineer 959.25 WEFTEC Conference Chicago, IL 9/22-9/24/19 740 37014 Murthy, Umesh N. Engineering Supervisor 167.71 Certification Reimbursement 620 37014 Murthy, Umesh N. Engineering Supervisor 225.00 Certification Reimbursement 750 4067 Myer,John T. Lead Instrumentation Technician 115.90 Mileage Reimbursement 7/26-7/28/19 760 64362 Myers, Dawn K. Senior Environmental Specialist 120.55 Tuition Reimbursement 140 671891 Namini,Shahrzad F. Senior Engineer 175.00 Membership Renewal 770 671891 Namini,Shahrzad F. Senior Engineer 100.00 Membership Renewal 220 653749 Nasrollahi, Nasrin Senior Engineer 1,500.00 Certification Reimbursement 160 325956 Newsom,Adam P. Reliability Maintenance Technicial 300.00 Certification Reimbursement 110 671171 Nguyen,Man D. Information Technology Analyst III 1,307.21 Quayls Security Conference Las Vegas, NV 11/17- 11/21/19 750 4010 Nguyen, Quynh D. Engineering Associate 350.41 ESRI Conference San Diego, CA 7/9-7/10/19 110 647154 Nguyen,Tiffany H. Senior Human Resources Analyst 1,854.88 Certification Reimbursement 630 588318 Oberly,Michael A. Maintenance Specialist 220.00 Certification Reimbursement 630 681774 Oh, Hye Young Engineer 150.00 Certification Reimbursement 840 681774 Oh, Hye Young Engineer 115.00 Certification Reimbursement 160 681774 Oh, Hye Young Engineer 139.00 Membership Renewal 770 684051 Oruna,Michael A. Plant Operator 125.00 Certification Reimbursement 820 684051 Oruna,Michael A. Plant Operator 172.30 Tuition Reimbursement 160 662063 Paik, Sang Principal Information Technology Analyst 470.92 Certification Reimbursement 840 662063 Paik, Sang Principal Information Technology Analyst 445.50 Certification Reimbursement 840 107545 Pantoja, Enrique Senior Plant Operator 150.00 Certification Reimbursement 630 335847 Paramo, Fernando Welder/Fabricator 119.90 Certification Reimbursement 160 647285 Park, Heather Buyer 156.38 CAPPO Conference San Diego, CA 2/20/20 620 647285 Park, Heather Buyer 453.60 Tuition Reimbursement 870 647285 Park, Heather Buyer 1,008.42 Tuition Reimbursement 870 647285 Park, Heather Buyer 1,632.25 Tuition Reimbursement 160 647285 Park, Heather Buyer 1,662.40 Tuition Reimbursement 230 165315 Patel, Samir Senior Information Technology Analyst 939.58 JDE Quest InFocus Conference Denver, CO 8/19-8/22/19 630 4033 Patel, Sejal Engineer 116.00 Certification Reimbursement 880 687041 Patlan, Emanuel Maintenance Worker 190.00 Certification Reimbursement 822 687375 Phan,Anthony P. Associate Engineer 116.00 Certification Reimbursement 840 687375 Phan,Anthony P. Associate Engineer 541.59 Certification Reimbursement 830 3539 Phonsiri,Vanh Principal Environmental Specialist 1,496.03 ACS Expo San Diego, CA 8/24-8/27/19 760 3539 Phonsiri,Vanh Principal Environmental Specialist 1,145.04 SeaTac Conference Durham, NC 8/11 -8/15/19 630 3540 Phuong, Ddaze Lead Plant Operator 150.00 Certification Reimbursement 110 277093 Pilko,Victoria Construction In Progress Project Manager 225.00 Certification Reimbursement 230 112782 Pimentel,Anthony R. Principal Environmental Specialist 154.97 Laboratory Supplies 160 667956 Powell,Jonathon E. Source Control Supervisor 450.98 ESRI User Conference San Diego, CA 7/10-7/11/19 160 676140 Rahman,Adnan Associate Engineer 348.65 Certification Reimbursement 160 678250 Raiford, Ryan M. Lead Instrumentation Technician 674.87 Tri-State Collection Training Las Vegas, NV 8/5-8/8/19 160 669484 Ramos, Gloria Administrative Assistant 1,872.00 Tuition Reimbursement 620 669484 Ramos, Gloria Administrative Assistant 3,378.00 Tuition Reimbursement 760 664851 Ratto,Valerie I. Senior Engineer 116.00 Certification Reimbursement Prepared By: Lisa Henshaw Page 5 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 160 664851 Ratto,Valerie I. Senior Engineer 574.94 CWEA Board Meeting La Jolla, CA 1/23- 1/25/20 160 664851 Ratto,Valerie I. Senior Engineer 598.47 CWEA Board Meeting Oakland, CA 6/27-6/29/19 620 664851 Ratto,Valerie I. Senior Engineer 183.64 CWEA Board Meeting Reno, NV 10/17- 10/18/19 630 682785 Raya, Paul A. Environmental Technician 192.00 Certification Reimbursement 760 682785 Raya, Paul A. Environmental Technician 120.55 Tuition Reimbursement 610 3558 Reed, Brian K. Principal Environmental Specialist 1,469.09 WEFTEC Conference Chicago, IL 9/22-9/25/19 160 687316 Ritchie,Wallace R. Controller 103.20 GFOA Training Garden Grove, CA 10/21 - 10/24/19 620 4076 Robertson, George L. Senior Scientist 200.81 CalCofi Conference La Jolla, CA 12/2- 12/3/19 760 4076 Robertson, George L. Senior Scientist 109.40 Ocean Protection Meeting Sacramento, CA 2/26/20 760 4076 Robertson, George L. Senior Scientist 116.50 Ocean Protection Meeting Sacramento, CA 11/13/19 630 4076 Robertson, George L. Senior Scientist 380.32 Ocean Research Worshop Moss Landing, CA 9/4-9/6/19 630 4076 Robertson, George L. Senior Scientist 1,769.10 Ocean Science Meeting San Diego, CA 2/16-2/21/20 160 4076 Robertson, George L. Senior Scientist 305.98 So. Cal Coastal Ocean Observing System Meeting Sacramento, CA 11/19- 11/19/20 750 667729 Robledo,Joseph P. Senior Environmental Specialist 650.00 Tuition Reimbursement 161 255775 Rocha,Milton Lead Plant Operator 267.16 Tuition Reimbursement 161 255775 Rocha,Milton Lead Plant Operator 472.76 Tuition Reimbursement 160 255775 Rocha,Milton Lead Plant Operator 751.38 Tuition Reimbursement 750 4077 Rodriguez, David Engineer 104.00 Certification Reimbursement 230 4077 Rodriguez, David Engineer 104.00 Membership Renewal 230 4077 Rodriguez, David Engineer 192.00 Membership Renewal 160 4085 Sakamoto, Ken A. Senior Environmental Specialist 565.63 ESRI Conference San Diego, CA 7/8-7/10/19 830 4085 Sakamoto, Ken A. Senior Environmental Specialist 239.48 ESRI GIS Forum Redlands, CA 11/5- 11/7/19 880 4085 Sakamoto, Ken A. Senior Environmental Specialist 250.00 ESRI GIS Forum Registration Redlands, CA 11/5- 11/7/19 820 649897 Santos, Robert Welder/Fabricator 119.90 Certification Reimbursement 870 624032 Saqui,Annalisa S. Information Technology Analyst III 947.61 ESRI User Conference San Diego, CA 7/8-7/10/19 160 501059 Schuler, Kevin A. Maintenance Superintendent 104.00 Certification Reimbursement 140 501059 Schuler, Kevin A. Maintenance Superintendent 102.00 Certification Reimbursement 630 501059 Schuler, Kevin A. Maintenance Superintendent 460.00 Membership Renewal 630 156540 Shawver, David Board of Directors 724.66 CASA Annual Conference San Diego, CA 8/21 -8/23/19 870 156540 Shawver, David Board of Directors 544.74 CASA Winter Conference Indian Wells,CA 1/21 - 1/23/20 770 156540 Shawver, David Board of Directors 795.77 Urban Water Institute Conference San Diego, CA 8/13-8/16/20 760 4103 Shelp, Curt V. Operations Supervisor 163.13 Safety Boots 820 674494 Siddiqui, Shaun A. Senior Plant Operator 160.00 Certification Reimbursement 630 683809 Singh,Justin R. Safety Et Health Representative 440.00 Certification Reimbursement 880 683809 Singh,Justin R. Safety Et Health Representative 186.85 OSHA Training San Bernardino, CA 7/29-7/31/19 610 672843 Sobhani, Reza Associate Engineer 686.59 WEFTEC Abstract Review San Antonio,TX 2/6-2/8/20 230 672843 Sobhani, Reza Associate Engineer 1,194.42 WEFTEC Conference Chicago, IL 9/22-9/25/19 110 5038 Sohanaki, Roya Engineering Manager 1,155.58 NACWA Conference Austin,TX 11/19- 11/23/19 770 668027 Soriano,Melissa B. Source Control Inspector 1 380.86 Tri-State Collection Training Las Vegas, NV 8/6-8/8/19 160 351425 Speakman, Steven R. Senior Engineer 115.00 Certification Reimbursement 630 465246 Stahl, Keith C. Plant Operator 150.00 Certification Reimbursement 620 448892 Stewart, Ruben L. Lead Plant Operator 150.00 Certification Reimbursement 630 336276 Stokes, Don F. Maintenance Manager 104.00 Certification Reimbursement 630 336276 Stokes, Don F. Maintenance Manager 104.00 Certification Reimbursement 630 336276 Stokes, Don F. Maintenance Manager 332.00 Membership Renewal 630 680659 Stone, Jereme J. Senior Safety Et Health Representative 110.00 Certification Reimbursement 630 680659 Stone,Jereme J. Senior Safety Et Health Representative 200.00 Certification Reimbursement 160 680659 Stone, Jereme J. Senior Safety Et Health Representative 151.43 OSHA Training Carson, CA 10/2- 10/4/19 Prepared By: Lisa Henshaw Page 6 of 7 8/20/2020 Public Disclosure Reports- Reimbursements by OCSD July 1, 2019 through June 30, 2020 Div. Emp# Name Title Amount Description Site Location Duration 250 253649 Stratmoen, Erik D. Lead Mechanic 104.00 Certification Reimbursement 160 676254 Suchor, Glenn W. Senior Construction Inspector 125.00 Certification Reimbursement 830 5057 Swindler, John W. Information Technology System Et Operations Manager 1,599.55 Info-Tech Live Meeting Las Vegas, NV 11/18- 11/21/19 110 639103 Tagumasi, Romeo V. Data Management Technician 11 138.69 ESRI User Conference San Diego, CA 7/11/19 160 366352 Tang, Luc H. Senior Mechanic 2,737.95 Tuition Reimbursement 160 668810 Terrell, Brian D. Engineer 475.00 Certification Reimbursement 160 130850 Terriquez, Laura A. Senior Environmental Specialist 141.56 ESRI GIS Forum Redlands, CA 11/5- 11/6/19 250 130850 Terriquez, Laura A. Senior Environmental Specialist 200.00 ESRI GIS Forum Registration Redlands, CA 11/5- 11/6/19 160 130850 Terriquez, Laura A. Senior Environmental Specialist 105.00 ESRI User Conference San Diego, CA 7/8-7/10/19 110 35650 Thiede, Robert J. Principal Project Controls Analyst 129.00 Certification Reimbursement 630 2547 Thompson, Robert C. Assistant General Manager 116.00 Certification Reimbursement 160 664763 Trang, Loc T. Principal Information Technology Analyst 709.32 Gartner Conference Las Vegas, NV 12/8- 12/12/19 750 128805 Van Exel, Rachel J. Principal Environmental Specialist 1,032.02 Environmental Symposium Jacksonville, FL 8/4-8/9/19 160 477693 Villalobos, Ginetto Lead Mechanic 175.63 Vactor Mechanics Training Streator, IL 7/15-7/19/19 840 678971 Wable,Milind V. Senior Engineer 225.00 Certification Reimbursement 840 678971 Wable,Milind V. Senior Engineer 115.00 Certification Reimbursement 830 678971 Wable,Milind V. Senior Engineer 115.00 Certification Reimbursement 250 678971 Wable,Milind V. Senior Engineer 332.00 Membership Renewal 830 683518 Waltz,Todd J. Senior Engineer 116.00 Certification Reimbursement 160 683905 Weinberg,April L. Information Technology Analyst III 1,333.12 Microsoft Training San Diego, CA 9/29- 10/3/19 870 569686 Whitney, Robert M. Senior Construction Inspector 150.00 Commercial Et Industrial Wiring Training 830 688773 Wiborg, Lan C. Director of Environmental Services 114.00 AWCA Conference San Diego, CA 12/3- 12/4/19 110 688773 Wiborg, Lan C. Director of Environmental Services 142.00 CASA Annual Conference San Diego, CA 8/21 -8/23/19 110 688773 Wiborg, Lan C. Director of Environmental Services 262.00 NACWA Conference Minneapolis,MN 7/15-7/18/19 610 688773 Wiborg, Lan C. Director of Environmental Services 130.00 WateReuse Symposium San Diego, CA 9/8-9/11/19 822 687279 Woods,Adam J. Plant Operator 125.00 Certification Reimbursement 840 90413 Yager, David M. Source Control Inspector II 183.00 Certification Reimbursement 820 351409 Yin, Shuang Senior Engineer 115.00 Certification Reimbursement 630 351409 Yin, Shuang Senior Engineer 225.00 Membership Renewal 630 573247 Yong, Eros Engineering Manager 225.00 Certification Reimbursement 160 573247 Yong, Eros Engineering Manager 129.89 Employee Appreciation Lunch 160 684078 Zapien, Enrique Plant Operator 110.00 Certification Reimbursement 840 8230 Zedek,Michael I. Senior Engineer 339.55 ESRI Conference San Diego, CA 7/1 7/11/19 110 8230 Zedek,Michael I. Senior Engineer 1,436.18 Tuition Reimbursement 160 8230 Zedek,Michael 1. Senior Engineer 1,436.18 Tuition Reimbursement 160 8230 Zedek,Michael I. Senior Engineer 2,377.64 Tuition Reimbursement 110 8176 Zeller, Paula A. Senior Plant Operator 150.00 Certification Reimbursement 630 8176 Zeller, Paula A. Senior Plant Operator 150.00 Certification Reimbursement 740 689830 Zintzun, Ruth C. Purchasing EL Contracts Manager 600.00 Employee Appreciation Lunch $179,030.78 Sources: Reimbursement Data from JDE Tuition and Certification Data from Payroll Prepared By: Lisa Henshaw Page 7 of 7 8/20/2020 oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 ADMINISTRATION COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1250 Agenda Date: 9/23/2020 Agenda Item No: 14. FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: TREASURER'S REPORT FOR THE FOURTH QUARTER ENDED JUNE 30, 2020 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the Orange County Sanitation District Fourth Quarter Treasurer's Report for the period ended June 30, 2020. BACKGROUND The Quarterly Treasurer's Report contains financial portfolio performance with respect to the Orange County Sanitation District's (Sanitation District) funds. Both Long-Term and Liquid Operating Monies Portfolios are summarized. A performance summary table can be found on page 2. The report also contains information on the U.S. and global economic outlook from the Sanitation District's investment manager, Chandler Asset Management. RELEVANT STANDARDS • Quarterly financial reporting ADDITIONAL INFORMATION The Quarterly Treasurer's Report for the Fourth Quarter Ended June 30, 2020 is being submitted in accordance with the Sanitation District's investment policy that requires the report be submitted to the governing body following the end of each quarter and includes the following information: • Performance results in comparison with the ICE BAML 3-month treasury bill index for the liquid operating portfolio; and the ICE BAML Corp./Govt. 1-5 Year Bond index for the long-term portfolio as identified in the investment policy; and the time-weighted total rate of return for the portfolio for the prior three months, six months, nine months, twelve months, and since inception compared to the Benchmark returns for the same periods: Orange County Sanitation District Page 1 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1250 Agenda Date: 9/23/2020 Agenda Item No: 14. Portfolio Performance Summary As of June 30,2020 Liquid Operating Monies(%) Long-Term Operating Monies(%) Total Rate Benchmark Total Rate Benchmark of Return of Return 3 Months 0.07 0.02 1.32 1.03 6 Months 0.79 0,60 3.86 4.03 9 Months 1.30 1.06 4.37 4.48 12 Months 1.90 1.63 5.29 5.34 Annualized Since Inception 30 Nov 2014 1.20 1.07 2.37 2.35 • A listing of individual securities held at the end of each reporting period (see the detailed listings of each security contained within the report). 0 Cost and market values of the portfolios: Liquid Operating Long-Term Cost $178.3 M $595.2 M Market Value $178.6 M $623.3 M • Modified duration of the portfolio compared to the Benchmark: Liquid Operating Long-Term District Policy < 0.50 < 5.00 Benchmark 0.16 2.58 Portfolio 0.35 2.55 • Dollar change in value of the portfolio for a one percent (1%) change in interest rates: Liquid Operating - $628,595 Long- Term - $15,869,725 • None of the portfolios are currently invested in reverse repurchase agreements. • The percent of the Liquid Operating Monies portfolio maturing within 90 days: 44.8% • Average portfolio credit quality: Liquid Operating - AAA/Aaa Long- Term - AA/Aa1 • Percent of portfolio with credit ratings below "A" by any rating agency and a description of such securities: Liquid Operating - no exceptions Long-Term - Percent of portfolio - 0.5% Orange County Sanitation District Page 2 of 3 Printed on 9/15/2020 powered by LegistarT" File #: 2020-1250 Agenda Date: 9/23/2020 Agenda Item No: 14. Cost Maturity Moody SAP Fitch Date SLMA 2008-9 A $11,586.12 4/25/2023 Baa3 B B AMRESCO Residential Securities 1999-1 A $89,377.81 6/25/2029 NR A+ BBB Morgan Stanley Note $3,200,848.00 7/28/2021 A3 BBB+ A • All investments are in compliance with this policy and the California Government Code, except for the following Lehman Brother holdings that the Sanitation District is pursuing collection through the bankruptcy court: Lehman Brothers Note-Defaulted $ 600,000 par value purchased 9/19/2008 Lehman Brothers Note-Defaulted $2,000,000 par value purchased 9/18/2008 0 Sufficient funds are available for the Sanitation District to meet its operating expenditure requirements for the next six months. CEQA N/A FINANCIAL CONSIDERATIONS N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Fourth Quarter Treasurer's Report for the Period Ended June 30, 2020 Orange County Sanitation District Page 3 of 3 Printed on 9/15/2020 powered by LegistarTM o�JNSv SAN/r TT�y O s� _ � 9 ti FOr,NC-�E fa July 31, 2020 STAFF REPORT Quarterly Treasurer's Report For the Period Ended June 30, 2020 SUMMARY Section 17.0 of the Orange County Sanitation District's (OCSD) Investment Policy includes quarterly reporting requirements for OCSD's two investment portfolios. These two funds, the "Liquid Operating Monies," and the "Long-Term Operating Monies" are managed by Chandler Asset Management, OCSD's external money manager. The ongoing monitoring of OCSD's investment program by staff and Callan Associates, OCSD's independent investment advisor, indicates that OCSD's investments are in compliance with OCSD's adopted Investment Policy and the California Government Code, and that overall performance has tracked with benchmark indices. In addition, sufficient liquidity and anticipated revenues are available for OCSD to meet budgeted expenditures for the next six months. OCSD's portfolios do not include any reverse repurchase agreements or derivative securities. ADDITIONAL INFORMATION Performance Reports The Quarterly Strategy Review, prepared by Chandler Asset Management, and the Investment Measurement Service Quarterly Review, prepared by Callan Associates, is attached for reference. Also attached are Long-Term and Liquid Operating Monies Summary of Performance Data and Portfolio Statistics charts that depict the performance results, estimated yield and duration, credit quality, and sector diversification of OCSD's portfolios, as of June 30, 2020. The Liquid Operating Monies portfolio, with an average maturity of 128 days, consists entirely of high quality fixed income investments consistent with OCSD's investment policy. Portfolio Performance Summary The following table presents a performance summary of OCSD's portfolios as compared to their benchmarks as of June 30, 2020. OCSD ♦ P.O.Box 8127 ♦ Fountain Valley,CA 92728-8127 ♦ (714)962-2411 Quarterly Treasurer's Report For the Period Ended June 30, 2020 Page 2 of 4 Portfolio Performance Summary As of June 30,2020 Liquid Operating Monies(%) Long-Term Operating Monies(%) Total Rate of Total Rate of Return Benchmark(') Return Benchmark(') 3 Months 0.07 0.02 1.32 1.03 6 Months 0.79 0.60 3.86 4.03 9 Months 1.30 1.06 4.37 4.48 12 Months 1.90 1.63 5.29 5.34 Annualized Since inception 30 Nov 2014 1.20 1.07 2.37 2.35 Market Value $178.6 M $623.3 M Average Quality "AAA"P'Aaa" "AA"P'Aa1" Current Yield(%) 0.7 2.0 Estimated Yield to Maturity(%) 0.2 0.3 Quarterly Deposits(Withdrawals) $65.0 M $25.0 M Estimated Annual Income $0.9 M $12.7 M (1) Benchmarks: ■ Liquid Operating Portfolio: ICE BAML 3-Month Treasury Bill Index ■ Long-Term Operating Portfolio: ICE BAML Corp/Govt. 1-5 Year Bond Index Portfolio Market Values Comparative marked-to-market quarter-end portfolio values are shown in the following table, and in the attached bar chart. Liquid Long-Term Quarter Operating Operating Ending Monies($M) Monies($M) 30 Sep 19 68.2 548.1 31 Dec 19 175.6 579.9 31 Mar 20 113.5 590.3 30 Jun 20 178.6 623.3 Quarterly Treasurer's Report For the Period Ended June 30, 2020 Page 3 of 4 The Sanitation District's Investment Account Balances as of June 30, 2020 Book Balances Estimated Investment Accounts June 30, 2020 Yield (%) State of California LAIF $72,018,699 1.22 Banc of California—General 3,000,000 0.55 Banc of California—Sweep 1,427,370 0.02 Banc of California—Workers Compensation 75,204 0.55 Banc of California—Property, Liability Claim, Exp 49,983 0.55 Union Bank—Mount Langley 175,225 0.70 Union Bank—Bandilier 538,407 0.70 Chandler/U.S. Bank—Short-Term Portfolio 178,601,297 0.18 Chandler/U.S Bank—Long-Term Portfolio 623,301,596 0.33 Petty Cash 6,500 N/A BNY Mellon OCIP Reserve 500,095 0.00 TOTAL $879,694,376 0.37 Debt Service Reserves w/Trustees $6 998 0.07 The Sanitation District's Cost of Funds on Debt Issues as of June 30, 2020 Annual Cost of Funds Outstanding Interest Issue Description COP Balance Rate(%) 2010A Fixed 80,000,000 3.68 2010C Fixed 157,000,000 4.11 2011A Fixed 75,370,000 2.61 2012A Fixed 100,645,000 3.54 2012E Fixed 25,560,000 1.50 2014A Fixed 63,930,000 2.34 2015A Fixed 127,510,000 3.30 2016A Fixed 141,465,000 3.02 2017A Fixed 66,370,000 2.55 2018A Fixed 102,200,000 2.02 TOTAL $940,050,000 Weighted Avg. Cost of Funds 3.09 Quarterly Treasurer's Report For the Period Ended June 30, 2020 Page 4 of 4 ATTACHMENTS 1. Chandler Quarterly Report 2. Summary of Performance Data and Portfolio Statistics — Liquid Operating Monies 3. Summary of Performance Data and Portfolio Statistics — Long Term Operating Monies 4. Investment Transactions and Balances in LAIF 5. Asset Summary by Asset Type — Liquid Operating Portfolio 6. Asset Summary by Asset Type — Long Term Portfolio 7. Asset Summary by Asset Type — Owner Controlled Insurance Program Escrow Account 8. Investment Listing (Yield Analysis Report) 9. Asset Detail — Consolidated 10. Custody Transaction History — Consolidated 11. Callan Quarterly Review 12. Chandler Quarterly Review 13. Rating Agency Comparisons CHANDLER ASSET cill MANAGEMENT June 30, 2020 Mr. Lorenzo Tyner Assistant General Manager Director of Finance and Administrative Services Orange County Sanitation District 10844 Ellis Avenue Fountain Valley CA 92708-7018 Dear Lorenzo, Bond Market Recap We believe the economy contracted sharply in the second quarter, but market participants are expecting a meaningful rebound in the current quarter. Although we anticipate that the recovery will be somewhat bumpy, we believe the weakest economic data is in the rearview mirror. Robust fiscal and monetary relief should continue to fuel improvement in economic output in the second half of the year.Job destruction from the pandemic has been severe but many jobs have started to return as indicated by the better than expected employment reports for May and June. Nevertheless,we believe there will be a growing amount of pressure on the federal government to provide additional fiscal relief this month, particularly as some temporary unemployment benefits are set to expire at the end of July. We believe the call for more state and local government fiscal support as well as another round of direct payments to households is likely to mount in the coming weeks. The Federal Open Market Committee(FOMC) kept monetary policy unchanged at its June 9-10 meeting,as expected,with the fed funds target rate in the range of 0%-0.25%. According the Fed's economic projections, policymakers expect to keep that range unchanged through 2022. Although some economic data has recently surprised to the upside, Fed Chair Powell has maintained a dovish tone. Multiple Fed policymakers have cautioned that the outlook for the economy remains highly uncertain and depends largely on the path of the pandemic. Overall, the Fed remains highly accommodative and we believe the Fed will continue to use its balance sheet to any extent necessary to support the flow of credit and stability of financial markets. Treasury yields were nearly unchanged in June. The yield on 2-year Treasuries declined about one basis point to 0.15% and the yield on 10-year Treasuries was essentially unchanged at 0.66%. Global economic weakness continues to put downward pressure on inflation expectations. An ongoing global demand for safe-haven assets has also kept a lid on Treasury rates. At June month-end, Treasury yields were much lower on a year-over-year basis. The 3-month T-bill yield was down 196 basis points, the 2-year Treasury yield was down 161 basis points, and the 10-Year Treasury yield was down 135 basis points, year-over-year. Much of the spread movement was in the month of March 2020, with the Fed cutting rates by a total of 150 basis points and concerns about a global recession and a flight to safe-haven assets driving down yields across the curve. 1 CHANDLER ASSET MANAGEMENT Consumer Prices The Consumer Price Index (CPI)was up 0.1%year-over-year in May, down from 0.3% in April. Core CPI (CPI less food and energy) was up just 1.2%year-over-year in May, down from 1.4% in April.The Personal Consumption Expenditures (PCE) index was up just 0.5%year-over-year in May,versus up 0.6%year-over-year in April and 1.3%in March. Core PCE,which is the Fed's primary inflation gauge, was up 1.0%year-over-year in May,versus up 1.0%year-over-year in April and 1.7% in March. Consumer pricing data indicate that the effect of the pandemic has been deflationary. Retail Sales On a year-over-year basis, retail sales were down 6.1% in May versus down of 19.9% in April. On a month-over-month basis, retail sales jumped 17.7% in May (a much stronger rebound than expected), following a 14.7% decline in April. In May, month-over-month increases were particularly strong for clothing,furniture,sporting goods,electronics, appliances, and auto sales. Labor Market U.S. nonfarm payrolls were better than expected in June increasing by 4,800,000 versus expectations of 3,230,000. The unemployment rate declined to 11.1% in June (versus expectations of 12.5%) from 13.3% in May. If the workers who classified themselves as employed but absent from work in the June survey had instead been classified as unemployed on temporary layoff, the total unemployment rate would have been about 1% higher. Job growth was broad-based in June, with particularly strong gains in leisure and hospitality and retail trade, but the improvement was still a long way from recovering the number of jobs lost in those sectors in April. The U-6 underemployment rate, which includes those who are marginally attached to the labor force and employed part time for economic reasons, remained very high but eased to 18.0% in June from 21.2% in May.The labor participation rate increased to 61.5% in June from 60.8% in May. Housing Starts Housing starts rose 4.3% in May to an annual pace of 974,000. Single family starts were roughly flat at an annualized rate of 675,000, while multi-family starts increased 15.0%to an annualized rate of 299,000. Permits increased 14.4% in May to an annualized rate of 1,220,000. 2 CHANDLER ASSET C11% MANAGEMENT TREASURY YIELDS 6/30/2020 3/31/2020 CHANGE 3 Month 0.13 0.06 0.07 2 Year 0.15 0.25 (0.10) 3 Year 0.17 0.29 (0.12) 5 Year 0.29 0.38 (0.09) 7 Year 0.49 0.54 (0.05) 10 Year 0.66 0.67 (0.01) 30 Year 1.41 1.32 0.09 Economic Data is Showing Early Signs of Improvement ECONOMIC INDICATOR Current Release Prior Release One Year Ago Trade Balance (54.60) $B I n MAY 20 (49.80)$Bln APR 20 (51.30)$Bln MAY 19 Gross Domestic Product (5.00%)MAR 20 2.10%DEC 19 3.10%MAR 19 Unemployment Rate 11.10%JUN20 13,30%MAY 20 3,70%JUN 19 Prime Rate 3.2S%JUN 20 3.2S%MAY 20 5.50%JUN 19 Commodity Research Bureau Index 137.97JUN 20 132.24 MAY 20 181.04JUN 19 Oil (West Texas Int.) $39.27 JUN 20 $35.49 MAY 20 $58.47 JUN 19 Consumer Price Index(y/o/y) 0.10%MAY 20 0.30%APR 20 1.80%MAY 19 Producer Price Index(y/o/y) (2.80%) MAY 20 (5.10%)APR 20 1.30%MAY 19 Dollar/Euro 1.12 JUN 20 1.11 MAY 20 1.14 MAY 19 Source:Bloomberg 3 CHANDLER ASSET cill MANAGEMENT Performance Attribution Long-Term Portfolio The portfolio generated a positive absolute and relative total return during the quarter of 1.32% compared to the 1.03% return of the ICE Bank of America Merrill Lynch 1-5 Year US Corporate and Government AAA-A Index. The lifting of quarantines due to the COVID-19 pandemic in the latter half of the quarter coupled with the large fiscal and monetary stimulus helped to stabilize the markets post the meltdown in risk assts in March 2020. The overall asset allocation of the portfolio has a higher risk profile than the benchmark but is conservative compared to the historical experience with a 34.3% allocation to the US Treasury sector. The Chandler team remains comfortable with the mix of securities in the portfolio and will be looking to continue to add attractively priced securities consistent with the overall asset allocation and term structure objectives in the coming quarters. Multiple securities were purchased across the Treasury,Agency, Supranational, Commercial Paper and Corporate sectors of the market to keep the portfolio structure consistent with Chandler objectives. The purchased securities ranged in maturity from June 2020 to June 2025. Several securities matured and $25 million was contributed to the portfolio during the reporting period to help facilitate the new holdings in the portfolio. The sector allocation was relatively stable during the quarter. Some of the subtle changes include the 1.9% and 2.3% increase in the Treasury and Agency allocation, to 34.3% and 30.1% of the portfolio, respectively, partially offset by the 1.7% decline in the Commercial Paper allocation. The duration of the portfolio increased to 2.55 compared to 2.47 at the end of the prior quarter. The low interest policy by the Federal Reserve is prompting the Chandler team to keep the duration of the portfolio consistent with the benchmark. Liquid Portfolio The Liquidity Portfolio generated a positive total return of 0.07%during the quarter compared to the 0.02% return of the ICE Bank of America Merrill Lynch 3 Month Treasury Bill Index. Many securities were purchased across the Treasury, Agency,Supranational,Certificate of Deposit,Commercial Paper and Corporate sectors of the market to keep the portfolio fully invested. The purchased securities ranged in maturity from June 2020 to May 2021. A net$65 million was added to the portfolio during the quarter however there were both contributions and withdrawals during the reporting period. The sector allocation evolved predominately via spending down the residual cash in the portfolio from the prior reporting period. The Treasury allocation remains robust due to the elevated issuance in the sector and the lack of issuance in short maturity alternatives in the Agency sector. The duration of the portfolio extended moderately. The Chandler team continues to ladder out the maturities of the portfolio to coincide with upcoming forecasted liquidity needs. 4 CHANDLER ASSET cill MANAGEMENT Economic Outlook Market participants remain focused on the partial recovery of the economy as lockdowns are eased on a regional basis in the short-term, while the long-term outlook is predicated on progress of a medical remedy for the coronavirus. In Chandler's view the trade-off between the coronavirus and the economic recovery will continue with the likelihood of strict lockdowns similar to the experience earlier in the year unlikely even if case counts increase. Investment grade and high yield spreads tightened materially during the quarter, consistent with the strong performance of equity prices over the past three months. Policymakers continue to be aggressive in providing monetary and fiscal support to vast segments of the economy in an attempt to mitigate the impact of the coronavirus. The Chandler team expects the Federal Reserve to remain vigilant and dovish over an intermediate time horizon, with the dual mandate of full employment and stable prices providing plenty of rationale for the stimulative policy measures. We also expect the fiscal stimulus specific to unemployment benefits to be extended after they expire at the end of July but with less generous terms. If the timeline on a medical remedy for the virus moves beyond the first half of 2021 risk assets will suffer in our view. Economic data remains volatile but did improve as the lockdowns were lifted in the latter half of the quarter. Nonfarm payrolls bottomed out in April 2020 with the economy losing 20.7 million jobs, only to see improvement in May and June with the June number coming in at 4.8 million. The current three and six month moving averages on nonfarm payrolls are at -4.4 million and -2.4 million, respectively, and the current unemployment rate is 11.1%, highlighting the fundamental damage to the economy. Inflation metrics have rolled over with Core CPI at 1.2%on a y/y basis and the PCE Core at 1.0% y/y; the team expects inflation to remain subdued for the balance of the year. In Chandler's view the velocity of the recovery will slow in the second half of 2020 as an optimistic scenario is a U-shaped economic recovery despite the recent strong performance of risk assets. The Federal Reserve crossed several 'red lines' in response to the pandemic,with Quantitative Easing(QE) moving beyond Treasury, Agency, and Mortgage Backed securities to include both Exchange Trade Funds and individual holdings of Corporate debt as well as other unconventional assets. We expect the size of the Fed's balance sheet to continue to increase as the year progresses, growing significantly larger than the prior peak size. The Federal Reserve has been very explicit they will do whatever it takes to support the economic recovery and have certainly contributed to the distortion of prices for many risk assets, both via direct purchases and the 'portfolio' impact of pulling overall prices higher due to the magnitude of the purchased securities. Arguably the Federal Reserve has been the most aggressive of all the developed market central banks in response to the pandemic, giving other central banks rationale for being more accommodative as well. Chandler continues to think the Federal Reserve will be reluctant to implement negative interest rates as a policy tool however we think speculation on yield curve control as a policy tool will remain. Although not garnering as much market attention, geopolitical risk remains elevated with China's policy toward Hong Kong becoming more draconian relative to the 'one country,two systems' edict. The Brexit negotiations also continue to linger with little progress. Although the highlighted geopolitical risks are known by market participants, they both have potential to negatively influence market sentiment in coming quarters. The Chandler team remains focused on the secular changes to the economy due the impact of the COVID-19 pandemic. Chapter 11 filings at the retail level will remain elevated in our view and institutions right sizing their business footprint both via real estate and employees will continue to have unintended consequences for the strength of the recovery. 5 CHANDLER ASSET C11% MANAGEMENT Strategy Strategy highlights for the Long-Term Portfolio in coming months: • Focus on adding up in quality securities to the portfolio without elevated exposure to the secular changes to the economy linked to the COVID-19 pandemic. o Within the Corporate allocation exposure to the banking and technology sector will be an area of focus. o Agency spreads currently trade at attractive risk adjusted spreads in Chandler's view and the team will continue to utilize the new issue market to adjust exposure higher. • Interest rates are poised to stay exceptionally low over an intermediate time horizon, particularly within the 1-5 year maturity profile of the strategy,thus the duration of the portfolio will remain consistent with the benchmark in coming quarters. Strategy highlights for the Liquidity Portfolio in coming months: • Continue to ladder the Treasury and Agency exposure to coincide with forecasted liquidity needs. • Opportunistically add Corporate, Negotiable CD and Commercial Paper exposure to the portfolio where the additional spread compensation versus like maturity Treasury notes is attractive. • Maintain a dedicated exposure to the Treasury sector on an ongoing basis to ensure ample liquidity in the portfolio for unexpected cash flow needs. 6 CHANDLER cill � ASSET MANAGEMENT Compliance Issues Orange County Sanitation District Long Term Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 10%minimum;5 years max maturity Complies* U.S.Agencies 20%max per agency of the U.S.Government,which does not provide the full faith and credit of the U.S.government;5 years max maturity Complies "AA"rated or better by a NRSRO;30%maximum;5 years max maturity; U.S.dollar denominated senior unsecured unsubordinated obligations issued or Supranational Obligations unconditionally guaranteed by the International Bank for Reconstruction and Development("IBRD"),the International Finance Corporation("IFC")orthe Inter-Complies American Development Bank("IADB") "A"rated or better long term debt by a NRSRO;30%maximum;5%max issuer;5 years max maturity;Issued by corporations organized and operating Corporate Medium Term Notes Complies within the U.S.or issued by depository institutions licensed by the U.S.or any state and operating within the U.S. Municipal Securities "A"rated or higher by a NRSRO; Taxable or tax-exempt municipal bonds issued by any of the 50 states;10%maximum;5%max issuer;5 years max Complies maturity Mortgage-Backed Securities/Collateralized Mortgage Obligations/Asset-Backed "AA"rated or better by a NRSRO;20%maximum(combined MBS/CMO/ABS);5%max issuer(except U.S.government or its agencies);5 years max maturity Complies* Securities Negotiable Certificates of Deposit(NCD) "A"rated or better long term debt by a NRSRO;or"A-1"/highest short term rating by a NRSRO;30%maximum;5%max issuer,5 years max maturity Complies Certificates of Deposit 5%max issuer;5 years max maturity;Secured/collateralized Complies Banker's Acceptances A-1 rated or highest short term rating by a NRSRO;40%maximum;5%max issuer;180 days max maturity Complies A-1 rated or better by a NRSRO;"A"rated or better long term debt issuer by a NRSRO; Issuer is a corporation organized and operating in the U.S.with assets Commercial Paper Complies >$500 million;25%maximum;5%max issuer;10%max of the outstanding commercial paper of any single issuer;270 days max maturity Mutual Fund&Money Market Mutual Highest rating or"AAA"rated by two NRSROs;SEC registered adviser with AUM>$500 million and experience>than 5 years;20%maximum in Mutual Complies Fund Funds; 10%per one Mutual Fund;20%max per issuer on Money Market Mutual Funds;20%max of OCSD's surplus money Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies No more than the lesser of 15%of the portfolio or the statutory maximum invested in LAIF; Not used by investment adviser;Investment of OCSD funds in Local Agency Investment Fund(LAIF) LAIF shall be subject to investigation and due diligence prior to investing Complies 15%maximum; Not used by investment adviser;Orange County Treasurer's Money Market Commingled Investment Pool; Investment of OCSD funds in OCCIP Complies OCCIP shall be subject to investigation and due diligence prior to investing Prohibited Mortgage Derivatives,which include interest-only payments(IOs)and principal-only payments(POs);Inverse floaters,and RE-REMICS(Real Estate Mortgage Complies Investment Conduits) Avg Duration Not to exceed 60 months-(80%to 120%of the benchmark) Complies Max Per Holding 5%max of the total debt outstanding of any issuer per individual holding Complies Max Per Issuer 5%max per issuer(except Supranationals,U.S.Government,Agencies,Mutual Fund) Complies Maximum Maturity 5 years maximum maturity Complies* *The portfolio has twenty(20)securities with maturities greater than 5 years including four(4)CMOs and sixteen(16)MBS.All securities were inherited from the previous manager and complied at time of purchase. Orange County Sanitation District Liquid Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 10%minimum;1 year max maturity Complies U.S.Agencies 20%max per agency of the U.S.Government,which does not provide the full faith and credit of the U.S.government;1 year max maturity Complies "AA"rated or better by a NRSRO;30%maximum; 1 year max maturity;U.S.dollar denominated senior unsecured unsubordinated obligations issued or Supranational Obligations unconditionally guaranteed by the International Bank for Reconstruction and Development("IBRD"),the International Finance Corporation("IFC")or the Complies Inter-American Development Bank("IADB") "A"rated or better long term debt by a NRSRO;30%maximum;5%max issuer;1 year max maturity; Issued by corporations organized and operating Corporate Medium Term Notes Complies within the U.S.or issued by depository institutions licensed by the U.S.or any state and operating within the U.S. Municipal Securities "A"rated or higher by a NRSRO; Taxable or tax-exempt municipal bonds issued by any of the 50 states;10%maximum;5%max issuer; 1 year max Complies maturity Mortgage-Backed Securities/Collateralized Mortgage Obligations/Asset-Backed "AA"rated or better by a NRSRO;20%maximum(combined MBS/CMO/ABS);5%max issuer(except U.S.government or its agencies);1 year max maturity Complies Securities Negotiable Certificates of Deposit(NCD) "A"rated or better long term debt by a NRSRO;or"A-1"/highest short term rating by a NRSRO;30%maximum;5%max issuer;1 year max maturity Complies Certificates of Deposit 5%max issuer;1 year max maturity;Secured/collateralized Complies Banker's Acceptances A-1 rated or highest short term rating by a NRSRO;40%maximum;5%max issuer;180 days max maturity Complies A-1 rated or better by a NRSRO;"A"rated or better long term debt issuer by a NRSRO;Issuer is a corporation organized and operating in the U.S.with Commercial Paper Complies assets>$500 million;25%maximum;5%max issuer; 10%max of the outstanding commercial paper of any single issuer;270 days max maturity Mutual Fund&Money Market Mutual Highest rating or"AAA"rated by two NRSROs;SEC registered adviser with AUM>$500 million and experience>than 5 years;20%maximum in Mutual Fund Funds;10%per one Mutual Fund;20%max per issuer on Money Market Mutual Funds;20%max of OCSD's surplus money Complies Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies No more than the lesser of 15%of the portfolio or the statutory maximum invested in LAIF; Not used by investment adviser;Investment of OCSD funds in Local Agency Investment Fund(LAIF) Complies LAIF shall be subject to investigation and due diligence prior to investing 15%maximum; Not used by investment adviser,Orange County Treasurer's Money Market Commingled Investment Pool; Investment of OCSD funds in OCCIP Complies OCCIP shall be subject to investigation and due diligence prior to investing Prohibited Mortgage Derivatives,which include interest-only payments(10s)and principal-only payments(POs);Inverse floaters,and RE-REMICS(Real Estate Complies Mortgage Investment Conduits) Avg Duration Not to exceed 180 days Complies Max Per Holding 5%max of the total debt outstanding of any issuer per individual holding Complies Max Per Issuer 5%max per issuer(except Supranationals,U.S.Government,Agencies,Mutual Fund) Complies Maximum Maturity 1 year maximum maturity Complies 7 CHANDLER cilit � ASSET MANAGEMENT OCSD Lehman Exposure Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 5 years maximum maturity Complies Supranational "AA"or better by 1 of 3 NRSROs; 30%maximum; 5%max; 5 years maturity; Includes only: IADB,IBRD,and IFC per CGC Complies U.S.Agencies 20%max issuer; 5 years maximum maturity Complies U.S.Corporate(MTNs) "A"or better long term rating by 1 of 3 NRSROs; 30%maximum;5%max issuer; 5 years max maturity Complies* Municipal Securities "A"or higher by 1 of 3 NRSROS;10%maximum; 5%max issuer; 5 years maximum maturity Complies "AA"or better by 1 of 3 NRSROs; "A"or higher issuer rating by 1 of 3 NRSROs; 20%maximum; 5%max issuer(excluding MBS/govt Asset Backed/CMOs/Mortgage-backed Complies agency);S years max maturity "A"or better on its long term debt by 1 of 3 NRSROs; "Al/Pl"or highest short term ratings by 1 of 3 NRSROs; 30%maximum;5% Negotiable CDs Complies max issuer; S years max maturity CDs/TDS 5%max issuer; 5 years max maturity Complies Banker's Acceptances A-1,or equivalent highest short term rating by 1 of 3 NRSROS; 40%maximum; 5%max issuer;180 days max maturity Complies Commercial Paper A-1,or equivalent by 1 of 3 NRSROS; "A"or better by 1 of 3 NRSROs,if long term debt issued; 25%maximum; 5%max issuer; 270 Complies days max maturity Money Market Fund Highest rating by 2 of 3 NRSROs; 20%maximum;10%max issuer Complies Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies LAIF Not used by investment adviser Complies Avg Duration Not to exceed 60 months-(80%to 120%of the benchmark) Complies Maximum Maturity 5 years maximum maturity Complies *Account holds$2 million face value(cusip 525ESCOy6)and$600,000 face value(cusip 525ESC1B7)of defaulted Lehman Bros Holdings that were purchased by the previous manager. Complied at time of purchase. Defaulted Bonds OCSD Lehman Exposure-Account#10284 - r- r. r Common Stock IL It SLHOPNTA4 Lehman Brothers,Inc Open Position Long Exposure 60,641.49 11/21/2014 57,842.64 0.42 25,621.03 46.80% NR/NR 0.00 0.000% Due06/30/2020 0.00% 57,842.64 0.00% 0.00 (32,221.61) NR 0.00 57,842.64 25,621.03 46.80% NR/NR 0.00 TOTAL Common Stock 60,641.49 0.00% 57,842.64 0.00% 0.00 (32,221.61) NR 0.00 Corporate jr 525ESCIB7 Lehman Brothers Note-Defaulted 600,000.00 09/19/2008 318,603.60 1.12 6,720.00 12.28% NR/NR 0.57 0.000% Due 01/24/2021 0.00% 318,603.60 0.00% 0.00 (311,883.60) NR 0.00 525ESCOY6 Lehman Brothers Note-Defaulted 2,000,000.00 09/18/2008 1,026,605.56 1.12 22,400.00 40.92% NR/NR 29.33 0.D00% Due 10/22/2049 0.00% 1,026,605.56 0.00% 0.00 (1,004,205.56) NR 0.00 1,345,209.15 29,120.00 53.20% NR/NR 22.59 TOTAL Corporate 2,600,000.00 0.00% 1,345,209.16 0.00% 0.00(1,316,089.16) NR 0.00 1,403,051.80 54,741.03 100.00% NR/NR 22.07 TOTAL PORTFOLIO 2,660,641.49 0.00% 1,403,051.80 0.00% 0.00(1,348,310.77) NR 0.00 TOTAL MARKET VALUE PLUS ACCRUALS 54,741.03 8 I CHANDLER cill ASSET MANAGEMENT Ratings Orange County Sanitation District Long Term June 30,2020 vs.March 31,2020 80.0% 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% w N 0.0% AAA AA A <A NR ■6/30/2020 ■3/31/2020 06/30/20 10.1% 68.5% 14.9% 0.5% 6.0% 03/31/20 9.5% 69.9% 15.2% 0.5% 4.9% Source:S&P Ratings Orange County Sanitation District Liquid June 30,2020 vs.March 31,2020 80.0% 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% 0.0% j Now_ AAA AA A <A NR ■6/30/2020 ■3/31/2020 06/30/20 74.7% 22.6% 2.7% 0.0% 0.0% 03/31/20 32.1% 62.6% 5.3% 0.0% 0.0% Source:S&P Ratings 9 CHANDLER cilit � ASSET MANAGEMENT OCSD Investment Program $700,000,000 Quarter End Portfolio Value ■ Liquid Operating Monies $600,000,000 ■ Long-Term Operating Monies $500,000,000 $400,000,000 $300,000,000 $200,000,000 $100,000,0001A I I I fP OP 2! ✓4 SA �(� 2! ✓G SP OP 2! �` fP OP Zj ✓` fP OP 2! ✓` `!N OP 2! ✓G ,ro 00 2! ✓G 013 c,1�d T tsr o1v rsr d,ds�1S o lS ITS d t6 0� �T d1^ ��,.01,�1,d,.l �18,O1 �'r d,,1 t9.O't9 �'t9 d11���O y 6 6 6` � 8 8 8 9 O HISTORICAL YIELD CURVE 4.00% —@—JUN 2020 —■—MAY 2020 3.00% ----- ---------------------------------------------------------------------- A JUN 2019 2.00% --�- ----------------------------------- ------------------------------------------------------ 0 p 0 � 1.00% ------------------------------------------------------------------ 0.00% �JjO 7j� y^ y�, yr y^ yr yr 10 Orange County Sanitation District Liquid Portfolio Summary Account#10282 As of June 30, 2020 C11% PORTFOLIO CHARACTERISTICS ACCOUNT SUMMARY TOP ISSUERS Average Modified Duration 0.35 Beg.Values End Values Government of United States 76.3% as of 5/31/20 as of 6/30/20 Federal Home Loan Bank 11.4% Average Coupon 0.65% Market Value 193,085,595 178,302,705 Accrued Interest 484956 297540 Intl Bank Recon and Development 3.4% , , Average Purchase YTM 0.48% First American Govt Obligation 2.0% Total Market Value 193,570,552 178,600,244 Average Market YTM 0.18% Income Earned 123,476 110,502 Federal Farm Credit Bank 1.7% Average S&P/Moody Rating AAA/Aaa Cont/WD -15,000,000 JP Morgan Chase&Co 1.2% Average Final Maturity 0.35 yrs par 192,813,509 178,143,086 Toronto Dominion Holdings 1.0% Book Value 192,908,305 178,206,224 Royal Bank of Canada 0.8% Average Life 0.07 yrs Cost Value 192,999,238 178,254,499 Total 97.8% SECTOR ALLOCATION MATURITY DISTRIBUTION CREDIT QUALITY(S&P) 50% US Treawry 76.3% 44.8% 39.0% 40% Agency 13.0% AAA(74.7%) 30% Corporate' 4.4% 20% 16.2% Supras' 3.4% A(2.7%) 10% Money Mkt Gd 12,0% 0-.25 .25-.5 .5-1 1-1.5 1.5.2 2.2.5 2.5-3 3+ AA(22.6%) Neg CD 0.8% Maturity(yrs) PERFORMANCE REVIEW Annualized TOTAL RATE OF RETURN 1M 3M YTD 1YR 2YRS 3YRS SYRS 10YRS 11/30/2014 Orange County Sanitation District Liquid 0.02% 0.07% 0.79% 1.90% 2.16% 1.89% 1.32% N/A 1.20% ICE BAML 3-Month US Treasury Bill Index 0.01% 0.02% 0.60% 1.63% 1.97% 1.77% 1.19% N/A 1.07% Chandler Asset Manaeement-CONFIDENTIAL Paee 1 Execution Time:7/1/2020 6:S0:59 PM Orange County Sanitation District Long Term Portfolio Summary Account#10268 As of June 30, 2020 C11% PORTFOLIO CHARACTERISTICS ACCOUNT SUMMARY TOP ISSUERS Average Modified Duration 2.55 Beg.Values End Values Government of United States 34.3% as of 5/31/20 as of 6/30/20 Federal National Mortgage Assoc 12.9% Average Coupon 2.04% Market Value 618,833,309 620,539,165 Accrued Interest 2980102 2751924 Federal Home Loan Bank 9.3% , , , , Average Purchase YTM 2.04% Federal Home Loan Mortgage Corp 6.0% Total Market Value 621,813,412 623,291,089 Average Market YTM 0.33% Income Earned 1,049,261 1,023,301 Intl Bank Recon and Development 2.7% Average S&P/Moody Rating AA/Aa1 Cont/WD -73,840 Inter-American Dev Bank 2.4% Par 593,977,947 595,051,980 Federal Farm Credit Bank 2.3% Average Final Maturity 2.77 yrs Book Value 594,787,056 595,964,993 Honda ABS 1.6% Average Life 2.63 yrs Cost Value 593,972,812 595,196,758 Total 71.4% SECTOR ALLOCATION MATURITY DISTRIBUTION CREDIT QUALITY(S&P) US Treasury 34.3% 30% 25.1% Agency 30.1% 25% 23.2% AA(68.5%) corporate 23.3% 20% 18.3% 16.2% Supras- 6.0% 15%ASS 4.7% 10.0% B(0.0%) 10% BBB(0.5%) Money Mkt Fd 11.0% 5% 3.5% 3.4;b NR(6.0%) Muni Bonds 10.3% 0.3 AAA(30.1%) MBS 0.2% % 0-.25 .25-5 .5-1 1-2 2-3 3-4 •1-5 5_ cM0 0.2% Maturity(yrs) - -A(14.9%) PERFORMANCE REVIEW Annualized TOTAL RATE OF RETURN 1M 3M YTD 1YR 2YRS 3YRS SYRS 10YRS 11/30/2014 Orange County Sanitation District Long Term 0.25% 1.32% 3.86% 5.29% 5.08% 3.39% 2.56% N/A 2.37% ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index 0.20% 1.03% 4.03% 5.34% 5.24% 3.39% 2.50% N/A 2.35% ICE BAML US 1-5 Yr US Corp/Govt Rated AAA-BBB Indx 0.38% 1.84% 3.83% 5.32% 5.35% 3.48% 2.64% N/A 2.47% Chandler Asset Manaeement-CONFIDENTIAL Paee 1 Execution Time:7/1/2020 6:48:56 PM Orange County Sanitation District Investment Transactions and Balances in the State of California Local Agency Investment Fund June 30, 2020 Par Value Book Value Market Value Rate Yield Balance June 1, 2020 $60,918,699 $60,918,699 $60,918,699 1.22 1.22 Deposits: 6/29/2020 19,300,000 19,300,000 19,300,000 1.22 1.22 6/30/2020 10,400,000 10,400,000 10,400,000 1.22 1.22 Total Deposits 29,700,000 29,700,000 29,700,000 1.22 1.22 Quarterly Interest Distribution - - - 1.22 1.22 Withdrawals: 6/2/2020 (1,700,000) (1,700,000) (1,700,000) 1.22 1.22 6/3/2020 (3,000,000) (3,000,000) (3,000,000) 1.22 1.22 6/10/2020 (2,200,000) (2,200,000) (2,200,000) 1.22 1.22 6/16/2020 (1,500,000) (1,500,000) (1,500,000) 1.22 1.22 6/17/2020 (5,800,000) (5,800,000) (5,800,000) 1.22 1.22 6/24/2020 (4,400,000) (4,400,000) (4,400,000) 1.22 1.22 Total Withdrawals (18,600,000) (18,600,000) (18,600,000) 1.22 1.22 Balance June 30, 2020 $72,018,699 $72,018,699 $72,018,699 1.22 1.22 U.S. Bank Asset Summary - Liquid As of 06/30/2020 Industry Name Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss Cash Equivalents FIRST AMERICAN SHORT TERM FDS 3,643,086.3500 3,643,086.35 3,643,086.35 2.04 - U. S. GOVERNMENT 99,000,000.0000 98,918,335.45 98,928,505.00 55.48 10,169.55 US AGY-SHORT TERM CASH EQUIV 10,500,000.0000 10,496,103.33 10,498,275.00 5.89 2,171.67 Cash Equivalents Total 113,143,086.3500 113,057,525.13 113,069,866.35 63.41 12,341.22 Fixed Income CONSUMER STAPLES 750,000.0000 768,877.50 767,827.50 0.43 (1,050.00) FINANCE 5,795,000.0000 5,880,199.55 5,869,798.35 3.29 (10,401.20) INFORMATION TECHNOLOGY 1,155,000.0000 1,182,327.30 1,180,179.00 0.66 (2,148.30) SHORT TERM FUNDS 1,500,000.0000 1,500,000.00 1,507,395.00 0.85 7,395.00 SUPRANATIONAL 6,000,000.0000 6,004,053.33 6,008,330.00 3.37 4,276.67 U. S. GOVERNMENT 37,000,000.0000 37,070,117.19 37,106,350.00 20.81 36,232.81 US AGY- LONG TERM ISSUES 12,800,000.0000 12,791,399.33 12,792,498.00 7.17 1,098.67 Fixed Income Total 65,000,000.0000 65,196,974.20 65,232,377.85 36.59 35,403.65 Grand Total 178,143,086.3500 178,254,499.33 178,302,244.20 100.00 47,744.87 1 of 1 U.S. Bank Asset Summary - Long-Term As of 06/30/2020 Industry Name Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss Cash Equivalents FIRST AMERICAN SHORT TERM FDS 6,486,691.7400 6,486,691.74 6,486,691.74 1.05 - U. S. GOVERNMENT 10,000,000.0000 9,997,814.44 9,997,900.00 1.61 85.56 Cash Equivalents Total 16,486,691.7400 16,484,506.18 16,484,591.74 2.66 85.56 Fixed Income CONSUMER DISCRETIONARY 9,064,000.0000 9,174,701.78 9,483,847.41 1.53 309,145.63 CONSUMER STAPLES 3,880,000.0000 3,878,991.40 4,226,755.60 0.68 347,764.20 ENERGY 9,000,000.0000 8,942,542.40 9,319,070.00 1.50 376,527.60 FINANCE 87,264,000.0000 86,549,909.03 89,433,900.30 14.41 2,883,991.27 HEALTH CARE 2,000,000.0000 1,948,640.00 2,131,080.00 0.34 182,440.00 INDUSTRIAL 4,410,000.0000 4,388,275.50 4,607,339.40 0.74 219,063.90 INFORMATION TECHNOLOGY 23,715,000.0000 23,631,389.55 24,861,385.65 4.01 1,229,996.10 INVESTMENT GRADE-MUNI REVENUE 1,800,000.0000 1,800,000.00 1,829,068.00 0.29 29,068.00 MTG RELATED SECURITY 30,789,601.7100 30,845,476.03 31,371,849.02 5.06 526,372.99 SUPRANATIONAL 36,215,000.0000 35,935,625.05 36,932,396.55 5.95 996,771.50 U. S. GOVERNMENT 183,005,478.3000 181,502,951.08 191,370,299.85 30.84 9,867,348.77 U.S. GOVERNMENT TIPS 11,232,208.0000 11,087,488.09 11,731,591.97 1.89 644,103.88 US AGY- LONG TERM ISSUES 178,790,000.0000 180,338,917.90 186,760,587.65 30.10 6,421,669.75 Fixed Income Total 581,165,288.0100 580,024,907.81 604,059,171.40 97.34 24,034,263.59 Grand Total 597,651,979.7500 596,509,413.99 620,543,763.14 100.00 24,034,349.15 1of1 �� BNY MELLON Statement Period 06/01/2020 Through 06/30/2020 Account 300282 Base Currency=USD OCSD LIBERTY MUTUAL Statement of Assets Held by Asset Classification Accrued Estimated Market Shares/Par Value Asset Description Market Price Market Value Cost Average Cost Income Income Yield CASH AND SHORT TERM 499,000.000 UNITED STATES TREASURY BILL 99.87800 498,391.22 498,369.32 99.87361 0.00 0.00 0.00% CUSIP:91279621`5 MATURITY DATE:03/25/2021 RATE:0.000% CASH BALANCE 1,703.59 1,703.59 0.00000 0.00 0.00 0.00% Total CASH AND SHORT TERM 500,094.81 500,072.91 0.00 0.00 0.00% ACCOUNT TOTALS 500,094.81 500,072.91 0.00 0.00 0.00% Total Market Value Plus Total Accrued Income 500,094.81 Statement of Transactions by Transaction Date Realized Transaction Date Transaction Description Income Principal Cost Gains/Losses No Transactions This Period Cumulative realized capital gain and loss position from 12/31/2019 for securities held in principal of account: Short Term: 80,464.87* Long Term: 0.00* *The above gain and loss position does not include transactions where tax cost information is incomplete or unavailable. m w w J 7 O_ OJ O O N The Bank of New York Mellon may utilize subsidiaries and affiliates to provide services and certain products to the Account. Subsidiaries and affiliates may be compensated for their services and products. The value of securities set forth on this Account Statement are determined by The Bank of New York Mellon for Corporate Trust on the basis of market prices and information obtained by The Bank of New York Mellon from unaffiliated third parties(including independent pricing vendors)("third party pricing services"). The Bank of New York Mellon has not verified such market values or information and makes no assurances as to the accuracy or 0 correctness of such market values or information or that the market values set forth on this Account Statement reflect the value of the securities that can be realized upon the sale of such securities. In addition,the market values for securities set forth in this Account Statement may differ from the market prices and information for the same securities used by other business units of The Bank of New York Mellon or its subsidiaries or affiliates based upon market prices and information received from other third party pricing services utilized by such other business units. Corporate Trust does not compare its market values with those used by,or reconcile different market values used by,other business units of The Bank of New York Mellon or its subsidiaries or its affiliates. The Bank of New York Mellon shall not be liable for any loss,damage or expense incurred as a result of or arising from or N related to the market values or information provided by third party pricing services or the differences in market prices or information provided by other third party pricing services. w U.S. Bank Investment Listing -Yield As of 06/30/2020 Asset Category CUSIP Asset Short Name Yield Shares/Units Moody's S&P Rating Price Cost Basis Market Value Cash Equivalents 3133121-160 F F C B DISC NTS 9/28/20 0.0000% 3,000,000.0000 N/A N/A 99.97 2,998,615.83 2,998,950.00 Cash Equivalents 313384ZXO F H L B DISC NTS 7/27/20 0.0000% 2,500,000.0000 N/A N/A 99.99 2,498,737.50 2,499,775.00 Cash Equivalents 313384ZZ5 F H L B DISC NTS 7/29/20 0.0000% 5,000,000.0000 N/A N/A 99.99 4,998,750.00 4,999,550.00 Cash Equivalents 31846V567 FIRST AM GOVT OB FD CL Z 0.0560% 3,643,086.3500 1.00 3,643,086.35 3,643,086.35 Cash Equivalents 31846V567 FIRST AM GOVT OB FD CL Z 0.0560% 6,486,691.7400 1.00 6,486,691.74 6,486,691.74 Cash Equivalents 912796257 U S TREASURY BILL 10/22/20 0.0925% 5,000,000.0000 N/A N/A 99.95 4,997,362.85 4,997,500.00 Cash Equivalents 9127963QO U S TREASURY BILL 8/25/20 0.0800% 10,000,000.0000 N/A N/A 99.98 9,997,814.44 9,997,900.00 Cash Equivalents 9127963Y3 U S TREASURY BILL 9/15/20 0.0863% 7,000,000.0000 N/A N/A 99.97 6,997,021.50 6,997,900.00 Cash Equivalents 912796TN9 U S TREASURY BILL 10/08/20 0.0900% 5,000,000.0000 N/A N/A 99.96 4,997,484.38 4,997,850.00 Cash Equivalents 912796TP4 U S TREASURY BILL 11/05/20 0.0901% 5,000,000.0000 N/A N/A 99.94 4,997,375.00 4,997,200.00 Cash Equivalents 912796TY5 U S TREASURY BILL 12/31/20 0.0963% 5,000,000.0000 N/A N/A 99.91 4,995,372.22 4,995,550.00 Cash Equivalents 912796UC1 U S TREASURY BILL 1/28/21 0.0938% 50,500,000.0000 N/A N/A 99.90 50,447,321.05 50,451,015.00 Cash Equivalents 912796WY1 U S TREASURY BILL 7/30/20 0.1188% 3,500,000.0000 99.99 3,497,087.22 3,499,650.00 Cash Equivalents 912796XE4 U S TREASURY BILL 2/25/21 0.0976% 5,000,000.0000 N/A N/A 99.89 4,994,147.22 4,994,700.00 Cash Equivalents 912796XG9 U S TREASURY BILL 8/27/20 0.0863% 13,000,000.0000 N/A N/A 99.98 12,995,164.01 12,997,140.00 Fixed Income 00440EAP2 ACE INA HOLDINGS 2.700% 3/13/23 2.5595% 2,000,000.0000 A3 A 105.49 1,937,000.00 2,109,800.00 Fixed Income 00440EAT4 ACE INA HOLDINGS 2.300% 11/03/20 2.2889% 500,000.0000 A3 A 100.48 503,140.00 502,415.00 Fixed Income 00440EAUl ACE INA HOLDINGS 2.875% 11/03/22 2.7358% 4,169,000.0000 A3 A 105.09 4,232,453.17 4,381,202.10 Fixed Income 02665WCJ8 AMERICAN HONDA MTN 3.450% 7/14/23 3.2065% 845,000.0000 A3 A- 107.60 843,538.15 909,177.75 Fixed Income 02665WCQ2 AMERICAN HONDA MTN 3.625% 10/10/23 3.3370% 2,000,000.0000 A3 A- 108.63 1,998,320.00 2,172,580.00 Fixed Income 02665W CZ2 AMERICAN HONDA MTN 2.400% 6/27/24 2.2832% 1,219,000.0000 A3 A- 105.11 1,213,843.63 1,281,339.66 Fixed Income 03215PFN4 AMRESCO 1.19948% 6/25/29 1.3266% 119,021.6400 N/A A+ 90.42 89,377.81 107,618.18 Fixed Income 037833AR1 APPLE INC 2.850% 5/06/21 2.7892% 1,155,000.0000 AA1 AA+ 102.18 1,182,327.30 1,180,179.00 Fixed Income 037833BS8 APPLE INC 2.250% 2/23/21 2.2256% 4,000,000.0000 AA1 AA+ 101.10 4,050,840.00 4,043,920.00 Fixed Income 037833CU2 APPLE INC 2.850% 5/11/24 2.6464% 3,000,000.0000 AA1 AA+ 107.69 3,017,760.00 3,230,760.00 Fixed Income 06051GHF9 BANK OF AMERICA 3.550% 3/05/24 3.3210% 6,675,000.0000 A2 A- 106.90 6,770,625.75 7,135,308.00 Fixed Income 06406RAA5 BANK OF NY MTN 2.600% 2/07/22 2.5170% 2,500,000.0000 Al A 103.30 2,504,475.00 2,582,400.00 Fixed Income 06406RAE7 BANK OF NY MTN 2.950% 1/29/23 2.7745% 2,500,000.0000 Al A 106.33 2,489,555.00 2,658,125.00 Fixed Income 084664BT7 BERKSHIRE HATHAWAY 3.000% 5/15/22 2.8601% 4,000,000.0000 AA2 AA 104.89 4,131,120.00 4,195,720.00 Fixed Income 084670BR8 BERKSHIRE HATHAWAY 2.750% 3/15/23 2.5967% 2,500,000.0000 AA2 AA 105.90 2,440,950.00 2,647,600.00 Fixed Income 09247XAL5 BLACKROCK INC 3.500% 3/18/24 3.1596% 1,000,000.0000 AA3 AA- 110.78 1,036,330.00 1,107,750.00 Fixed Income 166764AH3 CHEVRON CORP 3.191% 6/24/23 2.9781% 3,500,000.0000 AA2 AA 107.15 3,441,095.00 3,750,250.00 Fixed Income 166764BG4 CHEVRON CORP 2.100% 5/16/21 2.0715% 2,500,000.0000 AA2 AA 101.37 2,485,350.00 2,534,350.00 Fixed Income 24422EUM9 JOHN DEERE MTN 3.650% 10/12/23 3.3197% 1,250,000.0000 A2 A 109.95 1,250,237.50 1,374,375.00 Fixed Income 30231GAV4 EXXON MOBIL 2.222% 3/01/21 2.1968% 3,000,000.0000 AA1 AA 101.15 3,016,097.40 3,034,470.00 Fixed Income 3130AOF70 F H L B DEB 3.375% 12/08/23 3.0578% 10,000,000.0000 AAA AA+ 110.37 10,269,043.75 11,037,300.00 Fixed Income 3130A1XJ2 F H L B 2.875% 6/14/24 2.6205% 11,110,000.0000 AAA AA+ 109.71 11,589,031.30 12,189,114.30 1 of 5 U.S. Bank Investment Listing -Yield As of 06/30/2020 Asset Category CUSIP Asset Short Name Yield Shares/Units Moody's S&P Rating Price Cost Basis Market Value Fixed Income 313OA2UW4 F H L B DEB 2.875% 9/13/24 2.6038% 2,500,000.0000 AAA AA+ 110.42 2,635,950.00 2,760,400.00 Fixed Income 313OA4CH3 F H L B DEB 2.375% 3/14/25 2.1804% 5,225,000.0000 AAA AA+ 108.93 5,526,848.25 5,691,383.50 Fixed Income 313OA7CV5 F H L B DEB 1.375% 2/18/21 1.3650% 5,365,000.0000 AAA AA+ 100.73 5,343,325.40 5,404,379.10 Fixed Income 313379RB7 F H L B DEB 1.875% 6/11/21 1.8472% 4,000,000.0000 AAA AA+ 101.51 4,030,160.00 4,060,200.00 Fixed Income 313383QR5 F H L B DEB 3.250% 6/09/23 2.9951% 5,000,000.0000 AAA AA+ 108.51 5,083,350.00 5,425,550.00 Fixed Income 313383YJ4 F H L B DEB 3.375% 9/08/23 3.0746% 10,000,000.0000 AAA AA+ 109.77 10,211,831.00 10,976,900.00 Fixed Income 313384K57 F H L B DISC NTS 10/13/20 0.0000% 6,500,000.0000 N/A N/A 99.96 6,496,403.33 6,497,205.00 Fixed Income 313384Q77 F H L B DISC NTS 11/24/20 0.0000% 4,800,000.0000 N/A N/A 99.93 4,796,656.00 4,796,688.00 Fixed Income 313385AD8 F H L B DISC NTS 1/04/21 0.0000% 1,500,000.0000 N/A N/A 99.91 1,498,340.00 1,498,605.00 Fixed Income 3133EKWV4 F F C B DEB 1.850% 7/26/24 1.7470% 5,000,000.0000 AAA AA+ 105.90 5,048,280.00 5,294,900.00 Fixed Income 3133ELYR9 F F C B DEB 0.250% 5/06/22 0.2499% 8,850,000.0000 AAA AA+ 100.02 8,838,760.50 8,852,035.50 Fixed Income 3133TCE95 F H L M C MLTCL MTG 4.020% 8/15/32 3.9787% 5,161.5000 N/A N/A 101.04 5,166.91 5,215.02 Fixed Income 31348SWZ3 F H L M C#786064 3.846% 1/01/28 3.8333% 1,674.4100 N/A N/A 100.33 1,633.64 1,679.94 Fixed Income 3135GO3U5 F N M A DEB 0.625% 4/22/25 0.6200% 14,000,000.0000 AAA AA+ 100.81 13,996,711.60 14,113,400.00 Fixed Income 3135GO4Z3 F N M A 0.500% 6/17/25 0.4998% 9,905,000.0000 AAA AA+ 100.04 9,884,496.65 9,908,763.90 Fixed Income 3135GOF73 F N M A 1.500% 11/30/20 1.4920% 7,500,000.0000 AAA AA+ 100.54 7,370,726.00 7,540,350.00 Fixed Income 3135GOJ20 F N M A DEB 1.375% 2/26/21 1.3650% 10,000,000.0000 AAA AA+ 100.74 10,040,950.00 10,073,500.00 Fixed Income 3135GOS38 F N M A 2.000% 1/05/22 1.9467% 3,000,000.0000 AAA AA+ 102.74 2,994,570.00 3,082,200.00 Fixed Income 3135GOT45 F N M A 1.875% 4/05/22 1.8213% 5,000,000.0000 AAA AA+ 102.95 4,972,500.00 5,147,550.00 Fixed Income 3135GOT94 F N M A DEB 2.375% 1/19/23 2.2481% 5,000,000.0000 AAA AA+ 105.64 4,910,990.00 5,282,150.00 Fixed Income 3135GOU35 F N M A 2.750% 6/22/21 2.6833% 7,500,000.0000 AAA AA+ 102.49 7,515,225.00 7,686,375.00 Fixed Income 3135GOV34 F N M A 2.500% 2/05/24 2.3179% 5,000,000.0000 AAA AA+ 107.86 4,980,850.00 5,392,750.00 Fixed Income 3135GOX24 F N M A 1.625% 1/07/25 1.5424% 10,000,000.0000 AAA AA+ 105.35 10,157,936.40 10,535,300.00 Fixed Income 31371 NUC7 F N M A#257179 4.500% 4/01/28 4.1921% 12,561.3800 N/A N/A 107.34 13,284.90 13,483.89 Fixed Income 31376KT22 F N M A#357969 5.000% 9/01/35 4.3521% 84,756.4700 N/A N/A 114.89 91,113.19 97,375.01 Fixed Income 3137EAEK1 F H L M C M T N 1.875% 11/17/20 1.8630% 5,000,000.0000 AAA AA+ 100.64 4,986,225.00 5,032,150.00 Fixed Income 3137EAEL9 F H L M C M T N 2.375% 2/16/21 2.3436% 7,500,000.0000 AAA AA+ 101.34 7,484,475.00 7,600,500.00 Fixed Income 3137EAEN5 F H L M C 2.750% 6/19/23 2.5584% 10,000,000.0000 AAA AA+ 107.49 9,956,500.00 10,748,700.00 Fixed Income 3137EAEPO F H L M C 1.500% 2/12/25 1.4316% 12,335,000.0000 AAA N/A 104.78 12,510,182.05 12,924,736.35 Fixed Income 31381PDA3 F N M A#466397 3.400% 11/01/20 3.4015% 330,694.5100 N/A N/A 99.96 323,538.10 330,552.31 Fixed Income 3138EG6F6 F N M A#AL0869 4.500% 6/01/29 4.1810% 8,343.8500 N/A N/A 107.63 8,824.46 8,980.49 Fixed Income 31394JY35 F H L M C MLTCL MTG 6.500% 9/25/43 5.5823% 609,746.7500 N/A N/A 116.44 690,538.19 709,983.02 Fixed Income 31397QREO F N M A GTD REMIC 2.472% 2/25/41 0.8574% 157,756.3300 N/A N/A 100.83 157,707.03 159,065.71 Fixed Income 31403DJZ3 F N M A#745580 5.000% 6/01/36 4.3540% 80,220.2000 N/A N/A 114.84 86,236.70 92,122.47 Fixed Income 31403GXF4 F N M A#748678 5.000% 10/01/33 4.4280% 1,698.7000 N/A N/A 112.92 1,826.11 1,918.12 Fixed Income 31406PQY8 F N M A#815971 5.000% 3/01/35 4.3622% 127,040.3200 N/A N/A 114.62 136,568.36 145,614.89 Fixed Income 31406XWT5 F N M A#823358 3.674% 2/01/35 3.5053% 94,583.8400 N/A N/A 104.81 93,844.90 99,137.11 2 of 5 U.S. Bank Investment Listing -Yield As of 06/30/2020 Asset Category CUSIP Asset Short Name Yield Shares/Units Moody's S&P Rating Price Cost Basis Market Value Fixed Income 31407BXH7 F N M A#826080 5.000% 7/01/35 4.3513% 16,311.9900 N/A N/A 114.91 17,535.38 18,743.78 Fixed Income 31410F4V4 F N M A#888336 5.000% 7/01/36 4.3576% 155,553.5400 N/A N/A 114.74 167,220.06 178,483.69 Fixed Income 31417YAY3 F N M A#MA0022 4.500% 4/01/29 4.1822% 13,379.3400 N/A N/A 107.60 14,149.97 14,396.17 Fixed Income 36225CAZ9 G N M A 11#080023 3.125% 12/20/26 3.0127% 13,379.7000 N/A N/A 103.73 13,600.74 13,878.36 Fixed Income 36225CC20 G N M A 11#080088 3.875% 6/20/27 3.8638% 11,200.9100 N/A N/A 100.29 11,445.94 11,233.50 Fixed Income 36225CN28 G N M A 11#080408 3.875% 5/20/30 3.7146% 42,825.2800 N/A N/A 104.32 42,390.34 44,674.90 Fixed Income 36225CNM4 G N M A 11#080395 3.875% 4/20/30 3.7146% 5,478.3000 N/A N/A 104.32 5,428.62 5,714.85 Fixed Income 36225DCB8 G N M A 11#080965 3.250% 7/20/34 3.0986% 37,515.2100 N/A N/A 104.89 37,491.78 39,347.83 Fixed Income 369550BE7 GENERAL DYNAMICS 3.000% 5/11/21 2.9323% 3,160,000.0000 A2 A 102.31 3,138,038.00 3,232,964.40 Fixed Income 404280BF5 HSBC HOLDINGS PLC 2.650% 1/05/22 2.5714% 4,500,000.0000 A2 A- 103.06 4,429,980.00 4,637,565.00 Fixed Income 43814PAC4 HONDA AUTO 1.790% 9/20/21 1.7834% 724,262.2600 N/A AAA 100.37 712,775.91 726,927.55 Fixed Income 43814UAG4 HONDA AUTO 3.010% 5/18/22 2.9687% 1,281,491.3300 N/A AAA 101.39 1,281,463.39 1,299,316.87 Fixed Income 43814WAB1 HONDA AUTO 2.750% 9/20/21 2.7358% 1,743,638.5600 N/A AAA 100.52 1,743,526.27 1,752,688.04 Fixed Income 43815HAC1 HONDAAUTO 2.950% 8/22/22 2.8991% 3,184,523.1100 AAA N/A 101.75 3,184,086.20 3,240,379.65 Fixed Income 43815NABO HONDA AUTO 1.900% 4/15/22 1.8868% 3,068,744.8900 AAA AAA 100.70 3,068,530.08 3,090,164.73 Fixed Income 438516CBO HONEYWELL 1.350% 6/01/25 1.3182% 5,000,000.0000 A2 A 102.42 5,119,000.00 5,120,750.00 Fixed Income 44932HAH6 IBM CREDIT CORP 3.000% 2/06/23 2.8199% 5,670,000.0000 A2 A 106.39 5,603,264.40 6,032,199.60 Fixed Income 458140BD1 INTEL CORP 2.875% 5/11/24 2.6539% 5,000,000.0000 Al A+ 108.33 5,025,900.00 5,416,550.00 Fixed Income 4581XOCS5 INTER AMER BK M T N 1.875% 3/15/21 1.8565% 5,000,000.0000 AAA AAA 101.00 5,059,610.00 5,049,800.00 Fixed Income 4581XOCW6 INTER AMER DEV BK 2.125% 1/18/22 2.0675% 3,000,000.0000 AAA N/A 102.78 2,996,310.00 3,083,490.00 Fixed Income 4581XOCZ9 INTER AMER DEV BK 1.750% 9/14/22 1.6951% 6,500,000.0000 AAA AAA 103.24 6,249,655.00 6,710,535.00 Fixed Income 459052E28 INTL BK DISC NTS 8/31/20 0.0000% 5,000,000.0000 N/A N/A 99.98 4,993,483.33 4,998,750.00 Fixed Income 459058FH 1 INTL BK 1.375% 5/24/21 1.3620% 1,000,000.0000 AAA AAA 100.96 1,010,570.00 1,009,580.00 Fixed Income 459058FY4 INTL BK 2.000% 1/26/22 1.9474% 10,000,000.0000 AAA N/A 102.70 10,006,350.00 10,270,300.00 Fixed Income 459058JBO INTL BK M T N 0.625% 4/22/25 0.6200% 6,245,000.0000 AAA AAA 100.81 6,220,831.85 6,295,522.05 Fixed Income 45950KCJ7 INTL FINANCE CORP 1.125% 7/20/21 1.1158% 2,500,000.0000 AAA AAA 100.82 2,441,600.00 2,520,525.00 Fixed Income 45950KCMO INTL BK M T N 2.250% 1/25/21 2.2258% 2,970,000.0000 AAA AAA 101.09 2,961,268.20 3,002,224.50 Fixed Income 46625HHU7 JPMORGAN CHASE CO 4.250% 10/15/20 4.2024% 1,160,000.0000 A2 A- 101.13 1,176,924.40 1,173,131.20 Fixed Income 46625HNX4 JPMORGAN CHASE CO 2.550% 10/29/20 2.5371% 1,000,000.0000 A2 A- 100.51 1,005,900.00 1,005,100.00 Fixed Income 46625HRL6 JP MORGAN CHASE CO 2.700% 5/18/23 2.5616% 5,000,000.0000 A2 A- 105.40 4,821,910.00 5,270,100.00 Fixed Income 46647PAUO JPMORGAN CHASE CO 3.797% 7/23/24 3.5002% 2,500,000.0000 A2 A- 108.48 2,632,175.00 2,711,950.00 Fixed Income 477870AB5 JOHN DEERE OWNER 2.280% 5/16/22 2.2661% 1,810,561.5600 AAA N/A 100.61 1,810,554.68 1,821,642.20 Fixed Income 47788BAD6 JOHN DEERE OWNER 1.820% 10/15/21 1.8165% 81,522.7400 AAA N/A 100.19 81,516.77 81,677.63 Fixed Income 47788CAC6 JOHN DEERE OWNER 2.660% 4/18/22 2.6421% 597,304.5300 AAA N/A 100.68 597,261.59 601,348.28 Fixed Income 47788EAC2 JOHN DEERE OWNER 3.080% 11/15/22 3.0315% 3,585,766.5200 AAA N/A 101.60 3,585,494.72 3,643,174.64 Fixed Income 47789JAB2 JOHN DEERE OWNER 2.850% 12/15/21 2.8371% 1,125,770.3200 AAA N/A 100.46 1,125,718.99 1,130,892.57 Fixed Income 494368BF9 KIMBERLY CLARK CORP 3.875% 3/01/21 3.7850% 750,000.0000 A2 A 102.38 768,877.50 767,827.50 3 of 5 U.S. Bank Investment Listing -Yield As of 06/30/2020 Asset Category CUSIP Asset Short Name Yield Shares/Units Moody's S&P Rating Price Cost Basis Market Value Fixed Income 525ESCOY6 LEHMAN BRTH HLD ESC 0.0000% 2,000,000.0000 - 1,026,605.56 - Fixed Income 525ESCIB7 LEHMAN BRTH MTN ES 0.00001% 1/24/13 0.0009% 600,000.0000 N/A N/A 1.12 318,603.60 6,720.00 Fixed Income 58770FAC6 MERCEDES BENZ AUTO 1.840% 12/15/22 1.8122% 2,050,000.0000 AAA AAA 101.53 2,049,729.81 2,081,426.50 Fixed Income 58933YAF2 MERCK CO INC 2.800% 5/18/23 2.6278% 2,000,000.0000 Al AA- 106.55 1,948,640.00 2,131,080.00 Fixed Income 594918BP8 MICROSOFT CORP 1.550% 8/08/21 1.5291% 3,045,000.0000 AAA AAA 101.37 3,041,385.15 3,086,686.05 Fixed Income 61747WAL3 MORGAN STANLEY 5.500% 7/28/21 5.2231% 2,800,000.0000 A3 BBB+ 105.30 3,200,848.00 2,948,428.00 Fixed Income 64971 M5E8 NEW YORK CITY NY 4.075% 11/01/20 4.0296% 1,400,000.0000 AA1 AAA 101.13 1,400,000.00 1,415,764.00 Fixed Income 65478GAD2 NISSAN AUTO 1.750% 10/15/21 1.7457% 694,887.2400 AAA N/A 100.25 684,111.06 696,589.71 Fixed Income 65479GAD1 NISSAN AUTO 3.060% 3/15/23 2.9983% 3,519,918.8900 AAA AAA 102.06 3,519,804.85 3,592,394.02 Fixed Income 65479JAD5 NISSAN AUTO 1.930% 7/15/24 1.8778% 4,185,000.0000 AAA AAA 102.78 4,184,779.03 4,301,426.70 Fixed Income 68389XBKO ORACLE CORP 1.900% 9/15/21 1.8681% 3,000,000.0000 A3 A 101.71 2,892,240.00 3,051,270.00 Fixed Income 69353RFB9 PNC BANK NA MTN 2.625% 2/17/22 2.5339% 1,000,000.0000 A2 A 103.60 974,940.00 1,035,970.00 Fixed Income 69353RFL7 PNC BANK NA MTN 3.500% 6/08/23 3.2382% 5,000,000.0000 A2 A 108.08 4,993,318.05 5,404,200.00 Fixed Income 78012UVJ1 ROYAL BK OF C D 1.000% 2/19/21 0.9951% 1,500,000.0000 100.49 1,500,000.00 1,507,395.00 Fixed Income 78013XZU5 ROYAL BANK OF MTN 2.550% 7/16/24 2.4012% 6,500,000.0000 A2 A 106.20 6,581,445.00 6,902,675.00 Fixed Income 78445JAA5 S L M A 2.51906% 4/25/23 2.5746% 11,633.3200 BAA3 B 97.84 11,586.12 11,382.39 Fixed Income 808513AT2 CHARLES SCHWAB CORP 2.650% 1/25/23 2.5199% 6,750,000.0000 A2 A 105.16 6,729,480.00 7,098,570.00 Fixed Income 808513AW5 CHARLES SCHWAB CORP 3.250% 5/21/21 3.1767% 1,385,000.0000 A2 A 102.31 1,419,472.65 1,416,979.65 Fixed Income 83162CLJO S B A GTD DEV PART 6.340% 3/01/21 6.2747% 5,878.0300 N/A N/A 101.04 5,878.03 5,939.16 Fixed Income 89114QBX5 TORONTO DOMINION MTN 2.550% 1/25/21 2.5181% 1,750,000.0000 AA1 AA- 101.27 1,774,762.50 1,772,172.50 Fixed Income 89114QC48 TORONTO MTN 3.500% 7/19/23 3.2013% 5,000,000.0000 AA1 AA- 109.33 5,094,200.00 5,466,450.00 Fixed Income 89114QCA4 TORONTO DOMINION MTN 2.650% 6/12/24 2.4765% 3,000,000.0000 AA3 A 107.01 3,000,570.00 3,210,240.00 Fixed Income 89239AAB9 TOYOTA AUTO 2.830% 10/15/21 2.8166% 1,195,272.5400 AAA AAA 100.48 1,195,164.02 1,200,973.99 Fixed Income 90331HNL3 US BANK NA MTN 2.850% 1/23/23 2.6990% 2,000,000.0000 Al AA- 105.59 1,992,640.00 2,111,860.00 Fixed Income 90331HPL1 US BANK NA MTN 2.050% 1/21/25 1.9406% 7,270,000.0000 Al AA- 105.64 7,254,514.90 7,679,737.20 Fixed Income 9128283,17 U S TREASURY NT 2.125% 11/30/24 1.9631% 16,500,000.0000 AAA N/A 108.25 16,783,886.72 17,860,590.00 Fixed Income 9128284D9 U S TREASURY NT 2.500% 3/31/23 2.3504% 10,000,000.0000 AAA N/A 106.36 9,887,265.63 10,636,300.00 Fixed Income 9128284Y3 U S TREASURY NT 2.625% 8/31/20 2.6144% 7,000,000.0000 AAA N/A 100.41 7,042,382.81 7,028,350.00 Fixed Income 912828,176 U S TREASURY NT 1.750% 3/31/22 1.7032% 5,000,000.0000 AAA N/A 102.75 4,976,383.94 5,137,500.00 Fixed Income 9128281-24 U S TREASURY NT 1.875% 8/31/22 1.8084% 6,000,000.0000 AAA N/A 103.68 5,987,832.60 6,221,040.00 Fixed Income 9128281-32 U S TREASURY NT 1.375% 8/31/20 1.3723% 15,000,000.0000 AAA N/A 100.20 14,977,929.69 15,029,700.00 Fixed Income 9128281-57 U S TREASURY NT 1.750% 9/30/22 1.6901% 16,000,000.0000 AAA N/A 103.54 15,829,492.20 16,566,880.00 Fixed Income 9128281-99 U S TREASURY NT 1.375% 10/31/20 1.3696% 7,000,000.0000 AAA N/A 100.39 6,888,738.85 7,027,510.00 Fixed Income 912828M80 U S TREASURY NT 2.000% 11/30/22 1.9157% 8,000,000.0000 AAA N/A 104.40 7,907,500.00 8,352,160.00 Fixed Income 912828N30 U S TREASURY NT 2.125% 12/31/22 2.0263% 5,000,000.0000 AAA N/A 104.87 4,926,562.50 5,243,550.00 Fixed Income 912828N89 U S TREASURY NT 1.375% 1/31/21 1.3656% 6,000,000.0000 AAA N/A 100.69 5,895,840.41 6,041,280.00 Fixed Income 912828R69 U S TREASURY NT 1.625% 5/31/23 1.5593% 5,000,000.0000 AAA N/A 104.21 4,757,226.56 5,210,550.00 4 of 5 U.S. Bank Investment Listing -Yield As of 06/30/2020 Asset Category CUSIP Asset Short Name Yield Shares/Units Moody's S&P Rating Price Cost Basis Market Value Fixed Income 912828T34 U S TREASURY NT 1.125% 9/30/21 1.1118% 7,000,000.0000 AAA N/A 101.19 6,757,914.08 7,083,160.00 Fixed Income 912828T67 U S TREASURY NT 1.250% 10/31/21 1.2323% 6,000,000.0000 AAA N/A 101.43 5,813,691.98 6,086,040.00 Fixed Income 912828U57 U S TREASURY NT 2.125% 11/30/23 1.9941% 15,000,000.0000 AAA N/A 106.56 14,723,632.81 15,984,450.00 Fixed Income 912828U65 U S TREASURY NT 1.750% 11/30/21 1.7118% 7,000,000.0000 AAA N/A 102.23 6,900,492.20 7,156,170.00 Fixed Income 912828V72 U S TREASURY NT 1.875% 1/31/22 1.8261% 3,000,000.0000 AAA N/A 102.68 3,004,814.74 3,080,280.00 Fixed Income 912828V80 U S TREASURY NT 2.250% 1/31/24 2.0967% 7,500,000.0000 AAA 107.31 7,491,503.91 8,048,475.00 Fixed Income 912828VV9 U S TREASURY NT 2.125% 8/31/20 2.1182% 15,000,000.0000 AAA N/A 100.32 15,049,804.69 15,048,300.00 Fixed Income 912828W48 U S TREASURY NT 2.125% 2/29/24 1.9857% 10,000,000.0000 AAA N/A 107.02 9,911,718.75 10,701,600.00 Fixed Income 912828WJ5 U S TREASURY NT 2.500% 5/15/24 2.2978% 7,000,000.0000 AAA N/A 108.80 7,193,046.88 7,616,070.00 Fixed Income 912828WUO U S TREASURY I P S 0.125% 7/15/24 0.1197% 11,232,208.0000 AAA N/A 104.45 11,087,488.09 11,731,591.97 Fixed Income 912828XW5 U S TREASURY NT 1.750% 6/30/22 1.6966% 5,000,000.0000 AAA N/A 103.15 4,973,454.25 5,157,400.00 Fixed Income 912828XX3 U S TREASURY NT 2.000% 6/30/24 1.8680% 5,000,000.0000 AAA N/A 107.07 5,028,710.94 5,353,300.00 Fixed Income 912828YH7 U S TREASURY NT 1.500% 9/30/24 1.4241% 14,000,000.0000 AAA N/A 105.33 13,859,296.88 14,745,920.00 Fixed Income 912828ZL7 U S TREASURY NT 0.375% 4/30/25 0.3733% 12,000,000.0000 AAA N/A 100.45 11,998,515.63 12,054,360.00 Fixed Income 913366EJ5 UNIV OF CALIFORNIA 5.035% 5/15/21 4.8729% 400,000.0000 AA3 AA- 103.33 400,000.00 413,304.00 Fixed Income 931142EK5 WALMART INC 3.400% 6/26/23 3.1211% 3,880,000.0000 AA2 AA 108.94 3,878,991.40 4,226,755.60 Fixed Income 94974BGM6 WELLS FARGO CO MTN 2.600% 7/22/20 2.5968% 5,000,000.0000 W R N/R 100.12 5,001,650.00 5,006,100.00 Fixed Income 95000U2138 WELLS FARGO MTN 2.625% 7/22/22 2.5197% 3,000,000.0000 A2 BBB+ 104.18 2,954,520.00 3,125,430.00 Total Consolidated 798,846,007.34 5of5 U.S. Bank Asset Detail -Consolidated As of 06/30/2020 CUSIP Asset Short Name Price Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss Cash Equivalents 3133121-160 F F C B DISC NTS 9/28/20 99.97 3,000,000.0000 2,998,615.83 2,998,950.00 0.38 334.17 313384ZXO F H L B DISC NTS 7/27/20 99.99 2,500,000.0000 2,498,737.50 2,499,775.00 0.31 1,037.50 313384ZZ5 F H L B DISC NTS 7/29/20 99.99 5,000,000.0000 4,998,750.00 4,999,550.00 0.63 800.00 31846V567 FIRST AM GOVT OB FD CL Z 1.00 3,643,086.3500 3,643,086.35 3,643,086.35 0.46 - 31846V567 FIRST AM GOVT OB FD CL Z 1.00 6,486,691.7400 6,486,691.74 6,486,691.74 0.81 - 912796257 U S TREASURY BILL 10/22/20 99.95 5,000,000.0000 4,997,362.85 4,997,500.00 0.63 137.15 9127963QO U S TREASURY BILL 8/25/20 99.98 10,000,000.0000 9,997,814.44 9,997,900.00 1.25 85.56 9127963Y3 U S TREASURY BILL 9/15/20 99.97 7,000,000.0000 6,997,021.50 6,997,900.00 0.88 878.50 912796TN9 U S TREASURY BILL 10/08/20 99.96 5,000,000.0000 4,997,484.38 4,997,850.00 0.63 365.62 912796TP4 U S TREASURY BILL 11/05/20 99.94 5,000,000.0000 4,997,375.00 4,997,200.00 0.63 (175.00) 912796TY5 U S TREASURY BILL 12/31/20 99.91 5,000,000.0000 4,995,372.22 4,995,550.00 0.63 177.78 912796UC1 U S TREASURY BILL 1/28/21 99.90 50,500,000.0000 50,447,321.05 50,451,015.00 6.32 3,693.95 912796WY1 U S TREASURY BILL 7/30/20 99.99 3,500,000.0000 3,497,087.22 3,499,650.00 0.44 2,562.78 912796XE4 U S TREASURY BILL 2/25/21 99.89 5,000,000.0000 4,994,147.22 4,994,700.00 0.63 552.78 912796XG9 U S TREASURY BILL 8/27/20 99.98 13,000,000.0000 12,995,164.01 12,997,140.00 1.63 1,975.99 Cash Equivalents Total 129,629,778.0900 129,542,031.31 129,554,458.09 16.22 12,426.78 Fixed Income 00440EAP2 ACE INA HOLDINGS 2.700% 3/13/23 105.49 2,000,000.0000 1,937,000.00 2,109,800.00 0.26 172,800.00 00440EAT4 ACE INA HOLDINGS 2.300%11/03/20 100.48 500,000.0000 503,140.00 502,415.00 0.06 (725.00) 00440EAUl ACE INA HOLDINGS 2.875%11/03/22 105.09 4,169,000.0000 4,232,453.17 4,381,202.10 0.55 148,748.93 02665WCJ8 AMERICAN HONDA MTN 3.450% 7/14/23 107.60 845,000.0000 843,538.15 909,177.75 0.11 65,639.60 02665WCQ2 AMERICAN HONDA MTN 3.625%10/10/23 108.63 2,000,000.0000 1,998,320.00 2,172,580.00 0.27 174,260.00 02665WCZ2 AMERICAN HONDA MTN 2.400% 6/27/24 105.11 1,219,000.0000 1,213,843.63 1,281,339.66 0.16 67,496.03 03215PFN4 AMRESCO 1.19948% 6/25/29 90.42 119,021.6400 89,377.81 107,618.18 0.01 18,240.37 037833AR1 APPLE INC 2.850% 5/06/21 102.18 1,155,000.0000 1,182,327.30 1,180,179.00 0.15 (2,148.30) 037833BS8 APPLE INC 2.250% 2/23/21 101.10 4,000,000.0000 4,050,840.00 4,043,920.00 0.51 (6,920.00) 037833CU2 APPLE INC 2.850% 5/11/24 107.69 3,000,000.0000 3,017,760.00 3,230,760.00 0.40 213,000.00 06051GHF9 BANK OF AMERICA 3.550% 3/05/24 106.90 6,675,000.0000 6,770,625.75 7,135,308.00 0.89 364,682.25 06406RAA5 BANK OF NY MTN 2.600% 2/07/22 103.30 2,500,000.0000 2,504,475.00 2,582,400.00 0.32 77,925.00 06406RAE7 BANK OF NY MTN 2.950% 1/29/23 106.33 2,500,000.0000 2,489,555.00 2,658,125.00 0.33 168,570.00 084664BT7 BERKSHIRE HATHAWAY 3.000% 5/15/22 104.89 4,000,000.0000 4,131,120.00 4,195,720.00 0.53 64,600.00 084670BR8 BERKSHIRE HATHAWAY 2.750% 3/15/23 105.90 2,500,000.0000 2,440,950.00 2,647,600.00 0.33 206,650.00 09247XAL5 BLACKROCK INC 3.500% 3/18/24 110.78 1,000,000.0000 1,036,330.00 1,107,750.00 0.14 71,420.00 166764AH3 CHEVRON CORP 3.191% 6/24/23 107.15 3,500,000.0000 3,441,095.00 3,750,250.00 0.47 309,155.00 166764BG4 CHEVRON CORP 2.100% 5/16/21 101.37 2,500,000.0000 2,485,350.00 2,534,350.00 0.32 49,000.00 24422EUM9 JOHN DEERE MTN 3.650%10/12/23 109.95 1,250,000.0000 1,250,237.50 1,374,375.00 0.17 124,137.50 30231GAV4 EXXON MOBIL 2.222% 3/01/21 101.15 3,000,000.0000 3,016,097.40 3,034,470.00 0.38 18,372.60 3130AOF70 F H L B DEB 3.375%12/08/23 110.37 10,000,000.0000 10,269,043.75 11,037,300.00 1.38 768,256.25 3130A1XJ2 F H L B 2.875% 6/14/24 109.71 11,110,000.0000 11,589,031.30 12,189,114.30 1.53 600,083.00 3130A2UW4 F H L B DEB 2.875% 9/13/24 110.42 2,500,000.0000 2,635,950.00 2,760,400.00 0.35 124,450.00 1 of 5 U.S. Bank Asset Detail -Consolidated As of 06/30/2020 CUSIP Asset Short Name Price Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss 313OA4CH3 F H L B DEB 2.375% 3/14/25 108.93 5,225,000.0000 5,526,848.25 5,691,383.50 0.71 164,535.25 313OA7CV5 F H L B DEB 1.375% 2/18/21 100.73 5,365,000.0000 5,343,325.40 5,404,379.10 0.68 61,053.70 313379RB7 F H L B DEB 1.875% 6/11/21 101.51 4,000,000.0000 4,030,160.00 4,060,200.00 0.51 30,040.00 313383QR5 F H L B DEB 3.250% 6/09/23 108.51 5,000,000.0000 5,083,350.00 5,425,550.00 0.68 342,200.00 313383YJ4 F H L B DEB 3.375% 9/08/23 109.77 10,000,000.0000 10,211,831.00 10,976,900.00 1.37 765,069.00 313384K57 F H L B DISC NTS 10/13/20 99.96 6,500,000.0000 6,496,403.33 6,497,205.00 0.81 801.67 313384Q77 F H L B DISC NTS 11/24/20 99.93 4,800,000.0000 4,796,656.00 4,796,688.00 0.60 32.00 313385AD8 F H L B DISC NTS 1/04/21 99.91 1,500,000.0000 1,498,340.00 1,498,605.00 0.19 265.00 3133EKWV4 F F C B DEB 1.850% 7/26/24 105.90 5,000,000.0000 5,048,280.00 5,294,900.00 0.66 246,620.00 3133ELYR9 F F C B DEB 0.250% 5/06/22 100.02 8,850,000.0000 8,838,760.50 8,852,035.50 1.11 13,275.00 3133TCE95 F H L M C MLTCL MTG 4.020% 8/15/32 101.04 5,161.5000 5,166.91 5,215.02 0.00 48.11 31348SWZ3 F H L M C#786064 3.846% 1/01/28 100.33 1,674.4100 1,633.64 1,679.94 0.00 46.30 3135GO3U5 F N M A DEB 0.625% 4/22/25 100.81 14,000,000.0000 13,996,711.60 14,113,400.00 1.77 116,688.40 3135GO4Z3 F N M A 0.500% 6/17/25 100.04 9,905,000.0000 9,884,496.65 9,908,763.90 1.24 24,267.25 3135GOF73 F N M A 1.500%11/30/20 100.54 7,500,000.0000 7,370,726.00 7,540,350.00 0.94 169,624.00 3135GOJ20 F N M A DEB 1.375% 2/26/21 100.74 10,000,000.0000 10,040,950.00 10,073,500.00 1.26 32,550.00 3135GOS38 F N M A 2.000% 1/05/22 102.74 3,000,000.0000 2,994,570.00 3,082,200.00 0.39 87,630.00 3135GOT45 F N M A 1.875% 4/05/22 102.95 5,000,000.0000 4,972,500.00 5,147,550.00 0.64 175,050.00 3135GOT94 F N M A DEB 2.375% 1/19/23 105.64 5,000,000.0000 4,910,990.00 5,282,150.00 0.66 371,160.00 3135GOU35 F N M A 2.750% 6/22/21 102.49 7,500,000.0000 7,515,225.00 7,686,375.00 0.96 171,150.00 3135GOV34 F N M A 2.500% 2/05/24 107.86 5,000,000.0000 4,980,850.00 5,392,750.00 0.68 411,900.00 3135GOX24 F N M A 1.625% 1/07/25 105.35 10,000,000.0000 10,157,936.40 10,535,300.00 1.32 377,363.60 31371 NUC7 F N M A#257179 4.500% 4/01/28 107.34 12,561.3800 13,284.90 13,483.89 0.00 198.99 31376KT22 F N M A#357969 5.000% 9/01/35 114.89 84,756.4700 91,113.19 97,375.01 0.01 6,261.82 3137EAEK1 F H L M C M T N 1.875%11/17/20 100.64 5,000,000.0000 4,986,225.00 5,032,150.00 0.63 45,925.00 3137EAEL9 F H L M C M T N 2.375% 2/16/21 101.34 7,500,000.0000 7,484,475.00 7,600,500.00 0.95 116,025.00 3137EAEN5 F H L M C 2.750% 6/19/23 107.49 10,000,000.0000 9,956,500.00 10,748,700.00 1.35 792,200.00 3137EAEPO F H L M C 1.500% 2/12/25 104.78 12,335,000.0000 12,510,182.05 12,924,736.35 1.62 414,554.30 31381PDA3 F N M A#466397 3.400%11/01/20 99.96 330,694.5100 323,538.10 330,552.31 0.04 7,014.21 3138EG6F6 F N M A#AL0869 4.500% 6/01/29 107.63 8,343.8500 8,824.46 8,980.49 0.00 156.03 31394JY35 F H L M C MLTCL MTG 6.500% 9/25/43 116.44 609,746.7500 690,538.19 709,983.02 0.09 19,444.83 31397QREO F N M A GTD REMIC 2.472% 2/25/41 100.83 157,756.3300 157,707.03 159,065.71 0.02 1,358.68 31403DJZ3 F N M A#745580 5.000% 6/01/36 114.84 80,220.2000 86,236.70 92,122.47 0.01 5,885.77 31403GXF4 F N M A#748678 5.000%10/01/33 112.92 1,698.7000 1,826.11 1,918.12 0.00 92.01 31406PQY8 F N M A#815971 5.000% 3/01/35 114.62 127,040.3200 136,568.36 145,614.89 0.02 9,046.53 31406XWT5 F N M A#823358 3.674% 2/01/35 104.81 94,583.8400 93,844.90 99,137.11 0.01 5,292.21 31407BXH7 F N M A#826080 5.000% 7/01/35 114.91 16,311.9900 17,535.38 18,743.78 0.00 1,208.40 3141OF4V4 F N M A#888336 5.000% 7/01/36 114.74 155,553.5400 167,220.06 178,483.69 0.02 11,263.63 31417YAY3 F N M A#MA0022 4.500% 4/01/29 107.60 13,379.3400 14,149.97 14,396.17 0.00 246.20 36225CAZ9 G N M A I I#080023 3.125%12/20/26 103.73 13,379.7000 13,600.74 13,878.36 0.00 277.62 36225CC20 G N M A I I#080088 3.875% 6/20/27 100.29 11,200.9100 11,445.94 11,233.50 0.00 (212.44) 36225CN28 G N M A I I#080408 3.875% 5/20/30 104.32 42,825.2800 42,390.34 44,674.90 0.01 2,284.56 2of5 U.S. Bank Asset Detail -Consolidated As of 06/30/2020 CUSIP Asset Short Name Price Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss 36225CNM4 G N M A 1 1#080395 3.875% 4/20/30 104.32 5,478.3000 5,428.62 5,714.85 0.00 286.23 36225DCB8 G N M A 1 1#080965 3.250% 7/20/34 104.89 37,515.2100 37,491.78 39,347.83 0.00 1,856.05 369550BE7 GENERAL DYNAMICS 3.000% 5/11/21 102.31 3,160,000.0000 3,138,038.00 3,232,964.40 0.40 94,926.40 404280BF5 HSBC HOLDINGS PLC 2.650% 1/05/22 103.06 4,500,000.0000 4,429,980.00 4,637,565.00 0.58 207,585.00 43814PAC4 HONDA AUTO 1.790% 9/20/21 100.37 724,262.2600 712,775.91 726,927.55 0.09 14,151.64 43814UAG4 HONDA AUTO 3.010% 5/18/22 101.39 1,281,491.3300 1,281,463.39 1,299,316.87 0.16 17,853.48 43814WAB1 HONDA AUTO 2.750% 9/20/21 100.52 1,743,638.5600 1,743,526.27 1,752,688.04 0.22 9,161.77 43815HAC1 HONDA AUTO 2.950% 8/22/22 101.75 3,184,523.1100 3,184,086.20 3,240,379.65 0.41 56,293.45 43815NABO HONDA AUTO 1.900% 4/15/22 100.70 3,068,744.8900 3,068,530.08 3,090,164.73 0.39 21,634.65 438516CBO HONEYWELL 1.350% 6/01/25 102.42 5,000,000.0000 5,119,000.00 5,120,750.00 0.64 1,750.00 44932HAH6 IBM CREDIT CORP 3.000% 2/06/23 106.39 5,670,000.0000 5,603,264.40 6,032,199.60 0.76 428,935.20 458140BD1 INTEL CORP 2.875% 5/11/24 108.33 5,000,000.0000 5,025,900.00 5,416,550.00 0.68 390,650.00 4581XOCS5 INTER AMER BK M T N 1.875% 3/15/21 101.00 5,000,000.0000 5,059,610.00 5,049,800.00 0.63 (9,810.00) 4581XOCW6 INTER AMER DEV BK 2.125% 1/18/22 102.78 3,000,000.0000 2,996,310.00 3,083,490.00 0.39 87,180.00 4581XOCZ9 INTER AMER DEV BK 1.750% 9/14/22 103.24 6,500,000.0000 6,249,655.00 6,710,535.00 0.84 460,880.00 459052E28 INTL BK DISC NTS 8/31/20 99.98 5,000,000.0000 4,993,483.33 4,998,750.00 0.63 5,266.67 459058FH1 INTL BK 1.375% 5/24/21 100.96 1,000,000.0000 1,010,570.00 1,009,580.00 0.13 (990.00) 459058FY4 INTL BK 2.000% 1/26/22 102.70 10,000,000.0000 10,006,350.00 10,270,300.00 1.29 263,950.00 459058JBO INTL BK M T N 0.625% 4/22/25 100.81 6,245,000.0000 6,220,831.85 6,295,522.05 0.79 74,690.20 45950KCJ7 INTL FINANCE CORP 1.125% 7/20/21 100.82 2,500,000.0000 2,441,600.00 2,520,525.00 0.32 78,925.00 45950KCMO INTL BK M T N 2.250% 1/25/21 101.09 2,970,000.0000 2,961,268.20 3,002,224.50 0.38 40,956.30 46625HHU7 JPMORGAN CHASE CO 4.250%10/15/20 101.13 1,160,000.0000 1,176,924.40 1,173,131.20 0.15 (3,793.20) 46625HNX4 JPMORGAN CHASE CO 2.550%10/29/20 100.51 1,000,000.0000 1,005,900.00 1,005,100.00 0.13 (800.00) 46625HRL6 JP MORGAN CHASE CO 2.700% 5/18/23 105.40 5,000,000.0000 4,821,910.00 5,270,100.00 0.66 448,190.00 46647PAUO JPMORGAN CHASE CO 3.797% 7/23/24 108.48 2,500,000.0000 2,632,175.00 2,711,950.00 0.34 79,775.00 477870AB5 JOHN DEERE OWNER 2.280% 5/16/22 100.61 1,810,561.5600 1,810,554.68 1,821,642.20 0.23 11,087.52 47788BAD6 JOHN DEERE OWNER 1.820%10/15/21 100.19 81,522.7400 81,516.77 81,677.63 0.01 160.86 47788CAC6 JOHN DEERE OWNER 2.660% 4/18/22 100.68 597,304.5300 597,261.59 601,348.28 0.08 4,086.69 47788EAC2 JOHN DEERE OWNER 3.080%11/15/22 101.60 3,585,766.5200 3,585,494.72 3,643,174.64 0.46 57,679.92 47789JAB2 JOHN DEERE OWNER 2.850%12/15/21 100.46 1,125,770.3200 1,125,718.99 1,130,892.57 0.14 5,173.58 494368BF9 KIMBERLY CLARK CORP 3.875% 3/01/21 102.38 750,000.0000 768,877.50 767,827.50 0.10 (1,050.00) 525ESCOY6 LEHMAN BRTH HLD ESC - 2,000,000.0000 1,026,605.56 - - (1,026,605.56) 525ESC1B7 LEHMAN BRTH MTN ES 0.00001% 1/24/13 1.12 600,000.0000 318,603.60 6,720.00 0.00 (311,883.60) 58770FAC6 MERCEDES BENZ AUTO 1.840%12/15/22 101.53 2,050,000.0000 2,049,729.81 2,081,426.50 0.26 31,696.69 58933YAF2 MERCK CO INC 2.800% 5/18/23 106.55 2,000,000.0000 1,948,640.00 2,131,080.00 0.27 182,440.00 594918BP8 MICROSOFT CORP 1.550% 8/08/21 101.37 3,045,000.0000 3,041,385.15 3,086,686.05 0.39 45,300.90 61747WAL3 MORGAN STANLEY 5.500% 7/28/21 105.30 2,800,000.0000 3,200,848.00 2,948,428.00 0.37 (252,420.00) 64971M5E8 NEW YORK CITY NY 4.075%11/01/20 101.13 1,400,000.0000 1,400,000.00 1,415,764.00 0.18 15,764.00 65478GAD2 NISSAN AUTO 1.750%10/15/21 100.25 694,887.2400 684,111.06 696,589.71 0.09 12,478.65 65479GAD1 NISSAN AUTO 3.060% 3/15/23 102.06 3,519,918.8900 3,519,804.85 3,592,394.02 0.45 72,589.17 65479JAD5 NISSAN AUTO 1.930% 7/15/24 102.78 4,185,000.0000 4,184,779.03 4,301,426.70 0.54 116,647.67 68389XBKO ORACLE CORP 1.900% 9/15/21 101.71 3,000,000.0000 2,892,240.00 3,051,270.00 0.38 159,030.00 3of5 U.S. Bank Asset Detail -Consolidated As of 06/30/2020 CUSIP Asset Short Name Price Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss 69353RFB9 PNC BANK NA MTN 2.625% 2/17/22 103.60 1,000,000.0000 974,940.00 1,035,970.00 0.13 61,030.00 69353RFL7 PNC BANK NA MTN 3.500% 6/08/23 108.08 5,000,000.0000 4,993,318.05 5,404,200.00 0.68 410,881.95 78012UVJ1 ROYAL BK OF C D 1.000% 2/19/21 100.49 1,500,000.0000 1,500,000.00 1,507,395.00 0.19 7,395.00 78013XZU5 ROYAL BANK OF MTN 2.550% 7/16/24 106.20 6,500,000.0000 6,581,445.00 6,902,675.00 0.86 321,230.00 78445JAA5 S L M A 2.51906% 4/25/23 97.84 11,633.3200 11,586.12 11,382.39 0.00 (203.73) 808513AT2 CHARLES SCHWAB CORP 2.650% 1/25/23 105.16 6,750,000.0000 6,729,480.00 7,098,570.00 0.89 369,090.00 808513AW5 CHARLES SCHWAB CORP 3.250% 5/21/21 102.31 1,385,000.0000 1,419,472.65 1,416,979.65 0.18 (2,493.00) 83162CLJO S B A GTD DEV PART 6.340% 3/01/21 101.04 5,878.0300 5,878.03 5,939.16 0.00 61.13 89114QBX5 TORONTO DOMINION MTN 2.550% 1/25/21 101.27 1,750,000.0000 1,774,762.50 1,772,172.50 0.22 (2,590.00) 89114QC48 TORONTO MTN 3.500% 7/19/23 109.33 5,000,000.0000 5,094,200.00 5,466,450.00 0.68 372,250.00 89114QCA4 TORONTO DOMINION MTN 2.650% 6/12/24 107.01 3,000,000.0000 3,000,570.00 3,210,240.00 0.40 209,670.00 89239AA139 TOYOTA AUTO 2.830%10/15/21 100.48 1,195,272.5400 1,195,164.02 1,200,973.99 0.15 5,809.97 90331HNL3 US BANK NA MTN 2.850% 1/23/23 105.59 2,000,000.0000 1,992,640.00 2,111,860.00 0.26 119,220.00 90331HPL1 US BANK NA MTN 2.050% 1/21/25 105.64 7,270,000.0000 7,254,514.90 7,679,737.20 0.96 425,222.30 9128283,17 U S TREASURY NT 2.125% 11/30/24 108.25 16,500,000.0000 16,783,886.72 17,860,590.00 2.24 1,076,703.28 9128284D9 U S TREASURY NT 2.500% 3/31/23 106.36 10,000,000.0000 9,887,265.63 10,636,300.00 1.33 749,034.37 9128284Y3 U S TREASURY NT 2.625% 8/31/20 100.41 7,000,000.0000 7,042,382.81 7,028,350.00 0.88 (14,032.81) 912828,176 U S TREASURY NT 1.750% 3/31/22 102.75 5,000,000.0000 4,976,383.94 5,137,500.00 0.64 161,116.06 9128281-24 U S TREASURY NT 1.875% 8/31/22 103.68 6,000,000.0000 5,987,832.60 6,221,040.00 0.78 233,207.40 9128281-32 U S TREASURY NT 1.375% 8/31/20 100.20 15,000,000.0000 14,977,929.69 15,029,700.00 1.88 51,770.31 9128281-57 U S TREASURY NT 1.750% 9/30/22 103.54 16,000,000.0000 15,829,492.20 16,566,880.00 2.07 737,387.80 9128281-99 U S TREASURY NT 1.375% 10/31/20 100.39 7,000,000.0000 6,888,738.85 7,027,510.00 0.88 138,771.15 912828M80 U S TREASURY NT 2.000% 11/30/22 104.40 8,000,000.0000 7,907,500.00 8,352,160.00 1.05 444,660.00 912828N30 U S TREASURY NT 2.125% 12/31/22 104.87 5,000,000.0000 4,926,562.50 5,243,550.00 0.66 316,987.50 912828N89 U S TREASURY NT 1.375% 1/31/21 100.69 6,000,000.0000 5,895,840.41 6,041,280.00 0.76 145,439.59 912828R69 U S TREASURY NT 1.625% 5/31/23 104.21 5,000,000.0000 4,757,226.56 5,210,550.00 0.65 453,323.44 912828T34 U S TREASURY NT 1.125% 9/30/21 101.19 7,000,000.0000 6,757,914.08 7,083,160.00 0.89 325,245.92 912828T67 U S TREASURY NT 1.250% 10/31/21 101.43 6,000,000.0000 5,813,691.98 6,086,040.00 0.76 272,348.02 912828U57 U S TREASURY NT 2.125% 11/30/23 106.56 15,000,000.0000 14,723,632.81 15,984,450.00 2.00 1,260,817.19 912828U65 U S TREASURY NT 1.750% 11/30/21 102.23 7,000,000.0000 6,900,492.20 7,156,170.00 0.90 255,677.80 912828V72 U S TREASURY NT 1.875% 1/31/22 102.68 3,000,000.0000 3,004,814.74 3,080,280.00 0.39 75,465.26 912828V80 U S TREASURY NT 2.250% 1/31/24 107.31 7,500,000.0000 7,491,503.91 8,048,475.00 1.01 556,971.09 912828VV9 U S TREASURY NT 2.125% 8/31/20 100.32 15,000,000.0000 15,049,804.69 15,048,300.00 1.88 (1,504.69) 912828W48 U S TREASURY NT 2.125% 2/29/24 107.02 10,000,000.0000 9,911,718.75 10,701,600.00 1.34 789,881.25 912828WJ5 U S TREASURY NT 2.500% 5/15/24 108.80 7,000,000.0000 7,193,046.88 7,616,070.00 0.95 423,023.12 912828WUO U S TREASURY I P S 0.125% 7/15/24 104.45 11,232,208.0000 11,087,488.09 11,731,591.97 1.47 644,103.88 912828XW5 U S TREASURY NT 1.750% 6/30/22 103.15 5,000,000.0000 4,973,454.25 5,157,400.00 0.65 183,945.75 912828XX3 U S TREASURY NT 2.000% 6/30/24 107.07 5,000,000.0000 5,028,710.94 5,353,300.00 0.67 324,589.06 912828YH7 U S TREASURY NT 1.500% 9/30/24 105.33 14,000,000.0000 13,859,296.88 14,745,920.00 1.85 886,623.12 912828ZL7 U S TREASURY NT 0.375% 4/30/25 100.45 12,000,000.0000 11,998,515.63 12,054,360.00 1.51 55,844.37 913366EJ5 UNIV OF CALIFORNIA 5.035% 5/15/21 103.33 400,000.0000 400,000.00 413,304.00 0.05 13,304.00 931142EK5 WALMART INC 3.400% 6/26/23 108.94 3,880,000.0000 3,878,991.40 4,226,755.60 0.53 347,764.20 4of5 U.S. Bank Asset Detail -Consolidated As of 06/30/2020 CUSIP Asset Short Name Price Shares/Units Cost Basis Market Value Percent of Total Unrealized Gain/Loss 94974BGM6 WELLS FARGO CO MTN 2.600% 7/22/20 100.12 5,000,000.0000 5,001,650.00 5,006,100.00 0.63 4,450.00 95000U268 WELLS FARGO MTN 2.625% 7/22/22 104.18 3,000,000.0000 2,954,520.00 3,125,430.00 0.39 170,910.00 Fixed Income Total 646,165,288.0100 645,221,882.01 669,291,549.25 82.35 24,069,667.24 Grand Total 775,795,066.10 774,763,913.32 798,846,007.34 100.00 24,082,094.02 5of5 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss, ACQUISITIONS 04/02/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 11,137.8900 1.000000 -11,137.89 11,137.89 0.00 04/02/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,736.1800 1.000000 -1,736.18 1,736.18 0.00 04/02/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 7,016.1900 1.000000 -7,016.19 7,016.19 0.00 04/06/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 46,875.0000 1.000000 -46,875.00 46,875.00 0.00 04/08/2020 912796XG9 PURCHASED PAR VALUE OF U S TREASURY BILL 8/27/20/WELLS FARGO 3,500,000.0000 0.999565 -3,498,477.00 3,498,477.00 0.00 SECURITIES,LLC/3,500,000 PAR VALUE AT 99.95648571 % 04/09/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 4,000,000.0000 1.000000 -4,000,000.00 4,000,000.00 0.00 04/13/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 22,812.5000 1.000000 -22,812.50 22,812.50 0.00 04/14/2020 912796WY1 PURCHASED PAR VALUE OF U S TREASURY BILL 7/30/20/MORGAN STANLEY& 3,500,000.0000 0.999168 -3,497,087.22 3,497,087.22 0.00 CO. LLC/3,500,000 PAR VALUE AT 99.91677771 % 04/14/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,912.7800 1.000000 -2,912.78 2,912.78 0.00 04/14/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 36,250.0000 1.000000 -36,250.00 36,250.00 0.00 04/15/2020 459052E28 PURCHASED PAR VALUE OF INTL BK DISC NTS 8/31/20/JEFFERIES 5,000,000.0000 0.998697 -4,993,483.33 4,993,483.33 0.00 LLC/5,000,000 PAR VALUE AT 99.8696666% 04/15/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 382.2100 1.000000 -382.21 382.21 0.00 04/15/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,519,027.1900 1.000000 -1,519,027.19 1,519,027.19 0.00 04/17/2020 313384ZXO PURCHASED PAR VALUE OF F H L B DISC NTS 7/27/20/TD SECURITIES 2,500,000.0000 0.999495 -2,498,737.50 2,498,737.50 0.00 (USA)/2,500,000 PAR VALUE AT 99.9495% 04/20/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 628,239.8500 1.000000 -628,239.85 628,239.85 0.00 04/21/2020 78012UVJ1 PURCHASED PAR VALUE OF ROYAL BK OF C D 1.000% 2/19/21 /RBC CAPITAL 1,500,000.0000 1.000000 -1,500,000.00 1,500,000.00 0.00 MARKETS,LLC/1,500,000 PAR VALUE AT 100% 04/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,022,500.0000 1.000000 -2,022,500.00 2,022,500.00 0.00 04/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 268,300.7600 1.000000 -268,300.76 268,300.76 0.00 04/22/2020 459058JBO PURCHASED PAR VALUE OF INTL BK M T N 0.625% 4/22/25/TD SECURITIES 6,245,000.0000 0.996130 -6,220,831.85 6,220,831.85 0.00 (USA)/6,245,000 PAR VALUE AT 99.613% 04/23/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 80,000,000.0000 1.000000 -80,000,000.00 80,000,000.00 0.00 04/23/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 25,000,000.0000 1.000000 -25,000,000.00 25,000,000.00 0.00 04/24/2020 3135G03U5 PURCHASED PAR VALUE OF F N M A DEB 0.625% 4/22/25/CITIGROUP GLOBAL 7,580,000.0000 0.997940 -7,564,385.20 7,564,385.20 0.00 MARKETS INC./7,580,000 PAR VALUE AT 99.794% 04/24/2020 46625HNX4 PURCHASED PAR VALUE OF JPMORGAN CHASE CO 2.550% 10/29/20/PERSHING 1,000,000.0000 1.005900 -1,005,900.00 1,005,900.00 0.00 LLC/1,000,000 PAR VALUE AT 100.59% 04/24/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 346,704.1700 1.000000 -346,704.17 346,704.17 0.00 04/24/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,435,614.8000 1.000000 -2,435,614.80 2,435,614.80 0.00 04/27/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 20,006.7600 1.000000 -20,006.76 20,006.76 0.00 04/28/2020 89233GFSO PURCHASED PAR VALUE OF TOYOTA MOTOR CREDIT CO C P 6/26/20/DBTC 11,800,000.0000 0.998148 -11,778,147.06 11,778,147.06 0.00 AMERICAS/COMMERCIAL PAPER/11,800,000 PAR VALUE AT 99.81480559% 04/28/2020 89233GFSO PURCHASED PAR VALUE OF TOYOTA MOTOR CREDIT CO C P 6/26/20/DBTC 3,405,000.0000 0.998148 -3,398,694.13 3,398,694.13 0.00 AMERICAS/COMMERCIAL PAPER/3,405,000 PAR VALUE AT 99.81480558% 1 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 04/29/2020 313384Q77 PURCHASED PAR VALUE OF F H L B DISC NTS 11/24/20/NOMURA SECURITIES 4,800,000.0000 0.999303 -4,796,656.00 4,796,656.00 0.00 INTERNATIONA/4,800,000 PAR VALUE AT 99.93033333% 04/29/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 12,750.0000 1.000000 -12,750.00 12,750.00 0.00 04/30/2020 3133121-160 PURCHASED PAR VALUE OF F F C B DISC NTS 9/28/20/GOLDMAN SACHS&CO. 3,000,000.0000 0.999539 -2,998,615.83 2,998,615.83 0.00 LLC/3,000,000 PAR VALUE AT 99.953861 % 04/30/2020 313385AD8 PURCHASED PAR VALUE OF F H L B DISC NTS 1/04/21 /GOLDMAN SACHS&CO. 1,500,000.0000 0.998893 -1,498,340.00 1,498,340.00 0.00 LLC/1,500,000 PAR VALUE AT 99.88933333% 04/30/2020 313384ZZ5 PURCHASED PAR VALUE OF F H L B DISC NTS 7/29/20/CITIGROUP GLOBAL 5,000,000.0000 0.999750 -4,998,750.00 4,998,750.00 0.00 MARKETS INC./5,000,000 PAR VALUE AT 99.975% 04/30/2020 313384K57 PURCHASED PAR VALUE OF F H L B DISC NTS 10/13/20/NOMURA SECURITIES 6,500,000.0000 0.999447 -6,496,403.33 6,496,403.33 0.00 INTERNATIONA/6,500,000 PAR VALUE AT 99.94466662% 04/30/2020 3135G03U5 PURCHASED PAR VALUE OF F N M A DEB 0.625% 4/22/25/STIFEL, NICOLAUS& 6,420,000.0000 1.001920 -6,432,326.40 6,432,326.40 0.00 CO.,INC./6,420,000 PAR VALUE AT 100.192% 04/30/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /NOMURA SECURITIES 10,000,000.0000 0.998764 -9,987,639.17 9,987,639.17 0.00 INTERNATIONA/10,000,000 PAR VALUE AT 99.8763917% 04/30/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /NOMURA SECURITIES 10,000,000.0000 0.998863 -9,988,625.00 9,988,625.00 0.00 INTERNATIONA/10,000,000 PAR VALUE AT 99.88625% 04/30/2020 912796XE4 PURCHASED PAR VALUE OF U S TREASURY BILL 2/25/21 /NOMURA SECURITIES 5,000,000.0000 0.998829 -4,994,147.22 4,994,147.22 0.00 INTERNATIONA/5,000,000 PAR VALUE AT 99.8829444% 04/30/2020 912796XG9 PURCHASED PAR VALUE OF U S TREASURY BILL 8/27/20/WELLS FARGO 9,500,000.0000 0.999651 -9,496,687.01 9,496,687.01 0.00 SECURITIES,LLC/9,500,000 PAR VALUE AT 99.96512642% 04/30/2020 9127963Y3 PURCHASED PAR VALUE OF U S TREASURY BILL 9/15/20/GOLDMAN SACHS& 7,000,000.0000 0.999575 -6,997,021.50 6,997,021.50 0.00 CO. LLC/7,000,000 PAR VALUE AT 99.95745% 04/30/2020 912796TN9 PURCHASED PAR VALUE OF U S TREASURY BILL 10/08/20/NOMURA 5,000,000.0000 0.999497 -4,997,484.38 4,997,484.38 0.00 SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 99.9496876% 04/30/2020 9127962S7 PURCHASED PAR VALUE OF U S TREASURY BILL 10/22/20/CITIGROUP GLOBAL 5,000,000.0000 0.999473 -4,997,362.85 4,997,362.85 0.00 MARKETS INC./5,000,000 PAR VALUE AT 99.947257% 04/30/2020 912796TP4 PURCHASED PAR VALUE OF U S TREASURY BILL 11/05/20/GOLDMAN SACHS& 5,000,000.0000 0.999475 -4,997,375.00 4,997,375.00 0.00 CO. LLC/5,000,000 PAR VALUE AT 99.9475% 04/30/2020 912796TY5 PURCHASED PAR VALUE OF U S TREASURY BILL 12/31/20/NOMURA 5,000,000.0000 0.999074 -4,995,372.22 4,995,372.22 0.00 SECURITIES INTERNATIONA/5,000,000 PAR VALUE AT 99.9074444% 05/01/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 3,000,000.0000 1.000000 -3,000,000.00 3,000,000.00 0.00 05/01/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 28,525.0000 1.000000 -28,525.00 28,525.00 0.00 05/04/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 7,855.2100 1.000000 -7,855.21 7,855.21 0.00 05/04/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 62,964.5700 1.000000 -62,964.57 62,964.57 0.00 05/06/2020 3133ELYR9 PURCHASED PAR VALUE OF F F C B DEB 0.250% 5/06/22/J.P.MORGAN 8,850,000.0000 0.998730 -8,838,760.50 8,838,760.50 0.00 SECURITIES LLC/8,850,000 PAR VALUE AT 99.873% 05/08/2020 89114QBX5 PURCHASED PAR VALUE OF TORONTO DOMINION MTN 2.550% 1/25/21 /PERSHING 1,750,000.0000 1.014150 -1,774,762.50 1,774,762.50 0.00 LLC/1,750,000 PAR VALUE AT 101.415% 05/11/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,028,750.0000 1.000000 -2,028,750.00 2,028,750.00 0.00 2 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 05/11/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 162,025.0000 1.000000 -162,025.00 162,025.00 0.00 05/12/2020 037833AR1 PURCHASED PAR VALUE OF APPLE INC 2.850% 5/06/21 /PERSHING 1,155,000.0000 1.023660 -1,182,327.30 1,182,327.30 0.00 LLC/1,155,000 PAR VALUE AT 102.366% 05/12/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 3,035,000.0000 1.000000 -3,035,000.00 3,035,000.00 0.00 05/12/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 24,659.3800 1.000000 -24,659.38 24,659.38 0.00 05/15/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,089,993.9900 1.000000 -2,089,993.99 2,089,993.99 0.00 05/18/2020 494368BF9 PURCHASED PAR VALUE OF KIMBERLY CLARK CORP 3.875% 3/01/21 /PERSHING 750,000.0000 1.025170 -768,877.50 768,877.50 0.00 LLC/750,000 PAR VALUE AT 102.517% 05/18/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 130,430.7400 1.000000 -130,430.74 130,430.74 0.00 05/18/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 593,138.1000 1.000000 -593,138.10 593,138.10 0.00 05/20/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 2,022,500.0000 1.000000 -2,022,500.00 2,022,500.00 0.00 05/20/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 5,059,230.9200 1.000000 -5,059,230.92 5,059,230.92 0.00 05/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,000,000.0000 1.000000 -1,000,000.00 1,000,000.00 0.00 05/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 7,822.5000 1.000000 -7,822.50 7,822.50 0.00 05/21/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 240,466.3500 1.000000 -240,466.35 240,466.35 0.00 05/26/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 29,441.6900 1.000000 -29,441.69 29,441.69 0.00 05/26/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 136.8500 1.000000 -136.85 136.85 0.00 05/27/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /GOLDMAN SACHS& 7,500,000.0000 0.998985 -7,492,389.38 7,492,389.38 0.00 CO. LLC/7,500,000 PAR VALUE AT 99.89852507% 05/27/2020 9127962X6 PURCHASED PAR VALUE OF U S TREASURY BILL 6/30/20/NOMURA SECURITIES 5,000,000.0000 0.999917 -4,999,586.81 4,999,586.81 0.00 INTERNATIONA/5,000,000 PAR VALUE AT 99.9917362% 05/28/2020 00440EAT4 PURCHASED PAR VALUE OF ACE INA HOLDINGS 2.300% 11/03/20/PERSHING 500,000.0000 1.006280 -503,140.00 503,140.00 0.00 LLC/500,000 PAR VALUE AT 100.628% 05/28/2020 808513AW5 PURCHASED PAR VALUE OF CHARLES SCHWAB CORP 3.250% 5/21/21 /PERSHING 1,385,000.0000 1.024890 -1,419,472.65 1,419,472.65 0.00 LLC/1,385,000 PAR VALUE AT 102.489% 05/28/2020 46625HHU7 PURCHASED PAR VALUE OF JPMORGAN CHASE CO 4.250% 10/15/20/PERSHING 1,160,000.0000 1.014590 -1,176,924.40 1,176,924.40 0.00 LLC/1,160,000 PAR VALUE AT 101.459% 05/29/2020 912828ZL7 PURCHASED PAR VALUE OF U S TREASURY NT 0.375% 4/30/25/GOLDMAN SACHS 7,000,000.0000 1.001016 -7,007,109.38 7,007,109.38 0.00 &CO.LLC/7,000,000 PAR VALUE AT 100.10156257% 06/01/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 572,812.5000 1.000000 -572,812.50 572,812.50 0.00 06/02/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,173.7800 1.000000 -1,173.78 1,173.78 0.00 06/02/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 970.6600 1.000000 -970.66 970.66 0.00 06/05/2020 912828ZL7 PURCHASED PAR VALUE OF U S TREASURY NT 0.375% 4/30/25/TD SECURITIES 5,000,000.0000 0.998281 -4,991,406.25 4,991,406.25 0.00 (USA)/5,000,000 PAR VALUE AT 99.828125% 06/08/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 256,250.0000 1.000000 -256,250.00 256,250.00 0.00 06/09/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 81,250.0000 1.000000 -81,250.00 81,250.00 0.00 06/11/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 37,500.0000 1.000000 -37,500.00 37,500.00 0.00 06/12/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 4,074,750.0000 1.000000 -4,074,750.00 4,074,750.00 0.00 3 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/15/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 1,621,820.5400 1.000000 -1,621,820.54 1,621,820.54 0.00 06/15/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 231.0900 1.000000 -231.09 231.09 0.00 06/18/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 589,364.1100 1.000000 -589,364.11 589,364.11 0.00 06/19/2020 3135G04Z3 PURCHASED PAR VALUE OF F N M A 0.500% 6/17/25/NOMURA SECURITIES 9,905,000.0000 0.997930 -9,884,496.65 9,884,496.65 0.00 INTERNATIONA/9,905,000 PAR VALUE AT 99.793% 06/19/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 137,500.0000 1.000000 -137,500.00 137,500.00 0.00 06/22/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 5,394,928.7000 1.000000 -5,394,928.70 5,394,928.70 0.00 06/23/2020 459058FH1 PURCHASED PAR VALUE OF INTL BK 1.375% 5/24/21 /WELLS FARGO 1,000,000.0000 1.010570 -1,010,570.00 1,010,570.00 0.00 SECURITIES,LLC/1,000,000 PAR VALUE AT 101.057% 06/24/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 55,842.5000 1.000000 -55,842.50 55,842.50 0.00 06/25/2020 438516CBO PURCHASED PAR VALUE OF HONEYWELL 1.350% 6/01/25/GOLDMAN SACHS& 5,000,000.0000 1.023800 -5,119,000.00 5,119,000.00 0.00 CO.LLC/5,000,000 PAR VALUE AT 102.38% 06/25/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 11,888.1800 1.000000 -11,888.18 11,888.18 0.00 06/26/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 3,405,000.0000 1.000000 -3,405,000.00 3,405,000.00 0.00 06/26/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 11,865,960.0000 1.000000 -11,865,960.00 11,865,960.00 0.00 06/29/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 14,628.0000 1.000000 -14,628.00 14,628.00 0.00 06/30/2020 912796UC1 PURCHASED PAR VALUE OF U S TREASURY BILL 1/28/21 /J.P.MORGAN 23,000,000.0000 0.999073 -22,978,667.50 22,978,667.50 0.00 SECURITIES LLC/23,000,000 PAR VALUE AT 99.90725% 06/30/2020 9127963QO PURCHASED PAR VALUE OF U S TREASURY BILL 8/25/20/GOLDMAN SACHS& 10,000,000.0000 0.999781 -9,997,814.44 9,997,814.44 0.00 CO. LLC/10,000,000 PAR VALUE AT 99.9781444% 06/30/2020 31846V567 PURCHASED UNITS OF FIRST AM GOVT OB FD CL Z 13,340,082.5000 1.000000 -13,340,082.50 13,340,082.50 0.00 TOTAL ACQUISITIONS 401,072,159.1400 -401,141,013.60 401,141,013.60 0.00 DISPOSITIONS 04/08/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -3,498,477.0000 1.000000 3,498,477.00 -3,498,477.00 0.00 04/09/2020 912796TQ2 MATURED PAR VALUE OF U S TREASURY BILL 4/09/20 4,000,000 PAR VALUE AT -4,000,000.0000 1.000000 3,993,265.98 -3,993,265.98 0.00 100% 04/14/2020 9127962134 MATURED PAR VALUE OF U S TREASURY BILL 4/14/20 3,500,000 PAR VALUE AT -3,500,000.0000 1.000000 3,496,221.94 -3,496,221.94 0.00 100% 04/15/2020 31348SWZ3 PAID DOWN PAR VALUE OF F H L M C#786064 3.845% 1/01/28 MARCH FHLMC -16.5100 0.000000 16.51 -16.11 0.40 DUE 4/15/20 04/15/2020 3133TCE95 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.025% 8/15/32 -362.4000 0.000000 362.40 -362.78 -0.38 04/15/2020 47788BAD6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 1.820% 10/15/21 -38,812.8200 217.804016 38,812.82 -38,809.98 2.84 04/15/2020 477870AB5 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.280% 5/16/22 -316,250.7900 26.730647 316,250.79 -316,249.59 1.20 04/15/2020 47788CAC6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.660% 4/18/22 -78,109.6100 108.227247 78,109.61 -78,103.99 5.62 04/15/2020 47789JAB2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.850% 12/15/21 -253,881.5700 33.297368 253,881.57 -253,869.99 11.58 04/15/2020 47788EAC2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 3.080% 11/15/22 -361,168.5200 23.406215 361,168.52 -361,141.14 27.38 04/15/2020 65478GAD2 PAID DOWN PAR VALUE OF NISSAN AUTO 1.750% 10/15/21 -145,625.8100 58.050067 145,625.81 -143,367.47 2,258.34 04/15/2020 89239AAB9 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.830% 10/15/21 -270,675.6600 31.231431 270,675.66 -270,651.08 24.58 4 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 04/15/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -4,993,483.3300 1.000000 4,993,483.33 -4,993,483.33 0.00 04/17/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -2,498,737.5000 1.000000 2,498,737.50 -2,498,737.50 0.00 04/20/2020 36225CAZ9 PAID DOWN PAR VALUE OF G N M A 1 1#080023 3.125% 12/20/26 MARCH GNMA -156.7500 0.000000 156.75 -159.34 -2.59 DUE 4/20/20 04/20/2020 36225CC20 PAID DOWN PAR VALUE OF G N M A 1 1#080088 3.875% 6/20/27 MARCH GNMA -122.2500 0.000000 122.25 -124.92 -2.67 DUE 4/20/20 04/20/2020 36225CNM4 PAID DOWN PAR VALUE OF G N M A 1 1#080395 3.875% 4/20/30 MARCH GNMA -177.3200 0.000000 177.32 -175.71 1.61 DUE 4/20/20 04/20/2020 36225CN28 PAID DOWN PAR VALUE OF G N M A 1 1#080408 3.875% 5/20/30 MARCH GNMA -331.1300 0.000000 331.13 -327.77 3.36 DUE 4/20/20 04/20/2020 36225DCB8 PAID DOWN PAR VALUE OF G N M A 1 1#080965 3.250% 7/20/34 MARCH GNMA -638.0000 0.000000 638.00 -637.60 0.40 DUE 4/20/20 04/20/2020 43814PAC4 PAID DOWN PAR VALUE OF HONDA AUTO 1.790% 9/20/21 -145,811.9700 0.000000 145,811.97 -143,499.48 2,312.49 04/20/2020 43814WAB1 PAID DOWN PAR VALUE OF HONDA AUTO 2.750% 9/20/21 -348,402.9000 0.000000 348,402.90 -348,380.46 22.44 04/20/2020 43814UAG4 PAID DOWN PAR VALUE OF HONDA AUTO 3.010% 5/18/22 -120,233.1100 0.000000 120,233.11 -120,230.49 2.62 04/21/2020 06051GFN4 MATURED PAR VALUE OF BANK OF AMERICA MTN 2.250% 4/21/20 2,000,000 PAR -2,000,000.0000 1.000000 2,000,000.00 -2,001,960.00 -1,960.00 VALUE AT 100% 04/21/2020 43815HAC1 PAID DOWN PAR VALUE OF HONDA AUTO 2.950% 8/22/22 -258,668.4100 0.000000 258,668.41 -258,632.92 35.49 04/21/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,500,000.0000 1.000000 1,500,000.00 -1,500,000.00 0.00 04/22/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -6,220,831.8500 1.000000 6,220,831.85 -6,220,831.85 0.00 04/24/2020 62479LDQ5 MATURED PAR VALUE OF MUFG BANK LTD NY BRAN C P 4/24/20 1,365,000 PAR -1,365,000.0000 1.000000 1,353,689.46 -1,353,689.46 0.00 VALUE AT 100% 04/24/2020 62479LDQ5 MATURED PAR VALUE OF MUFG BANK LTD NY BRAN C P 4/24/20 10,000,000 PAR -10,000,000.0000 1.000000 9,917,138.89 -9,917,138.89 0.00 VALUE AT 100% 04/27/2020 31394JY35 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 6.500% 9/25/43 -2,778.4100 3,574.944918 2,778.41 -3,146.55 -368.14 04/27/2020 31371NUC7 PAID DOWN PAR VALUE OF F N M A#257179 4.500% 4/01/28 MARCH FNMA DUE -149.7400 0.000000 149.74 -158.36 -8.62 4/25/20 04/27/2020 31376KT22 PAID DOWN PAR VALUE OF F N M A#357969 5.000% 9/01/35 MARCH FNMA DUE -1,189.8400 0.000000 1,189.84 -1,279.08 -89.24 4/25/20 04/27/2020 31381PDA3 PAID DOWN PAR VALUE OF F N M A#466397 3.400%11/01/20 MARCH FNMA -721.7200 0.000000 721.72 -706.10 15.62 DUE 4/25/20 04/27/2020 31403DJZ3 PAID DOWN PAR VALUE OF F N M A#745580 5.000% 6/01/36 MARCH FNMA DUE -1,258.7500 0.000000 1,258.75 -1,353.16 -94.41 4/25/20 04/27/2020 31403GXF4 PAID DOWN PAR VALUE OF F N M A#748678 5.000%10/01/33 MARCH FNMA -9.2500 0.000000 9.25 -9.94 -0.69 DUE 4/25/20 04/27/2020 31406PQY8 PAID DOWN PAR VALUE OF F N M A#815971 5.000% 3/01/35 MARCH FNMA DUE -569.5900 0.000000 569.59 -612.31 -42.72 4/25/20 04/27/2020 31406XWT5 PAID DOWN PAR VALUE OF F N M A#823358 3.674% 2/01/35 MARCH FNMA DUE -419.9200 0.000000 419.92 -416.64 3.28 4/25/20 5 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 04/27/2020 31407BXH7 PAID DOWN PAR VALUE OF F N M A#826080 5.000% 7/01/35 MARCH FNMA DUE -473.3700 0.000000 473.37 -508.87 -35.50 4/25/20 04/27/2020 3141OF4V4 PAID DOWN PAR VALUE OF F N M A#888336 5.000% 7/01/36 MARCH FNMA DUE -1,643.0400 0.000000 1,643.04 -1,766.27 -123.23 4/25/20 04/27/2020 3138EG6F6 PAID DOWN PAR VALUE OF F N M A#AL0869 4.500% 6/01/29 MARCH FNMA DUE -164.6400 0.000000 164.64 -174.12 -9.48 4/25/20 04/27/2020 31417YAY3 PAID DOWN PAR VALUE OF F N M A#MA0022 4.500% 4/01/29 MARCH FNMA -298.5500 0.000000 298.55 -315.75 -17.20 DUE 4/25/20 04/27/2020 31397QREO PAID DOWN PAR VALUE OF F N M A GTD REMIC 2.472% 2/25/41 -2,375.4200 4,181.434319 2,375.42 -2,374.68 0.74 04/27/2020 78445JAA5 PAID DOWN PAR VALUE OF S L M A 3.33073% 4/25/23 -559.6100 17,749.258787 559.61 -557.34 2.27 04/28/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -3,398,694.1300 1.000000 3,398,694.13 -3,398,694.13 0.00 04/28/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -11,778,147.0600 1.000000 11,778,147.06 -11,778,147.06 0.00 04/29/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -4,796,656.0000 1.000000 4,796,656.00 -4,796,656.00 0.00 04/30/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -20,988,097.0100 1.000000 20,988,097.01 -20,988,097.01 0.00 04/30/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -56,455,726.5000 1.000000 56,455,726.50 -56,455,726.50 0.00 04/30/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -6,347,370.1500 1.000000 6,347,370.15 -6,347,370.15 0.00 05/01/2020 313384WGO MATURED PAR VALUE OF F H L B DISC NTS 5/01/20 3,000,000 PAR VALUE AT -3,000,000.0000 1.000000 2,988,094.17 -2,988,094.17 0.00 100% 05/06/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -8,838,760.5000 1.000000 8,838,760.50 -8,838,760.50 0.00 05/08/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,787,530.2100 1.000000 1,787,530.21 -1,787,530.21 0.00 05/11/2020 369550BA5 MATURED PAR VALUE OF GENERAL DYNAMICS 2.875% 5/11/20 2,000,000 PAR -2,000,000.0000 1.000000 2,000,000.00 -2,011,340.00 -11,340.00 VALUE AT 100% 05/12/2020 4581XOCX4 MATURED PAR VALUE OF INTER AMER DEV BK 1.625% 5/12/20 3,035,000 PAR -3,035,000.0000 1.000000 3,035,000.00 -3,027,807.05 7,192.95 VALUE AT 100% 05/12/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,182,875.9300 1.000000 1,182,875.93 -1,182,875.93 0.00 05/15/2020 31348SWZ3 PAID DOWN PAR VALUE OF F H L M C#786064 3.845% 1/01/28 APRIL FHLMC DUE -16.3500 0.000000 16.35 -15.95 0.40 5/15/20 05/15/2020 3133TCE95 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.020% 8/15/32 -195.6500 0.000000 195.65 -195.85 -0.20 05/15/2020 43815NABO PAID DOWN PAR VALUE OF HONDA AUTO 1.900% 4/15/22 -175,500.1300 7.906203 175,500.13 -175,487.84 12.29 05/15/2020 4778813AD6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 1.820% 10/15/21 -41,584.7100 33.366583 41,584.71 -41,581.66 3.05 05/15/2020 477870AB5 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.280% 5/16/22 -443,582.4100 3.128031 443,582.41 -443,580.72 1.69 05/15/2020 47788CAC6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.660% 4/18/22 -92,768.6400 14.956991 92,768.64 -92,761.97 6.67 05/15/2020 47789JAB2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.850% 12/15/21 -303,061.5100 4.578409 303,061.51 -303,047.69 13.82 05/15/2020 47788EAC2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 3.080% 11/15/22 -458,507.1400 3.026212 458,507.14 -458,472.39 34.75 05/15/2020 65478GAD2 PAID DOWN PAR VALUE OF NISSAN AUTO 1.750% 10/15/21 -132,115.5900 10.502467 132,115.59 -130,066.77 2,048.82 05/15/2020 89239AA139 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.830% 10/15/21 -233,800.9200 5.934706 233,800.92 -233,779.69 21.23 05/18/2020 43814PAC4 PAID DOWN PAR VALUE OF HONDA AUTO 1.790% 9/20/21 -128,956.1400 0.000000 128,956.14 -126,910.98 2,045.16 05/18/2020 43814WAB1 PAID DOWN PAR VALUE OF HONDA AUTO 2.750% 9/20/21 -308,828.0800 0.000000 308,828.08 -308,808.19 19.89 6 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss 05/18/2020 43814UAG4 PAID DOWN PAR VALUE OF HONDA AUTO 3.010% 5/18/22 -106,456.9600 0.000000 106,456.96 -106,454.64 2.32 05/18/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -775,093.6500 1.000000 775,093.65 -775,093.65 0.00 05/20/2020 747525AD5 MATURED PAR VALUE OF QUALCOMM INC 2.250% 5/20/20 2,000,000 PAR VALUE -2,000,000.0000 1.000000 2,000,000.00 -2,002,700.00 -2,700.00 AT 100% 05/20/2020 747525AD5 MATURED PAR VALUE OF QUALCOMM INC 2.250% 5/20/20 5,000,000 PAR VALUE -5,000,000.0000 1.000000 5,000,000.00 -4,995,195.40 4,804.60 AT 100% 05/20/2020 36225CAZ9 PAID DOWN PAR VALUE OF G N M A I I#080023 3.125% 12/20/26 APRIL GNMA DUE -272.1000 0.000000 272.10 -276.60 -4.50 5/20/20 05/20/2020 36225CC20 PAID DOWN PAR VALUE OF G N M A I I#080088 3.875% 6/20/27 APRIL GNMA DUE -173.5100 0.000000 173.51 -177.31 -3.80 5/20/20 05/20/2020 36225CNM4 PAID DOWN PAR VALUE OF G N M A I I#080395 3.875% 4/20/30 APRIL GNMA DUE -41.3200 0.000000 41.32 -40.95 0.37 5/20/20 05/20/2020 36225CN28 PAID DOWN PAR VALUE OF G N M A I I#080408 3.875% 5/20/30 APRIL GNMA DUE -1,316.2300 0.000000 1,316.23 -1,302.86 13.37 5/20/20 05/20/2020 36225DCB8 PAID DOWN PAR VALUE OF G N M A I I#080965 3.250% 7/20/34 APRIL GNMA DUE -835.7000 0.000000 835.70 -835.18 0.52 5/20/20 05/21/2020 06367BED7 MATURED PAR VALUE OF BANK OF MONTREAL C D 1.890% 5/21/20 1,000,000 PAR -1,000,000.0000 1.000000 1,000,000.00 -1,000,000.00 0.00 VALUE AT 100% 05/21/2020 43815HAC1 PAID DOWN PAR VALUE OF HONDA AUTO 2.950% 8/22/22 -231,469.9000 0.000000 231,469.90 -231,438.14 31.76 05/26/2020 31394JY35 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 6.500% 9/25/43 -12,284.3600 0.000000 12,284.36 -13,912.04 -1,627.68 05/26/2020 31371NUC7 PAID DOWN PAR VALUE OF F N M A#257179 4.500% 4/01/28 APRIL FNMA DUE -132.0400 0.000000 132.04 -139.65 -7.61 5/25/20 05/26/2020 31376KT22 PAID DOWN PAR VALUE OF F N M A#357969 5.000% 9/01/35 APRIL FNMA DUE -940.1600 0.000000 940.16 -1,010.67 -70.51 5/25/20 05/26/2020 31381PDA3 PAID DOWN PAR VALUE OF F N M A#466397 3.400%11/01/20 APRIL FNMA DUE -769.2000 0.000000 769.20 -752.55 16.65 5/25/20 05/26/2020 31403DJZ3 PAID DOWN PAR VALUE OF F N M A#745580 5.000% 6/01/36 APRIL FNMA DUE -1,005.4200 0.000000 1,005.42 -1,080.83 -75.41 5/25/20 05/26/2020 31403GXF4 PAID DOWN PAR VALUE OF F N M A#748678 5.000%10/01/33 APRIL FNMA DUE -9.3100 0.000000 9.31 -10.01 -0.70 5/25/20 05/26/2020 31406PQY8 PAID DOWN PAR VALUE OF F N M A#815971 5.000% 3/01/35 APRIL FNMA DUE -587.4000 0.000000 587.40 -631.46 -44.06 5/25/20 05/26/2020 31406XWT5 PAID DOWN PAR VALUE OF F N M A#823358 3.674% 2/01/35 APRIL FNMA DUE -484.8800 0.000000 484.88 -481.09 3.79 5/25/20 05/26/2020 31407BXH7 PAID DOWN PAR VALUE OF F N M A#826080 5.000% 7/01/35 APRIL FNMA DUE -263.6900 0.000000 263.69 -283.47 -19.78 5/25120 05/26/2020 31410F4V4 PAID DOWN PAR VALUE OF F N M A#888336 5.000% 7/01/36 APRIL FNMA DUE -2,885.7600 0.000000 2,885.76 -3,102.19 -216.43 5/25/20 05/26/2020 3138EG6F6 PAID DOWN PAR VALUE OF F N M A#AL0869 4.500% 6/01/29 APRIL FNMA DUE -186.5400 0.000000 186.54 -197.28 -10.74 5/25120 7 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 05/26/2020 31417YAY3 PAID DOWN PAR VALUE OF F N M A#MA0022 4.500% 4/01/29 APRIL FNMA DUE -417.1000 0.000000 417.10 -441.12 -24.02 5/25/20 05/26/2020 31397QREO PAID DOWN PAR VALUE OF F N M A GTD REMIC 2.472% 2/25/41 -2,528.0500 0.000000 2,528.05 -2,527.26 0.79 05/27/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -12,491,976.1900 1.000000 12,491,976.19 -12,491,976.19 0.00 05/28/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -3,107,099.5100 1.000000 3,107,099.51 -3,107,099.51 0.00 05/29/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -7,009,177.9900 1.000000 7,009,177.99 -7,009,177.99 0.00 06/12/2020 313383HU8 MATURED PAR VALUE OF F H L B DEB 1.750% 6/12/20 4,000,000 PAR VALUE AT -4,000,000.0000 1.000000 4,000,000.00 -4,007,160.00 -7,160.00 100% 06/22/2020 3135GOD75 MATURED PAR VALUE OF F N M A DEB 1.500% 6/22/20 5,000,000 PAR VALUE AT -5,000,000.0000 1.000000 5,000,000.00 -4,955,650.00 44,350.00 100% 06/26/2020 89233GFSO MATURED PAR VALUE OF TOYOTA MOTOR CREDIT CO C P 6/26/20 11,800,000 PAR -11,800,000.0000 1.000000 11,778,147.06 -11,778,147.06 0.00 VALUE AT 100% 06/26/2020 89233GFSO MATURED PAR VALUE OF TOYOTA MOTOR CREDIT CO C P 6/26/20 3,405,000 PAR -3,405,000.0000 1.000000 3,398,694.13 -3,398,694.13 0.00 VALUE AT 100% 06/30/2020 9127962X6 MATURED PAR VALUE OF U S TREASURY BILL 6/30/20 5,000,000 PAR VALUE AT -5,000,000.0000 1.000000 4,999,586.81 -4,999,586.81 0.00 100% 06/30/2020 912828XH8 MATURED PAR VALUE OF U S TREASURY NT 1.625% 6/30/20 5,000,000 PAR VALUE -5,000,000.0000 1.000000 5,000,000.00 -5,001,367.19 -1,367.19 AT 100% 06/30/2020 912828VJ6 MATURED PAR VALUE OF U S TREASURY NT 1.875% 6/30/20 15,000,000 PAR -15,000,000.0000 1.000000 15,000,000.00 -15,022,265.63 -22,265.63 VALUE AT 100% 06/30/2020 912828XY1 MATURED PAR VALUE OF U S TREASURY NT 2.500% 6/30/20 11,000,000 PAR -11,000,000.0000 1.000000 11,000,000.00 -11,046,640.63 -46,640.63 VALUE AT 100% 06/15/2020 31348SWZ3 PAID DOWN PAR VALUE OF F H L M C#786064 3.845% 1/01/28 MAY FHLMC DUE -21.5000 0.000000 21.50 -20.98 0.52 6/15/20 06/15/2020 3133TCE95 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 4.020% 8/15/32 -213.1000 0.000000 213.10 -213.32 -0.22 06/25/2020 31394JY35 PAID DOWN PAR VALUE OF F H L M C MLTCL MTG 6.500% 9/25/43 -8,539.1300 0.000000 8,539.13 -9,670.56 -1,131.43 06/25/2020 31371NUC7 PAID DOWN PAR VALUE OF F N M A#257179 4.500% 4/01/28 MAY FNMA DUE -133.6700 0.000000 133.67 -141.37 -7.70 6/25/20 06/25/2020 31376KT22 PAID DOWN PAR VALUE OF F N M A#357969 5.000% 9/01/35 MAY FNMA DUE -921.1700 0.000000 921.17 -990.26 -69.09 6/25/20 06/25/2020 31381PDA3 PAID DOWN PAR VALUE OF F N M A#466397 3.400%11/01/20 MAY FNMA DUE -727.9100 0.000000 727.91 -712.16 15.75 6/25/20 06/25/2020 31403DJZ3 PAID DOWN PAR VALUE OF F N M A#745580 5.000% 6/01/36 MAY FNMA DUE -1,281.9500 0.000000 1,281.95 -1,378.10 -96.15 6/25/20 06/25/2020 31403GXF4 PAID DOWN PAR VALUE OF F N M A#748678 5.000%10/01/33 MAY FNMA DUE -9.3600 0.000000 9.36 -10.06 -0.70 6/25/20 06/25/2020 31406PQY8 PAID DOWN PAR VALUE OF F N M A#815971 5.000% 3/01/35 MAY FNMA DUE -3,030.4600 0.000000 3,030.46 -3,257.74 -227.28 6/25/20 06/25/2020 31406XWT5 PAID DOWN PAR VALUE OF F N M A#823358 3.674% 2/01/35 MAY FNMA DUE -516.6800 0.000000 516.68 -512.64 4.04 6/25/20 8 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/25/2020 31407BXH7 PAID DOWN PAR VALUE OF F N M A#826080 5.000% 7/01/35 MAY FNMA DUE -151.1500 0.000000 151.15 -162.49 -11.34 6/25/20 06/25/2020 31410F4V4 PAID DOWN PAR VALUE OF F N M A#888336 5.000% 7/01/36 MAY FNMA DUE -4,219.1400 0.000000 4,219.14 -4,535.58 -316.44 6/25/20 06/25/2020 3138EG6F6 PAID DOWN PAR VALUE OF F N M A#AL0869 4.500% 6/01/29 MAY FNMA DUE -269.5400 0.000000 269.54 -285.07 -15.53 6/25/20 06/25/2020 31417YAY3 PAID DOWN PAR VALUE OF F N M A#MA0022 4.500% 4/01/29 MAY FNMA DUE -473.0800 0.000000 473.08 -500.33 -27.25 6/25/20 06/25/2020 31397QREO PAID DOWN PAR VALUE OF F N M A GTD REMIC 2.472% 2/25/41 -4,230.4100 12.723436 4,230.41 -4,229.09 1.32 06/22/2020 36225CAZ9 PAID DOWN PAR VALUE OF G N M A 1 1#080023 3.125% 12/20/26 MAY GNMA DUE -156.4500 0.000000 156.45 -159.03 -2.58 6/20/20 06/22/2020 36225CC20 PAID DOWN PAR VALUE OF G N M A 1 1#080088 3.875% 6/20/27 MAY GNMA DUE -127.5800 0.000000 127.58 -130.37 -2.79 6/20/20 06/22/2020 36225CNM4 PAID DOWN PAR VALUE OF G N M A 1 1#080395 3.875% 4/20/30 MAY GNMA DUE -42.1000 0.000000 42.10 -41.72 0.38 6/20120 06/22/2020 36225CN28 PAID DOWN PAR VALUE OF G N M A 1 1#080408 3.875% 5/20/30 MAY GNMA DUE -312.5300 0.000000 312.53 -309.36 3.17 6/20/20 06/22/2020 36225DCB8 PAID DOWN PAR VALUE OF G N M A 1 1#080965 3.250% 7/20/34 MAY GNMA DUE -1,321.9000 0.000000 1,321.90 -1,321.07 0.83 6/20120 06/18/2020 43814PAC4 PAID DOWN PAR VALUE OF HONDA AUTO 1.790% 9/20/21 -135,338.2300 0.000000 135,338.23 -133,191.85 2,146.38 06/15/2020 43815NABO PAID DOWN PAR VALUE OF HONDA AUTO 1.900% 4/15/22 -285,754.9800 0.000000 285,754.98 -285,734.98 20.00 06/18/2020 43814WAB1 PAID DOWN PAR VALUE OF HONDA AUTO 2.750% 9/20/21 -331,711.2600 0.000000 331,711.26 -331,689.90 21.36 06/22/2020 43815HAC1 PAID DOWN PAR VALUE OF HONDA AUTO 2.950% 8/22/22 -243,581.5700 0.000000 243,581.57 -243,548.15 33.42 06/18/2020 43814UAG4 PAID DOWN PAR VALUE OF HONDA AUTO 3.010% 5/18/22 -112,779.0700 0.000000 112,779.07 -112,776.61 2.46 06/15/2020 47788BAD6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 1.820% 10/15/21 -21,956.3600 0.000000 21,956.36 -21,954.75 1.61 06/15/2020 477870AB5 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.280% 5/16/22 -212,536.3000 0.000000 212,536.30 -212,535.49 0.81 06/15/2020 47788CAC6 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.660% 4/18/22 -63,571.4900 0.000000 63,571.49 -63,566.92 4.57 06/15/2020 47789JAB2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 2.850%12/15/21 -197,146.3500 0.000000 197,146.35 -197,137.36 8.99 06/15/2020 47788EAC2 PAID DOWN PAR VALUE OF JOHN DEERE OWNER 3.080% 11/15/22 -224,557.8200 0.000000 224,557.82 -224,540.80 17.02 06/15/2020 65478GAD2 PAID DOWN PAR VALUE OF NISSAN AUTO 1.750% 10/15/21 -130,340.0400 0.000000 130,340.04 -128,318.75 2,021.29 06/15/2020 65479GAD1 PAID DOWN PAR VALUE OF NISSAN AUTO 3.060% 3/15/23 -40,081.1100 0.000000 40,081.11 -40,079.81 1.30 06/15/2020 89239AA139 PAID DOWN PAR VALUE OF TOYOTA AUTO 2.830% 10/15/21 -238,906.1700 0.000000 238,906.17 -238,884.48 21.69 06/05/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -4,993,240.4900 1.000000 4,993,240.49 -4,993,240.49 0.00 06/19/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -9,884,496.6500 1.000000 9,884,496.65 -9,884,496.65 0.00 06/23/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -1,011,678.4400 1.000000 1,011,678.44 -1,011,678.44 0.00 06/25/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -5,106,375.2200 1.000000 5,106,375.22 -5,106,375.22 0.00 06/30/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -15,000,000.0000 1.000000 15,000,000.00 -15,000,000.00 0.00 9 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/30/2020 31846V567 SOLD UNITS OF FIRST AM GOVT OB FD CL Z -9,850,939.4400 1.000000 9,850,939.44 -9,850,939.44 0.00 TOTAL DISPOSITIONS -307,919,458.5900 307,774,297.03 -307,802,855.23 -28,558.20 OTHER TRANSACTIONS 04/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 11,137.89 0.00 0.00 3/31/2020 INTEREST FROM 3/1/20 TO 3/31/20 04/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 7,016.19 0.00 0.00 3/31/2020 INTEREST FROM 3/1/20 TO 3/31/20 04/02/2020 525ESCOY6 Unknown LEHMAN BIRTH HLD ESC PARTIAL LIQUIDATING DISTRIBUTION PAID @ 0.0000 0.000000 1,334.43 -1,334.43 0.00 0.667213 04/02/2020 525ESCIB7 Unknown LEHMAN BIRTH MTN ES 0.00001% 1/24/13 PARTIAL LIQUIDATING 0.0000 0.000000 401.75 -401.75 0.00 DISTRIBUTION PAID @ 0.0669583 04/06/2020 3135GOT45 INTEREST EARNED ON F N M A 1.875% 4/05/22$1 PV ON 5000000.0000 0.0000 0.000000 46,875.00 0.00 0.00 SHARES DUE 4/5/2020 04/09/2020 912796TQ2 INTEREST EARNED ON U S TREASURY BILL 4/09/20$1 PV ON 4000000.0000 0.0000 0.000000 6,734.02 0.00 0.00 SHARES DUE 4/9/2020 4,000,000 PAR VALUE AT 100% 04/13/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15808.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/13/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15808.00 UNITS 0.0000 0.000000 0.00 15,808.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/13/2020 24422EUM9 INTEREST EARNED ON JOHN DEERE MTN 3.650% 10/12/23$1 PV ON 1250000.0000 0.0000 0.000000 22,812.50 0.00 0.00 SHARES DUE 4/12/2020 04/13/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15808.0000 UNITS 15,808.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/13/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15808.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/14/2020 02665WCQ2 INTEREST EARNED ON AMERICAN HONDA MTN 3.625%10/10/23$1 PV ON 0.0000 0.000000 36,250.00 0.00 0.00 2000000.0000 SHARES DUE 4/14/2020 04/14/2020 9127962134 INTEREST EARNED ON U S TREASURY BILL 4/14/20$1 PV ON 3500000.0000 0.0000 0.000000 3,778.06 0.00 0.00 SHARES DUE 4/14/2020 3,500,000 PAR VALUE AT 100% 04/15/2020 31348SWZ3 INTEREST EARNED ON F H L M C#786064 3.845% 1/01/28$1 PV ON 5.5400 SHARES 0.0000 0.000000 5.54 0.00 0.00 DUE 4/15/2020 FEBRUARY FHLMC DUE 4/15/20 04/15/2020 3133TCE95 INTEREST EARNED ON F H L M C MLTCL MTG 4.025% 8/15/32$1 PV ON 19.8100 0.0000 0.000000 19.81 0.00 0.00 SHARES DUE 4/15/2020$0.00335/PV ON 5,932.65 PV DUE 4/15/20 04/15/2020 43815NABO INTEREST EARNED ON HONDA AUTO 1.900% 4/15/22$1 PV ON 5589.1700 0.0000 0.000000 5,589.17 0.00 0.00 SHARES DUE 4/15/2020$0.00158/PV ON 3,530,000.00 PV DUE 4/15/20 04/15/2020 47788BAD6 INTEREST EARNED ON JOHN DEERE OWNER 1.820% 10/15/21 $1 PV ON 278.8800 0.0000 0.000000 278.88 0.00 0.00 SHARES DUE 4/15/2020$0.00152/PV ON 183,876.63 PV DUE 4/15/20 04/15/2020 477870AB5 INTEREST EARNED ON JOHN DEERE OWNER 2.280% 5/16/22$1 PV ON 5287.5700 0.0000 0.000000 5,287.57 0.00 0.00 SHARES DUE 4/15/2020$0.00190/PV ON 2,782,931.06 PV DUE 4/15/20 04/15/2020 47788CAC6 INTEREST EARNED ON JOHN DEERE OWNER 2.660% 4/18/22$1 PV ON 1843.7200 0.0000 0.000000 1,843.72 0.00 0.00 SHARES DUE 4/15/2020$0.00222/PV ON 831,754.27 PV DUE 4/15/20 10 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 04/15/2020 47789JAB2 INTEREST EARNED ON JOHN DEERE OWNER 2.850%12/15/21 $1 PV ON 4464.6700 0.0000 0.000000 4,464.67 0.00 0.00 SHARES DUE 4/15/2020$0.00237/PV ON 1,879,859.75 PV DUE 4/15/20 04/15/2020 47788EAC2 INTEREST EARNED ON JOHN DEERE OWNER 3.080% 11/15/22$1 PV ON 11883.6700 0.0000 0.000000 11,883.67 0.00 0.00 SHARES DUE 4/15/2020$0.00257/PV ON 4,630,000.00 PV DUE 4/15/20 04/15/2020 58770FAC6 INTEREST EARNED ON MERCEDES BENZ AUTO 1.840% 12/15/22$1 PV ON 3143.3300 0.0000 0.000000 3,143.33 0.00 0.00 SHARES DUE 4/15/2020$0.00153/PV ON 2,050,000.00 PV DUE 4/15/20 04/15/2020 65478GAD2 INTEREST EARNED ON NISSAN AUTO 1.750% 10/15/21 $1 PV ON 1608.4900 0.0000 0.000000 1,608.49 0.00 0.00 SHARES DUE 4/15/2020$0.00146/PV ON 1,102,968.68 PV DUE 4/15/20 04/15/2020 65479JAD5 INTEREST EARNED ON NISSAN AUTO 1.930% 7/15/24$1 PV ON 6730.8700 0.0000 0.000000 6,730.87 0.00 0.00 SHARES DUE 4/15/2020$0.00161/PV ON 4,185,000.00 PV DUE 4/15/20 04/15/2020 65479GAD1 INTEREST EARNED ON NISSAN AUTO 3.060% 3/15/23$1 PV ON 9078.0000 0.0000 0.000000 9,078.00 0.00 0.00 SHARES DUE 4/15/2020$0.00255/PV ON 3,560,000.00 PV DUE 4/15/20 04/15/2020 89239AAB9 INTEREST EARNED ON TOYOTA AUTO 2.830% 10/15/21 $1 PV ON 4571.9900 0.0000 0.000000 4,571.99 0.00 0.00 SHARES DUE 4/15/2020$0.00236/PV ON 1,938,655.29 PV DUE 4/15/20 04/20/2020 36225CAZ9 INTEREST EARNED ON G N M A I I#080023 3.125% 12/20/26$1 PV ON 36.3700 0.0000 0.000000 36.37 0.00 0.00 SHARES DUE 4/20/2020 MARCH GNMA DUE 4/20/20 04/20/2020 36225CC20 INTEREST EARNED ON G N M A I I#080088 3.875% 6/20/27$1 PV ON 37.5400 SHARES 0.0000 0.000000 37.54 0.00 0.00 DUE 4/20/2020 MARCH GNMA DUE 4/20/20 04/20/2020 36225CNM4 INTEREST EARNED ON G N M A I I#080395 3.875% 4/20/30$1 PV ON 18.5300 SHARES 0.0000 0.000000 18.53 0.00 0.00 DUE 4/20/2020 MARCH GNMA DUE 4/20/20 04/20/2020 36225CN28 INTEREST EARNED ON G N M A I I#080408 3.875% 5/20/30$1 PV ON 144.6200 0.0000 0.000000 144.62 0.00 0.00 SHARES DUE 4/20/2020 MARCH GNMA DUE 4/20/20 04/20/2020 36225DCB8 INTEREST EARNED ON G N M A I I#080965 3.250% 7/20/34$1 PV ON 109.1800 0.0000 0.000000 109.18 0.00 0.00 SHARES DUE 4/20/2020 MARCH GNMA DUE 4/20/20 04/20/2020 43814PAC4 INTEREST EARNED ON HONDA AUTO 1.790% 9/20/21 $1 PV ON 1692.1000 0.0000 0.000000 1,692.10 0.00 0.00 SHARES DUE 4/18/2020$0.00149/PV ON 1,134,368.60 PV DUE 4/18/20 04/20/2020 43814WAB1 INTEREST EARNED ON HONDA AUTO 2.750% 9/20/21 $1 PV ON 6262.1700 0.0000 0.000000 6,262.17 0.00 0.00 SHARES DUE 4/18/2020$0.00229/PV ON 2,732,580.80 PV DUE 4/18/20 04/20/2020 43814UAG4 INTEREST EARNED ON HONDA AUTO 3.010% 5/18/22$1 PV ON 4065.9100 0.0000 0.000000 4,065.91 0.00 0.00 SHARES DUE 4/18/2020$0.00251/PV ON 1,620,960.47 PV DUE 4/18/20 04/21/2020 06051GFN4 INTEREST EARNED ON BANK OF AMERICA MTN 2.250% 4/21/20$1 PV ON 0.0000 0.000000 22,500.00 0.00 0.00 2000000.0000 SHARES DUE 4/21/2020 04/21/2020 43815HAC1 INTEREST EARNED ON HONDA AUTO 2.950% 8/22/22$1 PV ON 9632.3500 0.0000 0.000000 9,632.35 0.00 0.00 SHARES DUE 4/21/2020$0.00246/PV ON 3,918,242.99 PV DUE 4/21/20 04/23/2020 CASH RECEIPT INCOMING WIRES RECEIVED FROM BANC OF CALIF 4/23/2020 0.0000 0.000000 80,000,000.00 0.00 0.00 04/23/2020 CASH RECEIPT INCOMING WIRES RECEIVED FROM BANC OF CALIF 4/23/2020 0.0000 0.000000 25,000,000.00 0.00 0.00 04/24/2020 62479LDQ5 INTEREST EARNED ON MUFG BANK LTD NY BRAN C P 4/24/20$1 PV ON 0.0000 0.000000 82,861.11 0.00 0.00 10000000.0000 SHARES DUE 4/24/2020 10,000,000 PAR VALUE AT 100% 04/24/2020 62479LDQ5 INTEREST EARNED ON MUFG BANK LTD NY BRAN C P 4/24/20$1 PV ON 0.0000 0.000000 11,310.54 0.00 0.00 1365000.0000 SHARES DUE 4/24/2020 1,365,000 PAR VALUE AT 100% 11 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 04/24/2020 46625HNX4 PAID ACCRUED INTEREST ON PURCHASE OF JPMORGAN CHASE CO 2.550% 0.0000 0.000000 -12,395.83 0.00 0.00 10/29/20 04/27/2020 03215PFN4 INTEREST EARNED ON AMRESCO 2.07531% 6/25/29$1 PV ON 205.8400 0.0000 0.000000 205.84 0.00 0.00 SHARES DUE 4/25/2020$0.00173/PV ON 119,021.64 PV DUE 4/25/20 04/27/2020 31394JY35 INTEREST EARNED ON F H L M C MLTCL MTG 6.500% 9/25/43$1 PV ON 3430.6400 0.0000 0.000000 3,430.64 0.00 0.00 SHARES DUE 4/25/2020$0.00542/PV ON 633,348.65 PV DUE 4/25/20 04/27/2020 31371NUC7 INTEREST EARNED ON F N M A#257179 4.500% 4/01/28$1 PV ON 48.6600 SHARES 0.0000 0.000000 48.66 0.00 0.00 DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31376KT22 INTEREST EARNED ON F N M A#357969 5.000% 9/01/35$1 PV ON 365.8700 0.0000 0.000000 365.87 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31381PDA3 INTEREST EARNED ON F N M A#466397 3.400% 11/01/20$1 PV ON 974.7000 0.0000 0.000000 974.70 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31403DJZ3 INTEREST EARNED ON F N M A#745580 5.000% 6/01/36$1 PV ON 349.0300 0.0000 0.000000 349.03 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31403GXF4 INTEREST EARNED ON F N M A#748678 5.000% 10/01/33$1 PV ON 7.1900 SHARES 0.0000 0.000000 7.19 0.00 0.00 DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31406PQY8 INTEREST EARNED ON F N M A#815971 5.000% 3/01/35$1 PV ON 546.7800 0.0000 0.000000 546.78 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31406XWT5 INTEREST EARNED ON F N M A#823358 3.674% 2/01/35$1 PV ON 293.9400 0.0000 0.000000 293.94 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4125/20 04/27/2020 31407BXH7 INTEREST EARNED ON F N M A#826080 5.000% 7/01/35$1 PV ON 71.6700 SHARES 0.0000 0.000000 71.67 0.00 0.00 DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31410F4V4 INTEREST EARNED ON F N M A#888336 5.000% 7/01/36$1 PV ON 684.5900 0.0000 0.000000 684.59 0.00 0.00 SHARES DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 3138EG6F6 INTEREST EARNED ON F N M A#AL0869 4.500% 6/01/29$1 PV ON 33.6200 SHARES 0.0000 0.000000 33.62 0.00 0.00 DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31417YAY3 INTEREST EARNED ON F N M A#MA0022 4.500% 4/01/29$1 PV ON 54.6300 SHARES 0.0000 0.000000 54.63 0.00 0.00 DUE 4/25/2020 MARCH FNMA DUE 4/25/20 04/27/2020 31397QREO INTEREST EARNED ON F N M A GTD REMIC 2.472% 2/25/41 $1 PV ON 226.2200 0.0000 0.000000 226.22 0.00 0.00 SHARES DUE 4/25/2020$0.00136/PV ON 166,890.21 PV DUE 4/25/20 04/27/2020 78445JAA5 INTEREST EARNED ON S L M A 3.33073% 4/25/23$1 PV ON 101.5300 SHARES 0.0000 0.000000 101.53 0.00 0.00 DUE 4/25/2020$0.00833/PV ON 12,192.93 PV DUE 4/25/20 04/28/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15496.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/28/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15496.00 UNITS 0.0000 0.000000 0.00 15,496.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/28/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15496.0000 UNITS 15,496.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 04/28/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY 15496.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 INCREASE TO ADJUST FOR CHANGE IN CPI 12 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss 04/29/2020 46625HNX4 INTEREST EARNED ON JPMORGAN CHASE CO 2.550%10/29/20$1 PV ON 0.0000 0.000000 12,750.00 0.00 0.00 1000000.0000 SHARES DUE 4/29/2020 04/30/2020 912828T67 INTEREST EARNED ON U S TREASURY NT 1.250% 10/31/21 $1 PV ON 6000000.0000 0.0000 0.000000 37,500.00 0.00 0.00 SHARES DUE 4/30/2020 04/30/2020 9128281-99 INTEREST EARNED ON U S TREASURY NT 1.375% 10/31/20$1 PV ON 7000000.0000 0.0000 0.000000 48,125.00 0.00 0.00 SHARES DUE 4/30/2020 04/30/2020 3135GO3U5 PAID ACCRUED INTEREST ON PURCHASE OF F N M A DEB 0.625% 4/22/25 0.0000 0.000000 -668.75 0.00 0.00 05/01/2020 313384WGO INTEREST EARNED ON F H L B DISC NTS 5/01/20$1 PV ON 3000000.0000 0.0000 0.000000 11,905.83 0.00 0.00 SHARES DUE 5/1/2020 3,000,000 PAR VALUE AT 100% 05/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 7,855.21 0.00 0.00 4/30/2020 INTEREST FROM 4/1/20 TO 4/30/20 05/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 3,035.19 0.00 0.00 4/30/2020 INTEREST FROM 4/1/20 TO 4/30/20 05/01/2020 64971M5E8 INTEREST EARNED ON NEW YORK CITY NY 4.075% 11/01/20$1 PV ON 1400000.0000 0.0000 0.000000 28,525.00 0.00 0.00 SHARES DUE 5/1/2020 05/04/2020 00440EAUl INTEREST EARNED ON ACE INA HOLDINGS 2.875% 11/03/22$1 PV ON 4169000.0000 0.0000 0.000000 59,929.38 0.00 0.00 SHARES DUE 5/3/2020 05/08/2020 89114QBX5 PAID ACCRUED INTEREST ON PURCHASE OF TORONTO DOMINION MTN 2.550% 0.0000 0.000000 -12,767.71 0.00 0.00 1/25/21 05/11/2020 037833CU2 INTEREST EARNED ON APPLE INC 2.850% 5/11/24$1 PV ON 3000000.0000 0.0000 0.000000 42,750.00 0.00 0.00 SHARES DUE 5/11/2020 05/11/2020 369550BA5 INTEREST EARNED ON GENERAL DYNAMICS 2.875% 5/11/20$1 PV ON 0.0000 0.000000 28,750.00 0.00 0.00 2000000.0000 SHARES DUE 5/11/2020 05/11/2020 369550BE7 INTEREST EARNED ON GENERAL DYNAMICS 3.000% 5/11/21 $1 PV ON 0.0000 0.000000 47,400.00 0.00 0.00 3160000.0000 SHARES DUE 5/11/2020 05/11/2020 45814OBD1 INTEREST EARNED ON INTEL CORP 2.875% 5/11/24$1 PV ON 5000000.0000 0.0000 0.000000 71,875.00 0.00 0.00 SHARES DUE 5/11/2020 05/12/2020 4581XOCX4 INTEREST EARNED ON INTER AMER DEV BK 1.625% 5/12/20$1 PV ON 3035000.0000 0.0000 0.000000 24,659.38 0.00 0.00 SHARES DUE 5/12/2020 05/12/2020 037833AR1 PAID ACCRUED INTEREST ON PURCHASE OF APPLE INC 2.850% 5/06121 0.0000 0.000000 -548.63 0.00 0.00 05/13/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-10088.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/13/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-10088.00 UNITS 0.0000 0.000000 0.00 -10,088.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/13/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-10088.0000 -10,088.0000 0.000000 0.00 0.00 0.00 UNITS DECREASE TO ADJUST FOR CHANGE IN CPI 05/13/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-10088.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/15/2020 084664BT7 INTEREST EARNED ON BERKSHIRE HATHAWAY 3.000% 5/15/22$1 PV ON 0.0000 0.000000 60,000.00 0.00 0.00 4000000.0000 SHARES DUE 5/15/2020 13 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 05/15/2020 31348SWZ3 INTEREST EARNED ON F H L M C#786064 3.845% 1/01/28$1 PV ON 5.4900 SHARES 0.0000 0.000000 5.49 0.00 0.00 DUE 5/15/2020 MARCH FHLMC DUE 5/15/20 05/15/2020 3133TCE95 INTEREST EARNED ON F H L M C MLTCL MTG 4.020% 8/15/32$1 PV ON 18.6600 0.0000 0.000000 18.66 0.00 0.00 SHARES DUE 5/15/2020$0.00335/PV ON 5,570.25 PV DUE 5/15/20 05/15/2020 43815NABO INTEREST EARNED ON HONDA AUTO 1.900% 4/15/22$1 PV ON 5589.1700 0.0000 0.000000 5,589.17 0.00 0.00 SHARES DUE 5/15/2020$0.00158/PV ON 3,530,000.00 PV DUE 5/15/20 05/15/2020 47788BAD6 INTEREST EARNED ON JOHN DEERE OWNER 1.820% 10/15/21 $1 PV ON 220.0100 0.0000 0.000000 220.01 0.00 0.00 SHARES DUE 5/15/2020$0.00152/PV ON 145,063.81 PV DUE 5/15/20 05/15/2020 477870AB5 INTEREST EARNED ON JOHN DEERE OWNER 2.280% 5/16/22$1 PV ON 4686.6900 0.0000 0.000000 4,686.69 0.00 0.00 SHARES DUE 5/15/2020$0.00190/PV ON 2,466,680.27 PV DUE 5/15/20 05/15/2020 47788CAC6 INTEREST EARNED ON JOHN DEERE OWNER 2.660% 4/18/22$1 PV ON 1670.5800 0.0000 0.000000 1,670.58 0.00 0.00 SHARES DUE 5/15/2020$0.00222/PV ON 753,644.66 PV DUE 5/15/20 05/15/2020 47789JAB2 INTEREST EARNED ON JOHN DEERE OWNER 2.850% 12/15/21 $1 PV ON 3861.7000 0.0000 0.000000 3,861.70 0.00 0.00 SHARES DUE 5/15/2020$0.00238/PV ON 1,625,978.18 PV DUE 5/15/20 05/15/2020 47788EAC2 INTEREST EARNED ON JOHN DEERE OWNER 3.080% 11/15/22$1 PV ON 10956.6700 0.0000 0.000000 10,956.67 0.00 0.00 SHARES DUE 5/15/2020$0.00257/PV ON 4,268,831.48 PV DUE 5/15/20 05/15/2020 58770FAC6 INTEREST EARNED ON MERCEDES BENZ AUTO 1.840% 12/15/22$1 PV ON 3143.3300 0.0000 0.000000 3,143.33 0.00 0.00 SHARES DUE 5/15/2020$0.00153/PV ON 2,050,000.00 PV DUE 5/15/20 05/15/2020 65478GAD2 INTEREST EARNED ON NISSAN AUTO 1.750% 10/15/21 $1 PV ON 1396.1200 0.0000 0.000000 1,396.12 0.00 0.00 SHARES DUE 5/15/2020$0.00146/PV ON 957,342.87 PV DUE 5/15/20 05/15/2020 65479JAD5 INTEREST EARNED ON NISSAN AUTO 1.930% 7/15/24$1 PV ON 6730.8700 0.0000 0.000000 6,730.87 0.00 0.00 SHARES DUE 5/15/2020$0.00161/PV ON 4,185,000.00 PV DUE 5/15/20 05/15/2020 65479GAD1 INTEREST EARNED ON NISSAN AUTO 3.060% 3/15/23$1 PV ON 9078.0000 0.0000 0.000000 9,078.00 0.00 0.00 SHARES DUE 5/15/2020$0.00255/PV ON 3,560,000.00 PV DUE 5/15/20 05/15/2020 89239AAB9 INTEREST EARNED ON TOYOTA AUTO 2.830% 10/15/21 $1 PV ON 3933.6500 0.0000 0.000000 3,933.65 0.00 0.00 SHARES DUE 5/15/2020$0.00236/PV ON 1,667,979.63 PV DUE 5/15/20 05/15/2020 912828WJ5 INTEREST EARNED ON U S TREASURY NT 2.500% 5/15/24$1 PV ON 7000000.0000 0.0000 0.000000 87,500.00 0.00 0.00 SHARES DUE 5/15/2020 05/15/2020 913366EJ5 INTEREST EARNED ON UNIV OF CALIFORNIA 5.035% 5/15/21 $1 PV ON 400000.0000 0.0000 0.000000 10,070.00 0.00 0.00 SHARES DUE 5/15/2020 05/18/2020 166764BG4 INTEREST EARNED ON CHEVRON CORP 2.100% 5/16/21 $1 PV ON 2500000.0000 0.0000 0.000000 26,250.00 0.00 0.00 SHARES DUE 5/16/2020 05/18/2020 3137EAEK1 INTEREST EARNED ON F H L M C M T N 1.875% 11/17/20$1 PV ON 5000000.0000 0.0000 0.000000 46,875.00 0.00 0.00 SHARES DUE 5/17/2020 05/18/2020 43814PAC4 INTEREST EARNED ON HONDA AUTO 1.790% 9/20/21 $1 PV ON 1474.6000 0.0000 0.000000 1,474.60 0.00 0.00 SHARES DUE 5/18/2020$0.00149/PV ON 988,556.63 PV DUE 5/18/20 05/18/2020 43814WAB1 INTEREST EARNED ON HONDA AUTO 2.750% 9/20/21 $1 PV ON 5463.7400 0.0000 0.000000 5,463.74 0.00 0.00 SHARES DUE 5/18/2020$0.00229/PV ON 2,384,177.90 PV DUE 5/18/20 05/18/2020 43814UAG4 INTEREST EARNED ON HONDA AUTO 3.010% 5/18/22$1 PV ON 3764.3200 0.0000 0.000000 3,764.32 0.00 0.00 SHARES DUE 5/18/2020$0.00251/PV ON 1,500,727.36 PV DUE 5/18/20 14 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Arnt Cost Gain/Loss 05/18/2020 46625HRL6 INTEREST EARNED ON JP MORGAN CHASE CO 2.700% 5/18/23$1 PV ON 0.0000 0.000000 67,500.00 0.00 0.00 5000000.0000 SHARES DUE 5/18/2020 05/18/2020 58933YAF2 INTEREST EARNED ON MERCK CO INC 2.800% 5/18/23$1 PV ON 2000000.0000 0.0000 0.000000 28,000.00 0.00 0.00 SHARES DUE 5/18/2020 05/18/2020 494368BF9 PAID ACCRUED INTEREST ON PURCHASE OF KIMBERLY CLARK CORP 3.875% 0.0000 0.000000 -6,216.15 0.00 0.00 3/01/21 05/20/2020 36225CAZ9 INTEREST EARNED ON G N M A I I#080023 3.125% 12/20/26$1 PV ON 35.9600 0.0000 0.000000 35.96 0.00 0.00 SHARES DUE 5/20/2020 APRIL GNMA DUE 5/20/20 05/20/2020 36225CC20 INTEREST EARNED ON G N M A I 1#080088 3.875% 6/20/27$1 PV ON 37.1400 SHARES 0.0000 0.000000 37.14 0.00 0.00 DUE 5/20/2020 APRIL GNMA DUE 5/20/20 05/20/2020 36225CNM4 INTEREST EARNED ON G N M A 1 1#080395 3.875% 4/20/30$1 PV ON 17.9600 SHARES 0.0000 0.000000 17.96 0.00 0.00 DUE 5/20/2020 APRIL GNMA DUE 5/20/20 05/20/2020 36225CN28 INTEREST EARNED ON G N M A 1 1#080408 3.875% 5/20/30$1 PV ON 143.5500 0.0000 0.000000 143.55 0.00 0.00 SHARES DUE 5/20/2020 APRIL GNMA DUE 5/20/20 05/20/2020 36225DCB8 INTEREST EARNED ON G N M A 1 1#080965 3.250% 7/20/34$1 PV ON 107.4500 0.0000 0.000000 107.45 0.00 0.00 SHARES DUE 5/20/2020 APRIL GNMA DUE 5/20/20 05/20/2020 747525AD5 INTEREST EARNED ON QUALCOMM INC 2.250% 5/20/20$1 PV ON 2000000.0000 0.0000 0.000000 22,500.00 0.00 0.00 SHARES DUE 5/20/2020 05/20/2020 747525AD5 INTEREST EARNED ON QUALCOMM INC 2.250% 5/20/20$1 PV ON 5000000.0000 0.0000 0.000000 56,250.00 0.00 0.00 SHARES DUE 5/20/2020 05/21/2020 06367BED7 INTEREST EARNED ON BANK OF MONTREAL C D 1.890% 5/21/20$1 PV ON 0.0000 0.000000 7,822.50 0.00 0.00 1000000.0000 SHARES DUE 5/21/2020 INTEREST ON 5/21/20 MATURITY 05/21/2020 43815HAC1 INTEREST EARNED ON HONDA AUTO 2.950% 8/22/22$1 PV ON 8996.4500 0.0000 0.000000 8,996.45 0.00 0.00 SHARES DUE 5/21/2020$0.00246/PV ON 3,659,574.58 PV DUE 5/21/20 05/26/2020 03215PFN4 INTEREST EARNED ON AMRESCO 2.07531% 6/25/29$1 PV ON 119021.6400 0.0000 0.000000 136.85 0.00 0.00 SHARES DUE 5/25/2020 05/26/2020 31394JY35 INTEREST EARNED ON F H L M C MLTCL MTG 6.500% 9/25/43$1 PV ON 3415.5900 0.0000 0.000000 3,415.59 0.00 0.00 SHARES DUE 5/25/2020$0.00542/PV ON 630,570.24 PV DUE 5/25/20 05/26/2020 31371NUC7 INTEREST EARNED ON F N M A#257179 4.500% 4/01/28$1 PV ON 48.1000 SHARES 0.0000 0.000000 48.10 0.00 0.00 DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31376KT22 INTEREST EARNED ON F N M A#357969 5.000% 9/01/35$1 PV ON 360.9100 0.0000 0.000000 360.91 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31381PDA3 INTEREST EARNED ON F N M A#466397 3.400% 11/01/20$1 PV ON 941.2100 0.0000 0.000000 941.21 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31403DJZ3 INTEREST EARNED ON F N M A#745580 5.000% 6/01/36$1 PV ON 343.7800 0.0000 0.000000 343.78 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31403GXF4 INTEREST EARNED ON F N M A#748678 5.000% 10/01/33$1 PV ON 7.1600 SHARES 0.0000 0.000000 7.16 0.00 0.00 DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31406PQY8 INTEREST EARNED ON F N M A#815971 5.000% 3/01/35$1 PV ON 544.4100 0.0000 0.000000 544.41 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 15 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 05/26/2020 31406XWT5 INTEREST EARNED ON F N M A#823358 3.674% 2/01/35$1 PV ON 292.6500 0.0000 0.000000 292.65 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31407BXH7 INTEREST EARNED ON F N M A#826080 5.000% 7/01/35$1 PV ON 69.7000 SHARES 0.0000 0.000000 69.70 0.00 0.00 DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 3141OF4V4 INTEREST EARNED ON F N M A#888336 5.000% 7/01/36$1 PV ON 677.7400 0.0000 0.000000 677.74 0.00 0.00 SHARES DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 3138EG6F6 INTEREST EARNED ON F N M A#AL0869 4.500% 6/01/29$1 PV ON 33.0000 SHARES 0.0000 0.000000 33.00 0.00 0.00 DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31417YAY3 INTEREST EARNED ON F N M A#MA0022 4.500% 4/01/29$1 PV ON 53.5100 SHARES 0.0000 0.000000 53.51 0.00 0.00 DUE 5/25/2020 APRIL FNMA DUE 5/25/20 05/26/2020 31397QREO INTEREST EARNED ON F N M A GTD REMIC 2.472% 2/25/41 $1 PV ON 160.0200 0.0000 0.000000 160.02 0.00 0.00 SHARES DUE 5/25/2020$0.00097/PV ON 164,514.79 PV DUE 5/25/20 05/27/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-12792.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/27/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-12792.00 UNITS 0.0000 0.000000 0.00 -12,792.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/27/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-12792.0000 -12,792.0000 0.000000 0.00 0.00 0.00 UNITS DECREASE TO ADJUST FOR CHANGE IN CPI 05/27/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15124 ADJUSTED BY-12792.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 05/28/2020 00440EAT4 PAID ACCRUED INTEREST ON PURCHASE OF ACE INA HOLDINGS 2.300%11/03/20 0.0000 0.000000 -798.61 0.00 0.00 05/28/2020 808513AW5 PAID ACCRUED INTEREST ON PURCHASE OF CHARLES SCHWAB CORP 3.250% 0.0000 0.000000 -875.24 0.00 0.00 5/21121 05/28/2020 46625HHU7 PAID ACCRUED INTEREST ON PURCHASE OF JPMORGAN CHASE CO 4.250% 0.0000 0.000000 -5,888.61 0.00 0.00 10/15/20 05/29/2020 912828ZL7 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 0.375% 4/30/25 0.0000 0.000000 -2,068.61 0.00 0.00 06/01/2020 3135GOF73 INTEREST EARNED ON F N M A 1.500% 11/30/20$1 PV ON 7500000.0000 0.0000 0.000000 56,250.00 0.00 0.00 SHARES DUE 5/30/2020 06/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 1,173.78 0.00 0.00 5/31/2020 INTEREST FROM 5/1/20 TO 5/31/20 06/01/2020 31846V567 INTEREST EARNED ON FIRST AM GOVT OB FD CL Z UNIT ON 0.0000 SHARES DUE 0.0000 0.000000 970.66 0.00 0.00 5/31/2020 INTEREST FROM 5/1/20 TO 5/31/20 06/01/2020 912828R69 INTEREST EARNED ON U S TREASURY NT 1.625% 5/31/23$1 PV ON 5000000.0000 0.0000 0.000000 40,625.00 0.00 0.00 SHARES DUE 5/31/2020 06/01/2020 9128281-165 INTEREST EARNED ON U S TREASURY NT 1.750%11/30/21 $1 PV ON 7000000.0000 0.0000 0.000000 61,250.00 0.00 0.00 SHARES DUE 5/31/2020 06/01/2020 912828M80 INTEREST EARNED ON U S TREASURY NT 2.000% 11/30/22$1 PV ON 8000000.0000 0.0000 0.000000 80,000.00 0.00 0.00 SHARES DUE 5/31/2020 06/01/2020 9128281-157 INTEREST EARNED ON U S TREASURY NT 2.125%11/30/23$1 PV ON 15000000.0000 0.0000 0.000000 159,375.00 0.00 0.00 SHARES DUE 5/31/2020 16 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/01/2020 9128283,17 INTEREST EARNED ON U S TREASURY NT 2.125%11/30/24$1 PV ON 16500000.0000 0.0000 0.000000 175,312.50 0.00 0.00 SHARES DUE 5/31/2020 06/05/2020 912828ZL7 PAID ACCRUED INTEREST ON PURCHASE OF U S TREASURY NT 0.375% 4/30/25 0.0000 0.000000 -1,834.24 0.00 0.00 06/08/2020 3130AOF70 INTEREST EARNED ON F H L B DEB 3.375% 12/08/23$1 PV ON 10000000.0000 0.0000 0.000000 168,750.00 0.00 0.00 SHARES DUE 6/8/2020 06/08/2020 69353RFL7 INTEREST EARNED ON PNC BANK NA MTN 3.500% 6/08/23$1 PV ON 5000000.0000 0.0000 0.000000 87,500.00 0.00 0.00 SHARES DUE 6/8/2020 06/09/2020 313383QR5 INTEREST EARNED ON F H L B DEB 3.250% 6/09/23$1 PV ON 5000000.0000 0.0000 0.000000 81,250.00 0.00 0.00 SHARES DUE 6/9/2020 06/11/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-35984.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/11/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-35984.00 UNITS 0.0000 0.000000 0.00 -35,984.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/11/2020 313379RB7 INTEREST EARNED ON F H L B DEB 1.875% 6/11/21 $1 PV ON 4000000.0000 0.0000 0.000000 37,500.00 0.00 0.00 SHARES DUE 6/11/2020 06/11/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-35984.0000 -35,984.0000 0.000000 0.00 0.00 0.00 UNITS DECREASE TO ADJUST FOR CHANGE IN CPI 06/11/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15124 ADJUSTED BY-35984.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/12/2020 313383HU8 INTEREST EARNED ON F H L B DEB 1.750% 6/12/20$1 PV ON 4000000.0000 0.0000 0.000000 35,000.00 0.00 0.00 SHARES DUE 6/12/2020 06/12/2020 89114QCA4 INTEREST EARNED ON TORONTO DOMINION MTN 2.650% 6/12/24$1 PV ON 0.0000 0.000000 39,750.00 0.00 0.00 3000000.0000 SHARES DUE 6/12/2020 06/15/2020 3130A1XJ2 INTEREST EARNED ON F H L B 2.875% 6/14/24$1 PV ON 11110000.0000 0.0000 0.000000 159,706.25 0.00 0.00 SHARES DUE 6/14/2020 06/15/2020 31348SWZ3 INTEREST EARNED ON F H L M C#786064 3.845% 1/01/28$1 PV ON 5.4300 SHARES 0.0000 0.000000 5.43 0.00 0.00 DUE 6/15/2020 APRIL FHLMC DUE 6/15/20 06/15/2020 3133TCE95 INTEREST EARNED ON F H L M C MLTCL MTG 4.020% 8/15/32$1 PV ON 17.9900 0.0000 0.000000 17.99 0.00 0.00 SHARES DUE 6/15/2020$0.00335/PV ON 5,374.60 PV DUE 6/15/20 06/15/2020 43815NABO INTEREST EARNED ON HONDA AUTO 1.900% 4/15/22$1 PV ON 5311.2900 0.0000 0.000000 5,311.29 0.00 0.00 SHARES DUE 6/15/2020$0.00158/PV ON 3,354,499.87 PV DUE 6/15/20 06/15/2020 47788BAD6 INTEREST EARNED ON JOHN DEERE OWNER 1.820%10/15/21 $1 PV ON 156.9400 0.0000 0.000000 156.94 0.00 0.00 SHARES DUE 6/15/2020$0.00152/PV ON 103,479.10 PV DUE 6/15/20 06/15/2020 477870AB5 INTEREST EARNED ON JOHN DEERE OWNER 2.280% 5/16/22$1 PV ON 3843.8800 0.0000 0.000000 3,843.88 0.00 0.00 SHARES DUE 6/15/2020$0.00190/PV ON 2,023,097.86 PV DUE 6/15/20 06/15/2020 47788CAC6 INTEREST EARNED ON JOHN DEERE OWNER 2.660% 4/18/22$1 PV ON 1464.9400 0.0000 0.000000 1,464.94 0.00 0.00 SHARES DUE 6/15/2020$0.00222/PV ON 660,876.02 PV DUE 6/15/20 06/15/2020 47789JAB2 INTEREST EARNED ON JOHN DEERE OWNER 2.850% 12/15/21 $1 PV ON 3141.9300 0.0000 0.000000 3,141.93 0.00 0.00 SHARES DUE 6/15/2020$0.00237/PV ON 1,322,916.67 PV DUE 6/15/20 06/15/2020 47788EAC2 INTEREST EARNED ON JOHN DEERE OWNER 3.080%11/15/22$1 PV ON 9779.8300 0.0000 0.000000 9,779.83 0.00 0.00 SHARES DUE 6/15/2020$0.00257/PV ON 3,810,324.34 PV DUE 6/15/20 17 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/15/2020 58770FAC6 INTEREST EARNED ON MERCEDES BENZ AUTO 1.840% 12/15/22$1 PV ON 3143.3300 0.0000 0.000000 3,143.33 0.00 0.00 SHARES DUE 6/15/2020$0.00153/PV ON 2,050,000.00 PV DUE 6/15/20 06/15/2020 65478GAD2 INTEREST EARNED ON NISSAN AUTO 1.750% 10/15/21 $1 PV ON 1203.4600 0.0000 0.000000 1,203.46 0.00 0.00 SHARES DUE 6/15/2020$0.00146/PV ON 825,227.28 PV DUE 6/15/20 06/15/2020 65479JAD5 INTEREST EARNED ON NISSAN AUTO 1.930% 7/15/24$1 PV ON 6730.8700 0.0000 0.000000 6,730.87 0.00 0.00 SHARES DUE 6/15/2020$0.00161/PV ON 4,185,000.00 PV DUE 6/15/20 06/15/2020 65479GAD1 INTEREST EARNED ON NISSAN AUTO 3.060% 3/15/23$1 PV ON 9078.0000 0.0000 0.000000 9,078.00 0.00 0.00 SHARES DUE 6/15/2020$0.00255/PV ON 3,560,000.00 PV DUE 6/15/20 06/15/2020 89239AAB9 INTEREST EARNED ON TOYOTA AUTO 2.830% 10/15/21 $1 PV ON 3382.2700 0.0000 0.000000 3,382.27 0.00 0.00 SHARES DUE 6/15/2020$0.00236/PV ON 1,434,178.71 PV DUE 6/15/20 06/18/2020 43814PAC4 INTEREST EARNED ON HONDA AUTO 1.790% 9/20/21 $1 PV ON 1282.2400 0.0000 0.000000 1,282.24 0.00 0.00 SHARES DUE 6/18/2020$0.00149/PV ON 859,600.49 PV DUE 6/18/20 06/18/2020 43814WAB1 INTEREST EARNED ON HONDA AUTO 2.750% 9/20/21 $1 PV ON 4756.0100 0.0000 0.000000 4,756.01 0.00 0.00 SHARES DUE 6/18/2020$0.00229/PV ON 2,075,349.82 PV DUE 6/18/20 06/18/2020 43814UAG4 INTEREST EARNED ON HONDA AUTO 3.010% 5/18/22$1 PV ON 3497.3000 0.0000 0.000000 3,497.30 0.00 0.00 SHARES DUE 6/18/2020$0.00251/PV ON 1,394,270.40 PV DUE 6/18/20 06/19/2020 3137EAEN5 INTEREST EARNED ON F H L M C 2.750% 6/19/23$1 PV ON 10000000.0000 0.0000 0.000000 137,500.00 0.00 0.00 SHARES DUE 6/19/2020 06/22/2020 3135GOU35 INTEREST EARNED ON F N M A 2.750% 6/22/21 $1 PV ON 7500000.0000 0.0000 0.000000 103,125.00 0.00 0.00 SHARES DUE 6/22/2020 06/22/2020 3135GOD75 INTEREST EARNED ON F N M A DEB 1.500% 6/22/20$1 PV ON 5000000.0000 0.0000 0.000000 37,500.00 0.00 0.00 SHARES DUE 6/22/2020 06/22/2020 36225CAZ9 INTEREST EARNED ON G N M A 1 1#080023 3.125% 12/20/26$1 PV ON 35.2500 0.0000 0.000000 35.25 0.00 0.00 SHARES DUE 6/20/2020 MAY GNMA DUE 6/20/20 06/22/2020 36225CC20 INTEREST EARNED ON G N M A 1 1#080088 3.875% 6/20/27$1 PV ON 36.5800 SHARES 0.0000 0.000000 36.58 0.00 0.00 DUE 6/20/2020 MAY GNMA DUE 6/20/20 06/22/2020 36225CNM4 INTEREST EARNED ON G N M A 1 1#080395 3.875% 4/20/30$1 PV ON 17.8300 SHARES 0.0000 0.000000 17.83 0.00 0.00 DUE 6/20/2020 MAY GNMA DUE 6/20/20 06/22/2020 36225CN28 INTEREST EARNED ON G N M A 1 1#080408 3.875% 5/20/30$1 PV ON 139.3000 0.0000 0.000000 139.30 0.00 0.00 SHARES DUE 6/20/2020 MAY GNMA DUE 6/20/20 06/22/2020 36225DCB8 INTEREST EARNED ON G N M A 1 1#080965 3.250% 7/20/34$1 PV ON 105.1800 0.0000 0.000000 105.18 0.00 0.00 SHARES DUE 6/20/2020 MAY GNMA DUE 6/20/20 06/22/2020 43815HAC1 INTEREST EARNED ON HONDA AUTO 2.950% 8/22/22$1 PV ON 8427.4300 0.0000 0.000000 8,427.43 0.00 0.00 SHARES DUE 6/21/2020$0.00246/PV ON 3,428,104.68 PV DUE 6/21/20 06/23/2020 459058FH1 PAID ACCRUED INTEREST ON PURCHASE OF INTL BK 1.375% 5/24/21 0.0000 0.000000 -1,108.44 0.00 0.00 06/24/2020 166764AH3 INTEREST EARNED ON CHEVRON CORP 3.191% 6/24/23$1 PV ON 3500000.0000 0.0000 0.000000 55,842.50 0.00 0.00 SHARES DUE 6/24/2020 06/25/2020 03215PFN4 INTEREST EARNED ON AMRESCO 1.10821% 6/25/29$1 PV ON 109.9200 0.0000 0.000000 109.92 0.00 0.00 SHARES DUE 6/25/2020$0.00092/PV ON 119,021.64 PV DUE 6/25/20 06/25/2020 31394JY35 INTEREST EARNED ON F H L M C MLTCL MTG 6.500% 9/25/43$1 PV ON 3349.0500 0.0000 0.000000 3,349.05 0.00 0.00 SHARES DUE 6/25/2020$0.00542/PV ON 618,285.88 PV DUE 6/25/20 18 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/25/2020 31371NUC7 INTEREST EARNED ON F N M A#257179 4.500% 4/01/28$1 PV ON 47.6100 SHARES 0.0000 0.000000 47.61 0.00 0.00 DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31376KT22 INTEREST EARNED ON F N M A#357969 5.000% 9/01/35$1 PV ON 356.9900 0.0000 0.000000 356.99 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31381PDA3 INTEREST EARNED ON F N M A#466397 3.400% 11/01/20$1 PV ON 970.3300 0.0000 0.000000 970.33 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31403DJZ3 INTEREST EARNED ON F N M A#745580 5.000% 6/01/36$1 PV ON 339.5900 0.0000 0.000000 339.59 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31403GXF4 INTEREST EARNED ON F N M A#748678 5.000% 10/01/33$1 PV ON 7.1200 SHARES 0.0000 0.000000 7.12 0.00 0.00 DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31406PQY8 INTEREST EARNED ON F N M A#815971 5.000% 3/01/35$1 PV ON 541.9600 0.0000 0.000000 541.96 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31406XWT5 INTEREST EARNED ON F N M A#823358 3.674% 2/01/35$1 PV ON 291.1700 0.0000 0.000000 291.17 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31407BXH7 INTEREST EARNED ON F N M A#826080 5.000% 7/01/35$1 PV ON 68.6000 SHARES 0.0000 0.000000 68.60 0.00 0.00 DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31410F4V4 INTEREST EARNED ON F N M A#888336 5.000% 7/01/36$1 PV ON 665.7200 0.0000 0.000000 665.72 0.00 0.00 SHARES DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 3138EG6F6 INTEREST EARNED ON F N M A#AL0869 4.500% 6/01/29$1 PV ON 32.3000 SHARES 0.0000 0.000000 32.30 0.00 0.00 DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31417YAY3 INTEREST EARNED ON F N M A#MA0022 4.500% 4/01/29$1 PV ON 51.9500 SHARES 0.0000 0.000000 51.95 0.00 0.00 DUE 6/25/2020 MAY FNMA DUE 6/25/20 06/25/2020 31397QREO INTEREST EARNED ON F N M A GTD REMIC 2.472% 2/25/41 $1 PV ON 114.5000 0.0000 0.000000 114.50 0.00 0.00 SHARES DUE 6/25/2020$0.00071/PV ON 161,986.74 PV DUE 6/25/20 06/25/2020 438516CBO PAID ACCRUED INTEREST ON PURCHASE OF HONEYWELL 1.350% 6/01/25 0.0000 0.000000 -6,937.50 0.00 0.00 06/26/2020 912828WUO BOOK VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-37856.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/26/2020 912828WUO FED BASIS OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-37856.00 UNITS 0.0000 0.000000 0.00 -37,856.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/26/2020 89233GFSO INTEREST EARNED ON TOYOTA MOTOR CREDIT CO C P 6/26/20$1 PV ON 0.0000 0.000000 21,852.94 0.00 0.00 11800000.0000 SHARES DUE 6/26/2020 11,800,000 PAR VALUE AT 100% 06/26/2020 89233GFSO INTEREST EARNED ON TOYOTA MOTOR CREDIT CO C P 6/26/20$1 PV ON 0.0000 0.000000 6,305.87 0.00 0.00 3405000.0000 SHARES DUE 6/26/2020 3,405,000 PAR VALUE AT 100% 06/26/2020 931142EK5 INTEREST EARNED ON WALMART INC 3.400% 6/26/23$1 PV ON 3880000.0000 0.0000 0.000000 65,960.00 0.00 0.00 SHARES DUE 6/26/2020 06/26/2020 912828WUO PAR VALUE OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-37856.0000 -37,856.0000 0.000000 0.00 0.00 0.00 UNITS DECREASE TO ADJUST FOR CHANGE IN CPI 06/26/2020 912828WUO STATE COST OF U S TREASURY I P S 0.125% 7/15/24 ADJUSTED BY-37856.00 UNITS 0.0000 0.000000 0.00 0.00 0.00 DECREASE TO ADJUST FOR CHANGE IN CPI 06/29/2020 02665WCZ2 INTEREST EARNED ON AMERICAN HONDA MTN 2.400% 6/27/24$1 PV ON 0.0000 0.000000 14,628.00 0.00 0.00 1219000.0000 SHARES DUE 6/29/2020 19 of 20 U.S. Bank Transaction History 04/01/2020 - 06/30/2020 Entry Date CUSIP Id Explanation Units Price Net Cash Amt Cost Gain/Loss 06/30/2020 CASH DISBURSEMENT PAID TO BANC OF CALIFORNIA OUTGOING DOMESTIC WIRE 0.0000 0.000000 -15,000,000.00 0.00 0.00 PER DIR DTD 6/25/2020 06/30/2020 9127962X6 INTEREST EARNED ON U S TREASURY BILL 6/30/20$1 PV ON 5000000.0000 0.0000 0.000000 413.19 0.00 0.00 SHARES DUE 6/30/2020 5,000,000 PAR VALUE AT 100% 06/30/2020 912828XH8 INTEREST EARNED ON U S TREASURY NT 1.625% 6/30/20$1 PV ON 5000000.0000 0.0000 0.000000 40,625.00 0.00 0.00 SHARES DUE 6/30/2020 06/30/2020 912828XW5 INTEREST EARNED ON U S TREASURY NT 1.750% 6/30/22$1 PV ON 5000000.0000 0.0000 0.000000 43,750.00 0.00 0.00 SHARES DUE 6/30/2020 06/30/2020 912828VJ6 INTEREST EARNED ON U S TREASURY NT 1.875% 6/30/20$1 PV ON 15000000.0000 0.0000 0.000000 140,625.00 0.00 0.00 SHARES DUE 6/30/2020 06/30/2020 912828XX3 INTEREST EARNED ON U S TREASURY NT 2.000% 6/30/24$1 PV ON 5000000.0000 0.0000 0.000000 50,000.00 0.00 0.00 SHARES DUE 6/30/2020 06/30/2020 912828N30 INTEREST EARNED ON U S TREASURY NT 2.125% 12/31/22$1 PV ON 5000000.0000 0.0000 0.000000 53,125.00 0.00 0.00 SHARES DUE 6/30/2020 06/30/2020 912828XY1 INTEREST EARNED ON U S TREASURY NT 2.500% 6/30/20$1 PV ON 11000000.0000 0.0000 0.000000 137,500.00 0.00 0.00 SHARES DUE 6/30/2020 TOTAL OTHER TRANSACTIONS -65,416.0000 93,366,716.57 -67,152.18 0.00 20 of 20 Callan June 30, 2020 Orange County Sanitation District Investment Measurement Service Quarterly Review Information contained herein includes confidential,trade secret and proprietary information.Neither this Report nor any specific information contained herein is to be used other than by the intended recipient for its intended purpose or disseminated to any other person without Callan's permission. Certain information herein has been compiled by Callan and is based on information provided by a variety of sources believed to be reliable for which Callan has not necessarily verified the accuracy or completeness of or updated.This content may consist of statements of opinion,which are made as of the date they are expressed and are not statements of fact.This content is for informational purposes only and should not be construed as legal or tax advice on any matter.Any decision you make on the basis of this content is your sole responsibility.You should consult with legal and tax advisers before applying any of this information to your particular situation.Past performance is no guarantee of future results.For further information,please see Appendix for Important Information and Disclosures. Orange County Sanitation District Executive Summary for Period Ending June 30, 2020 Asset Allocation June 30, 2020 March 31, 2020 Market Value Weight Net New Inv. Inv. Return Market Value Weight Domestic Fixed Income Long Term Operating Fund" 623,301,596 77.73°% 25,000,000 7,958,668 590,342,927 83.87°% Liquid Operating Monies' 178 601,297 22 27% 65,000,000 88,983 113 512,314 16 13% Total Fund $801,902,893 100.0% $90,000,000 $8,047,651 $703,855,241 100.0% Performance Last Last Last Last Last 3 5 7 Quarter Year Years Years Years Domestic Fixed Income Long Term Operating Fund" 1.33% 5.32% 3.44% 2.62% 2.24% Chandler 1.33% 5.32% 3.44% 2.62% - Blmbg Govt/Cred 1-5 Year Idx 1.77% 5.43% 3.49% 2.63% 2.33% ML 1-5 Govt/Corp 1.84% 5.32% 3.48% 2.64% 2.36% Liquid Operating Monies" 0.06% 1.86% 1.87% 1.31% 0.97% Chandler 0.06% 1.86% 1.87% 1.31% - Citigroup 3-Month Treasury Bill 0.14% 1.56% 1.72% 1.15% 0.83% Total Fund 1.09% 4.69% 3.14% 2.32% 1.99% Target" 1.50% 4.56% 3.13% 2.34% 2.05% *Current Quarter Target=80.0%ML 1-5 Govt/Corp and 20.0% FTSE 3mo T-Bills. ^Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Recent Developments During the quarter, $25.0 million was contributed to the Long Term Operating Fund and $65.0 million was contributed to the Liquid Operating Monies, for a combined contribution of $90.0 million. Organizational Issues N/A Fixed Income Market Snapshot U.S. Treasury yields were range-bound in the second quarter; the 10-year U.S. Treasury yield closed the quarter at 0.66%; down only 4 bps from March 31 but off far more sharply from the year-end level of 1.92%. As a result, the Bloomberg Barclays US Treasury Index was up a modest 0.5% for the quarter. Other sectors recovered from sharp underperformance in the first quarter as investor confidence improved. For the quarter, the Bloomberg Barclays US Aggregate Bond Index gained 2.9%, with non-Treasury sectors faring the best. This is a stark CallanOrange County Sanitation District contrast to the first quarter, when U.S. Treasuries were virtually the lone sector to post a positive return. The Bloomberg Barclays US Corporate Bond Index rose 9.0% in the second quarter but has underperformed like-duration U.S. Treasuries by 540 bps year-to-date. The Bloomberg Barclays High Yield Bond Index posted a double-digit return (+10.2%) in Q2 but remains down 3.8% year-to-date. Manager Performance The Long Term Operating Fund returned 1.33% in the first quarter, which trailed the 1.84% return of the ML U.S. 1-5 Corp/Gov Index. Over the trailing one-year period, both the fund and the benchmark produced a 5.32% gain. The manager ranked in the bottom quartile among the Callan Short Term Fixed Income peer group in the second quarter, but is still in the top quartile over the trailing year. The fund ranks above median over the trailing 3-, 5-, 7- and 10-year periods. The fund's portfolio is more conservatively positioned than the benchmark. This conservative positioning worked against the manager in the second quarter when risk assets rallied and credit spreads tightened. The manager modestly increased exposure to Agency MBS and U.S. Treasuries during the quarter. The portfolio had less than 30% invested in credit (23%) and less than the permitted 20% invested in the combination of asset-backed securities (5%), commercial mortgage backed securities (0%), and CMOs (0%) as of June 30, 2020 (see page 20). The Liquid Operating Portfolio appreciated 0.02% (after fees) in the first quarter, falling 12 basis points short of the Citigroup 3-Month Treasury Bill Index's 0.14% return. Over the trailing year, the fund appreciated 1.71%, which beat the benchmark by 15 basis points. Cordially, I Alex Ford Vice President 2 Table of Contents June 30, 2020 Capital Market Review 1 Active Management Overview Market Overview 7 Domestic Fixed Income 8 Asset Allocation Investment Manager Asset Allocation 10 Investment Manager Returns 11 Asset Class Risk and Return 15 Manager Analysis Chandler-Long Term Operating Fund 17 Chandler-Liquid Operating Money 21 Callan Research/Education 23 Definitions 26 Disclosures 31 Callan Capital Market Review Capital Market Overview June 30, 2020 U.S. EQUITY U.S. Equity: Quarterly Returns U.S. equity markets bounced back from March lows in 2Q20 (Russell 1000: +21.8%). The S&P 500 (+20.5%)recorded its Russell 3000 22.0% best quarterly performance since 1998. Three sectors (Technology, Consumer Discretionary, and Energy) posted returns in excess of 30%.Technology(+30.5%)continues to Russell 1000 21.8% be a top performer with "FAAMG"stocks up 35% in the quarter. Many Technology stocks benefited from the"stay at home" Russell 1000 Growth 27.8% environment. Energy stocks (+30.5%)rebounded after OPEC+ and non-OPEC production cuts buoyed crude prices. Russell 1000 Value 14.3% Small cap(Russell 2000: +25.4%)outgained large cap S&P 500 20.5% From the first to the second quarter,the Russell 2000 swung from its worst quarterly performance to one of its three best quarterly returns since the inception of the index. Russell Midcap 24.6% The Russell 2000 still lags the Russell 1000 on a year to Russell 2500 26.6% date and trailing one-year basis, exemplifying the extreme dislocation between large and small cap performance in the first quarter. Russell 2000 25.4% Better-than-expected economic data and Fed actions helped shift investment sentiment in favor of small cap. U.S. Equity: One-Year Returns Growth outpaced value across market capitalizations Value indices underperformed their growth counterparts Russell 3000 ■ 6.5% across the market cap spectrum during the first quarter decline as well as during the second quarter recovery Russell 1000 ■ 7.5% (Russell 1000 Growth: +27.8%; Russell 1000 Value: +14.3%; Russell 2000 Growth: +30.6%; Russell 2000 Value: Russell 1000 Growth 23.3% +18.9%). Persistently low interest rates, a flatter yield curve, and Russell 1000 Value -8.8% M slower economic growth are some of the headwinds for the value factor. S&P 500 7.5% Russell Midcap -2.2% ' Russell 2500 -4.7% . Russell 2000 -6.6% ■ Sources: FTSE Russell,S&P Dow Jones Indices S&P Sector Returns, Quarter Ended June 30, 2020 32.9% 30.5% 30.5% 26.0% 20.0% 17.0% 12.2% 13.6% 13.2% 8.1% 2.7% Communication Consumer Consumer Energy Financials Health Care Industrials Information Materials Real Estate Utilities Services Discretionary Staples Technology Source: S&P Dow Jones Indices Callan Capital Market Overview (continued) June 30, 2020 GLOBAL/GLOBAL EX-U.S. EQUITY Global Equity: Quarterly Returns Accommodative monetary policies coupled with massive fiscal stimulus helped fuel the second quarter market recovery after MSCI EAFE 14.9% the first quarter's declines. MSCI ACWI � 19.2% Global/Developed ex-U.S. MSCI World 19.4% Developed markets with the most success at mitigating the coronavirus led;Australia (+28.9%), New Zealand (+28.1%), MSCI ACWI ex USA 16.1% and Germany(+26.5%)were the top performers. MSCI World ex USA 15.3% Countries' inability to"flatten the curve"acted as headwinds to their equity markets, namely the U.K. (+7.8%). MSCI ACWI ex USA SC 22.8% Every sector in MSCI EAFE except Energy(-0.03%)posted MSCI World ex USA SC 21.7% positive returns, led by cyclicals; Information Technology (+23.4%)companies also provided strong returns as MSCI Europe ex UK 17.7% working-from-home trends continued to support the sector. Factor performance in developed ex-U.S. markets was led MSCI United Kingdom 7.8% by momentum and quality, reflecting the cyclical rebound MSCI Pacific ex Japan 20.2% (momentum)coupled with continued pandemic uncertainty (quality, flight to safety); growth continued to outperform MSCI Japan 11.6% value(EAFE Growth: +17.0%vs. EAFE Value: +12.4%). MSCI Emerging Markets 18.1% Emerging Markets MSCI China 15.3% Emerging markets produced their strongest quarterly gains in over a decade as fiscal and monetary stimulus from MSCI Frontier Markets 14.7% countries aided the second quarter rebound across all countries and sectors. Most EM countries ended lockdowns during the period, but Global Equity: One-Year Returns Latin America, India, and some parts of Southeast Asia ended the second quarter with cases surging. ■Commodity-linked economies such as South Africa MSCI EAFE -5.1% (+27.2%), Brazil (+22.9%), and Russia (+18.7%)recovered MSCI ACWI ' 2.1% on the strength of metals, mining, and oil-related securities after being some of the worst-performing countries in 1 Q20. MSCI World ' 2.8% China (+15.6%)lagged the index as U.S.-China trade MSCI ACWI ex USA -4.8% ■ tensions reignited and additional sanctions were imposed. MSCI World ex USA -5.4% Every sector posted positive returns, most in double digits. Factor performance reflected a risk-on mentality. Growth MSCI ACWI ex USA SC -4.3% outperformed value (EM Growth: +22.1%vs. EM Value: MSCI World ex USA SC -3.2% +13.8%) MSCI Europe ex UK -3.0% Global ex-U.S. Small Cap Global ex-U.S. small caps rallied during the second quarter MSCI United Kingdom-17.7% as lockdowns eased and economies reopened. MSCI Pacific ex Japan -12.7% A risk-on mindset pervaded the global ex-U.S. small cap market that fueled double-digit returns for every sector in the MSCI Japan 3.1% MSCI ACWI ex-USA Small Cap Index. MSCI Emerging Markets -3.4% Australia (+47.1%)was the top-performing country; Japan (+12.8%)and the U.K. (+14.8%)were two of the worst- MSCI China 13.1% performing countries. MSCI Frontier Markets -11.2% Source: MSCI Callan Capital Market Overview (continued) June 30, 2020 U.S. FIXED INCOME U.S. Fixed Income: Quarterly Returns U.S.Treasury yields were range-bound The 10-year U.S.Treasury yield reached a high of 0.91% in Blmber g Barclays Gov/Cr 1-3 Yr ' 1.2% June before closing the quarter at 0.66%, down slightly from the 1Q20 quarter-end level of 0.70%. Blmberg Barclays Interm Gov/Cr W 2.8% After strong performance in 1Q20, U.S. Treasury returns lagged other"spread"sectors as risk appetites rebounded, Blmberg Barclays Aggregate 2.9% fueled by massive Fed stimulus programs as well as improved liquidity. Blmberg Barclays Long Gov/Cr 6.2% The Fed left rates on hold at 0%-0.25%for the foreseeable future, anchoring the low end of the yield curve. Blmberg Barclays Universal 3.8% TIPS outperformed nominal Treasuries as expectations for CS Leveraged Loans 9.7% inflation rose. The 10-year breakeven spread ended the quarter at 1.34%, up from 0.87%as of the end of 1 Q20. Blmberg Barclays High Yield 10.2% Corporate credit rallied due to spread widening Corporate credit rebounded amid improving investor Blmberg Barclays TIPS 4.2% confidence and economic data. However, fallen angels continued to spark concern with nearly half the investment grade bond market now rated BBB. U.S. Fixed Income: One-Year Returns Investment grade corporate spreads narrowed by 122 bps to 150 bps despite companies issuing record amounts of debt Blmberg Barclays Gov/Cr 1-3 Yr 4.2% totaling $1.4 trillion (+9.0%);the Fed provided continued support through the announcements of the Primary and Secondary Market Corporate Credit Facilities. Blmberg Barclays Interm Gov/Cr 7.1% In a reversal from 1°Q20, lower quality outperformed as BBB- Blmberg Barclays Aggregate 8.7% rated credit(+11.2/°)outperformed single A(+7.0%),AA (+5.0%), and AAA(+1.7%). High yield corporates also posted sharp returns (+10.2%). Blmberg Barclays Long Gov/Cr 18.9% CCC-rated high yield corporates (+9.1%)lagged BB-rated corporates (+11.5%). Blmberg Barclays Universal 7.9% The high yield default rate reached a 10-year high (6.2%). CS Leveraged Loans -2.3% Energy(+40.0%)was the highest-performing high yield bond sub-sector, reflecting sharply higher oil prices. Blmberg Barclays High Yield 0.0% Blmberg Barclays TIPS 8.3% U.S. Treasury Yield Curves 06/30/2020 03/31/2020 06/30/2019 4% 3% 2% 1% 0% 0 5 10 15 20 25 30 Maturity(Years) Sources: Bloomberg, Bloomberg Barclays,Credit Suisse Callan Capital Market Overview (continued) June 30, 2020 GLOBAL FIXED INCOME Global Fixed Income: Quarterly Returns Global ex-U.S.fixed income rose amid rate cuts Developed market sovereign bond yields ended the quarter Blmberg Barclays GI Aggregate . 3.3% lower amid rate cuts overseas, and the unhedged Bloomberg Barclays Global Aggregate ex-US benchmark posted Blmberg Barclays GI Agg(hdg) , 2.4% positive returns (+3.4%) The ECB expanded the stimulus program announced in Blmberg Barclays GI High Yield 12.2% March from€750 billion to€1.35 trillion. Blmberg Barclays GI Agg ex US ■ 3.4% The U.S. dollar depreciated modestly against a basket of developed market currencies, most notably the Australian and New Zealand dollars (-12.5%; -8.4% respectively). The JPM EMBI Global Diversified 12.3% dollar was roughly flat versus the yen. JPM GBI-EM Global Diversified 9.8% Emerging market debt made up ground The J.P. Morgan EMBI Global Diversified dollar- JPM EMBI GI Div/JPM GBI-EM GI Div 11.0% denominated benchmark posted strong returns(+12.3%)as oil prices rose and central bank liquidity measures took JPM CEMBI 10.3% effect. However, the index remains slightly below year-end 2019 levels. Higher-yielding countries led the way in 2Q20(+16.6%); Global Fixed Income: One-Year Returns however they remain down (-12.7%) relative to investment grade constituents year-to-date, according to index data from J.P. Morgan. Blmberg Barclays GI Aggregate M 4.2% Within the J.P. Morgan GBI-EM Global Diversified local currency-denominated benchmark(+9.8%), returns were Blmberg Barclays GI Agg(hdg) 6.1% positive for the vast majority of constituents. Oil-sensitive economies such as Mexico, Colombia, and South Africa Blmberg Barclays GI High Yield -2.0% , rebounded to some degree, but remained down year-to-date. Blmberg Barclays GI Agg ex US 10.7% JPM EMBI Global Diversified 0.5% JPM GBI-EM Global Diversified-2.8% JPM EMBI GI Div/JPM GBI-EM GI Div 1.1% JPM CEMBI 4.9% Change in 10-Year Global Government Bond Yields 1 Q20 to 2Q20 U.S. Treasury -1 bps t Germany . 2 bps U.K. •• Canada •• Japan ' 1 bps Sources: Bloomberg, Bloomberg Barclays,JP Morgan Callan Active Management Overview Market Overview Active Management vs Index Returns Market Overview The charts below illustrate the range of returns across managers in Callan's Separate Account database over the most recent one quarter and one year time periods. The database is broken down by asset class to illustrate the difference in returns across those asset classes. An appropriate index is also shown for each asset class for comparison purposes. As an example, the first bar in the upper chart illustrates the range of returns for domestic equity managers over the last quarter. The triangle represents the S&P 500 return. The number next to the triangle represents the ranking of the S&P 500 in the Large Cap Equity manager database. Range of Separate Account Manager Returns by Asset Class One Quarter Ended June 30, 2020 50% 40% 30% (52) 20% (57) (75) 10% (98) (88) 0% (10%) Large Cap Small Cap Non-US Domestic Non-US Real Equity Equity Equity Fixed Income Fixed Income Estate vs vs vs vs vs vs S&P 500 Russell 2000 MSCI EAFE Blmbg Aggr Bd Citi Non-US Govt NCREIF Index 10th Percentile 29.95 37.53 21.83 5.43 10.59 2.87 25th Percentile 26.91 30.52 19.12 4.85 8.20 1.85 Median 21.30 25.85 17.13 4.31 6.54 1.26 75th Percentile 17.25 21.55 14.86 3.74 3.86 (0.14) 90th Percentile 14.46 18.20 13.55 3.41 2.81 (1.84) Index ♦ 20.54 25.42 14.88 2.90 2.98 (0.99) Range of Separate Account Manager Returns by Asset Class One Year Ended June 30, 2020 30% 20% 10% (48) A (74)l (54) P 0% N (45) ♦ (59) (10%) (20%) (30%) Large Cap Small Cap Non-US Domestic Non-US Real Equity Equity Equity Fixed Income Fixed Income Estate vs vs vs vs vs vs S&P 500 Russell 2000 MSCI EAFE Blmbg Aggr Bd Citi Non-US Govt NCREIF Index 10th Percentile 23.79 12.33 8.60 10.17 6.24 8.42 25th Percentile 19.92 2.13 3.17 9.76 3.38 5.79 Median 6.76 (8.58) (2.48) 9.22 0.64 3.17 75th Percentile (5.99) (16.06) (8.27) 8.74 (2.17) 0.50 90th Percentile (9.99) (19.24) (11.30) 8.04 (3.20) (4.29) Index ♦ 7.51 (6.63) (5.13) 8.74 0.86 2.69 CallanOrange County Sanitation District 7 Domestic Fixed Income Active Management Overview U.S. Treasury yields were range-bound in the second quarter; the 10-year U.S. Treasury yield closed the quarter at 0.66%; down only 4 bps from March 31 but off far more sharply from the year-end level of 1.92%. As a result, the Bloomberg Barclays US Treasury Index was up a modest 0.5%for the quarter. Other sectors recovered from sharp underperformance in the first quarter as investor confidence improved. For the quarter, the Bloomberg Barclays US Aggregate Bond Index gained 2.9%, with non-Treasury sectors faring the best. This is a stark contrast to the first quarter, when U.S. Treasuries were virtually the lone sector to post a positive return. The Bloomberg Barclays US Corporate Bond Index rose 9.0% in the second quarter but has underperformed like-duration U.S. Treasuries by 540 bps ytd. The Bloomberg Barclays High Yield Bond Index posted a double-digit return (+10.2%) in Q2 but remains down 3.8% ytd. Meanwhile, default rates and downgrades escalated. Defaults in Q2 across bank loans and bonds hit a quarterly record of more than $80 billion. Separate Account Style Group Median Returns for Quarter Ended June 30, 2020 Blmbg Aggregate: 2.90% 14% Blmbg High Yield: 10.18% Blmbg Long Gov/Cred: 6.23% 12% 10% ------------------------------------------------------------------------ to8% --------------------------------------------------------------7.75---- ------- E 6.93 N 6% -------------------------------------- 5.99 4.31 4% ---------------------3-.7&---- 2.51 2% ------ ------- 0% Defensive Intermed Core Core Plus Extended Bank High Yield Bond Maturity Loans Separate Account Style Group Median Returns for One Year Ended June 30,2020 Blmbg Aggregate: 8.74% 30% Blmbg High Yield: 0.03% Blmbg Long Gov/Cred: 18.91% 25% 20% ----------------------------------------------------19.83------------------------------- 15% ----------------------------------------------- ---------------------------- V) c 10% --------------------------------9.22---- --------- --------------------------- 7.32 ---------- 8.37 5% niilw-l - --------------------------- 0% 0.13 (1.33) (5%) (10%) Defensive Intermed Core Core Plus Extended Bank High Yield Bond Maturity Loans Callan Orange County Sanitation District 8 Asset Allocation Investment Manager Asset Allocation The table below contrasts the distribution of assets across the Fund's investment managers as of June 30, 2020, with the distribution as of March 31, 2020. The change in asset distribution is broken down into the dollar change due to Net New Investment and the dollar change due to Investment Return. Asset Distribution Across Investment Managers June 30, 2020 March 31, 2020 Market Value Weight Net New Inv. Inv. Return Market Value Weight Domestic Fixed Income Long Term Operating Fund` 623,301,596 77.73% 25,000,000 7,958,668 590,342,927 83.87% Liquid Operating Monies' 178,601,297 22.27% 65,000,000 88,983 113,512,314 16.13% Total Fund $801,902,893 100.0% $90,000,000 $8,047,651 $703,855,241 100.0% "Chandler replaced PIMCO during the 4th quarter of 2014.Assets were transferred in-kind as of 12/01/2014. Callan Orange County Sanitation District 10 Investment Manager Returns The table below details the rates of return for the Fund's investment managers over various time periods ended June 30, 2020. Negative returns are shown in red, positive returns in black. Returns for one year or greater are annualized. The first set of returns for each asset class represents the composite returns for all the fund's accounts for that asset class. Returns for Periods Ended June 30, 2020 Last Last Last Last Last 3 5 7 Quarter Year Years Years Years Domestic Fixed Income Long Term Operating Fund 1.33% 5.32% 3.44% 2.62% 2.24% Chandler 1.33% 5.32% 3.44% 2.62% - Blmbg Govt/Cred 1-5 Year Idx 1.77% 5.43% 3.49% 2.63% 2.33% ML 1-5 Govt/Corp 1.84% 5.32% 3.48% 2.64% 2.36% Liquid Operating Monies^ 0.06% 1.86% 1.87% 1.31% 0.97% Chandler 0.06% 1.86% 1.87% 1.31% - Citigroup 3-Month Treasury Bill 0.14% 1.56% 1.72% 1.15% 0.83% Total Fund 1.09% 4.69% 3.14% 2.32% 1.99% Target* 1.50% 4.56% 3.13% 2.34% 2.05% *Current Quarter Target= 80.0% ML:Corp/Gov 1-5 Yr and 20.0% FTSE 3 Mo T-Bill. ^Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Callan Orange County Sanitation District 11 Investment Manager Returns The table below details the rates of return for the Fund's investment managers over various time periods ended June 30, 2020. Negative returns are shown in red, positive returns in black. Returns for one year or greater are annualized. The first set of returns for each asset class represents the composite returns for all the fund's accounts for that asset class. Returns for Periods Ended June 30, 2020 Last Last Last 10 15 24-3/4 Years Years Years Domestic Fixed Income Long Term Operating Fund 2.27% 3.28% 4.30% Blmbg Govt/Cred 1-5 Year Idx 2.22% 3.11% 4.14% ML 1-5 Govt/Corp 2.27% 3.14% 4.17% Liquid Operating Monies^ 0.74% 1.50% 2.55% Citigroup 3-Month Treasury Bill 0.61% 1.28% 2.26% Total Fund 1.98% 2.94% 4.02% Target' 1.94% 2.76% 3.78% Current Quarter Target= 80.0% ML:Corp/Gov 1-5 Yr and 20.0% FTSE 3 Mo T-Bill. ^Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Callan Orange County Sanitation District 12 Investment Manager Returns The table below details the rates of return for the Fund's investment managers over various time periods. Negative returns are shown in red, positive returns in black. Returns for one year or greater are annualized. The first set of returns for each asset class represents the composite returns for all the fund's accounts for that asset class. 12/2019- 6/2020 2019 2018 2017 2016 Domestic Fixed Income Long Term Operating Fund 3.87% 4.70% 1.60% 1.18% 1.58% Chandler 3.87% 4.70% 1.60% 1.18% 1.58% Blmbg Govt/Cred 1-5 Year Idx 3.98% 5.01% 1.38% 1.27% 1.56% ML 1-5 Govt/Corp 3.83% 5.08% 1.40% 1.28% 1.62% Liquid Operating Monies^ 0.77% 2.39% 1.90% 0.91% 0.47% Chandler 0.77% 2.39% 1.90% 0.91% 0.47% Citigroup 3-Month Treasury Bill 0.52% 2.25% 1.86% 0.84% 0.27% Total Fund 3.29% 4.26% 1.72% 1.02% 1.15% Target* 3.16% 4.51% 1.49% 1.19% 1.35% *Current Quarter Target= 80.0% ML:Corp/Gov 1-5 Yr and 20.0% FTSE 3 Mo T-Bill. ^Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Callan Orange County Sanitation District 13 Investment Manager Returns The table below details the rates of return for the Fund's investment managers over various time periods. Negative returns are shown in red, positive returns in black. Returns for one year or greater are annualized. The first set of returns for each asset class represents the composite returns for all the fund's accounts for that asset class. 2015 2014 2013 2012 2011 Domestic Fixed Income Long Term Operating Fund 0.85% 1.98% (1.77%) 3.06% 4.59% Blmbg Govt/Cred 1-5 Year Idx 0.97% 1.42% 0.28% 2.24% 3.14% ML 1-5 Govt/Corp 1.05% 1.51% 0.32% 2.47% 3.10% Liquid Operating Monies^ 0.22% 0.09% 0.13% 0.17% 0.24% Citigroup 3-Month Treasury Bill 0.03% 0.03% 0.05% 0.07% 0.08% Total Fund 0.80% 1.73% (1.49%) 2.70% 3.70% Target* 0.85% 1.21% 0.26% 1.99% 2.49% Current Quarter Target= 80.0% ML:Corp/Gov 1-5 Yr and 20.0% FTSE 3 Mo T-Bill. ^Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Callan Orange County Sanitation District 14 Asset Class Risk and Return The charts below show the seven year annualized risk and return for each asset class component of the Total Fund. The first graph contrasts these values with those of the appropriate index for each asset class. The second chart contrasts them with the risk and return of the median portfolio in each of the appropriate CAI comparative databases. In each case, the crosshairs on the chart represent the return and risk of the Total Fund. Seven Year Annualized Risk vs Return Asset Classes vs Benchmark Indices 2.6% 2.4% 2.2% 2.0% • 1.8% W F- 1.6% N ry 1.4% 1.2% 1.0% 0.8% • 0.6% 0.2% 0.4% 0.6% 0.8% 1.0% 1.2% 1.4% 1.6% 1.8% Standard Deviation Seven Year Annualized Risk vs Return Asset Classes vs Asset Class Median 2.4% 2.2% 2.0% • 1.8% 1.6% F- 1.4% N tY 1.2% 1.0% 0.8% 0.6% 0.4% 0.30% 0.40% 0.50% 0.60% 0.70% 0.80% 0.90% 1.00% 1.10% 1.20% 1.30% 1.40% Standard Deviation Callan Orange County Sanitation District 15 Manager Analysis Chandler-Long Term Operating Fund Period Ended June 30, 2020 Investment Philosophy Chandler Asset Management's Short Term Bond strategy is driven by quantitative models and focuses on active duration management, sector selection and term structure. The strategy seeks to achieve consistent above-benchmark returns with low volatility relative to the style's performance benchmark. The firm has a unique focus on high quality fixed income management, and places risk control as a higher objective than return. Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Quarterly Summary and Highlights Quarterly Asset Growth • Long Term Operating Fund's portfolio posted a 1.33% return Beginning Market Value $590,342,927 for the quarter placing it in the 83 percentile of the Callan Net New Investment $25,000,000 Short Term Fixed Income group for the quarter and in the 13 percentile for the last year. Investment Gains/(Losses) $7,958,668 • Long Term Operating Fund's portfolio underperformed the Ending Market Value $623,301,596 ML:Corp/Gov 1-5 Yr by 0.51% for the quarter and underperformed the ML:Corp/Gov 1-5 Yr for the year by 0.01%. Performance vs Callan Short Term Fixed Income(Gross) 6% 5% 13) A(1 ) 4% 22) B 2 13 19)®A�2 ; 3% , E 13 27)®A�g �8) A6�3 �3) 6 3 0) ♦ A 4 ® ® � � f3 2% (75) B(7 ) A 3 B 4 1% •A(8 ) 0% Last Quarter Last Last 3 Years Last 5 Years Last 5-1/2 Last 7 Years Last 10 Years Last 24-3/4 Year Years Years 10th Percentile 3.94 5.38 3.65 2.95 2.92 2.73 2.87 4.41 25th Percentile 3.15 4.78 3.38 2.75 2.66 2.48 2.54 4.13 Median 2.51 4.42 3.12 2.46 2.38 2.16 2.12 3.90 75th Percentile 1.83 3.89 2.97 2.24 2.19 1.98 1.85 3.65 90th Percentile 1.15 2.44 2.45 2.04 2.01 1.74 1.53 3.09 Long Term Operating Fund •A 1.33 5.32 3.44 2.62 2.50 2.24 2.27 4.30 Blmbg Govt/Cred 1-5 Year Idx 1.77 5.43 3.49 2.63 2.57 2.33 2.22 4.14 ML:Corp/Gov 1-5 Yr ♦ 1.84 5.32 3.48 2.64 2.58 2.36 2.27 4.17 Callan Short Term Fixed Income (Gross) Relative Return vs ML:Corp/Gov 1-5 Yr Annualized Seven Year Risk vs Return 0.8%- 3.5% 0.6%---------- ----- ----- ----- - 3.0 0.4%---------- ----- ----- ----- ----- ----- - c 0.2% ----- ----- ----- - 2.5% 0.0% (0.2%)-q ------ ---- - --- ----- ----- ----- - 2.0% • • •• a) •• • (0.4%)- ------ ----- ----- ----- ----- - 1.5 (0.6%) ----- ----- ----- -- (0.8%)- 1.0% 13 2014 2015 2016 2017 2018 2019 20 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 Standard Deviation - Long Term Operating Fund Callan Orange County Sanitation District 17 Long Term Operating Fund Return Analysis Summary Return Analysis The graphs below analyze the manager's return on both a risk-adjusted and unadjusted basis. The first chart illustrates the manager's ranking over different periods versus the appropriate style group. The second chart shows the historical quarterly and cumulative manager returns versus the appropriate market benchmark. The last chart illustrates the manager's ranking relative to their style using various risk-adjusted return measures. Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Performance vs Callan Short Term Fixed Income(Gross) 7% SS 5% �194ANA( 4)14 ® � • � ) •A(l) A2 27� � 6( ) Oh 87WWgS �7®A 38 �2I� •A(100) 30.1 12/19-6120 2019 2018 2017 2016 2015 2014 2013 2012 2011 10th Percentile 4.09 5.47 2.00 2.23 2.82 1.17 1.50 1.20 4.46 2.72 25th Percentile 3.31 4.92 1.82 1.74 2.17 1.01 1.27 0.80 2.60 2.30 Median 3.00 4.52 1.69 1.31 1.56 0.91 1.11 0.65 1.81 1.85 75th Percentile 2.35 4.10 1.54 0.95 1.18 0.76 0.87 0.40 1.45 1.65 90th Percentile 1.05 3.51 1.33 0.66 1.03 0.64 0.73 0.29 0.92 1.44 Long Term Operating Fund •A 3.87 4.70 1.60 1.18 1.58 0.85 1.98 (1.77) 3.06 4.59 Blmbg Govt/Cred 1-5 Year Idx 3.98 5.01 1.38 1.27 1.56 0.97 1.42 0.28 2.24 3.14 ML:Corp/Gov 1-5 Yr ♦ 3.83 5.08 1.40 1.28 1.62 1.05 1.51 0.32 2.47 3.10 Cumulative and Quarterly Relative Return vs ML:Corp/Gov 1-5 Yr 3%- 2%----- ----------- --- -------------------------------- ------------------------------- 1%----- ---- ---------- --- ---- ---------------- L N � ry 0% 0 (1%)----- - ---- ---- ------------ ----- -- --- ---------------- -------- -------- - C6 (2%)----- ---------------- -------- ---------------- - ---- - -------- ------- -------- --- tY (3%)----- ---------------- -------- ---------------- -------- -------- ------- -------- - - (4%) ---- -------- -------- ------- -------- ---- (5%)- 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Long Term Operating Fund Blmbg Govt/Cred 1-5 Year Idx Callan Short Fixed Inc Risk Adjusted Return Measures vs ML:Corp/Gov 1-5 Yr Rankings Against Callan Short Term Fixed Income (Gross) Seven Years Ended June 30, 2020 2.0 1.5 1.0 B 68 A�683 0.5 0.0 A 89 B 96 A 61 (0.5) Br62; (1.0) Alpha Sharpe Excess Return Ratio Ratio 10th Percentile 0.84 1.27 0.38 25th Percentile 0.63 1.12 0.09 Median 0.38 1.02 (0.20) 75th Percentile 0.16 0.88 (0.53) 90th Percentile 0.03 0.67 (0.74) Long Term Operating Fund •A 0.06 0.94 (0.27) Blmbg Govt/Cred 1-5 Year Idx (0.05) 0.94 (0.30) Callan Orange County Sanitation District 18 Long Term Operating Fund Bond Characteristics Analysis Summary Portfolio Characteristics This graph compares the manager's portfolio characteristics with the range of characteristics for the portfolios which make up the manager's style group. This analysis illustrates whether the manager's current holdings are consistent with other managers employing the same style. Fixed Income Portfolio Characteristics Rankings Against Callan Short Term Fixed Income as of June 30,2020 4.0 3.5 3.0 2.5 (10) (24) (23) (48) 2.0 (82) 1.5 1.0 0.5 (91) 0.0 (0.5) Average Effective Coupon OA Duration Life Yield Rate Convexity 10th Percentile 2.63 3.44 2.27 3.05 0.18 25th Percentile 1.98 2.73 1.49 2.81 0.09 Median 1.89 2.11 1.06 2.44 0.04 75th Percentile 1.65 1.93 0.79 2.13 0.00 90th Percentile 0.52 1.35 0.54 1.76 (0.07) Long Term Operating Fund • 2.55 2.77 - 2.04 - ML:Corp/Gov 1-5 Yr ♦ 2.61 2.76 0.53 2.45 0.08 Sector Allocation and Quality Ratings The first graph compares the manager's sector allocation with the average allocation across all the members of the manager's style. The second graph compares the manager's weighted average quality rating with the range of quality ratings for the style. Sector Allocation Quality Ratings June 30,2020 > vs Callan Short Term Fixed Income 34.4 0 Trsy O 4.9 m US Trsy 62.9 � 30.1 AAA Gov Related 09 10.0 > 0 23.3 O�, AA+ 27.0 Corp(incl 144A) 57.4 5.s AA (9) ♦ (61) Other 4.7 ABS 21.1 �- 1.0 A+ Cash 1.5 0.2 CMBS 2.7 A 0.2 CMOs 0.6 A Weighted Average 02 Quality Rating Tax-Exempt US Muni 10th Percentile AA 25th Percentile AA RMBS 0.9 Median AA 75th Percentile A 90th Percentile A 0% 10% 20% 30% 40% 50% 60% 70% 80% Long Term Operating Fund Callan Short Term Fixed Income Long Term Operating Fund • AA ML:Corp/Gov 1-5 Yr ML:Corp/Gov 1-5 Yr ♦ AA Callan Orange County Sanitation District 19 Long Term Operating Fund Portfolio Characteristics Summary As of June 30, 2020 Portfolio Structure Comparison The charts below compare the structure of the portfolio to that of the index from the three perspectives that have the greatest influence on return. The first chart compares the two portfolios across sectors. The second chart compares the duration distribution. The last chart compares the distribution across quality ratings. Sector Allocation US Trsy US Trsy 34% 63% ABS CMBS 5% - 0% Cash i4A) 1% Other 6% Tax-Exempt US Muni 0% Gov Related Go 30% v Related Corp(incllk 10% 23% CMOs Corp(incl 144A) 0% 27% Long Term Operating Fund ML:Corp/Gov 1-5 Yr Weighted Average: Duration Duration Distribution 0 Long Term Operating Fund: 2.55 80% 0 ML:Corp/Gov 1-5 Yr: 2.61 O70% ------------- ------------- -------------- ------------- ---------------------------- t 60% _____ 60.3 ------------- - -------------- ------------- ---------------------------- d 50% ------------- ------ 43.4 0 40% ------------- --39.4- - -- ------------- ---------------------------- C 30% ------------- - ---------------------------------------------- a) 2 20% ---1fr9--------- - - ------------- ---------------------------- N 2.1 - ------------- -------------------------- -- 0.3 0% <1 1-3 3-5 5-7 7-10 >10 Years Duration Weighted Average: Quality Quality Distribution 0 Long Term Operating Fund: AA 100% ML:Corp/Gov 1-5 Yr: AA 0 ------ -------- -------- - 69.0 68.5 60% 0 40% ------ -------- U ------- -------- -------- ------- -------- 10.1 ILim 0.5 6.0 0% AAA AA A BBB BB B CCC CC C N/R Quality Rating Callan Orange County Sanitation District 20 Chandler-Liquid Operating Money Period Ended June 30, 2020 Investment Philosophy Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Quarterly Summary and Highlights Quarterly Asset Growth • Liquid Operating Money Net's portfolio posted a 0.02% Beginning Market Value $113,512,314 return for the quarter placing it in the 62 percentile of the Net New Investment $65,000,000 Callan Money Market Funds group for the quarter and in the 17 percentile for the last year. Investment Gains/(Losses) $88,983 • Liquid Operating Money Net's portfolio underperformed the Ending Market Value $178,601,297 Citigroup 3-Month Treasury Bill by 0.12%for the quarter and outperformed the Citigroup 3-Month Treasury Bill for the year by 0.15%. Performance vs Callan Money Market Funds(Net) 3.0% 2.5% (11 22) 2.0% •(17 24) (24 1.5% 22) 1.0% 25) (24 25) (25 24) (25 0.5% 19) ♦ (20 34) 0.0% Last Quarter Last Last 3 Years Last 5 Years Last 5-1/2 Last 7 Years Last 10 Years Last 24-3/4 Year Years Years 10th Percentile 2.62 2.20 2.11 1.67 1.56 1.31 0.99 2.41 25th Percentile 0.25 1.49 1.71 1.15 1.05 0.82 0.54 2.24 Median 0.03 1.17 1.39 0.89 0.81 0.63 0.44 2.09 75th Percentile 0.01 1.02 1.21 0.76 0.69 0.54 0.37 1.97 90th Percentile 0.00 0.77 0.97 0.59 0.54 0.42 0.29 1.83 Liquid Operating Money Net • 0.02 1.71 1.72 1.16 1.06 0.82 0.59 2.40 Citigroup 3-Month Treasury Bill 0.14 1.56 1.72 1.15 1.05 0.83 0.61 2.26 Relative Returns vs Callan Money Market Funds(Net) Citigroup 3-Month Treasury Bill Annualized Seven Year Risk vs Return 0.40%- 2.5% 0.30%---------- ----- ----- ----- ----- ----- - 2.0 E 0.20%---------- ----- ----- - � N � LY tY 1.0% LY 0.00% • • • • (0.10%)-- ____ 0.5% (0.20%)- 0.0% 13 2014 2015 2016 2017 2018 2019 20 0 1 2 3 4 5 6 Standard Deviation - Liquid Operating Money Net Callan Orange County Sanitation District 21 Liquid Operating Money Net Return Analysis Summary Return Analysis The graphs below analyze the manager's return on both a risk-adjusted and unadjusted basis. The first chart illustrates the manager's ranking over different periods versus the appropriate style group. The second chart shows the historical quarterly and cumulative manager returns versus the appropriate market benchmark. The last chart illustrates the manager's ranking relative to their style using various risk-adjusted return measures. Assets were transferred in kind to Chandler on 12/1/2014. Previous performance reflects PIMCO. Performance vs Callan Money Market Funds(Net) 4.0% 3.5% 3.0% 2.5% 27 28 2.0% 12"22 1.5% 1.0% � 30�35 0.5% 21 • 15 33 30 0.0% (0.5%) 12/19-6120 2019 2018 2017 2016 2015 2014 2013 2012 2011 10th Percentile 1.00 3.21 1.89 1.42 1.32 0.28 0.35 0.30 0.85 0.12 25th Percentile 0.49 2.31 1.72 0.91 0.40 0.06 0.03 0.04 0.06 0.04 Median 0.30 1.96 1.53 0.61 0.14 0.01 0.01 0.01 0.01 0.01 75th Percentile 0.24 1.75 1.30 0.42 0.04 0.01 0.01 0.01 0.01 0.01 90th Percentile 0.15 1.49 1.04 0.23 0.01 0.00 0.00 0.00 0.00 0.00 Liquid Operating Money Net • 0.69 2.24 1.75 0.76 0.32 0.07 (0.06) (0.02) 0.02 0.09 Citigroup 3-Month Treasury Bill ♦ 0.52 2.25 1.86 0.84 0.27 0.03 0.03 0.05 0.07 0.08 Cumulative and Quarterly Relative Return vs Citigroup 3-Month Treasury Bill 0.6%- 0.4%----- ---------------- -------- - 0.2%----- ---------------- -------- -------------- L 0.0% (0.2%)------------------------------- -- ry (0.4%)----- ---------------- -------- ---------------- -------- -------- ------- --- --- ---- (0.6%)--------------------------------------------------------- ----------------- - 75 (0.8%)--------------------------------------------------------------------------------------- ry (1.0%) ---- -------- -------- ------- -------- - (1.2%) ---- -------- -------- ------- - (1.4%)- 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 2020 Liquid Operating Money Net Callan Money Market Funds Risk Adjusted Return Measures vs Citigroup 3-Month Treasury Bill Rankings Against Callan Money Market Funds(Net) Seven Years Ended June 30,2020 1.5 1.0 0.5 0.0 (0.5) (1.0) (1.5) (2.0) (2.5) (3.0) (3.5) Alpha Sharpe Excess Return Ratio Ratio 10th Percentile 0.87 0.38 0.50 25th Percentile (0.00) (0.09) (0.12) Median (0.19) (0.59) (2.25) 75th Percentile (0.28) (0.90) (2.55) 90th Percentile (0.40) (1.47) (2.67) Liquid Operating Money Net • (0.06) (0.10) (0.11) Callan Orange County Sanitation District 22 Callan Research/Education C a I I a n I n s t i t u t e Education 2nd Quarter 2020 Research and Educational Programs The Callan Institute provides research to update clients on the latest industry trends and carefully structured educational programs to enhance the knowledge of industry professionals.Visit www.callan.com/library to see all of our publications, and www.callan.com/blog to view our blog"Perspectives." For more information contact Barb Gerraty at 415-274-3093/institute@callan.com. New Research from Callan's Experts Coping with COVID-19: How Work Is Evolving for Investment responses to the sudden challenges presented by the coronavi- Managers I Callan surveyed over 100 investment managers re- rus. Social washing refers to statements or policies that make a garding how their firms were responding to the COVID-19 pandem- company appear more socially responsible than it actually is. ic, focusing on office closures and reopenings, work-from-home approaches,business travel,and meetings. Respondents reflected Nonprofits and the Pandemic: What to Do Now I For nonprofits, a wide variety of firms by location, employee size, assets under this environment creates unique challenges, with many organiza- management,and ownership structure. tions not only contending with the health crisis but also the impact of portfolio returns on their organization's ability to fund grants, provide Breaking Bad: Better Call Hedge Funds? I In his latest Hedge scholarships,and support programs and operations essential to their Fund Monitor, Callan's Jim McKee discusses four opportunities constituents.At the same time, these organizations face a potential for hedge fund investors arising from the market dislocations decline in philanthropic contributions. stemming from the COVID-19 pandemic. Real Estate Indicators: Too Hot to Touch or Cool Enough to Quarterly Periodicals Handle?I Callan's Real Assets Consulting group identifies seven in- Private Equity Trends, 1Q20 I A high-level summary of private dicators, based on spreads in real estate and fixed income markets, equity activity in the quarter through all the investment stages that, combined with an understanding of prevailing market dynam- ics, have helped signal when the institutional real estate market is Active vs. Passive Charts, 1Q20 I A comparison of active man- overheated or cooled. agers alongside relevant benchmarks over the long term Market Pulse Flipbook, 1Q20 I A quarterly market reference Blog Highlights guide covering trends in the U.S. economy, developments for in- Guidance on Substantial Workforce Cuts and DC Plan stitutional investors, and the latest data on the capital markets Terminations I Employers that reduce their workforce or discon- Capital Market Review, 1Q20 I Analysis and a broad overview of tinue defined contribution(DC)plan eligibility for certain employee the economy and public and private market activity each quarter groups may experience an inadvertent "partial plan termination." across a wide range of asset classes If not properly managed, this event could result in a disqualifica- tion of the entire plan. Hedge Fund Quarterly,1 Q20 I Commentary on developments for hedge funds and multi-asset class(MAC)strategies `Social Washing' and How COVID-19 Has Emphasized the `S' in ESG I While ESG-savvy investors are most likely famil- Real Assets Reporter,1Q20 I In this quarter's edition,we discuss iar with "greenwashing,"which refers to the misrepresentation of the implications of the COVID-19 pandemic on the prospects for environmental impact, the term "social washing" has gained new farmland investments. In addition, it includes analysis of the per- prominence as the investment community evaluates corporations' formance of real estate and other real assets in 1 Q20. Research I Education I Dialogue Events Education Miss out on a Callan conference or workshop? Event summa- Founded in 1994,the"Callan College"offers educational sessions ries and speakers' presentations are available on our website: for industry professionals involved in the investment decision-mak- www.callan.com/library/ ing process. Please mark your calendar and look forward to upcoming invitations: Introduction to Investments—Virtual Upcoming Webinars This program familiarizes institutional investor trustees and staff and asset management advisers with basic investment theory, August 20 terminology, and practices. It is held over three days with virtual Credit Dislocation—Opportunities in Private Credit modules of 2.5-3 hours. This course is designed for individuals with less than two years of experience with asset-management For more information about events, please contact Barb oversight and/or support responsibilities. Tuition is $950 per per- Gerraty: 415-274-3093/gerraty@callan.com son and includes instruction and digital materials. Next Session: October 13-15,2020 Additional information including registration can be found at: www.callan.com/cc-introduction-virtual/ Education: By the Numbers Introduction to Investments—In Person This program familiarizes institutional investor trustees and staff Unique pieces of research the and asset management advisers with basic investment theory, .� - Institute generates each year terminology,and practices. It lasts one-and-a-half days and is de- signed for individuals with less than two years of experience with Attendees(on average)of the asset-management oversight and/or support responsibilities. Tu- 525 Institute's annual National Conference ition is $2,350 per person and includes instruction, all materials, breakfast and lunch on each day, and dinner on the first evening 3 O O Total attendees of the"Callan with the instructors. 7 College"since 1994 Additional information including dates and registration can be found at: www.callan.com/callan-college-intro-2/ "Research is the foundation of all we do at Callan, and sharing our best thinking with the investment community is our way of helping to foster dialogue to raise the bar across the industry." Greg Allen,CEO and Chief Research Officer Callan Institute W @CallanLLC ® Callan Definitions Risk/Reward Statistics The risk statistics used in this report examine performance characteristics of a manager or a portfolio relative to a benchmark (market indicator) which assumes to represent overall movements in the asset class being considered. The main unit of analysis is the excess return, which is the portfolio return minus the return on a risk free asset (3 month T-Bill). Alpha measures a portfolio's return in excess of the market return adjusted for risk. It is a measure of the manager's contribution to performance with reference to security selection. A positive alpha indicates that a portfolio was positively rewarded for the residual risk which was taken for that level of market exposure. Beta measures the sensitivity of rates of portfolio returns to movements in the market index. A portfolio's beta measures the expected change in return per 1% change in the return on the market. If a beta of a portfolio is 1.5, a 1 percent increase in the return on the market will result, on average, in a 1.5 percent increase in the return on the portfolio. The converse would also be true. Downside Risk stems from the desire to differentiate between "good risk" (upside volatility) and "bad risk" (downside volatility). Whereas standard deviation punishes both upside and downside volatility, downside risk measures only the standard deviation of returns below the target. Returns above the target are assigned a deviation of zero. Both the frequency and magnitude of underperformance affect the amount of downside risk. Excess Return Ratio is a measure of risk adjusted relative return. This ratio captures the amount of active management performance (value added relative to an index) per unit of active management risk (tracking error against the index.) It is calculated by dividing the manager's annualized cumulative excess return relative to the index by the standard deviation of the individual quarterly excess returns. The Excess Return Ratio can be interpreted as the manager's active risk/reward tradeoff for diverging from the index when the index is mandated to be the"riskless" market position. Information Ratio measures the manager's market risk-adjusted excess return per unit of residual risk relative to a benchmark. It is computed by dividing alpha by the residual risk over a given time period. Assuming all other factors being equal, managers with lower residual risk achieve higher values in the information ratio. Managers with higher information ratios will add value relative to the benchmark more reliably and consistently. R-Squared indicates the extent to which the variability of the portfolio returns are explained by market action. It can also be thought of as measuring the diversification relative to the appropriate benchmark. An r-squared value of .75 indicates that 75% of the fluctuation in a portfolio return is explained by market action. An r-squared of 1.0 indicates that a portfolio's returns are entirely related to the market and it is not influenced by other factors. An r-squared of zero indicates that no relationship exists between the portfolio's return and the market. Relative Standard Deviation is a simple measure of a manager's risk (volatility) relative to a benchmark. It is calculated by dividing the manager's standard deviation of returns by the benchmark's standard deviation of returns. A relative standard deviation of 1.20, for example, means the manager has exhibited 20% more risk than the benchmark over that time period. A ratio of .80 would imply 20% less risk. This ratio is especially useful when analyzing the risk of investment grade fixed-income products where actual historical durations are not available. By using this relative risk measure over rolling time periods one can illustrate the "implied" historical duration patterns of the portfolio versus the benchmark. Residual Portfolio Risk is the unsystematic risk of a fund, the portion of the total risk unique to the fund (manager) itself and not related to the overall market. This reflects the "bets" which the manager places in that particular asset market. These bets may reflect emphasis in particular sectors, maturities (for bonds), or other issue specific factors which the manager considers a good investment opportunity. Diversification of the portfolio will reduce or eliminate the residual risk of that portfolio. Callan 27 Risk/Reward Statistics Rising Declining Periods refer to the sub-asset class cycles vis-a-vis the broader asset class. This is determined by evaluating the cumulative relative sub-asset class index performance to that of the broader asset class index. For example, to determine the Growth Style cycle, the S&P 500 Growth Index (sub-asset class) performance is compared to that of the S&P 500 Index(broader asset class). Sharpe Ratio is a commonly used measure of risk-adjusted return. It is calculated by subtracting the "risk-free" return (usually 3 Month Treasury Bill) from the portfolio return and dividing the resulting "excess return" by the portfolio's risk level (standard deviation). The result is a measure of return gained per unit of risk taken. Sortino Ratio is a downside risk-adjusted measure of value-added. It measures excess return over a benchmark divided by downside risk. The natural appeal is that it identifies value-added per unit of truly bad risk. The danger of interpretation, however, lies in these two areas: (1)the statistical significance of the denominator, and (2) its reliance on the persistence of skewness in return distributions. Standard Deviation is a statistical measure of portfolio risk. It reflects the average deviation of the observations from their sample mean. Standard deviation is used as an estimate of risk since it measures how wide the range of returns typically is. The wider the typical range of returns, the higher the standard deviation of returns, and the higher the portfolio risk. If returns are normally distributed (ie. has a bell shaped curve distribution) then approximately 2/3 of the returns would occur within plus or minus one standard deviation from the sample mean. Total Portfolio Risk is a measure of the volatility of the quarterly excess returns of an asset. Total risk is composed of two measures of risk: market (non-diversifiable or systematic) risk and residual (diversifiable or unsystematic) risk. The purpose of portfolio diversification is to reduce the residual risk of the portfolio. Tracking Error is a statistical measure of a portfolio's risk relative to an index. It reflects the standard deviation of a portfolio's individual quarterly or monthly returns from the index's returns. Typically, the lower the Tracking Error, the more "index-like"the portfolio. Treynor Ratio represents the portfolio's average excess return over a specified period divided by the beta relative to its benchmark over that same period. This measure reflects the reward over the risk-free rate relative to the systematic risk assumed. Note: Alpha, Total Risk, and Residual Risk are annualized. Callan 28 Fixed Income Portfolio Characteristics All Portfolio Characteristics are derived by first calculating the characteristics for each security, and then calculating the market value weighted average of these values for the portfolio. Allocation by Sector- Sector allocation is one of the tools which managers often use to add value without impacting the duration of the portfolio. The sector weights exhibit can be used to contrast a portfolio's weights with those of the index to identify any significant sector bets. Average Coupon - The average coupon is the market value weighted average coupon of all securities in the portfolio. The total portfolio coupon payments per year are divided by the total portfolio par value. Average Moody's Rating for Total Portfolio- A measure of the credit quality as determined by the individual security ratings. The ratings for each security, from Moody's Investor Service, are compiled into a composite rating for the whole portfolio. Quality symbols range from Aaa+ (highest investment quality- lowest credit risk) to C (lowest investment quality- highest credit risk). Average Option Adjusted (Effective) Convexity- Convexity is a measure of the portfolio's exposure to interest rate risk. It is a measure of how much the duration of the portfolio will change given a change in interest rates. Generally, securities with negative convexities are considered to be risky in that changes in interest rates will result in disadvantageous changes in duration. When a security's duration changes it indicates that the stream of expected future cash-flows has changed, generally having a significant impact on the value of the security. The option adjusted convexity for each security in the portfolio is calculated using models developed by Lehman Brothers and Salomon Brothers which determine the expected stream of cash-flows for the security based on various interest rate scenarios. Expected cash-flows take into account any put or call options embedded in the security, any expected sinking-fund paydowns or any expected mortgage principal prepayments. Average Option Adjusted (Effective) Duration- Duration is one measure of the portfolio's exposure to interest rate risk. Generally, the higher a portfolio's duration, the more that its value will change in response to interest rate changes. The option adjusted duration for each security in the portfolio is calculated using models developed by Lehman Brothers and Salomon Brothers which determine the expected stream of cash-flows for the security based on various interest rate scenarios. Expected cash-flows take into account any put or call options embedded in the security, any expected sinking-fund paydowns or any expected mortgage principal prepayments. Average Price-The average price is equal to the portfolio market value divided by the number of securities in the portfolio. Portfolios with an average price above par will tend to generate more current income than those with an average price below pa r. Average Years to Expected Maturity- This is a measure of the market-value-weighted average of the years to expected maturity across all of the securities in the portfolio. Expected years to maturity takes into account any put or call options embedded in the security, any expected sinking-fund paydowns or any expected mortgage principal prepayments. Average Years to Stated Maturity- The average years to stated maturity is the market value weighted average time to stated maturity for all securities in the portfolio. This measure does not take into account imbedded options, sinking fund paydowns, or prepayments. Current Yield-The current yield is the current annual income generated by the total portfolio market value. It is equal to the total portfolio coupon payments per year divided by the current total portfolio market value. Callan 29 Fixed Income Portfolio Characteristics Duration Dispersion - Duration dispersion is the market-value weighted standard deviation of the portfolio's individual security durations around the total portfolio duration. The higher the dispersion, the more variable the security durations relative to the total portfolio duration ("barbellness"), and the smaller the dispersion, the more concentrated the holdings' durations around the overall portfolio's ("bulletness"). The purpose of this statistic is to gauge the "bulletness" or "barbellness"of a portfolio relative to its total duration and to that of its benchmark index. Effective Yield-The effective yield is the actual total annualized return that would be realized if all securities in the portfolio were held to their expected maturities. Effective yield is calculated as the internal rate of return, using the current market value and all expected future interest and principal cash flows. This measure incorporates sinking fund paydowns, expected mortgage principal prepayments, and the exercise of any"in-the-money" imbedded put or call options. Weighted Average Life- The weighted average life of a security is the weighted average time to payment of all remaining principal. It is calculated by multiplying each expected future principal payment amount by the time left to the payment. This amount is then divided by the total amount of principal remaining. Weighted average life is commonly used as a measure of the investment life for pass-through security types for comparison to non-pass-through securities. Callan 30 Disclosures Callan Quarterly List as of June 30, 2020 List of Callan's Investment Manager Clients Confidential—For Callan Client Use Only Callan takes its fiduciary and disclosure responsibilities to clients very seriously.We recognize that there are numerous potential conflicts of interest encountered in the investment consulting industry, and that it is our responsibility to manage those conflicts effectively and in the best interest of our clients.At Callan, we employ a robust process to identify, manage, monitor, and disclose potential conflicts on an ongoing basis. The list below is an important component of our conflicts management and disclosure process. It identifies those investment managers that pay Callan fees for educational, consulting, software, database, or reporting products and services.We update the list quarterly because we believe that our fund sponsor clients should know the investment managers that do business with Callan, particularly those investment manager clients that the fund sponsor clients may be using or considering using. Please note that if an investment manager receives a product or service on a complimentary basis(e.g., attending an educational event), they are not included in the list below. Callan is committed to ensuring that we do not consider an investment manager's business relationship with Callan, or lack thereof, in performing evaluations for or making suggestions or recommendations to its other clients. Please refer to Callan's ADV Part 2A for a more detailed description of the services and products that Callan makes available to investment manager clients through our Institutional Consulting Group, Independent Adviser Group, and Fund Sponsor Consulting Group. Due to the complex corporate and organizational ownership structures of many investment management firms, parent and affiliate firm relationships are not indicated on our list. Fund sponsor clients may request a copy of the most currently available list at any time. Fund sponsor clients may also request specific information regarding the fees paid to Callan by particular fund manager clients. Per company policy, information requests regarding fees are handled exclusively by Callan's Compliance department. Manager Name Manager Name Aberdeen Standard Investments Barrow, Hanley, Mewhinney&Strauss,LLC Acadian Asset Management LLC BlackRock AEGON USA Investment Management Inc. BMO Global Asset Management AEW Capital Management BNP Paribas Asset Management AllianceBernstein BNY Mellon Asset Management Allianz Boston Partners American Century Investments Brandes Investment Partners, L.P. Amundi Pioneer Asset Management Brandywine Global Investment Management, LLC AQR Capital Management BrightSphere Investment Group Ares Management LLC Brown Brothers Harriman&Company Ariel Investments,LLC Cambiar Investors, LLC Aristotle Capital Management,LLC CapFinancial Partners,LLC Atlanta Capital Management Co., LLC Capital Group Aviva Investors Americas Carillon Tower Advisers AXA Investment Managers CastleArk Management, LLC Baillie Gifford International,LLC Causeway Capital Management LLC Baird Advisors Chartwell Investment Partners Baron Capital Management, Inc. ClearBridge Investments,LLC Callan I June 30, 2020 1 Manager Name Manager Name Cohen&Steers Capital Management, Inc. Intercontinental Real Estate Corporation Columbia Management Investments Invesco Columbus Circle Investors Investec Asset Management North America, Inc. Credit Suisse Asset Management Ivy Investments D.E.Shaw Investment Management, L.L.C. J.P. Morgan DePrince, Race&Zollo, Inc. Janus Diamond Hill Capital Management, Inc. Jennison Associates LLC Dimensional Fund Advisors LP Jobs Peak Advisors Doubleline KeyCorp Duff&Phelps Investment Management Co. Lazard Asset Management DWS Legal&General Investment Management America EARNEST Partners,LLC Lincoln National Corporation Eaton Vance Management Longview Partners Epoch Investment Partners, Inc. Loomis,Sayles&Company, L.P. Fayez Sarofim&Company Lord Abbett&Company Federated Hermes, Inc. Los Angeles Capital Management Fidelity Institutional Asset Management LSV Asset Management Fiera Capital Corporation MacKay Shields LLC First Hawaiian Bank Wealth Management Division Macquarie Investment Management(MIM) First State Investments Manulife Investment Management Fisher Investments Marathon Asset Management,L.P. Fortress Investment Group McKinley Capital Management, LLC Franklin Templeton Mellon Fred Alger Management, Inc. MetLife Investment Management GAM(USA)Inc. MFS Investment Management GCM Grosvenor MidFirst Bank Glenmeade Investment Management, LP Mondrian Investment Partners Limited GlobeFlex Capital,L.P. Montag&Caldwell,LLC Goldman Sachs Morgan Stanley Investment Management Green Square Capital Advisors, LLC Mountain Pacific Advisors, LLC Guggenheim Investments MUFG Union Bank,N.A. GW&K Investment Management Natixis Investment Managers Harbor Capital Group Trust Neuberger Berman Hartford Investment Management Co. Newton Investment Management Heitman LLC Nikko Asset Management Co., Ltd. Hotchkis&Wiley Capital Management, LLC Nile Capital Group LLC HPS Investment Partners,LLC Northern Trust Asset Management Income Research+Management, Inc. Nuveen Insight Investment Management Limited P/E Investments Intech Investment Management, LLC Pacific Investment Management Company Callan June 30, 2020 2 Manager Name Manager Name Parametric Portfolio Associates LLC Strategic Global Advisors Pathway Capital Management T. Rowe Price Associates, Inc. Peregrine Capital Management, LLC The TCW Group, Inc. Perkins Investment Management Thompson,Siegel&Walmsley LLC PFM Asset Management LLC Thornburg Investment Management, Inc. PGIM Fixed Income Tri-Star Trust Bank PineBridge Investments UBS Asset Management PNC Capital Advisors, LLC USAA Real Estate Polen Capital Management VanEck Principal Global Investors Versus Capital Group Putnam Investments,LLC Victory Capital Management Inc. QMA LLC Virtus Investment Partners, Inc. RBC Global Asset Management Vontobel Asset Management, Inc. Regions Financial Corporation Voya Robeco Institutional Asset Management, US Inc. WCM Investment Management Rothschild&Co.Asset Management US WEDGE Capital Management S&P Dow Jones Indices Wellington Management Company LLP Schroder Investment Management North America Inc. Wells Fargo Asset Management SLC Management Western Asset Management Company LLC Smith Graham&Co. Investment Advisors,L.P. Westfield Capital Management Company, LP State Street Global Advisors William Blair&Company LLC Stone Harbor Investment Partners L.P. Callan I June 30, 2020 3 INVES'IMENT REPO RT Cill CHANDLER ASSET MANAGEMENT Orange County Sanitation District Period Ending June 30, 2020 CHANDIERASSETMANAGEMENT, INC. 1 800.317.47471 www.chandlerasset.com /.` t R, Y ITable of Contents As of June 30, 2020 SECTION 1 Economic Update SECTION 2 Account Profile SECTION 3 Consolidated Information SECTION 4 Portfolio Holdings SECTION 5 Transactions 1 C11% Section 1 Economic Update C IEconomic Update ■ Economic data remains weak but is showing signs of improvement. We believe financial market participants are looking through the data and expect conditions to recover further in the second half of the year, supported by robust fiscal and monetary relief. First quarter GDP declined 5.0% and the decline in second quarter GDP is expected to be more severe, but economic output is expected to grow in the third quarter. More than 40 million people have filed for unemployment since mid-March, though many of those jobs have already started to return. We believe additional fiscal stimulus, beyond the $2.7trillion that has already been announced, may be necessaryto foster strong recovery. • The Federal Open Market Committee (FOMC) kept monetary policy unchanged at its June 9-10 meeting, as expected, with the fed funds target rate in the range of 0%-0.25%. According the Fed's economic projections, policymakers expect to keep that range unchanged through 2022. The Fed will continue to purchase Treasury and agency mortgage-backed securities as needed to support smooth market functioning and will continue to support the flow of credit to households, businesses, and municipalities through the various lending programs that have already been announced. Although some economic data has recently surprised to the upside, Fed Chair Powell maintained a dovish tone during his press conference and cautioned that unemployment is likely to remain elevated even as the economy recovers. He noted the outlook for the economy remains highly uncertain and depends largely on the path of the pandemic. He also hinted that the Fed is considering the option of yield curve control (i.e. structuring their bond purchases to target a cap on yields across the Treasury yield curve). Overall, the Fed remains highly accommodative. Treasury yields were nearly unchanged in June. The yield on 2-year Treasuries declined about one basis point to 0.15% and the yield on 10-year Treasuries was essentially unchanged at 0.66%. Global economic weakness continues to put downward pressure on inflation expectations. An ongoing global demand for safe-haven assets has also kept a lid on Treasury rates. 3 C11% Employment Nonfarm Payroll (000's) Unemployment Rate 10,000 24.0% 22.0% 6,000 20.0% --- Underemployment Rate(U6) 1 2,000 18.0% Unemployment Rate (U3) 1 � 0 16.0% 1 -2,000 0 14.0% 1 1 -6,000 ♦ 1 12.0% s °C 10.0% 1 -10,000 8 0% 1 2 -14,000 6.0% Non-farm Payroll (000's) 4.0% -18,000 ---3 month average(000's) 2.0% -2 2,000 — 0.0% ✓� S� pP ✓4 SO 10 41 ✓4 ✓4 SP pP � 1/0 SO 6 ' ✓4 IS p l8 cis drOC 19 h 19 '_70 c19 dr,�O '7�O l� p l8 c1s dr',7 '719 p_7 1,7 dr�o �_O Source:US Department of Labor Source:US Department of Labor U.S. nonfarm payrolls were better than expected in June increasing by 4,800,000versus expectations of 3,230,000. The unemployment rate declined to 11.1% in June (versus expectations of 12.5%) from 13.3% in May. If the workers who classified themselves as employed but absent from work in the June survey had instead been classified as unemployed on temporary layoff, the total unemployment rate would have been about 1% higher. Job growth was broad-based in June, with particularly strong gains in leisure and hospitality and retail trade, but the improvement was still a long way from recovering the number of jobs lost in those sectors in April. The U-6 underemployment rate, which includes those who are marginally attached to the labor force and employed part time for economic reasons, remained very high but eased to 18.0% in June from 21.2% in May.The labor participation rate increased to 61.5% in June from 60.8% in May. 4 C11% Initial Claims for Unemployment Initial Claims For Unemployment April 03, 2020 -July 03, 2020 22,548 24,912 25,000 22,377 20,841 21,268 I 20,606 20,289 19,231 18,760 18,011 18,062 20,000 I 15,819 y 15,000 c y 11,914 Initial Jobless Claims r 10,000 6,615 (Continuing Claims 5,237 3,867 5,000 4,442 3,176 2,687 2,446 2,123 1,897 1,566 1,540 1,482 1,413 1,314 OS i OSi OS/ OSi OSi 06' 06/ 06/ 06/ 01/ �O �O �O �O )O �O �O �O )O �O �O �O �O �O Source:US Department of Labor In the most recent week of July 4th, more than 1.3 million people filed an initial claim for unemployment. The level of continuing unemployment claims (where the data is lagged by one week) remained very high in the week of June 26th but declined to nearly 18.1 million from the priorweek level of about 18.8 million. 5 Cill Inflation Consumer Price Index (CPI) Personal Consumption Expenditures (PCE) 3.5% 3.5% 3.0% 3.0% — 77��2.5% 2.5% .♦ ao i—�"b ♦ v u � u 1.5% 1.5% ♦ —� o ♦♦ o 1.0% 1.0% 0.5% — CPI YOY%Change 0.5/o o PCE Price Deflator YOY%Change ——— Core CPI YOY%Change ——— PCE Core Deflator YOY%Change 0.0% - 0.0% — �p1, �06 �Ok g19 �Ot, �0,6 �d`�� �a`lcQ �(/g1� �pz, �06 �d`l.9 � 19 �pG19 �CJ6�O �a`",)O Source:US Department of Labor Source:US Department of Commerce The Consumer Price Index (CPI) was up 0.1% year-over-year in May, down from 0.3% in April. Core CPI (CPI less food and energy) was up just 1.2% year-over-year in May, down from 1.4% in April. The Personal Consumption Expenditures (PCE) index was up just 0.5% year-over-year in May, versus up 0.6% year-over-year in April and 1.3% in March. Core PCE, which is the Fed's primary inflation gauge, was up 1.0% year-over- year in May, versus up 1.0%year-over-year in April and 1.7% in March. Consumer pricing data indicate that the effect of the pandemic has been deflationary. 6 CJ„ IConsumer Retail Sales YOY% Change Consumer Confidence 10.0% 150 5.0% 140 0.0/ 130 v ro t -5.0% 120 U Gl } -10.0% 110 o � -15.0% — 100 -20.0% 90 Li -25.0% 80 — 2iay18 �4g18 Ik0`18 �Pb19 �dy19 94�19 Ik0`19 xO6"'0 117d��p ✓4�1� sip 18 O�c18 �d�19 ✓4�19 SPp l9 O0c19 �d~�p ✓4 �0 Source:US Department of Commerce Source:The Conference Board On a year-over-year basis, retail sales were down 6.1% in May versus down of 19.9% in April. On a month-over-month basis, retail salesjumped 17.7% in May (a much stronger rebound than expected), following a 14.7% decline in April. In May, month-over-month increases were particularly strong for clothing, furniture, sporting goods, electronics, appliances, and auto sales. Consumer confidence continued to recover in June. The Consumer Confidence index rose to 98.1 in June from 85.9 in May. Both the Present Situation index the Expectations index improved. 7 C11% IEconomic Activity Leading Economic Indicators (LEI) Chicago Fed National Activity Index (CFNAI) 4.0% 2.00 1.00 2.0% 0.00 -1.00 a°Jo 0.0% w s -2.00 U � -2.0% s -3.00 0 -4.00 � -4.0% M -5.00 -6.0% -6.00 -7.00 -8.0% -8.00 1� � +o`1a �Pb19 �d`19 ��g l9 �oG19 �P6�0 �a`�p �d`1cQ ��g1� +0`18 �Pb19 �a`19 �4g 79 �O`19 �Pb 'O �a`�O Source:The Conference Board Source:Federal Reserve Bank of Chicago The Conference Board's Leading Economic Index (LEI) rose 2.8% in May, following a 6.1% decline in April. On a year-over-year basis, the LEI was down 10.6% in May versus down 13.0% in April. According to the Conference Board, the path toward economic recovery remains highly uncertain. The Chicago Fed National Activity Index (CFNAI) increased to 2.61 in May from -17.89 in April. On a 3-month moving average basis, the CFNAI improved to -6.65 in May from -7.50 in April, which remains deeply below the -0.7 recessionary level. 8 C11% IHousing Housing Starts S&P/Case-Shiller 20 City Composite Home Price Index 2000 8.0 1800 0 Multi Family Housing Starts w 1600 ■Single Family Housing Starts 7.0% 0 0 1400 6.0% M 1200 iw ' 2 5.0% 1000 800 4.0% 600 c } r o 3.0% 400 0 200 2.0% 5 0 1.0% �dy18 ��g18 �OG1� 'c�b19 �d`19 91�19 �0`19 'c0b�o 2id`�O 9,p�Z� 11211 1� OCe" ✓�,��9 9,b�Z9 ell 19 Oc��9 id��o 9,pr"O Source:US Department of Commerce Source:S&P Housing starts rose 4.3% in May to an annual pace of 974,000. Single family starts were roughly flat at an annualized rate of 675,000, while multi- family starts increased 15.0%to an annualized rate of 299,000. Permits increased 14.4% in May to an annualized rate of 1,220,000. According to the Case-Shiller 20-City home price index, home prices were up 4.0% year-over-year in April versus up 3.9% year-over-year in March. We believe low inventory and low mortgage rates continue to support prices. 9 Q11 IManufacturing Institute of Supply Management Purchasing Manager Industrial Production Index 62 8.0% 60 EXPANDING 4.0% 58 56 - 0.0% v 54 52 -4.0% 50 >— -8.0% ° 48 � > 46 -12.0% 44 CONTRACTING -16.0% 42 40 -20.0% ✓���� SPa18 pPc1cP �d~19 ✓��19 l9 pPc19 2,dr�o ✓�,��p �a�1a 9�g1� �oG1� �Pb19 �d`19 9�g79 .yo`Z9 .��b-o Source:Institute for Supply Management Source:Federal Reserve The Institute for Supply Management (ISM) manufacturing index improved meaningfully to 52.6 in June from 43.1 in May. The reading above 50.0 suggests that the manufacturing sector is no longer contracting. The Industrial Production index was down 15.3% year-over-year in May, versus down 16.3% in April. On a month-over-month basis, the Industrial Production index increased 1.4% in May, following a 12.5% decline in April. Capacity Utilization improved to 64.8% in May from 64.0% in April, but remains well below the long-run average of 79.8%. Overall manufacturing conditions remain under pressure but the sector is showing modest improvement from April. 10 Ci„ IGross Domestic Product (GDP) Gross Domestic Product (GDP) Components5.0% 4.0% Personal Consumption Expenditures 3.0% 2.1% 1.2% -4.7% 3.0% ■ 2.0% Gross Private Domestic Investment -1.2% -0.2% -1.1% -1.8% 1.0% 0.0% Net Exports and Imports -0.7% -0.1% 1.5% 1.3% -1.0% -2.0% Federal Government Expenditures 0.5% 0.2% 0.2% 0.1% -3.0% GDP QOQ%Change -4.0% GDP YOY%Change State and Local (Consumption and -5.0% 0.3% 0.1% 0.2% 0.1% Gross Investment) -6.0% Total 2.0% 2.1% 2.1% -5.0% �dr, .SPA. �dr, SPp �dr, So Z �dr, SOp �dr, SPA �dr, 1,r 1S lG 16 1> 1� 1� 1& 1y Source: US Department of Commerce Source: US Department of Commerce First quarter US gross domestic product (GDP) declined 5.0%, a slightly larger decline than the initial estimate of -4.8%. Consumer spending declined 6.8% in the quarter. Notably, the decline in second quarter 2020 GDP is expected to be much more severe. The Bloomberg median estimate for second quarter GDP is -34.7%, and consumer spending is expected to decline 39.7%. The consensus forecast calls for a return to positive GDP growth in the third quarter. According to the National Bureau of Economic Research, the US economy officially entered a recession in February 2020, following a 128-month economic expansion. Economic data remains weak but is showing early signs of improvement, which suggests that the recession (which is the period between the peak of economic activity and the trough) may technically already be over. 11 C1„ Federal Reserve Federal Reserve Balance Sheet Assets Effective Federal Funds Rate 7,500,000 3.00,, 7,000,000 6,500,000 --�� %% 2.00% 6,000,000 —� c 5,500,000 1.50% `-- 5,000,000 1 1.00% 1 4,500,000 1 1 0.50% 4,000,000 ; 1 3,500,000 0.00% ✓4j18 Oct 7 ✓d�l9 9p�19 ✓4/l9 Oc"19 ✓d��O 9p~�O ✓4j�p ✓4/l8 Oct 179 1 ✓4/l9 Oct 7 ✓dh� �b� ✓�/�O 8 9 ,9 O O Source:Federal Reserve Source:Bloomberg The Fed has taken a wide range of aggressive actions to help stabilize and provide liquidity to the financial markets. The Fed has lowered the fed funds target rate to a range of 0.0%-0.25% and continues to purchase Treasury and agency mortgage-backed securities to support smooth market functioning. Policymakers reinstated the Commercial Paper Funding Facility and Money Market Mutual Fund Liquidity Facility in order to provide liquidity to the commercial paper, money markets, and the municipal bond markets. The Fed has established the Primary Market Corporate Credit Facility and Secondary Market Corporate Credit Facility to support the corporate bond market. The Term Asset-Backed Securities Loan Facility has been established to enable the issuance of asset-backed securities backed by student loans, auto loans, credit card loans, and loans guaranteed by the Small Business Administration. The Fed has established the Paycheck Protection Program Liquidity Facility and Fed's Main Street Lending Facility to support the flow of credit to businesses. The Fed established the Municipal Liquidity Facility to purchase short-term debt directly from US states, counties, and cities. The Fed has also provided short-term funding through large-scale repo operations and lowered the reserve requirement for depository institutions. 12 C1„ Bond Yields US Treasury Note Yields US Treasury Yield Curve 4.0% 4.0% 3.5% •••••• 2-Year 3.5% •••••• Jun-20 ——— 5-Year ——— Mar-20 3.0% 3.0% —Jun-19 �.��!-•.>> 10-Year 2.5% 2.5% :2 2.0% -c 2.0% a, 1.5% ` 1.5% 1.0% , 1.0% r rrr,i,s+s� r � 0.5% ter•• 0.0% ..... yrrlr� •. 0.0% ✓�h 1� S010 O00 l8 �d~19 ✓��79 SPp19 OOC �d~�p ✓���0 �/J�o/j70 �y, `sl, mil, 10 yr �p yr Source:Bloomberg Source:Bloomberg At June month-end, Treasury yields were much lower on a year-over-year basis. The 3-month T-bill yield was down 196 basis points, the 2-year Treasury yield was down 161 basis points, and the 10-Year Treasury yield was down 135 basis points, year-over-year. Much of the spread movement was in the month of March 2020, with the Fed cutting rates by a total of 150 basis points and concerns about a global recession and a flight to safe-haven assets driving down yields across the curve. 13 C1„ a Section 2 Account Profile C IObjectives As of June 30, 2020 Investment Objectives The investment objectives of the Orange County Sanitation District are first, to provide safety of principal to ensure the preservation of capital in the overall portfolio; second, to provide sufficient liquidity to meet all operating requirements; and third, to earn a commensurate rate of return consistent with the constraints imposed by the safety and liquidity objectives. Chandler Asset Management Performance Objective Liquid Operating Monies — will be compared to the 3-month T-Bill rate and operate with a maximum maturity of one year. Long-Term Operating Monies — will be compared to the ICE BAML 1-5 Year Corporate Government Rated AAA—A Index. Strategy In order to achieve these objectives, the portfolio invests in high quality fixed income securities consistent with the investment policy and California Government Code. 15 c1„ Icompliance As of June 30, 2020 Orange County Sanitation District Long Term Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 10%minimum; 5 years max maturity Complies* U.S.Agencies 20%max per agency of the U.S.Government,which does not provide the full faith and credit of the U.S.government; 5 years max maturity Complies "AA"rated or better by a NRSRO; 30%maximum; 5 years max maturity; U.S.dollar denominated senior unsecured unsubordinated obligations issued or Supranational Obligations unconditionally guaranteed bythe International Bank for Reconstruction and Development("IBRD"),the International Finance Corporation("IFC")orthe Inter-Complies American Development Bank("IADB") "A"rated or better long term debt by a NRSRO; 30%maximum;5%max issuer; 5 years max maturity; Issued by corporations organized and operating Corporate Medium Term Notes Complies within the U.S.or issued by depository institutions licensed by the U.S.or any state and operating within the U.S. "A"rated or higher by a NRSRO; Taxable or tax-exempt municipal bonds issued by any of the 50 states;10%maximum; 5%max issuer; 5 years max Municipal Securities Complies maturity Mortgage-Backed Securities/Collateralized Mortgage Obligations/Asset-Backed "AA"rated or better by a NRSRO; 20%maximum(combined MBS/CMO/ABS); 5%max issuer(except U.S.government or its agencies);5 years max maturity Complies* Securities Negotiable Certificates of Deposit(NCD) "A"rated or better long term debt by a NRSRO;or"A-1"/highest short term rating by a NRSRO; 30%maximum;5%max issuer;5 years max maturity Complies Certificates of Deposit 5%max issuer; 5 years max maturity; Secured/collateralized Complies Banker's Acceptances A-1 rated or highest short term rating by a NRSRO; 40%maximum; 5%max issuer;180 days max maturity Complies A-1 rated or better by a NRSRO; "A"rated or better long term debt issuer by a NRSRO; Issuer is a corporation organized and operating in the U.S.with assets Commercial Paper Complies >$500 million; 25%maximum; 5%max issuer; 10%max of the outstanding commercial paper of any single issuer;270 days max maturity Mutual Fund&Money Market Mutual Highest rating or"AAA"rated by two NRSROs;SEC registered adviser with AUM>$500 million and experience>than 5 years;20%maximum in Mutual Complies Fund Funds; 10%per one Mutual Fund; 20%max per issuer on Money Market Mutual Funds; 20%max of OCSD's surplus money Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies No more than the lesser of 15%of the portfolio or the statutory maximum invested in LAIF; Not used by investment adviser;Investment of OCSD funds in Local Agency Investment Fund(LAIF) Complies LAIF shall be subject to investigation and due diligence prior to investing 15%maximum; Not used by investment adviser; Orange County Treasurer's Money Market Commingled Investment Pool; Investment of OCSD funds in OCCIP Complies OCCIP shall be subject to investigation and due diligence prior to investing Prohibited Mortgage Derivatives,which include interest-only payments(IOs)and principal-only payments(POs); Inverse floaters,and RE-REMICS(Real Estate Mortgage Complies Investment Conduits) Avg Duration Not to exceed 60 months - (80%to 120%of the benchmark) Complies Max Per Holding 5%max of the total debt outstanding of any issuer per individual holding Complies Max Per Issuer 5%max per issuer(except Supranationals,U.S.Government,Agencies,Mutual Fund) Complies Maximum Maturity 5 years maximum maturity Complies* *The portfolio has twenty(20)securities with maturities greater than 5 years including four(4)CMOs and sixteen(16)MBS. All securities were inherited from the previous manager and complied at time of purchase. 16 Q11 Portfolio Characteristics As of June 30, 2020 Orange County Sanitation District Long Term PortfolioBenchmark* Portfolio Average Maturity(yrs) 2.71 2.77 2.74 Average Modified Duration 2.58 2.55 2.47 Average Purchase Yield n/a 2.04% 2.22% Average Market Yield 0.33% 0.33% 0.89% Average Quality" AAA AA/Aa1 AA/Aa1 Total Market Value 623,291,089 590,338,610 *ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index **Benchmark is a blended rating of S&P, Moody's, and Fitch. Portfolio is S&P and Moody's respectively. Multiple securities were purchased across the Treasury, Agency, Supranational, Commercial Paper and Corporate sectors of the market to keep the portfolio structure consistent with Chandler objectives. The purchased securities ranged in maturity from June 2020 to June 2025. Several securities matured and $25 million was contributed to the portfolio during the reporting period to help facilitate the new holdings in the portfolio. 17 C1„ ISector Distribution As of June 30, 2020 Orange County Sanitation District Long Term June 30, 2020 March 31, 2020 Commercial ABS Paper 4.7% 1.7% ABS US Treasury 6.2 34.3% US Treasury 32.4% Agency Agency Supranational 30.1% 27.8% 6.0% Municipal Bonds Supranational 0.3 5.7% Municipal Bonds Mortgage Pass CIVIC) 0.3% CIVIC) Thru 0.2% 0.2% 0.2% Mortgage Pass Money Market Thru Fund FI Corporate 0.2% Money Market Corporate 1.0% 23.3% Fund FI 23.8/ 1.8% The sector allocation was relatively stable during the quarter. Some of the subtle changes include the 1.9% and 2.3% increase in the Treasury and Agency allocation, to 34.3% and 30.1% of the portfolio, respectively, partially offset by the 1.7% decline in the Commercial Paper allocation. 18 Q1 issuers As of June 30, 2020 Orange County Sanitation District Long Term -Account #10268 Issue Name Investment Type %Portfolio Government of United States US Treasury 34.29% Federal National Mortgage Association Agency 12.69% Federal Home Loan Bank Agency 9.27% Federal Home Loan Mortgage Corp Agency 5.85% Intl Bank Recon and Development Supranational 2.67% Inter-American Dev Bank Supranational 2.40% Federal Farm Credit Bank Agency 2.28% Honda ABS ABS 1.62% US Bancorp Corporate 1.59% Toronto Dominion Holdings Corporate 1.41% Nissan ABS ABS 1.38% Wells Fargo Corp Corporate 1.32% JP Morgan Chase&Co Corporate 1.29% Apple Inc Corporate 1.17% John Deere ABS ABS 1.17% Bank of America Corp Corporate 1.16% Charles Schwab Corp/The Corporate 1.15% Royal Bank of Canada Corporate 1.12% Berkshire Hathaway Corporate 1.10% Chubb Corporation Corporate 1.05% First American Govt Obligation Fund Class-Z Money Market Fund FI 1.04% PNC Financial Services Group Corporate 1.04% ChevronTexaco Corp Corporate 1.01% IBM Corp Corporate 0.98% International Finance Corp Supranational 0.89% Intel Corp Corporate 0.87% Bank of New York Corporate 0.85% Honeywell Corp Corporate 0.82% HSBC Holdings PLC Corporate 0.75% Honda Motor Corporation Corporate 0.70% Wal-Mart Stores Corporate 0.68% General Dynamics Corp Corporate 0.52% Microsoft Corporate 0.50% Oracle Corp Corporate 0.49% Exxon Mobil Corp Corporate 0.49% Morgan Stanley Corporate 0.48% Merck&Company Corporate 0.34% Mercedes-Benz Auto Lease Trust ABS 0.33% 19 Q11 Iissuers As of June 30, 2020 Orange County Sanitation District Long Term —Account #10268 Issue Name Investment Type %Portfolio New York City Transitional Finance Authority Municipal Bonds 0.23% Deere&Company Corporate 0.22% Toyota ABS ABS 0.19% BlackRock Inc/New York Corporate 0.18% Federal National Mortgage Association Mortgage Pass Thru 0.16% Federal Home Loan Mortgage Corp CMO 0.12% University of California Municipal Bonds 0.07% Federal National Mortgage Association CMO 0.03% GNMA Mortgage Pass Thru 0.02% AMRESCO Residental Securities Corp CMO 0.02% SLM Corp ABS 0.00% Small Business Administration ABS 0.00% Federal Home Loan Mortgage Corp Mortgage Pass Thru 0.00% TOTAL 100.00% 20 Q11 Quality Distribution As of June 30, 2020 Orange County Sanitation District Long Term June 30, 2020 vs. March 31, 2020 80.0% 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% 0.0% ■ AAA AA A <A NR ■6/30/2020 ■3/31/2020 06/30/20 10.1% 68.5% 14.9% 0.5% 6.0% 03/31/20 9.5% 69.9% 15.2% 0.5% 4.9% Source:S&P Ratings 21 C11% Quality Distribution As of June 30, 2020 Orange County Sanitation District Long Term June 30, 2020 vs. March 31, 2020 80.0% 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% 0.0% - AAA AA A <A NR ■6/30/2020 ■3/31/2020 06/30/20 72.4% 6.3% 16.8% 0.0% 4.5% 03/31/20 75.9% 6.0% 17.1% 0.0% 0.9% Source:Moody's Ratings 22 C111 IDuration Distribution As of June 30, 2020 Orange County Sanitation District Long Term Portfolio Compared to the Benchmark as of June 30, 2020 35.0% 30.0% 25.0% 20.0% 15.0% 10.0% 5.0% 0.0% 0-0.25 0.25-0.50 0.50- 1 1-2 2-3 3 -4 4-5 5+ ■Orange County Sanitation District Long Term ■ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index i Portfolio 4.4% 4.3% 11.9% 15.9% 22.9% 19.9% 20.7% 0.0% Benchmark* 0.4% 0.2% 1.6% 33.2% 28.2% 19.8% 16.5% 0.0% `ICE BAML 1-5 Vr US Corp/Gout Rated AAA-A Index The duration of the portfolio increased to 2.55 compared to 2.47 at the end of the prior quarter. The low interest policy by the Federal Reserve is prompting the Chandler team to keep the duration of the portfolio consistent with the benchmark. 23 Q& IInvestment Performance As of June 30, 2020 Orange County Sanitation District Long Term Total Rate of Return Annualized Since Inception 11/30/2014 6.00% 5.00% 4.00% 3.00% 2.00% 1.00% 0.00% 12 months 2 years 3 years 5 years 10 years Since Inception ■Orange County Sanitation District Long Term ■ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index Annualized TOTAL RATE OF RETURN 3 months 12 months 2 years 3 years 5 years 10 years Since Inception Orange County Sanitation District Long Term 1.32% 5.29% 5.08% 3.39% 2.56% N/A 2.37% ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index 1.03% 5.34% 5.24% 3.39% 2.50% N/A 2.35% Total rate of return: A measure of a portfolio's performance over time. It is the internal rate of return, which equates the beginning value of the portfolio with the ending value; it includes interest earnings, realized and unrealized gains and losses in the portfolio. 24 C11% Icompliance As of June 30, 2020 Orange County Sanitation District Liquid Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 10%minimum; 1 year max maturity Complies U.S.Agencies 20%max per agency of the U.S.Government,which does not provide the full faith and credit of the U.S.government; 1 year max maturity Complies "AA"rated or better by a NRSRO; 30%maximum; 1 year max maturity;U.S.dollar denominated senior unsecured unsubordinated obligations issued or Supranational Obligations unconditionally guaranteed by the International Bank for Reconstruction and Development("IBRD"),the International Finance Corporation("IFC")or the Complies Inter-American Development Bank("IADB") "A"rated or better long term debt by a NRSRO; 30%maximum;5%max issuer; 1 year max maturity; Issued by corporations organized and operating Corporate Medium Term Notes Complies within the U.S.or issued by depository institutions licensed by the U.S.or any state and operating within the U.S. "A"rated or higher by a NRSRO; Taxable or tax-exempt municipal bonds issued by any of the 50 states;10%maximum; 5%max issuer; 1 year max Municipal Securities Complies maturity Mortgage-Backed Securities/Collateralized Mortgage Obligations/Asset-Backed "AA"rated or better by a NRSRO; 20%maximum(combined MBS/CMO/ABS); 5%max issuer(except U.S.government or its agencies);1 year max maturity Complies Securities Negotiable Certificates of Deposit(NCD) "A" rated or better long term debt by a NRSRO;or"A-1"/highest short term rating by a NRSRO; 30%maximum;5%max issuer;1 year max maturity Complies Certificates of Deposit 5%max issuer;1 year max maturity; Secured/collateralized Complies Banker's Acceptances A-1 rated or highest short term rating by a NRSRO; 40%maximum; 5%max issuer;180 days max maturity Complies A-1 rated or better by a NRSRO; "A"rated or better long term debt issuer by a NRSRO; Issuer is a corporation organized and operating in the U.S.with Commercial Paper Complies assets>$500 million; 25%maximum; 5%max issuer; 10%max of the outstanding commercial paper of any single issuer;270 days max maturity Mutual Fund&Money Market Mutual Highest rating or"AAA"rated by two NRSROs;SEC registered adviser with AUM>$500 million and experience>than 5 years;20%maximum in Mutual Complies Fund Funds; 10%per one Mutual Fund; 20%max per issuer on Money Market Mutual Funds; 20%max of OCSD's surplus money Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies No more than the lesser of 15%of the portfolio or the statutory maximum invested in LAIF; Not used by investment adviser;Investment of OCSD funds in Local Agency Investment Fund(LAIF) Complies LAIF shall be subject to investigation and due diligence prior to investing 15%maximum; Not used by investment adviser; Orange County Treasurer's Money Market Commingled Investment Pool; Investment of OCSD funds in OCCI P Complies OCCIP shall be subject to investigation and due diligence prior to investing Mortgage Derivatives,which include interest-only payments(IOs)and principal-only payments(POs); Inverse floaters,and RE-REMICS(Real Estate Prohibited Complies Mortgage Investment Conduits) Avg Duration Not to exceed 180 days Complies Max Per Holding 5%max of the total debt outstanding of any issuer per individual holding Complies Max Per Issuer 5%max per issuer(except Supranationals,U.S.Government,Agencies,Mutual Fund) Complies Maximum Maturity 1 year maximum maturity Complies 25 Q11 Portfolio Characteristics As of June 30, 2020 Orange County Sanitation District Liquid Benchmark* Portfolio Portfolio Average Maturity(yrs) 0.16 0.35 0.22 Average Modified Duration 0.16 0.35 0.22 Average Purchase Yield n/a 0.48% 1.33% Average Market Yield 0.14% 0.18% 0.45% Average Quality" AAA AAA/Aaa AA+/Aaa Total Market Value 178,600,244 113,492,258 *ICE BAML 3-Month US Treasury Bill Index **Benchmark is a blended rating of S&P,Moody's, and Fitch. Portfolio is S&P and Moody's respectively. Many securities were purchased across the Treasury, Agency, Supranational, Certificate of Deposit, Commercial Paper and Corporate sectors of the market to keep the portfolio fully invested. The purchased securities ranged in maturity from June 2020 to May 2021. A net $65 million was added to the portfolio during the quarter however there were both contributions and withdrawals during the reporting period. 26 C11% ISector Distribution As of June 30, 2020 Orange County Sanitation District Liquid June 30, 2020 March 31, 2020 Commercial Supranational Paper Agency 3.4% 1.2% 2.6% Agency 13.0% Corporate 5.3% Corporate 4.4% Money Market Money Market Fund FI Fund FI 22.8% 2.0% Negotiable CD 0.8% Negotiable CD US Treasury 0.9% 76.3% US Treasury 67.1% The sector allocation evolved predominately via spending down the residual cash in the portfolio from the prior reporting period. The Treasury allocation remains robust due to the elevated issuance in the sector and the lack of issuance in short maturity alternatives in the Agency sector. 27 Q1 IIssuers As of June 30, 2020 Orange County Sanitation District Liquid —Account #10282 Issue Name Investment Type %Portfolio Government of United States US Treasury 76.30% Federal Home Loan Bank Agency 11.36% Intl Bank Recon and Development Supranational 3.36% First American Govt Obligation Fund Class-Z Money Market Fund FI 2.04% Federal Farm Credit Bank Agency 1.68% JP Morgan Chase&Co Corporate 1.23% Toronto Dominion Holdings Corporate 1.00% Royal Bank of Canada Negotiable CD 0.84% Charles Schwab Corp/The Corporate 0.80% Apple Inc Corporate 0.66% Kimberly-Clark Corporate 0.44% Chubb Corporation Corporate 0.28% TOTAL 100.00% 28 C1„ Quality Distribution As of June 30, 2020 Orange County Sanitation District Liquid June 30, 2020 vs. March 31, 2020 80.0% 70.0% 60.0% 50.0% 40.0% 30.0% 20.0% 10.0% 0.0% AAA AA A <A NR ■6/30/2020 ■3/31/2020 06/30/20 74.7% 22.6% 2.7% 0.0% 0.0% 03/31/20 32.1% 62.6% 5.3% 0.0% 0.0% Source:S&P Ratings 29 C11% Quality Distribution As of June 30, 2020 Orange County Sanitation District Liquid June 30, 2020 vs. March 31, 2020 120.0% 100.0% 80.0% 60.0% 40.0% 20.0% 0.0% AAA AA A <A NR ■6/30/2020 13/31/2020 06/30/20 95.6% 1.7% 2.7% 0.0% 0.0% 03/31/20 94.7% 0.0% 5.3% 0.0% 0.0% Source:Moody's Ratings 30 C11% IDuration Distribution As of June 30, 2020 Orange County Sanitation District Liquid Portfolio Compared to the Benchmark as of June 30, 2020 120.0% 100.0% 80.0% 60.0% 40.0% 20.0% 0.0% 0-0.25 0.25-0.50 0.50- 1 1- 1.5 1.5-2 2- 2.5 2.5-3 3+ ■Orange County Sanitation District Liquid ■ICE BAML 3-Month US Treasury Bill Index i Portfolio 45.3% 15.7% 39.0% 0.0% 0.0% 0.0% 0.0% 0.0% Benchmark* 100.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% 0.0% "ICE BAML 3-Month US Treasury Bill Index The duration of the portfolio extended moderately. The Chandler team continues to ladder out the maturities of the portfolio to coincide with upcoming forecasted liquidity needs. 31 C�„ IInvestment Performance As of June 30, 2020 Orange County Sanitation District Liquid Total Rate of Return Annualized Since Inception 11/30/2014 2.50% 2.00% 1.50% 1.00% 0.50% 0.00% 12 months 2 years 3 years 5 years 10 years Since Inception ■Orange County Sanitation District Liquid ■ICE BAML 3-Month US Treasury Bill Index Annualized TOTAL RATE OF RETURN 3 months 12 months 2 years 3 years 5 years 10 years Since Inception Orange County Sanitation District Liquid 0.07% 1.90% 2.16% 1.89% 1.32% N/A 1.20% ICE BAML 3-Month US Treasury Bill Index 0.02% 1.63% 1.97% 1.77% 1.19% N/A 1.07% Total rate of return: A measure of a portfolio's performance over time. It is the internal rate of return, which equates the beginning value of the portfolio with the ending value; it includes interest earnings, realized and unrealized gains and losses in the portfolio. 32 c�1, Icompliance As of June 30, 2020 OCSD Lehman Exposure Assets managed by Chandler Asset Management are in full compliance with state law and with the investment policy Category Standard Comment Treasury Issues 5 years maximum maturity Complies Supranational "AA"or better by 1 of 3 NRSROs; 30%maximum; 5%max; 5 years maturity; Includes only: IADB, IBRD,and IFC per CGC Complies U.S.Agencies 20%max issuer; 5 years maximum maturity Complies U.S.Corporate(MTNs) "A" or better long term rating by 1 of 3 NRSROs; 30%maximum;5%max issuer; 5 years max maturity Complies* Municipal Securities "A"or higher by 1 of 3 NRSROS; 10%maximum; 5%max issuer; 5 years maximum maturity Complies "AA"or better by 1 of 3 NRSROs; "A"or higher issuer rating by 1 of 3 NRSROs; 20%maximum; 5%max issuer(excluding MBS/govt Asset Backed/CMOs/Mortgage-backed Complies agency);5 years max maturity "A"or better on its long term debt by 1 of 3 NRSROs • "A1/P1"or highest short term ratings by 1 of 3 NRSROs; 30%maximum;5% Negotiable CDs Complies max issuer; 5 years max maturity CDs/TDS 5%max issuer; 5 years max maturity Complies Banker's Acceptances A-1,or equivalent highest short term rating by 1 of 3 NRSROS; 40%maximum; 5%max issuer; 180 days max maturity Complies A-1,or equivalent by 1 of 3 NRSROS; "A"or better by 1 of 3 NRSROs, if long term debt issued; 25%maximum; 5%max issuer; 270 Commercial Paper Complies days max maturity Money Market Fund Highest rating by 2 of 3 NRSROs; 20%maximum; 10%max issuer Complies Repurchase Agreements 102%collateralization Complies Reverse Repurchase Agreements 5%maximum,90 days max maturity Complies LAIF Not used by investment adviser Complies Avg Duration Not to exceed 60 months - (80%to 120%of the benchmark) Complies Maximum Maturity 5 years maximum maturity Complies *Account holds$2 million face value(cusip 525ESCOy6)and$600,000 face value(cusip 525ESC1B7)of defaulted Lehman Bros Holdings that were purchased by the previous manager. Complied at time of purchase. 33 C1" Portfolio Characteristics As of June 30, 2020 OCSD Lehman Exposure PortfolioPortfolio Average Maturity(yrs) 12.07 22.94 Modified Duration 0.00 0.00 Average Purchase Yield 0.00% 0.00% Average Market Yield 0.00% 0.00% Average Quality* NR/NR NR/NR Total Market Value 54,741 27,300 *Portfolio is S&P and Moody's,respectively. 34 Q11 Section 3 Consolidated Information C Portfolio Characteristics As of June 30, 2020 Orange County Sanitation District Consolidated Portfolio Portfolio Average Maturity(yrs) 2.24 2.34 Modified Duration 2.06 2.11 Average Purchase Yield 1.68% 2.07% Average Market Yield 0.30% 0.82% Average Quality* AA+/Aa1 AA+/Aa1 Total Market Value 801,946,074 703,858,168 *Portfolio is S&P and Moody's respectively. 36 C11% ISector Distribution As of June 30, 2020 Orange County Sanitation District Consolidated June 30, 2020 March 31, 2020 Commercial Paper ABS 1.6% ABS 3.7% 5.2% US Treasury 38.0% Agency Agency 23.7% US Treasury 26.3% 43.6% Supranational 4.8 Supranational CMO Negotiable CD 5.4/0 0.1% o CMO o 0.1/ Negotiable CD Municipal Bonds ' 0.2% Corporate 0.3% do V Pass Municipal Bonds 19 1% MortgageCorporate 0.2% Mortgage Pass Money Market Thru Money Market 20.8% Thru Fund FI 0.2% Fund FI 0.1% 1.3% 5.2% 37 Q1 LI Section 4 Portfolio Holdings C Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration ABS 83162CUO Small Business Administration 2001-20C 1 5,878.03 03/06/2001 5,878.03 101.04 5,939.19 0.00% Aaa/AA+ 0.67 6.340% Due 03/01/2021 6.34% 5,878.03 3.51% 124.22 61.16 AAA 0.38 43814PAC4 Honda Auto Receivables Trust 2017-3 A3 724,262.26 06/28/2018 712,775.91 100.37 726,925.32 0.12% NR/AAA 1.22 1.790% Due 09/20/2021 2.78% 719,917.13 0.25% 468.16 7,008.19 AAA 0.24 43814WAB1 Honda Auto Receivables Trust 2019-1 A2 1,743,638.56 02/19/2019 1,743,526.27 100.52 1,752,682.67 0.28% NR/AAA 1.22 2.750% Due 09/20/2021 2.77% 1,743,585.05 0.48% 1,731.53 9,097.62 AAA 0.23 47788BAD6 John Deere Owner Trust 2017-B A3 81,522.74 07/11/2017 81,516.77 100.19 81,677.31 0.01% Aaa/NR 1.29 1.820% Due 10/15/2021 1.83% 81,520.93 0.54% 65.94 156.38 AAA 0.15 65478GAD2 Nissan Auto Receivables Trust 2017-BA3 694,887.24 11/06/2018 684,111.06 100.24 696,589.03 0.11% Aaa/NR 1.29 1.750% Due 10/15/2021 3.10% 690,152.56 0.55% 540.47 6,436.47 AAA 0.20 89239AAB9 Toyota Auto Receivables Trust 2019-A A2A 1,195,272.54 02/05/2019 1,195,164.02 100.48 1,200,973.99 0.19% Aaa/AAA 1.29 2.830% Due 10/15/2021 2.85% 1,195,220.12 0.17% 1,503.39 5,753.87 NR 0.18 47789JAB2 John Deere Owner Trust 2019-AA2 1,125,770.32 03/05/2019 1,125,718.99 100.46 1,130,893.68 0.18% Aaa/NR 1.46 2.850% Due 12/15/2021 2.87% 1,125,743.23 0.39% 1,425.98 5,150.45 AAA 0.18 43815NABO Honda Auto Receivables Trust 2019-3 A2 3,068,744.89 08/20/2019 3,068,530.08 100.70 3,090,155.31 0.50% Aaa/AAA 1.79 1.900% Due 04/15/2022 1.92% 3,068,641.26 0.45% 2,591.38 21,514.05 NR 0.48 47788CAC6 John Deere Owner Trust 2018-AA3 597,304.53 02/21/2018 597,261.59 100.68 601,347.58 0.10% Aaa/NR 1.80 2.660% Due 04/18/2022 2.68% 597,285.88 0.74% 706.15 4,061.70 AAA 0.35 477870AB5 John Deere Owner Trust 2019-B A2 1,810,561.56 07/16/2019 1,810,554.68 100.61 1,821,642.09 0.29% Aaa/NR 1.88 2.280% Due 05/16/2022 2.29% 1,810,556.98 0.45% 1,834.70 11,085.11 AAA 0.33 43814UAG4 Honda Auto Receivables Trust 2018-2 A3 1,281,491.33 05/22/2018 1,281,463.39 101.39 1,299,318.08 0.21% NR/AAA 1.88 3.010% Due 05/18/2022 3.03% 1,281,478.10 0.41% 1,392.91 17,839.98 AAA 0.53 43815HAC1 Honda Auto Receivables Trust 2018-3 A3 3,184,523.11 08/21/2018 3,184,086.20 101.75 3,240,366.72 0.52% Aaa/NR 2.15 2.950% Due 08/22/2022 2.98% 3,184,288.29 0.22% 2,609.54 56,078.43 AAA 0.64 47788EAC2 John Deere Owner Trust 2018-B A3 3,585,766.52 07/18/2018 3,585,494.72 101.60 3,643,163.71 0.59% Aaa/NR 2.38 3.080% Due 11/15/2022 3.10% 3,585,616.81 0.33% 4,908.52 57,546.90 AAA 0.58 58770FAC6 Mercedes Benz Auto Lease Trust 2020-A A3 2,050,000.00 01/21/2020 2,049,729.81 101.53 2,081,428.55 0.33% Aaa/AAA 2.46 1.840% Due 12/15/2022 1.87% 2,049,769.40 0.66% 1,676.44 31,659.15 NR 1.28 65479GAD1 Nissan Auto Receivables Trust 2018-B A3 3,519,918.89 07/17/2018 3,519,804.85 102.06 3,592,379.17 0.58% Aaa/AAA 2.71 3.060% Due 03/15/2023 3.08% 3,519,852.45 0.40% 4,787.09 72,526.72 NR 0.77 78445JAA5 SLIM Student Loan Trust 2008-9 A 11,633.32 08/22/2008 11,586.12 97.84 11,382.44 0.00% Baa3/B 2.82 2.387% Due 04/25/2023 2.45% 11,624.26 2.63% 51.68 (241.82) B 2.57 39 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity �w Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 65479JAD5 Nissan Auto Receivables Owner 2019-CA3 4,185,000.00 10/16/2019 4,184,779.03 102.78 4,301,418.33 0.69% Aaa/AAA 4.04 1.930% Due 07/15/2024 1.94% 4,184,811.27 0.48% 3,589.80 116,607.06 NR 1.89 28,841,981.52 29,278,283.17 4.70% Aaa/AAA 2.31 TOTAL ABS 28,866,175.84 2.59% 28,855,941.75 0.41% 30,007.90 422,341.42 Aaa 0.75 Agency 3137EAEK1 FHLMC Note 5,000,000.00 Various 4,986,225.00 100.64 5,032,165.00 0.81% Aaa/AA+ 0.38 1.875% Due 11/17/2020 1.97% 4,998,220.65 0.18% 11,458.33 33,944.35 AAA 0.38 3135GOF73 FNMA Note 7,500,000.00 Various 7,370,726.00 100.54 7,540,357.50 1.21% Aaa/AA+ 0.42 1.500% Due 11/30/2020 1.87% 7,489,147.29 0.21% 9,687.50 51,210.21 AAA 0.42 3137EAEL9 FHLMC Note 7,500,000.00 02/26/2018 7,484,475.00 101.34 7,600,470.00 1.23% Aaa/AA+ 0.63 2.375% Due 02/16/2021 2.45% 7,496,708.99 0.24% 66,796.88 103,761.01 AAA 0.62 313OA7CV5 FHLB Note 5,365,000.00 02/17/2016 5,343,325.40 100.73 5,404,357.64 0.87% Aaa/AA+ 0.64 1.375% Due 02/18/2021 1.46% 5,362,247.67 0.22% 27,253.45 42,109.97 AAA 0.63 3135GOJ20 FNMA Note 10,000,000.00 Various 10,040,950.00 100.74 10,073,500.00 1.62% Aaa/AA+ 0.66 1.375% Due 02/26/2021 1.28% 10,005,864.66 0.25% 47,743.06 67,635.34 AAA 0.65 31337911137 FHLB Note 4,000,000.00 08/30/2017 4,030,160.00 101.51 4,060,200.00 0.65% Aaa/AA+ 0.95 1.875% Due 06/11/2021 1.67% 4,007,540.00 0.28% 4,166.67 52,660.00 AAA 0.94 3135GOU35 FNMA Note 7,500,000.00 06/28/2018 7,515,225.00 102.49 7,686,390.00 1.23% Aaa/AA+ 0.98 2.750% Due 06/22/2021 2.68% 7,504,977.13 0.20% 5,156.25 181,412.87 AAA 0.97 3135GOS38 FNMA Note 3,000,000.00 01/30/2017 2,994,570.00 102.74 3,082,209.00 0.50% Aaa/AA+ 1.52 2.000% Due 01/05/2022 2.04% 2,998,331.78 0.19% 29,333.33 83,877.22 AAA 1.48 3135GOT45 FNMA Note 5,000,000.00 05/05/2017 4,972,500.00 102.95 5,147,570.00 0.83% Aaa/AA+ 1.76 1.875% Due 04/05/2022 1.99% 4,990,138.04 0.20% 22,395.83 157,431.96 AAA 1.73 3133ELYR9 FFCB Note 8,850,000.00 04/30/2020 8,838,760.50 100.02 8,852,008.95 1.42% Aaa/AA+ 1.85 0.250% Due 05/06/2022 0.31% 8,839,622.71 0.24% 3,380.21 12,386.24 AAA 1.84 3135GOT94 FNMA Note 5,000,000.00 Various 4,910,990.00 105.64 5,282,125.00 0.86% Aaa/AA+ 2.56 2.375% Due 01/19/2023 2.78% 4,952,394.51 0.16% 53,437.50 329,730.49 AAA 2.47 313383QR5 FHLB Note 5,000,000.00 08/28/2018 5,083,350.00 108.51 5,425,540.00 0.87% Aaa/AA+ 2.94 3.250% Due 06/09/2023 2.87% 5,051,251.89 0.34% 9,930.56 374,288.11 NR 2.83 3137EAEN5 FHLMC Note 10,000,000.00 Various 9,956,500.00 107.49 10,748,650.00 1.73% Aaa/AA+ 2.97 2.750% Due 06/19/2023 2.84% 9,973,884.35 0.22% 9,166.66 774,765.65 AAA 2.87 313383YJ4 FHLB Note 10,000,000.00 Various 10,211,831.00 109.77 10,976,920.00 1.78% Aaa/AA+ 3.19 3.375% Due 09/08/2023 2.88% 10,145,102.82 0.29% 105,937.50 831,817.18 NR 3.02 3130AOF70 FHLB Note 10,000,000.00 Various 10,269,043.75 110.37 11,037,290.01 1.77% Aaa/AA+ 3.44 3.375% Due 12/08/2023 2.79% 10,187,377.86 0.34% 21,562.51 849,912.15 AAA 3.27 40 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 3135GOV34 FNMA Note 5,000,000.00 02/27/2019 4,980,850.00 107.85 5,392,740.00 0.87% Aaa/AA+ 3.60 2.500% Due 02/05/2024 2.58% 4,986,043.76 0.30% 50,694.44 406,696.24 AAA 3.43 3130A1XJ2 FHLB Note 11,110,000.00 Various 11,589,031.30 109.71 12,189,058.75 1.96% Aaa/AA+ 3.96 2.875% Due 06/14/2024 1.96% 11,489,436.36 0.40% 15,083.37 699,622.39 NR 3.77 3133EKWV4 FFCB Note 5,000,000.00 08/13/2019 5,048,280.00 105.90 5,294,905.00 0.86% Aaa/AA+ 4.07 1.850% Due 07/26/2024 1.65% 5,039,681.46 0.39% 39,826.39 255,223.54 AAA 3.91 313OA2UW4 FHLB Note 2,500,000.00 09/12/2019 2,635,950.00 110.42 2,760,387.50 0.45% Aaa/AA+ 4.21 2.875% Due 09/13/2024 1.73% 2,614,221.81 0.37% 21,562.50 146,165.69 AAA 3.96 3135GOX24 FNMA Note 10,000,000.00 Various 10,157,936.40 105.35 10,535,330.00 1.70% Aaa/AA+ 4.53 1.625% Due 01/07/2025 1.28% 10,149,624.27 0.43% 77,187.51 385,705.73 AAA 4.34 3137EAEPO FHLMC Note 12,335,000.00 Various 12,510,182.05 104.78 12,924,724.02 2.08% Aaa/NR 4.62 1.500% Due 02/12/2025 1.20% 12,498,779.66 0.45% 70,412.29 425,944.36 AAA 4.45 313OA4CH3 FHLB Note 5,225,000.00 03/19/2020 5,526,848.25 108.93 5,691,373.05 0.92% Aaa/AA+ 4.71 2.375% Due 03/14/2025 1.18% 5,509,765.63 0.46% 36,883.42 181,607.42 AAA 4.45 3135GO3U5 FNMA Note 14,000,000.00 Various 13,996,711.60 100.81 14,113,400.00 2.27% NR/AA+ 4.81 0.625% Due 04/22/2025 0.63% 13,996,873.36 0.45% 16,284.72 116,526.64 AAA 4.73 3135GO4Z3 FNMA Note 9,905,000.00 06/17/2020 9,884,496.65 100.04 9,908,783.71 1.59% NR/AA+ 4.97 0.500% Due 06/17/2025 0.54% 9,884,631.54 0.49% 1,650.83 24,152.17 AAA 4.90 180,338,917.90 186,760,455.13 30.09% Aaa/AA+ 2.94 TOTAL Agency 178,790,000.00 1.79% 180,171,868.20 0.32% 756,991.71 6,588,586.93 Aaa 2.83 CMO ' 03215PFN4 AMRESCOResidential Securities 1999-1A 119,021.64 05/20/2011 89,377.81 79.49 94,610.30 0.02% NR/A+ 8.99 1.124% Due 06/25/2029 4.59% 104,300.68 4.41% 22.29 (9,690.38) BBB 6.91 3133TCE95 FHLMC FSPC E3 A 5,161.50 03/11/1998 5,166.91 100.11 5,166.92 0.00% Aaa/AA+ 12.13 4.023% Due 08/15/2032 3.98% 5,163.41 2.63% 17.30 3.51 AAA 2.44 31397QREO FNMA FNR 2011-3 FA 157,756.33 12/20/2010 157,707.03 100.89 159,155.63 0.03% Aaa/AA+ 20.67 0.864% Due 02/25/2041 0.86% 157,722.48 0.64% 22.71 1,433.15 AAA 4.25 31394JY35 FHLMC FSPC T-58 2A 609,746.75 06/09/2011 690,538.19 119.00 725,574.24 0.12% Aaa/AA+ 23.25 6.500% Due 09/25/2043 5.40% 667,892.47 0.10% 660.56 57,681.77 AAA 1.40 942,789.94 984,507.09 0.16% Aaa/AA+ 21.41 TOTAL CMO 891,686.22 4.58% 935,079.04 0.61% 722.86 49,428.05 Aaa 2.39 41 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration Corporate 94974BGM6 Wells Fargo Corp Note 5,000,000.00 07/16/2015 5,001,650.00 100.12 5,006,100.00 0.81% A2/A- 0.06 2.600% Due 07/22/2020 2.59% 5,000,018.97 0.60% 57,416.67 6,081.03 A+ 0.06 037833BS8 Apple Inc Callable Note Cont 1/23/2021 4,000,000.00 05/23/2016 4,050,840.00 101.10 4,043,908.00 0.65% Aal/AA+ 0.65 2.250% Due 02/23/2021 1.96% 4,006,149.76 0.30% 32,000.00 37,758.24 NR 0.56 30231GAV4 Exxon Mobil Corp Callable Note Cont 2/1/2021 3,000,000.00 Various 3,016,097.40 101.15 3,034,482.00 0.49% Aal/AA 0.67 2.222% Due 03/01/2021 2.10% 3,002,249.38 0.50% 22,220.00 32,232.62 NR 0.66 369550BE7 General Dynamics Corp Note 3,160,000.00 05/08/2018 3,138,038.00 102.31 3,232,958.08 0.52% A2/A 0.86 3.000% Due 05/11/2021 3.24% 3,153,707.97 0.32% 13,166.67 79,250.11 NR 0.86 166764BG4 Chevron Corp Callable Note Cont 4/15/2021 2,500,000.00 05/20/2016 2,485,350.00 101.37 2,534,357.50 0.41% Aa2/AA 0.88 2.100% Due 05/16/2021 2.23% 2,497,427.99 0.36% 6,562.50 36,929.51 NR 0.79 61747WAL3 Morgan Stanley Note 2,800,000.00 06/06/2014 3,200,848.00 105.30 2,948,422.40 0.48% A3/BBB+ 1.08 5.500% Due 07/28/2021 3.24% 2,860,342.71 0.56% 65,450.00 88,079.69 A 1.04 59491813138 Microsoft Callable Note Cont 7/8/2021 3,045,000.00 Various 3,041,385.15 101.37 3,086,686.05 0.50% Aaa/AAA 1.11 1.550% Due 08/08/2021 1.57% 3,044,202.19 0.21% 18,747.89 42,483.86 AA+ 1.01 68389XBKO Oracle Corp Callable Note Cont 8/15/2021 3,000,000.00 06/28/2018 2,892,240.00 101.71 3,051,270.00 0.49% A3/A 1.21 1.900% Due 09/15/2021 3.08% 2,959,521.16 0.38% 16,783.33 91,748.84 A- 1.11 404280BF5 HSBC Holdings PLC Note 4,500,000.00 Various 4,429,980.00 103.06 4,637,565.00 0.75% A2/A- 1.52 2.650% Due 01/05/2022 3.08% 4,472,549.62 0.62% 58,300.00 165,015.38 A+ 1.47 06406RAA5 Bank of NY Mellon Corp Callable Note Cont 1/7/2022 2,500,000.00 02/08/2017 2,504,475.00 103.30 2,582,402.50 0.42% Al/A 1.61 2.600% Due 02/07/2022 2.56% 2,501,388.28 0.42% 26,000.00 81,014.22 AA- 1.48 69353RFB9 PNC Bank Callable Note Cont 1/18/2022 1,000,000.00 03/26/2018 974,940.00 103.60 1,035,967.00 0.17% A2/A 1.64 2.625% Due 02/17/2022 3.32% 989,496.65 0.30% 9,770.83 46,470.35 A+ 1.51 084664BT7 Berkshire Hathaway Note 4,000,000.00 05/23/2017 4,131,120.00 104.89 4,195,728.00 0.68% Aa2/AA 1.87 3.000% Due 05/15/2022 2.30% 4,049,341.58 0.38% 15,333.33 146,386.42 A+ 1.83 95000U2138 Wells Fargo&Company Note 3,000,000.00 Various 2,954,520.00 104.18 3,125,430.00 0.51% A2/A- 2.06 2.625% Due 07/22/2022 2.99% 2,979,167.43 0.58% 34,781.26 146,262.57 A+ 1.99 00440EAUl Chubb INA Holdings Inc Callable Note Cont 9/3/2022 4,169,000.00 Various 4,232,453.17 105.09 4,381,193.76 0.71% A3/A 2.35 2.875% Due 11/03/2022 2.54% 4,197,681.86 0.52% 19,310.58 183,511.90 A 2.11 90331HNL3 US Bank NA Callable Note Cont 12/23/22 2,000,000.00 01/29/2018 1,992,640.00 105.59 2,111,852.00 0.34% Al/AA- 2.57 2.850% Due 01/23/2023 2.93% 1,996,210.69 0.58% 25,016.67 115,641.31 AA- 2.38 808513AT2 Charles Schwab Corp Callable Note Cont 12/25/2022 6,750,000.00 05/21/2019 6,729,480.00 105.16 7,098,570.00 1.15% A2/A 2.57 2.650% Due 01/25/2023 2.74% 6,735,668.09 0.56% 77,512.50 362,901.91 A 2.39 42 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description T ir Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 06406RAE7 Bank of NY Mellon Corp Callable Note Cont 12/29/2022 2,500,000.00 Various 2,489,555.00 106.32 2,658,120.00 0.43% Al/A 2.58 2.950% Due O1/29/2023 3.03% 2,495,078.04 0.40% 31,138.89 163,041.96 AA- 2.40 44932HAH6 IBM Credit Corp Note 5,670,000.00 Various 5,603,264.40 106.39 6,032,216.62 0.98% A2/A 2.61 3.000% Due 02/06/2023 3.26% 5,634,182.07 0.52% 68,512.50 398,034.55 NR 2.49 00440EAP2 Chubb INA Holdings Inc Note 2,000,000.00 05/24/2018 1,937,000.00 105.49 2,109,796.00 0.34% A3/A 2.70 2.700% Due 03/13/2023 3.42% 1,964,519.73 0.65% 16,200.00 145,276.27 A 2.60 084670BR8 Berkshire Hathaway Callable Note Cont 1/15/2023 2,500,000.00 04/20/2018 2,440,950.00 105.90 2,647,597.50 0.43% Aa2/AA 2.71 2.750% Due 03/15/2023 3.28% 2,467,367.11 0.41% 20,243.06 180,230.39 A+ 2.45 58933YAF2 Merck&Co Note 2,000,000.00 10/26/2018 1,948,640.00 106.55 2,131,080.00 0.34% Al/AA- 2.88 2.800% Due 05/18/2023 3.41% 1,967,501.89 0.51% 6,688.89 163,578.11 A+ 2.78 46625HRL6 JP Morgan Chase Callable Note Cont 3/18/2023 5,000,000.00 Various 4,821,910.00 105.40 5,270,080.00 0.85% A2/A- 2.88 2.700% Due 05/18/2023 3.59% 4,882,826.87 0.69% 16,125.00 387,253.13 AA- 2.62 69353RFL7 PNC Bank Callable Note Cont 5/9/2023 5,000,000.00 Various 4,993,318.05 108.08 5,404,200.00 0.87% A2/A 2.94 3.500% Due 06/08/2023 3.53% 4,996,071.20 0.64% 11,180.56 408,128.80 NR 2.74 166764AH3 Chevron Corp Callable Note Cont 3/24/2023 3,500,000.00 11/08/2018 3,441,095.00 107.15 3,750,232.50 0.60% Aa2/AA 2.98 3.191% Due 06/24/2023 3.59% 3,461,942.61 0.55% 2,171.65 288,289.89 NR 2.63 931142EK5 Wal-Mart Stores Callable Note Cont 5/26/2023 3,880,000.00 Various 3,878,991.40 108.94 4,226,743.96 0.68% Aa2/AA 2.99 3.400% Due 06/26/2023 3.41% 3,879,397.61 0.31% 1,832.22 347,346.35 AA 2.79 02665WCJ8 American Honda Finance Note 845,000.00 07/11/2018 843,538.15 107.60 909,181.13 0.15% A3/A- 3.04 3.450% Due 07/14/2023 3.49% 844,111.99 0.91% 13,523.52 65,069.14 NR 2.86 89114QC48 Toronto Dominion Bank Note 5,000,000.00 02/26/2019 5,094,200.00 109.33 5,466,455.00 0.89% Aal/AA- 3.05 3.500% Due 07/19/2023 3.04% 5,065,446.07 0.42% 78,750.00 401,008.93 AA 2.88 02665WCQ2 American Honda Finance Note 2,000,000.00 Various 1,998,320.00 108.63 2,172,588.00 0.35% A3/A- 3.28 3.625% Due 10/10/2023 3.64% 1,998,883.77 0.94% 16,312.50 173,704.23 NR 3.09 24422EUM9 John Deere Capital Corp Note 1,250,000.00 11/28/2018 1,250,237.50 109.95 1,374,377.50 0.22% A2/A 3.28 3.650% Due 10/12/2023 3.64% 1,250,160.12 0.59% 10,012.15 124,217.38 A 3.10 06051GHF9 Bank of America Corp Callable Note 1X 3/5/2023 6,675,000.00 Various 6,770,625.75 106.90 7,135,321.35 1.16% A2/A- 3.68 3.550% Due 03/05/2024 2.79% 6,746,569.42 0.94% 76,354.59 388,751.93 A+ 2.55 09247XAL5 Blackrock Inc Note 1,000,000.00 05/09/2019 1,036,330.00 110.77 1,107,746.00 0.18% Aa3/AA- 3.72 3.500% Due 03/18/2024 2.69% 1,027,816.76 0.57% 10,013.89 79,929.24 NR 3.49 458140BD1 Intel Corp Callable Note Cont 3/11/2024 5,000,000.00 05/09/2019 5,025,900.00 108.33 5,416,540.00 0.87% Al/A+ 3.87 2.875% Due 05/11/2024 2.76% 5,019,806.75 0.59% 19,965.28 396,733.25 A+ 3.52 037833CU2 Apple Inc Callable Note Cont 3/11/2024 3,000,000.00 05/17/2019 3,017,760.00 107.69 3,230,766.00 0.52% Aal/AA+ 3.87 2.850% Due 05/11/2024 2.72% 3,013,643.64 0.74% 11,875.00 217,122.36 NR 3.52 43 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt:YTM Accrued Int. Gain/Loss Fitch Duration 89114QCA4 Toronto Dominion Bank Note 3,000,000.00 06/12/2019 3,000,570.00 107.01 3,210,252.00 0.52% Aa3/A 3.95 2.650% Due 06/12/2024 2.65% 3,000,450.38 0.84% 4,195.83 209,801.62 AA- 3.76 02665WCZ2 American Honda Finance Note 1,219,000.00 07/10/2019 1,213,843.63 105.11 1,281,334.78 0.21% A3/A- 3.99 2.400% Due 06/27/2024 2.49% 1,214,853.85 1.09% 325.07 66,480.93 NR 3.81 78013XZU5 Royal Bank of Canada Note 6,500,000.00 09/10/2019 6,581,445.00 106.19 6,902,655.50 1.12% A2/A 4.05 2.550% Due 07/16/2024 2.28% 6,567,955.24 0.98% 75,968.75 334,700.26 AA 3.81 46647PAUO JP Morgan Chase&Co Callable Note 1X 7/23/2023 2,500,000.00 09/12/2019 2,632,175.00 108.48 2,711,947.50 0.44% A2/A- 4.07 3.797% Due 07/23/2024 2.13% 2,610,618.24 1.03% 41,661.53 101,329.26 AA- 3.74 90331HPL3 US Bank NA Callable Note Cont 12/21/2024 7,270,000.00 01/16/2020 7,254,514.90 105.64 7,679,729.93 1.24% Al/AA- 4.56 2.050% Due 01/21/2025 2.10% 7,255,887.96 0.77% 66,237.78 423,841.97 AA- 4.25 438516CBO Honeywell Intl Callable Note Cont 5/1/2025 5,000,000.00 06/23/2020 5,119,000.00 102.41 5,120,735.00 0.82% A2/A 4.92 1.350% Due 06/01/2025 0.85% 5,118,596.84 0.84% 8,062.50 2,138.16 A 4.67 137,169,240.50 144,056,588.56 23.29% Al/A+ 2.71 TOTAL Corporate 136,733,000.00 2.76% 136,928,812.49 0.61% 1,105,723.39 7,127,776.07 A+ 2.48 Money Market Fund FI 31846V567 First American Govt Obligation MMKT Class-Z 6,486,691.74 Various 6,486,691.74 1.00 6,486,691.74 1.04% Aaa/AAA 0.00 0.06% 6,486,691.74 0.06% 0.00 0.00 AAA 0.00 6,486,691.74 6,486,691.74 1.04% Aaa/AAA 0.00 TOTAL Money Market Fund FI 6,486,691.74 0.06% 6,486,691.74 0.06% 0.00 0.00 Aaa 0.00 Mortgage Pass Thru 31381PDA3 FNMA FN 466397 330,694.50 12/01/2010 323,538.09 99.96 330,552.96 0.05% Aaa/AA+ 0.34 3.400% Due 11/01/2020 3.80% 330,451.21 3.01% 218.63 101.75 AAA 0.38 36225CAZ9 GNMA Pool#G2 80023 13,379.70 08/08/1997 13,601.28 103.73 13,878.39 0.00% Aaa/AA+ 6.48 3.030% Due 12/20/2026 2.92% 13,428.59 1.28% 33.78 449.80 AAA 2.99 36225CC20 GNMA Pool#G2 80088 11,200.90 08/11/1997 11,445.93 100.29 11,233.47 0.00% Aaa/AA+ 6.98 3.410% Due 06/20/2027 3.27% 11,258.16 1.56% 31.83 (24.69) AAA 2.88 31348SWZ3 FHLMC FH 786064 1,674.40 02/18/2000 1,633.63 100.33 1,679.93 0.00% Aaa/AA+ 7.51 3.887% Due 01/01/2028 4.09% 1,663.42 1.83% 5.42 16.51 AAA 3.48 31371NUC7 FNMA FN 257179 12,561.37 12/05/2011 13,284.89 107.34 13,483.90 0.00% Aaa/AA+ 7.76 4.500% Due 04/01/2028 3.72% 12,905.33 1.17% 47.11 578.57 AAA 2.61 31417YAY3 FNMA Pool#FN MA0022 13,379.33 12/05/2011 14,149.96 107.60 14,396.09 0.00% Aaa/AA+ 8.76 4.500% Due 04/01/2029 3.76% 13,769.03 1.01% 50.17 627.06 AAA 2.78 44 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 3138EG6F6 FNMA FN AL0869 8,343.85 12/05/2011 8,824.46 107.63 8,980.50 0.00% Aaa/AA+ 8.93 4.500% Due 06/01/2029 3.77% 8,589.16 1.07% 7.30 391.34 AAA 2.83 36225CNM4 GNMA Pool#G2 80395 5,478.30 03/15/2000 5,428.62 104.32 5,714.86 0.00% Aaa/AA+ 9.81 3.410% Due 04/20/2030 3.49% 5,462.02 1.20% 15.57 252.84 AAA 2.93 36225CN28 GNMA Pool#G2 80408 42,825.32 03/15/2000 42,390.37 104.32 44,674.82 0.01% Aaa/AA+ 9.89 3.410% Due 05/20/2030 3.49% 42,681.96 1.31% 121.70 1,992.86 AAA 3.71 31403GXF4 FNMA Pool#FN 748678 1,698.70 06/10/2013 1,826.11 112.92 1,918.13 0.00% Aaa/AA+ 13.26 5.000% Due 10/01/2033 4.16% 1,782.22 0.80% 7.08 135.91 AAA 3.49 36225DCB8 GNMA Pool#G2 80965 37,515.20 07/19/2004 37,491.77 104.88 39,347.70 0.01% Aaa/AA+ 14.06 3.230% Due 07/20/2034 3.24% 37,504.19 1.09% 100.98 1,843.51 AAA 3.06 31406XWT5 FNMA Pool#FN 823358 94,583.84 01/11/2006 93,844.90 104.81 99,137.30 0.02% Aaa/AA+ 14.60 3.640% Due 02/01/2035 3.71% 94,212.42 1.20% 286.89 4,924.88 AAA 3.23 31406PQY8 FNMA Pool#FN 815971 127,040.33 06/10/2013 136,568.37 114.62 145,614.77 0.02% Aaa/AA+ 14.68 5.000% Due 03/01/2035 4.21% 133,500.92 0.97% 529.33 12,113.85 AAA 3.74 31407BXH7 FNMA Pool#FN 826080 16,312.00 06/10/2013 17,535.40 114.91 18,743.78 0.00% Aaa/AA+ 15.01 5.000% Due 07/01/2035 4.22% 17,147.53 0.98% 67.97 1,596.25 AAA 3.74 31376KT22 FNMA FN 357969 84,756.46 06/10/2013 91,113.18 114.89 97,374.92 0.02% Aaa/AA+ 15.18 5.000% Due 09/01/2035 4.22% 89,113.29 1.01% 82.40 8,261.63 AAA 3.78 31403DJZ3 FNMA Pool#745580 80,220.19 06/10/2013 86,236.69 114.84 92,122.54 0.01% Aaa/AA+ 15.93 5.000% Due 06/01/2036 4.26% 84,405.89 1.03% 334.25 7,716.65 AAA 3.79 31430F4V4 FNMA Pool#FN 888336 155,553.56 06/10/2013 167,220.09 114.74 178,483.87 0.03% Aaa/AA+ 16.01 5.000% Due 07/01/2036 4.25% 163,682.71 1.00% 648.14 14,801.16 AAA 3.77 1,066,133.74 1,117,337.93 0.18% Aaa/AA+ 10.17 TOTAL Mortgage Pass Thru 1,037,217.95 3.95% 1,061,558.05 1.64% 2,588.55 55,779.88 Aaa 2.63 Municipal Bonds 64971M5E8 New York NY TE-REV 1,400,000.00 10/27/2010 1,400,000.00 101.13 1,415,764.00 0.23% Aa1/AAA 0.34 4.075% Due 11/01/2020 4.08% 1,400,000.00 0.71% 9,508.33 15,764.00 AAA 0.34 913366EJ5 Univ of California Rgts Med TE-REV 400,000.00 11/09/2010 400,000.00 103.33 413,304.00 0.07% Aa3/AA- 0.87 5.035% Due 05/15/2021 5.04% 400,000.00 1.20% 2,573.44 13,304.00 AA- 0.86 1,800,000.00 1,829,068.00 0.30% Aa1/AAA 0.46 TOTAL Municipal Bonds 1,800,000.00 4.29% 1,800,000.00 0.82% 12,081.77 29,068.00 Aaa 0.45 Supranational 45950KCMO International Finance Corp Note 2,970,000.00 01/18/2018 2,961,268.20 101.09 3,002,224.50 0.49% Aaa/AAA 0.57 2.250% Due 01/25/2021 2.35% 2,968,342.87 0.34% 28,957.50 33,881.63 NR 0.56 45 Q1 IHoldings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 4581XOCS5 Inter-American Dev Bank Note 5,000,000.00 Various 5,059,610.00 101.00 5,049,800.00 0.81% Aaa/AAA 0.71 1.875% Due 03/15/2021 1.69% 5,006,409.10 0.46% 27,604.17 43,390.90 AAA 0.70 45950KCJ7 International Finance Corp Note 2,500,000.00 11/09/2016 2,441,600.00 100.82 2,520,525.00 0.41% Aaa/AAA 1.05 1.125% Due 07/20/2021 1.64% 2,486,908.58 0.35% 12,578.13 33,616.42 NR 1.05 4581XOCW6 Inter-American Dev Bank Note 3,000,000.00 01/10/2017 2,996,310.00 102.78 3,083,499.00 0.50% Aaa/NR 1.55 2.125% Due 01/18/2022 2.15% 2,998,856.22 0.32% 28,864.58 84,642.78 AAA 1.52 459058FY4 Intl.Bank Recon&Development Note 10,000,000.00 Various 10,006,350.00 102.70 10,270,280.00 1.66% Aaa/NR 1.58 2.000% Due 01/26/2022 1.99% 10,001,507.74 0.28% 86,111.12 268,772.26 AAA 1.54 4581XOCZ9 Inter-American Dev Bank Note 6,500,000.00 Various 6,249,655.00 103.24 6,710,561.00 1.08% Aaa/AAA 2.21 1.750% Due 09/14/2022 2.65% 6,379,248.55 0.28% 33,809.02 331,312.45 AAA 2.16 459058JBO Intl.Bank Recon&Development Note 6,245,000.00 04/15/2020 6,220,831.85 100.81 6,295,509.56 1.01% Aaa/AAA 4.81 0.625% Due 04/22/2025 0.70% 6,221,758.34 0.45% 7,480.99 73,751.22 NR 4.73 35,935,625.05 36,932,399.06 5.96% Aaa/AAA 2.00 TOTAL Supranational 36,215,000.00 1.87% 36,063,031.40 0.35% 225,405.51 869,367.66 Aaa 1.96 US Treasury 9127963QO US Treasury Bill 10,000,000.00 06/29/2020 9,997,814.44 99.98 9,997,853.47 1.60% P-1/A-1+ 0.15 0.141% Due 08/25/2020 0.14% 9,997,853.47 0.14% 0.00 0.00 F-1+ 0.15 912828L99 US Treasury Note 7,000,000.00 Various 6,895,217.98 100.39 7,027,475.00 1.13% Aaa/AA+ 0.34 1.375% Due 10/31/2020 1.81% 6,990,289.46 0.20% 16,216.03 37,185.54 AAA 0.33 912828N89 US Treasury Note 6,000,000.00 Various 5,895,840.41 100.69 6,041,250.00 0.97% Aaa/AA+ 0.59 1.375% Due 01/31/2021 1.81% 5,985,274.07 0.20% 34,450.55 55,975.93 AAA 0.58 912828T34 US Treasury Note 7,000,000.00 Various 6,757,914.08 101.19 7,083,125.00 1.14% Aaa/AA+ 1.25 1.125% Due 09/30/2021 1.88% 6,937,084.09 0.17% 19,795.09 146,040.91 AAA 1.24 912828T67 US Treasury Note 6,000,000.00 12/13/2016 5,813,691.98 101.43 6,086,016.00 0.98% Aaa/AA+ 1.34 1.250% Due 10/31/2021 1.92% 5,949,084.17 0.17% 12,635.87 136,931.83 AAA 1.32 912828U65 US Treasury Note 7,000,000.00 12/28/2016 6,900,492.20 102.23 7,156,135.00 1.15% Aaa/AA+ 1.42 1.750% Due 11/30/2021 2.06% 6,971,371.43 0.17% 10,375.68 184,763.57 AAA 1.40 912828V72 US Treasury Note 3,000,000.00 02/27/2017 3,004,814.74 102.68 3,080,274.00 0.50% Aaa/AA+ 1.59 1.875% Due 01/31/2022 1.84% 3,001,550.46 0.18% 23,489.01 78,723.54 AAA 1.56 912828J76 US Treasury Note 5,000,000.00 04/25/2017 4,976,383.94 102.75 5,137,500.00 0.83% Aaa/AA+ 1.75 1.750% Due 03/31/2022 1.85% 4,991,629.42 0.18% 21,994.54 145,870.58 AAA 1.72 912828XW5 US Treasury Note 5,000,000.00 07/25/2017 4,973,454.25 103.15 5,157,420.00 0.83% Aaa/AA+ 2.00 1.750% Due 06/30/2022 1.86% 4,989,248.97 0.17% 237.77 168,171.03 AAA 1.97 912828L24 US Treasury Note 6,000,000.00 09/27/2017 5,987,832.60 103.68 6,221,016.00 1.00% Aaa/AA+ 2.17 1.875% Due 08/31/2022 1.92% 5,994,647.16 0.17% 37,601.90 226,368.84 AAA 2.12 46 Q11 Holdings Report As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration 9128281-57 US Treasury Note 16,000,000.00 Various 15,822,656.25 103.54 16,566,880.00 2.67% Aaa/AA+ 2.25 1.750% Due 09/30/2022 1.98% 15,920,669.67 0.17% 70,382.52 646,210.33 AAA 2.21 9128281VI80 US Treasury Note 8,000,000.00 12/22/2017 7,907,500.00 104.40 8,352,184.00 1.34% Aaa/AA+ 2.42 2.000% Due 11/30/2022 2.25% 7,954,675.00 0.17% 13,551.91 397,509.00 AAA 2.37 912828N30 US Treasury Note 5,000,000.00 01/24/2018 4,926,562.50 104.87 5,243,555.00 0.84% Aaa/AA+ 2.50 2.125% Due 12/31/2022 2.44% 4,962,771.55 0.17% 288.72 280,783.45 AAA 2.45 9128284D9 US Treasury Note 10,000,000.00 Various 9,887,265.63 106.36 10,636,330.00 1.72% Aaa/AA+ 2.75 2.500% Due 03/31/2023 2.75% 9,937,310.77 0.18% 62,841.53 699,019.23 AAA 2.66 9128281369 US Treasury Note 5,000,000.00 05/30/2018 4,757,226.56 104.21 5,210,545.00 0.84% Aaa/AA+ 2.92 1.625% Due 05/31/2023 2.67% 4,858,537.27 0.18% 6,881.83 352,007.73 AAA 2.86 912828U57 US Treasury Note 15,000,000.00 Various 14,723,632.81 106.56 15,984,375.00 2.57% Aaa/AA+ 3.42 2.125% Due 11/30/2023 2.53% 14,804,631.58 0.20% 26,997.95 1,179,743.42 AAA 3.31 912828V80 US Treasury Note 7,500,000.00 Various 7,491,503.91 107.31 8,048,437.50 1.30% Aaa/AA+ 3.59 2.250% Due 01/31/2024 2.27% 7,493,627.06 0.20% 70,467.03 554,810.44 AAA 3.44 912828W48 US Treasury Note 10,000,000.00 04/24/2019 9,911,718.75 107.02 10,701,560.00 1.73% Aaa/AA+ 3.67 2.125% Due 02/29/2024 2.32% 9,933,303.04 0.20% 71,025.82 768,256.96 AAA 3.53 912828WJ5 US Treasury Note 7,000,000.00 06/10/2019 7,193,046.88 108.80 7,616,056.00 1.23% Aaa/AA+ 3.88 2.500% Due 05/15/2024 1.91% 7,151,649.05 0.22% 22,350.54 464,406.95 AAA 3.71 912828XX3 US Treasury Note 5,000,000.00 07/12/2019 5,028,710.94 107.07 5,353,320.00 0.86% Aaa/AA+ 4.00 2.000% Due 06/30/2024 1.88% 5,023,133.54 0.22% 271.74 330,186.46 AAA 3.87 912828WUO US Treasury Inflation Index Note 11,232,208.00 Various 11,120,397.98 104.45 11,731,614.42 1.88% Aaa/AA+ 4.04 0.125% Due 07/15/2024 0.23% 11,186,863.00 (0.95%) 6,480.13 544,751.42 AAA 4.05 912828YH7 US Treasury Note 14,000,000.00 Various 13,859,296.88 105.33 14,745,934.00 2.37% Aaa/AA+ 4.25 1.500% Due 09/30/2024 1.72% 13,875,026.65 0.24% 52,786.88 870,907.35 AAA 4.12 9128283.17 US Treasury Note 16,500,000.00 Various 16,783,886.72 108.25 17,860,606.50 2.87% Aaa/AA+ 4.42 2.125% Due 11/30/2024 1.76% 16,753,269.86 0.25% 29,697.75 1,107,336.64 AAA 4.24 912828ZL7 US Treasury Note 12,000,000.00 Various 11,998,515.63 100.45 12,054,372.00 1.94% Aaa/AA+ 4.84 0.375% Due 04/30/2025 0.38% 11,998,509.90 0.28% 7,581.52 55,862.10 AAA 4.79 202,615,378.06 213,093,833.89 34.29% Aaa/AA+ 2.86 TOTAL US Treasury 204,232,208.00 1.79% 203,662,010.64 0.14% 618,402.31 9,431,823.25 Aaa 2.78 595,196,758.45 620,539,164.57 100.00% Aa1/AA 2.77 TOTAL PORTFOLIO 595,051,979.75 2.06% 595,964,993.31 0.33% 2,751,924.00 24,574,171.26 Aaa 2.55 TOTAL MARKET VALUE PLUS ACCRUALS 623,291,088.57 47 Q11 Holdings Report As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration Cy 313384ZXO FHLB Discount Note 2,500,000.00 04/17/2020 2,498,737.50 99.99 2,499,675.00 1.40% P-1/A-1+ 0.07 0.180% Due 07/27/2020 0.18% 2,499,675.00 0.18% 0.00 0.00 F-1+ 0.07 313384ZZ5 FHLB Discount Note 5,000,000.00 04/29/2020 4,998,750.00 99.99 4,999,611.11 2.80% P-1/A-1+ 0.08 0.100% Due 07/29/2020 0.10% 4,999,611.11 0.10% 0.00 0.00 F-1+ 0.08 313312H60 FFCB Discount Note 3,000,000.00 04/30/2020 2,998,615.83 99.97 2,999,184.16 1.68% P-1/A-1+ 0.25 0.110% Due 09/28/2020 0.22% 2,999,184.16 0.22% 568.33 0.00 F-1+ 0.25 313384K57 FHLB Discount Note 6,500,000.00 04/30/2020 6,496,403.33 99.97 6,497,746.66 3.64% P-1/A-1+ 0.29 0.120% Due 10/13/2020 0.12% 6,497,746.66 0.12% 0.00 0.00 F-1+ 0.29 313384Q77 FHLB Discount Note 4,800,000.00 04/29/2020 4,796,656.00 99.95 4,797,664.00 2.69% P-1/A-1+ 0.40 0.120% Due 11/24/2020 0.12% 4,797,664.00 0.12% 0.00 0.00 F-1+ 0.40 313385AD8 FHLB Discount Note 1,500,000.00 04/30/2020 1,498,340.00 99.92 1,498,753.33 0.84% P-1/A-1+ 0.52 0.160% Due 01/04/2021 0.16% 1,498,753.33 0.16% 0.00 0.00 F-1+ 0.51 23,287,502.66 23,292,634.26 13.04% Aaa/AAA 0.25 TOTAL Agency 23,300,000.00 0.14% 23,292,634.26 0.14% 568.33 0.00 Aaa 0.25 Corporate 46625HHU7 JP Morgan Chase Note 1,160,000.00 05/26/2020 1,176,924.40 101.13 1,173,132.36 0.66% A2/A- 0.29 4.250% Due 10/15/2020 0.41% 1,172,814.19 0.36% 10,407.78 318.17 AA- 0.29 46625HNX4 JP Morgan Chase Callable Note Cont 09/29/2020 1,000,000.00 04/22/2020 1,005,900.00 100.51 1,005,101.00 0.57% A2/A- 0.33 2.550% Due 10/29/2020 1.17% 1,003,360.76 0.48% 4,391.67 1,740.24 AA- 0.25 00440EAT4 Chubb INA Holdings Inc Callable Note Cont 10/3/2020 500,000.00 05/26/2020 503,140.00 100.48 502,415.50 0.28% A3/A 0.35 2.300% Due 11/03/2020 0.49% 502,305.94 0.43% 1,852.78 109.56 A 0.26 89114QBX5 Toronto Dominion Bank Note 1,750,000.00 05/06/2020 1,774,762.50 101.27 1,772,165.50 1.00% Aal/AA- 0.57 2.550% Due 01/25/2021 0.56% 1,769,658.78 0.32% 19,337.50 2,506.72 AA 0.56 494368BF9 Kimberly-Clark Note 750,000.00 05/14/2020 768,877.50 102.38 767,824.50 0.44% A2/A 0.67 3.875% Due 03/01/2021 0.66% 765,983.39 0.32% 9,687.50 1,841.11 NR 0.66 037833AR1 Apple Inc Note 1,155,000.00 05/08/2020 1,182,327.30 102.18 1,180,179.00 0.66% Aal/AA+ 0.85 2.850% Due 05/06/2021 0.44% 1,178,521.27 0.28% 5,029.06 1,657.73 NR 0.84 808513AW5 Charles Schwab Corp Callable Note Cont 4/21/2021 1,385,000.00 05/26/2020 1,419,472.65 102.31 1,416,976.88 0.80% A2/A 0.89 3.250% Due 05/21/2021 0.47% 1,415,899.27 0.39% 5,001.39 1,077.61 A 0.80 7,831,404.35 7,817,794.74 4.41% Al/A+ 0.59 TOTAL Corporate 7,700,000.00 0.59% 7,808,543.60 0.36% 55,707.68 9,251.14 AA- 0.56 48 Q1 IHoldings Report As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration Money Market Fund FI 31846V567 First American Govt Obligation MMKT Class-Z 3,643,086.35 Various 3,643,086.35 1.00 3,643,086.35 2.04% Aaa/AAA 0.00 0.06% 3,643,086.35 0.06% 0.00 0.00 AAA 0.00 3,643,086.35 3,643,086.35 2.04% Aaa/AAA 0.00 TOTAL Money Market Fund FI 3,643,086.35 0.06% 3,643,086.35 0.06% 0.00 0.00 Aaa 0.00 Negotiable CD 78012UVJ1 Royal Bank of Canada Yankee CD 1,500,000.00 04/20/2020 1,500,000.00 100.00 1,500,000.00 0.84% P-1/A-1+ 0.64 1.000% Due 02/19/2021 1.00% 1,500,000.00 1.00% 2,958.33 0.00 F-1+ 0.64 1,500,000.00 1,500,000.00 0.84% Aaa/AAA 0.64 TOTAL Negotiable CD 1,500,000.00 1.00% 1,500,000.00 1.00% 2,958.33 0.00 Aaa 0.64 Supranational 459052E28 IBRD Discount Note 5,000,000.00 04/15/2020 4,993,483.33 99.94 4,997,119.44 2.80% P-1/A-1+ 0.17 0.340% Due 08/31/2020 0.35% 4,997,119.44 0.35% 0.00 0.00 F-1+ 0.17 459058FH1 Intl.Bank Recon&Development Note 1,000,000.00 06/19/2020 1,010,570.00 100.96 1,009,582.00 0.57% Aaa/AAA 0.90 1.375% Due 05/24/2021 0.22% 1,010,317.58 0.31% 1,413.19 (735.58) AAA 0.90 6,004,053.33 6,006,701.44 3.36% Aaa/AAA 0.29 TOTAL Supranational 6,000,000.00 0.32% 6,007,437.02 0.34% 1,413.19 (735.58) Aaa 0.29 US Treasury 912796WY1 US Treasury Bill 3,500,000.00 04/13/2020 3,497,087.22 99.98 3,499,210.55 1.96% P-1/A-1+ 0.08 0.280% Due 07/30/2020 0.28% 3,499,210.55 0.28% 0.00 0.00 F-1+ 0.08 912796XG9 US Treasury Bill 13,000,000.00 Various 12,995,164.01 99.98 12,997,797.43 7.28% P-1/A-1+ 0.16 0.107% Due 08/27/2020 0.11% 12,997,797.43 0.11% 0.00 0.00 F-1+ 0.16 912828VV9 US Treasury Note 15,000,000.00 12/20/2019 15,049,804.69 100.32 15,048,315.00 8.49% Aaa/AA+ 0.17 2.125% Due 08/31/2020 1.64% 15,012,055.90 0.21% 106,538.72 36,259.10 AAA 0.17 912828L32 US Treasury Note 15,000,000.00 Various 14,977,929.69 100.20 15,029,685.00 8.45% Aaa/AA+ 0.17 1.375% Due 08/31/2020 1.61% 14,994,183.69 0.20% 68,936.82 35,501.31 AAA 0.17 9128284Y3 US Treasury Note 7,000,000.00 01/30/2020 7,042,382.81 100.40 7,028,343.00 3.97% Aaa/AA+ 0.17 2.625% Due 08/31/2020 1.57% 7,012,137.80 0.22% 61,416.44 16,205.20 AAA 0.17 9127963Y3 US Treasury Bill 7,000,000.00 04/29/2020 6,997,021.50 99.98 6,998,359.67 3.92% P-1/A-1+ 0.21 0.111% Due 09/15/2020 0.11% 6,998,359.67 0.11% 0.00 0.00 F-1+ 0.21 912796TN9 US Treasury Bill 5,000,000.00 04/29/2020 4,997,484.38 99.97 4,998,453.13 2.80% P-1/A-1+ 0.27 0.113% Due 10/08/2020 0.11% 4,998,453.13 0.11% 0.00 0.00 F-1+ 0.27 49 Q1 Holdings Report As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTIVI Accrued Int. Gain/Loss Fitch Duration 9127962S7 US Treasury Bill 5,000,000.00 04/30/2020 4,997,362.85 99.97 4,998,297.15 2.80% P-1/A-1+ 0.31 0.109% Due 10/22/2020 0.11% 4,998,297.15 0.11% 0.00 0.00 F-1+ 0.31 912796TP4 US Treasury Bill 5,000,000.00 04/30/2020 4,997,375.00 99.96 4,998,236.11 2.80% P-1/A-1+ 0.35 0.100% Due 11/05/2020 0.10% 4,998,236.11 0.10% 0.00 0.00 F-1+ 0.35 912796TY5 US Treasury Bill 5,000,000.00 04/29/2020 4,995,372.22 99.93 4,996,543.33 2.80% P-1/A-1+ 0.50 0.136% Due 12/31/2020 0.14% 4,996,543.33 0.14% 0.00 0.00 F-1+ 0.50 912796UC1 US Treasury Bill 50,500,000.00 Various 50,447,321.05 99.91 50,453,895.04 28.25% P-1/A-1+ 0.58 0.156% Due 01/28/2021 0.16% 50,453,895.04 0.16% 0.00 0.00 F-1+ 0.58 912796XE4 US Treasury Bill 5,000,000.00 04/29/2020 4,994,147.22 99.91 4,995,352.78 2.80% P-1/A-1+ 0.66 0.140% Due 02/25/2021 0.14% 4,995,352.78 0.14% 0.00 0.00 F-1+ 0.66 135,988,452.64 136,042,488.19 76.30% Aaa/AAA 0.37 TOTAL US Treasury 136,000,000.00 0.55% 135,954,522.58 0.16% 236,891.98 87,965.61 Aaa 0.37 178,254,499.33 178,302,704.98 100.00% Aaa/AAA 0.35 TOTAL PORTFOLIO 178,143,086.35 0.48% 178,206,223.81 0.18% 297,539.51 96,481.17 Aaa 0.35 TOTAL MARKET VALUE PLUS ACCRUALS 178,600,244.49 50 Q11 Holdings Report As of June 30, 2020 OCSD Lehman Exposure - Account#10284 CUSIP Security Description Par Value/Units Purchase Date Cost Value Mkt Price Market Value %of Port. Moody/S&P Maturity Book Yield Book Value Mkt YTM Accrued Int. Gain/Loss Fitch Duration Common Stock SLHOPNTA4 Lehman Brothers,Inc Open Position Long Exposure 60,641.49 11/21/2014 57,842.64 0.42 25,621.03 46.80% NR/NR 0.00 0.000% Due 06/30/2020 0.00% 57,842.64 0.00% 0.00 (32,221.61) NR 0.00 57,842.64 25,621.03 46.80% NR/NR 0.00 TOTAL Common Stock 60,641.49 0.00% 57,842.64 0.00% 0.00 (32,221.61) NR 0.00 Corporate 525ESCIB7 Lehman Brothers Note-Defaulted 600,000.00 09/19/2008 318,603.60 1.12 6,720.00 12.28% NR/NR 0.57 0.000% Due 01/24/2021 0.00% 318,603.60 0.00% 0.00 (311,883.60) NR 0.00 525ESCOY6 Lehman Brothers Note-Defaulted 2,000,000.00 09/18/2008 1,026,605.56 1.12 22,400.00 40.92% NR/NR 29.33 0.000% Due 10/22/2049 0.00% 1,026,605.56 0.00% 0.00 (1,004,205.56) NR 0.00 1,345,209.16 29,120.00 53.20% NR/NR 22.69 TOTAL Corporate 2,600,000.00 0.00% 1,345,209.16 0.00% 0.00 (1,316,089.16) NR 0.00 1,403,051.80 54,741.03 100.00% NR/NR 12.07 TOTAL PORTFOLIO 2,660,641.49 0.00% 1,403,051.80 0.00% 0.00 (1,348,310.77) NR 0.00 TOTAL MARKET VALUE PLUS ACCRUALS 54,741.03 51 Q11 Ll lole Section 5 Transactions C ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 March 31,2020 through June 30,2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount Interest Total Amount Gain/Loss Type Date Yield Pur/Sold ACQUISITIONS Purchase 04/22/2020 459058JBO 6,245,000.00 Intl.Bank Recon&Development Note 99.613 0.70% 6,220,831.85 0.00 6,220,831.85 0.00 0.625%Due:04/22/2025 Purchase 04/24/2020 3135G03U5 7,580,000.00 FNMA Note 99.794 0.67% 7,564,385.20 0.00 7,564,385.20 0.00 0.625%Due:04/22/2025 Purchase 04/28/2020 89233GFSO 11,800,000.00 Toyota Motor Credit Discount CP 99.815 1.15% 11,778,147.06 0.00 11,778,147.06 0.00 1.13%Due:06/26/2020 Purchase 04/30/2020 3135G03U5 6,420,000.00 FNMA Note 100.192 0.59% 6,432,326.40 668.75 6,432,995.15 0.00 0.625%Due:04/22/2025 Purchase 05/06/2020 3133ELYR9 8,850,000.00 FFCB Note 99.873 0.31% 8,838,760.50 0.00 8,838,760.50 0.00 0.25%Due:05/06/2022 Purchase 05/29/2020 912828ZL7 7,000,000.00 US Treasury Note 100.102 0.35% 7,007,109.38 2,068.61 7,009,177.99 0.00 0.375%Due:04/30/2025 Purchase 06/05/2020 912828ZL7 5,000,000.00 US Treasury Note 99.828 0.41% 4,991,406.25 1,834.24 4,993,240.49 0.00 0.375%Due:04/30/2025 Purchase 06/19/2020 3135G04Z3 9,905,000.00 FNMA Note 99.793 0.54% 9,884,496.65 0.00 9,884,496.65 0.00 0.5%Due:06/17/2025 Purchase 06/25/2020 438516CBO 5,000,000.00 Honeywell Intl Callable Note Cont 5/1/2025 102.380 0.86% 5,119,000.00 6,937.50 5,125,937.50 0.00 1.35%Due:06/01/2025 Purchase 06/30/2020 9127963QO 10,000,000.00 US Treasury Bill 99.978 0.14% 9,997,814.44 0.00 9,997,814.44 0.00 0.141%Due:08/25/2020 Subtotal 77,800,000.00 77,834,277.73 11,509.10 77,845,786.83 0.00 Security 04/30/2020 912828WUO 31,304.00 US Treasury Inflation Index Note 100.000 31,304.00 11.40 31,315.40 0.00 Contribution 0.125%Due:07/15/2024 Subtotal 31,304.00 31,304.00 11.40 31,315.40 0.00 TOTAL ACQUISITIONS 77,831,304.00 77,865,581.73 11,520.50 77,877,102.23 0.00 53 C& ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Long Term - Account #10268 March 31,2020 through June 30,2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount Interest Total Amount Gain/Loss Type Date Yield Pur/Sold DISPOSITIONS Maturity 04/24/2020 62479LDQ5 10,000,000.00 MUFG Bank Ltd Discount CP 99.171 10,000,000.00 0.00 10,000,000.00 0.00 1.9%Due:04/24/2020 Maturity 05/12/2020 4581XOCX4 3,035,000.00 Inter-American Dev Bank Note 100.000 3,035,000.00 0.00 3,035,000.00 0.00 1.625%Due:05/12/2020 Maturity 05/20/2020 747525AD5 5,000,000.00 Qualcomm Inc Note 100.000 5,000,000.00 0.00 5,000,000.00 0.00 2.25%Due:05/20/2020 Maturity 06/12/2020 313383HU8 4,000,000.00 FHLB Note 100.000 4,000,000.00 0.00 4,000,000.00 0.00 1.7S%Due:06/12/2020 Maturity 06/22/2020 3135GOD75 5,000,000.00 FNMA Note 100.000 5,000,000.00 0.00 5,000,000.00 0.00 1.5%Due:06/22/2020 Maturity 06/26/2020 89233GFSO 11,800,000.00 Toyota Motor Credit Discount CP 99.815 11,800,000.00 0.00 11,800,000.00 0.00 1.13%Due:06/26/2020 Subtotal 38,835,000.00 38,835,000.00 0.00 38,835,000.00 0.00 Security 05/31/2020 912828WUO 22,880.00 US Treasury Inflation Index Note 99.865 0.14% 22,880.00 0.00 22,880.00 94.31 Withdrawal 0.125%Due:07/15/2024 Security 06/30/2020 912828WUO 73,840.00 US Treasury Inflation Index Note 99.865 0.14% 73,840.00 0.00 73,840.00 298.30 Withdrawal 0.125%Due:07/15/2024 Subtotal 96,720.00 96,720.00 0.00 96,720.00 392.61 TOTAL DISPOSITIONS 38,931,720.00 38,931,720.00 0.00 38,931,720.00 392.61 54 Q11 ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 March 31,2020 through June 30,2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount Interest Total Amount Gain/Loss Type Date Yield Pur/Sold ACQUISITIONS Purchase 04/08/2020 912796XG9 3,500,000.00 US Treasury Bill 99.956 0.11% 3,498,477.00 0.00 3,498,477.00 0.00 0.111%Due:08/27/2020 Purchase 04/14/2020 912796WY1 3,500,000.00 US Treasury Bill 99.917 0.28% 3,497,087.22 0.00 3,497,087.22 0.00 0.28%Due:07/30/2020 Purchase 04/15/2020 459052E28 5,000,000.00 IBRD Discount Note 99.870 0.35% 4,993,483.33 0.00 4,993,483.33 0.00 0.34%Due:08/31/2020 Purchase 04/17/2020 313384ZXO 2,500,000.00 FHLB Discount Note 99.950 0.18% 2,498,737.50 0.00 2,498,737.50 0.00 0.18%Due:07/27/2020 Purchase 04/21/2020 78012UVJ1 1,500,000.00 Royal Bank of Canada Yankee CD 100.000 1.00% 1,500,000.00 0.00 1,500,000.00 0.00 1%Due:02/19/2021 Purchase 04/24/2020 46625HNX4 1,000,000.00 JP Morgan Chase Callable Note Cont 09/29/2020 100.590 1.17% 1,005,900.00 12,395.83 1,018,295.83 0.00 2.55%Due:10/29/2020 Purchase 04/28/2020 89233GFSO 3,405,000.00 Toyota Motor Credit Discount CP 99.815 1.15% 3,398,694.13 0.00 3,398,694.13 0.00 1.13%Due:06/26/2020 Purchase 04/29/2020 313384Q77 4,800,000.00 FHLB Discount Note 99.930 0.12% 4,796,656.00 0.00 4,796,656.00 0.00 0.12%Due:11/24/2020 Purchase 04/30/2020 3133121-160 3,000,000.00 FFCB Discount Note 99.954 0.22% 2,998,615.83 0.00 2,998,615.83 0.00 0.11%Due:09/28/2020 Purchase 04/30/2020 3133841<57 6,500,000.00 FHLB Discount Note 99.945 0.12% 6,496,403.33 0.00 6,496,403.33 0.00 0.12%Due:10/13/2020 Purchase 04/30/2020 313384ZZ5 5,000,000.00 FHLB Discount Note 99.975 0.10% 4,998,750.00 0.00 4,998,750.00 0.00 0.1%Due:07/29/2020 Purchase 04/30/2020 313385AD8 1,500,000.00 FHLB Discount Note 99.889 0.16% 1,498,340.00 0.00 1,498,340.00 0.00 0.16%Due:01/04/2021 Purchase 04/30/2020 9127962S7 5,000,000.00 US Treasury Bill 99.947 0.11% 4,997,362.85 0.00 4,997,362.85 0.00 0.109%Due:10/22/2020 Purchase 04/30/2020 9127963Y3 7,000,000.00 US Treasury Bill 99.957 0.11% 6,997,021.50 0.00 6,997,021.50 0.00 0.111%Due:09/15/2020 Purchase 04/30/2020 912796TN9 5,000,000.00 US Treasury Bill 99.950 0.11% 4,997,484.38 0.00 4,997,484.38 0.00 0.113%Due:10/08/2020 55 Ci„ ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 March 31,2020 through June 30,2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount I nterest Total Amount Gain/Loss Type Date Yield Pur/Sold Purchase 04/30/2020 912796TP4 5,000,000.00 US Treasury Bill 99.948 0.10% 4,997,375.00 0.00 4,997,375.00 0.00 0.1%Due:11/05/2020 Purchase 04/30/2020 912796TY5 5,000,000.00 US Treasury Bill 99.907 0.14% 4,995,372.22 0.00 4,995,372.22 0.00 0.136%Due:12/31/2020 Purchase 04/30/2020 912796UC1 10,000,000.00 US Treasury Bill 99.886 0.15% 9,988,625.00 0.00 9,988,625.00 0.00 0.15%Due:01/28/2021 Purchase 04/30/2020 912796UC1 10,000,000.00 US Treasury Bill 99.876 0.17% 9,987,639.17 0.00 9,987,639.17 0.00 0.163%Due:01/28/2021 Purchase 04/30/2020 912796XE4 5,000,000.00 US Treasury Bill 99.883 0.14% 4,994,147.22 0.00 4,994,147.22 0.00 0.14%Due:02/25/2021 Purchase 04/30/2020 912796XG9 9,500,000.00 US Treasury Bill 99.965 0.11% 9,496,687.01 0.00 9,496,687.01 0.00 0.106%Due:08/27/2020 Purchase 05/08/2020 89114QBX5 1,750,000.00 Toronto Dominion Bank Note 101.415 0.56% 1,774,762.50 12,767.71 1,787,530.21 0.00 2.55%Due:01/25/2021 Purchase 05/12/2020 037833AR1 1,155,000.00 Apple Inc Note 102.366 0.44% 1,182,327.30 548.63 1,182,875.93 0.00 2.85%Due:05/06/2021 Purchase 05/18/2020 494368BF9 750,000.00 Kimberly-Clark Note 102.517 0.66% 768,877.50 6,216.15 775,093.65 0.00 3.875%Due:03/01/2021 Purchase 05/27/2020 9127962X6 5,000,000.00 US Treasury Bill 99.992 0.09% 4,999,586.81 0.00 4,999,586.81 0.00 0.088%Due:06/30/2020 Purchase 05/27/2020 912796UC1 7,500,000.00 US Treasury Bill 99.899 0.15% 7,492,389.38 0.00 7,492,389.38 0.00 0.149%Due:01/28/2021 Purchase 05/28/2020 00440EAT4 500,000.00 Chubb INA Holdings Inc Callable Note Cont 100.628 0.49% 503,140.00 798.61 503,938.61 0.00 10/3/2020 2.3%Due:11/03/2020 Purchase 05/28/2020 46625HHU7 1,160,000.00 JP Morgan Chase Note 101.459 0.41% 1,176,924.40 5,888.61 1,182,813.01 0.00 4.25%Due:10/15/2020 Purchase 05/28/2020 808513AW5 1,385,000.00 Charles Schwab Corp Callable Note Cont 102.489 0.47% 1,419,472.65 875.24 1,420,347.89 0.00 4/21/2021 3.25%Due:05/21/2021 Purchase 06/23/2020 459058FH1 1,000,000.00 Intl.Bank Recon&Development Note 101.057 0.22% 1,010,570.00 1,108.44 1,011,678.44 0.00 1.375%Due:05/24/2021 56 c1, ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 March 31,2020 through June 30,2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount I nterest Total Amount Gain/Loss Type Date Yield Pur/Sold Purchase 06/30/2020 912796UC1 23,000,000.00 US Treasury Bill 99.907 0.16% 22,978,667.50 0.00 22,978,667.50 0.00 0.158%Due:01/28/2021 Subtotal 145,905,000.00 145,939,576.73 40,599.22 145,980,175.95 0.00 TOTAL ACQUISITIONS 145,905,000.00 145,939,576.7 40,599.22 145,980,175.95 0.00 DISPOSITIONS Maturity 04/09/2020 912796TQ2 4,000,000.00 US Treasury Bill 100.000 4,000,000.00 0.00 4,000,000.00 0.00 1.478%Due:04/09/2020 Maturity 04/14/2020 9127962B4 3,500,000.00 US Treasury Bill 100.000 3,500,000.00 0.00 3,500,000.00 0.00 0.972%Due:04/14/2020 Maturity 04/21/2020 06051GFN4 2,000,000.00 Bank of America Corp Note 100.000 2,000,000.00 0.00 2,000,000.00 0.00 2.25%Due:04/21/2020 Maturity 04/24/2020 62479LDQ5 1,365,000.00 MUFG Bank Ltd Discount CP 99.171 1,365,000.00 0.00 1,365,000.00 0.00 1.9%Due:04/24/2020 Maturity 05/01/2020 313384WGO 3,000,000.00 FHLB Discount Note 100.000 3,000,000.00 0.00 3,000,000.00 0.00 1.57%Due:05/01/2020 Maturity 05/11/2020 369550BA5 2,000,000.00 General Dynamics Corp Note 100.000 2,000,000.00 0.00 2,000,000.00 0.00 2.875%Due:05/11/2020 Maturity 05/20/2020 747525AD5 2,000,000.00 Qualcomm Inc Note 100.000 2,000,000.00 0.00 2,000,000.00 0.00 2.25%Due:05/20/2020 Maturity 05/21/2020 06367BED7 1,000,000.00 Bank of Montreal Chicago Yankee CD 100.000 1.89% 1,000,000.00 7,822.50 1,007,822.50 0.00 1.89%Due:05/21/2020 Maturity 06/26/2020 89233GFSO 3,405,000.00 Toyota Motor Credit Discount CP 99.815 3,405,000.00 0.00 3,405,000.00 0.00 1.13%Due:06/26/2020 Maturity 06/30/2020 9127962X6 5,000,000.00 US Treasury Bill 100.000 5,000,000.00 0.00 5,000,000.00 0.00 0.088%Due:06/30/2020 Maturity 06/30/2020 912828VJ6 15,000,000.00 US Treasury Note 100.000 15,000,000.00 0.00 15,000,000.00 0.00 1.875%Due:06/30/2020 57 Q11 ITransaction Ledger As of June 30, 2020 Orange County Sanitation District Liquid - Account #10282 March 31, 2020 through June 30, 2020 Transaction Settlement CUSIP Quantity Security Description Price Acq/Disp Amount I nterest Total Amount Gain/Loss Type Date Yield Pur/Sold Maturity 06/30/2020 912828XH8 5,000,000.00 US Treasury Note 100.000 5,000,000.00 0.00 5,000,000.00 0.00 1.625%Due:06/30/2020 Maturity 06/30/2020 912828XY1 11,000,000.00 US Treasury Note 100.000 11,000,000.00 0.00 11,000,000.00 0.00 2.5%Due:06/30/2020 Subtotal 58,270,000.00 58,270,000.00 7,822.50 58,277,822.50 0.00 TOTAL DISPOSITIONS 58,270,000.00 58,270,000.00 7,822.50 58,277,822.50 0.00 58 Q11 IImportant Disclosures As of June 3O, 2O2O 2020 Chandler Asset Management,Inc,An Independent Registered Investment Adviser. Information contained herein is confidential. Prices are provided by IDC,an independent pricing source. In the event IDC does not provide a price or if the price provided is not reflective of fair market value,Chandler will obtain pricing from an alternative approved third party pricing source in accordance with our written valuation policy and procedures.Our valuation procedures are also disclosed in Item 5 of our Form ADV Part 2A. Performance results are presented gross-of-advisory fees and represent the client's Total Return.The deduction of advisory fees lowers performance results.These results include the reinvestment of dividends and other earnings. Past performance may not be indicative of future results.Therefore,clients should not assume that future performance of any specific investment or investment strategy will be profitable or equal to past performance levels. All investment strategies have the potential for profit or loss. Economic factors, market conditions or changes in investment strategies, contributions or withdrawals may materially alter the performance and results of your portfolio. Index returns assume reinvestment of all distributions. Historical performance results for investment indexes generally do not reflect the deduction of transaction and/or custodial charges or the deduction of an investment management fee,the incurrence of which would have the effect of decreasing historical performance results. It is not possible to invest directly in an index. Source ice Data Indices, LLC("ICE"),used with permission.ICE permits use of the ICE indices and related data on an"as is"basis;ICE,its affiliates and their respective third party suppliers disclaim any and all warranties and representations,express and/or implied, including any warranties of merchantability or fitness for a particular purpose or use, including the indices, index data and any data included in, related to, or derived therefrom. Neither ICE data, its affiliates or their respective third party providers guarantee the quality, adequacy, accuracy,timeliness or completeness of the indices or the index data or any component thereof,and the indices and index data and all components thereof are provided on an"as is"basis and licensee's use it at licensee's own risk.ICE data,its affiliates and their respective third party do not sponsor,endorse,or recommend chandler asset management,or any of its products or services. This report is provided for informational purposes only and should not be construed as a specific investment or legal advice.The information contained herein was obtained from sources believed to be reliable as of the date of publication, but may become outdated or superseded at any time without notice.Any opinions or views expressed are based on current market conditions and are subject to change.This report may contain forecasts and forward-looking statements which are inherently limited and should not be relied upon as indicator of future results. Past performance is not indicative of future results.This report is not intended to constitute an offer, solicitation, recommendation or advice regarding any securities or investment strategy and should not be regarded by recipients as a substitute for the exercise of their own judgment. Fixed income investments are subject to interest, credit and market risk. Interest rate risk: the value of fixed income investments will decline as interest rates rise. Credit risk:the possibility that the borrower may not be able to repay interest and principal. Low rated bonds generally have to pay higher interest rates to attract investors willing to take on greater risk. Market risk:the bond market in general could decline due to economic conditions,especially during periods of rising interest rates. Ratings information have been provided by Moody's,S&P and Fitch through data feeds we believe to be reliable as of the date of this statement,however we cannot guarantee its accuracy. Security level ratings for U.S.Agency issued mortgage-backed securities("MBS")reflect the issuer rating because the securities themselves are not rated.The issuing U.S.Agency guarantees the full and timely payment of both principal and interest and carries a AA+/Aaa/AAA by S&P,Moody's and Fitch respectively. 59 Q11 Benchmark Disclosures As of June 30, 2020 ICE BAML 3-Month US Treasury Bill Index The ICE BAML US 3-Month Treasury Bill Index is comprised of a single issue purchased at the beginning of the month and held for a full month.At the end of the month that issue is sold and rolled into a newly selected issue. The issue selected at each month-end rebalancing is the outstanding Treasury Bill that matures closest to, but not beyond, three months from the rebalancing date. (Index:G001. Please visit www.mlindex.ml.com for more information) ICE BAML 1-5 Yr US Corp/Govt Rated AAA-A Index The ICE BAML US Issuers 1-5 Year AAA-A US Corporate& Government Index tracks the performance of US dollar denominated investment grade debt publicly issued in the US domestic market including US Treasury, US agency,foreign government,supranational and corporate securities. Qualifying securities must issued from US issuers and be rated AAA through A3(based on an average of Moody's,S&P and Fitch). In addition, qualifying securities must have at least one year remaining term to final maturity and less than five years remaining term to final maturity, at least 18 months to final maturity at point of issuance, a fixed coupon schedule and a minimum amount outstanding of$1 billion for US Treasuries and$250 million for all other securities. (Index:BV10. Please visit www.mlindex.ml.com for more information) ICE BAML US 1-5 Yr US Corp/Govt Rated AAA-BBB Indx The ICE BAML 1-5 Year US Corporate& Government Index tracks the performance of US dollar denominated investment grade debt publicly issued in the US domestic market, including US Treasury, US agency,foreign government,supranational and corporate securities. Qualifying securities must have an investment grade rating(based on an average of Moody's,S&P and Fitch). In addition, qualifying securities must have at least one year remaining term to final maturity and less than five years remaining term to final maturity, at least 18 months to final maturity at point of issuance, a fixed coupon schedule and a minimum amount outstanding of$1 billion for US Treasuries and$250 million for all other securities. (Index:BVAO.Please visit www.mlindex.ml.com for more information) 60 c," Rating Agency Comparisons A summary of investment grade ratings are listed below. More complete descriptions of Moody's and Standard & Poor's ratings are included in the following pages. Quality/Grade Moody's Standard & Poor's Fitch Best Quality Aaa AAA AAA High Quality Aal AA+ AA+ Aa2 AA AA Aa3 AA- AA- Upper Medium Grade Al A+ A+ A2 A A A3 A- A- Medium Grade Baal BBB+ BBB+ Baa2 BBB BBB Baa3 BBB- BBB1 Moody's - Investment Grade "Aaa" - Bonds rated Aaa are judged to be of the best quality. They carry the smallest degree of investment risk. Interest payments are protected by a large or by an exceptionally stable margin and principal is secure. While the various protective elements are likely to change, such changes as can be visualized are most unlikely to impair the fundamentally strong position of such issues. "Aa" - Bonds which are rated Aa are judged to be of high quality by all standards. Together with the Aaa group they comprise what are generally known as high grade bonds. They are rated lower than the best bonds because margins of protection may not be as large as in Aaa securities or fluctuation of protective elements may be of greater amplitude or there may be other elements present which make the long-term risks appear somewhat larger than in Aaa securities. "A" - Bonds which are rated A possess many favorable investment attributes and are to be considered as upper medium grade obligations. Factors giving security to principal and interest are considered adequate, but elements may be present which suggest a susceptibility to impairment sometime in the future. "Baa" - Bonds which are rated Baa are considered as medium grade obligations; i.e., they are neither highly protected nor poorly secured. Interest payments and principal security appear adequate for the present but certain protective elements may be lacking or may be characteristically unreliable over any great length of time. Such bonds lack outstanding investment characteristics and in fact have speculative characteristics as well. Bonds in the Aa, A, and Baa are also assigned "V, "2", or "Y based on the strength of the issue within each category. Accordingly, "Al" would be the strongest group of A securities and "AY would be the weakest A securities. Ba, B, Caa, Ca, and C - Bonds that possess one of these ratings provide questionable protection of interest and principal ("Ba" indicates some speculative elements; "B" indicates a general lack of characteristics of desirable investment; "Caa" represents a poor standing; "Ca" represents obligations which are speculative in a high degree; and "C" represents the lowest rated class of bonds). "Caa", "Ca" and "C" bonds may be in default. Standard and Poor's-Investment Grade AAA- Debt rated "AAA" has the highest rating assigned by S&P. Capacity to pay interest and repay principal Is extremely strong. AA - Debt rated "AX has a very strong capacity to pay interest and repay principal and differs from the highest rated issues only in small degree. A - Debt rated "A" has a strong capacity to pay interest and repay principal although it is somewhat more susceptible to the adverse effects of changes in circumstances and economic conditions than debt in higher rated categories. BBB - Debt rated "BBB" is regarded as having an adequate capacity to pay interest and repay principal. Whereas it normally exhibits adequate protection parameters, adverse economic conditions or changing circumstances are more likely to lead to a weakened capacity to pay interest and repay principal for debt in this category than in higher rated categories. Standard and Poor's - Speculative Grade Ratinq Debt rated "BB", "B", "CCC", "CC" and "C" is regarded as having predominantly speculative characteristics with respect to capacity to pay interest and repay principal. "BB" indicates the least degree of speculation and "C" the highest. While such debt will likely have some quality and protective characteristics these are outweighed by major uncertainties or major exposures to adverse conditions. BB - Debt rated "BB" has less near-term vulnerability to default than other speculative issues. However, it faces major ongoing uncertainties or exposure to adverse business, financial, or economic conditions which could lead to inadequate capacity to meet timely interest and principal payments. The "BB" rating category is also used for debt subordinated to senior debt that is assigned an actual or implied "BBB" rating. B - Debt rated "B" has a greater vulnerability to default but currently has the capacity to meet interest payments and principal repayments. Adverse business, financial, or economic conditions will likely impair capacity or willingness to pay interest and repay principal. The "B" rating category is also used for debt subordinated to senior debt that is assigned an actual or implied "BB" or "BB" rating. CCC - Debt rated "CCC" has a currently identifiable vulnerability to default, and is dependent upon favorable business, financial, and economic conditions to meet timely payment of interest and repayment of principal. In the event of adverse business, financial, or economic conditions, it is not likely to have the capacity to pay interest and repay principal. The "CCC" rating category is also used for debt subordinated to senior debt that is assigned an actual or implied "B" or "B" rating. CC - The rating "CC" typically is applied to debt subordinated to senior debt that is assigned an actual or implied "CCC' debt rating. C -The rating "C"typically is applied to debt subordinated to senior debt which is assigned an actual or implied "CCC" debt rating. The "C" rating may be used to cover a situation where a bankruptcy petition has been filed, but debt service payments are continued. Cl - The rating "Cl" is reserved for income bonds on which no interest is being paid. D - Debt rated "D" is in payment default. The "D" rating category is used when interest payments or principal payments are not made on the date due even if the applicable grace period has not expired, unless S&P believes that such payments will be made during such grace period. The "D" rating also will be used upon the filing of a bankruptcy petition if debt service payments are jeopardized. Plus (+) or Minus (-) - The ratings from "AX to "CCC" may be modified by the addition of a plus or minus sign to show relative standing within the major rating categories. NR- Indicates no rating has been requested, that there is insufficient information on which to base a rating, or that S&P does not rate a particular type of obligation as a matter of policy. oJ�jV SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 ADMINISTRATION COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1251 Agenda Date: 9/23/2020 Agenda Item No: 15. FROM: James D. Herberg, General Manager Originator: Lorenzo Tyner, Assistant General Manager SUBJECT: PENSION COST STRATEGIES GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Direct staff to advertise a Request for Proposals (RFP) to select a multiple-employer Internal Revenue Service Code Section 115 Trust Pension Account. BACKGROUND The Orange County Sanitation District (Sanitation District) provides pension benefits to its employees through the Orange County Employee Retirement System (OCERS) at an annual cost of approximately $15 million. Staff continually examines strategies to support and minimize these costs. After an initial presentation, the Administration Committee directed staff to provide additional information and analysis of options to address funding these benefits ranging from advance payments to implementing an Internal Revenue Service Code Section 115 Trust Pension Account (115 Trust). Staff researched different options for Board consideration as described below. All options involve moving funds from the Sanitation District investment portfolio to a different investment vehicle with an opportunity to obtain higher yields. Once contributed into one of these strategies, fund use is limited to pension costs. Although the staff report will review four sub-options, there are two main alternatives: 1) Make an advanced payment to OCERS Advantages: Potentially higher yields than the Sanitation District's investment portfolio, lower fees, avoids trust establishment and administration, comparable yields to 115 Trust Disadvantages: Less investment control and flexibility, all retirement funds under a single manager 2) Implement a 115 Trust Pension Account Advantages: Potentially higher yields than the Sanitation District's investment portfolio, Orange County Sanitation District Page 1 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1251 Agenda Date: 9/23/2020 Agenda Item No: 15. provides for additional control over funds, diversity of investment managers, comparable yields to OCERS Disadvantages: Additional investment fees and administration costs RELEVANT STANDARDS • Ensure the public's money is wisely spent • Ensure that investment proposals and decisions are based on clearly defined standards PROBLEM The Sanitation District has annual pension normal costs of approximately $15 million per year. Unfunded pension liabilities can also accrue resulting from lower than expected OCERS investment returns or other actuarial assumptions, significantly increasing the Sanitation District's pension costs. PROPOSED SOLUTION Select and join an existing multi-employer 115 Trust and make an initial investment of$20 million. TIMING CONCERNS In June 2020, the Administration Committee directed staff to report back on options for diversifying our pension funding including a 115 Trust. RAMIFICATIONS OF NOT TAKING ACTION The Sanitation District will not have the opportunity to diversify investments and potentially gain higher returns than the current investment portfolio. PRIOR COMMITTEE/BOARD ACTIONS June 2020 - Information Item provided to the Administration Committee. ADDITIONAL INFORMATION Staff evaluated multiple options for funding a portion of the Sanitation District's future pension costs: • Option 1 - Make an advanced payment to OCERS • Option 2 - Use the Sanitation District's current money manager to create and manage a 115 Trust • Option 3 - Select and join an existing multiple-employer 115 Trust managed by a private trust administration firm • Option 4 - Establish and manage a 115 Trust in-house Orange County Sanitation District Page 2 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1251 Agenda Date: 9/23/2020 Agenda Item No: 15. Option 1 - Make an additional payment to OCERS This option is expected to yield comparable investment returns to a 115 Trust and does not incur trust expenses or additional management fees; however, since more of the Sanitation District's funds would be managed by OCERS, this option would not increase the diversity of investments. Option 2 - Use current money manager to create and manage a 115 Trust This option would entail the Sanitation District's existing money manager, Chandler, establishing and managing a 115 Trust. This process could begin immediately and could potentially yield higher returns than our investment portfolio. Fees and expenses would be similar to joining an existing multiple-employer trust; however, all funds would be managed by a single firm, providing less diversity of money management firms. Option 3 - Select and join an existing multiple-employer 115 Trust managed by a private trust administration firm The Sanitation District could advertise a RFP to select an existing multiple-employer 115 Trust. This would be a turnkey approach including both money management and trust services. Expected investment returns would be higher than our investment portfolio, and comparable to OCERS. This option would add diversity to our investments, and the Sanitation District would maintain some control over the investment strategy. This option is being adopted widely among cities in Orange County. Option 4- Establish and manage a 115 Trust in-house Some agencies simply establish and manage their trust internally using existing staff. The Sanitation District could engage one of its consultants to assist in setting up the trust and a few investment options and manage the trust. However, staff did not examine this strategy in depth due to lack of internal expertise and resources. Average Annual Investment Returns The chart below shows average annual investment return percentages and calculated total returns on a $20 million investment in OCERS and two multiple-employer 115 Trusts based on past performance. Plan 1 Year 3 Year 5 Year OCERS 14% % % Trust A 1 1%-23% %-1 1% %-8% Trust B %-22% %-1 1% %-8% Plan 1 Year 3 Year 5 Year OCERS $2.8M $5.9M $8.1 M Orange County Sanitation District Page 3 of 4 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1251 Agenda Date: 9/23/2020 Agenda Item No: 15. Trust A 2.2M-$4.5M 3.41VI-$7.01VI 4.4M-$9.3M Trust B 1 .5M-$4.4M 3.4M-$7.0M ;4.2M-$9.3M Summary Of the four options described above, staff recommends selecting and investing in an existing multi- employer 115 Trust. This option would diversify the Sanitation District's pension investment managers, provide some control over investment strategy, and potentially yield higher investment returns than our existing portfolio. CEQA N/A FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • PowerPoint Presentation Orange County Sanitation District Page 4 of 4 Printed on 9/15/2020 powered by LegistarT" k. 1 � A OCSD Pension r- — Fundin9% Administration Committee September 9, 2020 =1 Lorenzo Tyner, AGM SANIr ��, � •� O��Z q Teo xfa aai � _.._... Ih M,f D THE EN J" WAE OCSD PENSION FUNDING x 7�,- OCSD PENSION OVERVIEW Employees (Active & Retired) 600 500 400 300 200 100 0 Plans G&H-2.50%@ 55 Plan B-1.67%@ 57.5 Plan U-PEPRA 2.50%@ 67 ■Active ■Retired Page 2 rli ►.r �, v'- OCSD PENSION FUNDING WL 7�,_ x OCERS INVESTMENT RETURNS 20.00% 15.00% 10.00% 5.00% 0.00% -5.00% 2009 2010 2011 2012 2013 2014 2015 2016 2017 2018 2019 Assumption Actual Page 3 OCSD PENSION FUNDING ML 7�,- x Projected Annual OCSD Contributions to OCERS U) O m m (n M U 10.S% O m 12 `— 10.0•00 O U i O 9.5% 2021 2022 2023 2024 2025 2026 2027 2028 2029 2030 2031 2032 2033 2034 2035 2036 2037 Page OCSD PENSION FUNDING WL 7�,_ • 2014-2016 , and 2019 Pay Down of UAAL • 2018- 19 ) OCSD slightly "Over-Funded" ( 101 %) • Future Funding Options 1 ) Make an Additional Payment to OCERS 2) Establish and Fund a 115 Pension Trust Page 5 OCSD PENSION FUNDING OPTIONS 'L s ($20M Investment) x Plan 1 Year 3 Year 5 Year OCERS 14% 9% 7% Trust A 11%-23% 5%-11% 4%-8% Trust B 7%-22% 5%-11% 3%-8% Plan 1 Year 3 Year 5 Year OCERS $2.8M $5.9M $8.1M Trust A $2.2M-$4.5M $3.4M-$7.OM $4.4M-$9.3M Trust B $1.5M-$4.4M $3.4M-$7.OM $4.2M-$9.3M Page OCSD PENSION FUNDING TIONS x Potential Return Added Diversity of OCSD Direction of Greater than Investment Investment OCSD Portfolio Managers Strategy Make an Additional x Payment to OCERS Current Fund Manager x x Manages a 115 Trust Select and Join Multiple- x x x Employer 115 Trust Recommendation : Issue an RFP to select a Multiple-Employer 115 Trust Page 7 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 LEGISLATIVE AND PUBLIC AFFAIRS (714)5937433 COMMITTEE 9oTFCTN0 THE Agenda Report File #: 2020-1254 Agenda Date: 9/23/2020 Agenda Item No: 16. FROM: James D. Herberg, General Manager SUBJECT: PUBLIC AFFAIRS UPDATE FOR THE MONTHS OF JULY THROUGH AUGUST 2020 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the Public Affairs Update for the months of July through August 2020. BACKGROUND Staff will provide an update on recent public affairs activities. RELEVANT STANDARDS • Maintain influential legislative advocacy and a public outreach program • Build brand, trust, and support with policy makers and community leaders • Maintain collaborative and cooperative relationships with regulators, stakeholders, and neighboring communities • Listen to and seriously consider community input on environmental concerns PROBLEM The Orange County Sanitation District (Sanitation District) is well-recognized within the water/wastewater industry; however, within our service area there is limited knowledge by our customers of the important work we do to protect public health and the environment. In general, the customers we serve do not realize that when they improperly dispose of waste into the sanitation system, it can negatively affect our sewer lines, our treatment plants, and the quality of water we supply for the Groundwater Replenishment System. PROPOSED SOLUTION By providing tours, community outreach, education, and general communication via the Sanitation District's website, social media outlets, and direct mailings, we have the ability to educate the community, local agencies, and businesses on our messaging such as the What2Flush program, energy production, water recycling, biosolids, and our source control program. This, in turn, helps improve the quality of wastewater that is recycled or released to the ocean. Orange County Sanitation District Page 1 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1254 Agenda Date: 9/23/2020 Agenda Item No: 16. TIMING CONCERNS N/A RAMIFICATIONS OF NOT TAKING ACTION If we do not educate the community, local agencies, and area businesses about the Sanitation District, we may not have the support necessary to deliver our mission. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION Current activities for the months of July and August: Outreach Report Staff has created a new outreach report that includes tours, website postings, social media postings, construction notifications, speaker engagements, and more. This report is included as an attachment to this Agenda Report. Virtual Tours Due to the COVID-19 pandemic, our Plant tours were discontinued. To continue engaging with the community and our stakeholders, staff created a virtual tour of the Plant that has allowed participants an opportunity to remotely visit the Plant and learn how we protect public health and the environment. Thus far, three virtual tours have taken place with a fourth scheduled for later this month. First Joint Virtual Tours with the Orange County Water District The Sanitation District and the Orange County Water District (OCWD) have partnered to present a live virtual tour of the two agency's treatment facilities. The tours took place on Friday, July 31 and Wednesday, August 19. OCWD General Manager Mike Markus and Sanitation District General Manager Jim Herberg served as the tour guides and presenters. The tour had 150 virtual attendees. Staff Participates in GWRS Webinar In August, Sanitation District employee Cindy Murra participated in a webinar hosted by OCWD titled How'd They Do That?An Insider's Look at Expanding the World's Largest Potable Reuse Facility; the Groundwater Replenishment System which is a joint project between the Sanitation District and OCWD. Plant No 2. Newsletter To keep the community surrounding Plant No. 2 informed of our activities, a neighborhood newsletter is distributed quarterly to portions of Huntington Beach, Newport Beach, and Costa Mesa. The summer issue of the Neighborhood Connection was recently distributed to 1,400 of our neighbors to let them know about upcoming and current construction projects. Orange County Sanitation District Page 2 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1254 Agenda Date: 9/23/2020 Agenda Item No: 16. Meeting the Moment Video To showcase the importance of sanitary agencies during the COVID-19 pandemic, the California Association of Sanitation Agencies (CASA) created a video called Meeting the Moment featuring employees from across the state highlighting their role and effort in the everyday process of protecting public health. Two of our employees were featured in the video, April Frost, Operations Supervisor, and Absalon Diaz, Environmental Specialist. The video is currently posted on our website. CASA 2020 Virtual Conference On, Wednesday, August 12 Lan Wiborg, Director of Environmental Services and Rebecca Long, Senior Public Affairs Specialist presented at the California Association of Sanitation Agencies (CASA) Virtual Annual Conference. Lan facilitated a roundtable on COVID-19 and Wastewater Based Epidemiology and Rebecca facilitated a roundtable on how to develop a virtual tour. NACWA Peak Performance Award The Sanitation District was recently recognized as a recipient of the Platinum Peak Performance Award for our Reclamations Plant No. 1 and Treatment Plant No. 2. Receiving the Platinum Peak Performance Award means the Sanitation District was 100 percent compliant over a five-year period. This is the 7t" year receiving this recognition. Ocean Monitoring Vessel Logo Update The Nerissa, the Sanitation District's Ocean Monitoring vessel, is used as part of the Ocean Monitoring Program. Nerissa makes trips along the Orange County coastline, therefore having a current and visual brand displayed is important. The vessel will be updated with a larger sign of our name and will add the Sanitation District's social media information. The branding updates will take place next month. OC Polling As a follow-up to the poll conducted in March 2020 to determine the service area's awareness of the Sanitation District, a new poll is taking place to identify any changes or improvements in the awareness level. The polling is taking place using social media and direct phone calls and will be reported back to this Committee once concluded. CEQA N/A FINANCIAL CONSIDERATIONS N/A ATTACHMENTS The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Outreach and Media Summary Report July-August 2020 • Presentation Orange County Sanitation District Page 3 of 3 Printed on 9/15/2020 powered by LegistarTM Outreach and Media Summary �NIN SANlTq��o o THE EN July August- 2020 OCSD Public Affairs Office Table of Contents OUTREACH REPORT..................................................................PAGE 1 FACEBOOK POSTINGS ..................................................................PAGE 3 TWITTER POSTINGS ..................................................................PAGE 9 INSTAGRAM POSTINGS...............................................................PAGE 11 ARTICLE SUMMARY...................................................................PAGE 13 Outreach Report July-August 2020 Date Tours Attendees Tour Guide 7/16/2020 OCSD Virtual Tour 79 Rob Thompson 7/21/2020 OCSD Virtual Tour 80 Rob Thompson 7/31/2020 OCSD /OCWD Virtual Tour 80 Jim Herberg and Mike Markus 8/14/2020 OCSD Virtual Tour 27 Sam Choi 8/19/2020 OCSD /OCWD Virtual Tour 69 Jim Herberg and Mike Markus Date Speaking Engagements Attendees Presenter 7/7/2020 ACC-OC Speaking Engagement 75 Jim Herberg 7/22/2020 CASA/CWEA Speaking Engagement 364 Jim Herberg and Rob Thompson 8/14/2020 CASA Conf. Speaking Engagement 50 Lan Wiborg and Rebecca Lon 8/26/2020 GWRS Speaking Engagement 130 Cindy Murra Construction Outreach Notifications Project Area Number of Notices #of People Website Posts and Reached Text Alerts State College Sewer-Anaheim 3 Notifications 3500 3 Website Posts/ 3 Text Alerts Westminster Blvd. Sewer- 1 Notification 100 3 Website Posts/ Seal Beach 3 Text Alerts Plant No. 2- Huntington Beach, Newport 1 Notification 1400 1 Website post Beach, Costa Mesa East Lido Force Main Warranty 1 Notification 25 Inspection- Newport Beach External #of People Communications Distribution Reached 5 Minutes Per Two 626 Month Board Member Two 50 Talking Points Member One 25 Outreach Tool kit Website Posts 7 posts 175 views Facebook 36 posts 17k people Twitter 35 tweets 19k people Instagram 35 posts 2k people Facebook Posts July-August 2020 Page Summary Last 28 days-, Export Data b Results from Jul 13,2020-Aug 9,2020 Note-Does not include today's data.Insights activity is reported in the Pacific time zone.Ads activity is reported in the Organic N Paid time zone of your ad account Actions on Page i Page Views i Page Previews July 13-August 9 July 13-August 9 July 13-August 9 1 256 7 Total Actions on Page,&100% Total Page Views w 15% Page Previews,&0°/a A ULfUU___ Page Likes i Post Reach Story Reach July 13-August S+ July 13-August 9 July 13-August 9 Get Story Insights 7 11677 See stats on how your Page's recent Page Like, .7 5`. People Reached L 45% stories have performed. Recommendations Post Engagement Videos July 13-Augusi JUW l° st 9 580 829 Post Engagement A 429/. 3-Second Video Views.81% MEMO We have insufficient data to show for the selected time period Page Summary Last 28 days-, Export Data b Results from Jul 24,2020-Aug 20,2020 Note-Does not include today's data.Insights activity is reported in the Pacific time zone.Ads activity is reported in the Organic Paid time zone of your ad account Actions on Page Page Views Page Previews July 24-August 20 July 24-August 20 July 24-August 20 273 7 Total Page Views.1 Page Previews.13% MEMO We have insufficient data to show for the selected time period. Page Likes r Post Reach Story Reach July 24-August 20 -uly 24-August 2u ,,uiy 2a-;august 4 11236 Get Story Insights See stats on now Your Page s recent Paoe Likes v 43% People Reached v 90% stories have performed. Recommendations Post Engagement Videos Jy 24-August 20 1,;<,-August 20 448 531 Post Engagement.9% 3-Second Video Views.32°o NONE We have insufficient data to show for the selected time period. All Posts Published z Reach:Organic Pa;d . Posi Clicks React crs. 2,.^meats Published Post Type Targeting Reach Engagement U 2J-2020 Remember to stay HYDRATED a r 1 'C3 DM during this heat. If we could.we 1 08/20/2020 ■ Join us on Wednesday,August 26 9 Steering65 45 AM for the Steeng Committee ` a 1 0811&2020 TOMORROW IS THE DAY!There 6 ., 82 9:33 AM is still time to sign up for the OCSD 1 0&'1712020 ® Did you Know?The name r a 39 4 53 DM -Fountain Valley'originated from 16 08!1312020 Virtual 84 118 Virtuality speaking,virtually 8 teaching, but in the plant always 2 08/11/2020 ■ We have so many oeo,cated and 10 =:> D1.0 hardworking staff at OCSD. How 08;0812020 ■ Trying to stay busy during your 64 IA 147 10 '0 07M•+ quarantine weekends?Well,OCSD 6 OW0612020 At OCSD we are dedicated to 11 12-24 ou protecting the environment and r 216 12 08J0412020 Can't Stop,Won't Stop!We are N 243 11 227, PM --s back again with 2 Virtual Tours,this 22 � 081OV2020 Ya�� See if you car find the 3 Ps.To r a 475 44 u � <<_� ;L•' flush or not to flush,that is the 26 08101/2020 Construction Alert for City of r 1'1 14 4 13 nM Anahem-Municipal Government 6 07/31/2020 Join the glam iife of wastewater. r a 226 14 3:13 0M OCSD has new positions you can 9 0712912020 ® Trying to decide between an OCSD r 434 30 =- '?,j or an Orange County Water District 16 07/28/2020 Always a team effort.And always r 1g1 13 �•+ some sort of construction going on. 12 07;2512020 ■ Where do dogs like to surf? 159 11 12 t5 Dr.I Colliefomia!Just another reason 12 0712312020 The mage says it all.Go to r 23Q 1 4__11:)?AOCSD.comljobs and apply! 6 07122i2020 The best crossover since the IN OA 7 2 43 aM Avenger,.Yes.we went there.Find 134 2 07120,2020 Friends tell friends when OCSD is r a 347 8 1-0.01 Aid hiring.Here is us telling you.make 9 07117/2020 ® E:1 V•;W=there's still time to f 83 20 6:51?M sign up at OCSD.com,tours 64 07117,2020 ■ This week.OCSD inspected the a 32G 4 25 DM intenor of the ocean outfall. 22 07;18-2020 The OCSD Board Meeting is 94 — 0 2 15 Dill coming up on Wednesday.July 22 0 07;1512020 CiM Our very own Rob Thompson 47 1 2 45 DM Essen representing OCSD* ' 2 I 07115/2020 Steerng Committee Meeting on IA 97 2 I 2:27=ra Wednesday.July 22 at 5 p.m.Click 1 07;15/2020 Save yourself the walking and let N 113 — 3 11.3b AM us do all the talking.Sign up for an 1 � 0711412020 The OC Fair used to be our favorite r 282 59 M s G1 ' summertime activity too.We 19 07112'2020 a This or that.or that and tnis.Trying tp 159 c =�a•U �+ . to decide what to read next?We 4 0710g12020 Check out the vitality of our virtual 19 D=A1•1 . ,ty.Virtual tour that is.Sign up for �4 a 418 19 07;08,2020 Don't forget.this Monday.July 13 136 2 2 AM at 3:30 p.m is the next Legislative 1 07/08/2020 = Just gang to leave these new r 208 12 10.13 AM OCSO employment opportunities � � 4 � 07/0812020 ■ Sign up to be part of our virtual tour N 215 12 11.N AM on July 18 at 10am Time s es are 9 07105/2020 Construction Update in Seal r 153 5 2 5u:1A Beach!Have you been along 2 07.04 2020 Happy Independence Day! tp 1l, 132 1 12 1 ti L# #StaySafe 1RStayHome 5 07103,2020 OC beaches are amongst the best r t 1S 5 3 ZIM in the state!And we have the 2 07102,'2020 Register at OCSD.comltours-For f 295 20 C.: ZIit many,entering a wastewater a 19 07'02'2020 Our administrative staff is taking F 122 1 3:25?M Friday,Juty 3 off in observance of 2 0710112020 Reminder:On Wednesday,July 8 � a t0g — 3 � 529 MIA at 5 p.m.is our next Administration 1 Graphs of Page Likes, Post Reach and Total Views for July-Aug 2020 Page Likes The number of organic Page likes, paid Page likes and unlikes. Unlikes Organic Likes 0 Paid Likes 1 03 05 0- 09 11 1? 15 1 15 __ __ y 1 _= 0. uo 00 10 12 14 io Post Reach The number of people who saw any of your posts at least once. This metric is estimated. Organic Paid 200 150 100 so 03 05 07 09 11 13 15 17 19 21 23 25 27 29 31 :02 04 06 08 10 12 14 16 18 20 JUL AUG Total Views By Section Total Views 2 ul 9 1 JL Jul 1, U�24 J,I'9 Twitter Posts July-August 2020 Account home OC Sewers s_-._e s 28 day summary with change over previous period Tweets Tweet impress-s Prafle visas Mentions Followers 15 4,34.8% 9,276-4,262% 77 t26.2% 10.1,33.3% 1,659-r Aug 2020.2o days so far... TWEET HIGHUGFfrs Top TMet earned 611 impressions Top mention earned 34 engagements Get your Tweets in front of See if you can find the 3 Ps.To flush or not Larry Tenney 0 Make more people to flush,that is the question.Pee,Poop and #GoodTrouble Promoted Tweets and content open up your Toilet Paper are the only 3 things that should @�arrYTenne, A,a reach on TwMer to more people. go down your toilet.Everything else can't go Wait...#CA48 Michelle Steel says she's not down.#OCSDisEssential#W2F a career politician but she was on CA Board down.# CSDis Th ential of Equalization long enough to collect a pi oW!ercom/IthI hePiPr hefty pension,gets a$154k @OCGovCA nuGrozosuMMazv paycheck and collects 6 from @goOCTA 'oX b &@OCSewers&now she's running for T—M Tweer mp,ess ors � �� Congress? 10 6,582 �*r , p Don't#StandWithSteel ProM.—iis Me�r°rs o ° k twitter.com/ExileOC/status... 63 6 rz cA -�/� ��S'1` Y",.,../1f A View Tweet 4 ronower; 02 •4 View.Tweet•etivily View all Tweet activity Top media Tweet earned 582 impressions TOMORROW IS THE DAYI There is still time to sign up for the OCSD and Top Follower followed by 1,892 people @OCWDWaterNews joint virtual tour at 10 a.m. Don't miss out.#OCSDtours#OCWD ocwd.zoom.us/webinar/regist..- ■ Pic.twitter.com/bEoYm9twHa GlobalWaterWorks @GlobalWaterWod< rouowsvo° r`.onnerlinn dram of inWPO fnr waves of imnart Jul 2020.31 days TEA EE7 H 3-IL G HTE JUL 2020 SUMMARY Top TWeet earned 3.389 impressions Top mention -amed 36 engagements Tweets tweet impressla s Check out the vitality of our virtual-ity.Virtual Orange County Water District 25 13.9K tour that is.Sign up for our next virtual tour on July 16 at 10 a.m.at OCSD com/tours. Profile visits Men'. #OCSDTours#OCSDVirtualTour Join us for an inaugural joint virtual tour with 75 19 #OCSDisEssential @ocsewers.You'll get an up close look at pic.twitter.com?LaS6FNIIIW OCSD and the GWRS during this one-hour Newf.11- virtual tour on July 31. Register at 5 ow-IyNuR550AEDdu. #ocwd#ocsewers#gwrs pic twitter com./IZ2uYL0sD7 VIRTUAL TOUR L'♦<I r4 View Tweet activity ! View all Tweet activity PRIDAY k _ 33ULV 31 V2 Top Follower followed by 8.398 people A Ve:v Tn;eet PUMPS 8 EOUIPNFNT 00 I., 777 INDUSTRIES Top media Tweet earned 676 impressions "'MFpMG _ Just going to leave these new OCSD employment opportunities right here If we Empowering Pumps&Equipment were you,we would apply for them Just cErTocnrngF mpg. =ccowsvou saying-Visit ocsd.com.'jobs#OCSDjobs Information and CONNECTION HUB for the spump and #OCSDisEssential related equipment industries I Connect Inform.Educate #PumpTalk 4EmpoweringPumpsandEquipment pic.twltter.com/ONfckYpGLv View profile Th A [77visit ocsd com/jobs u Apply for open positions Osewlor eonstrucCon Inspector Instagram Posts July-August 2020 ocsa,.;a.s 41B Pstc tow t:, ,. as ti1L.wtn:� Ie- 71 oc srrc,DDn aortain:x ss,�.�e mOonF.:cpt•r:u'n:1'.:rryti��_l':�y_c Ci._trt. DorlsoM..:sJrpO.�arpuayc�a/WfI-�SrVJo6Ft A191z vctNg aiVALLEY tAGca:- �: , �r.: FOUNTAIN 'SO WRTUAL TOUR 0 Q, s csd.coM/tours ICINT 1 OCWO o VIRTUAL TOUR LL r \ VIRTUAL #WigI _ i S\Call►\1Q �i►OW '� ro.an ocs0 Vlrtwl Tom[ _r �� SiQw w it ocsl_corw/tours • _'ice--- `„� � •_ �F � � f . • THE F)AY! The grades 7- 1& WP a ' 1 � STAY CRMNECTE.■ITR YS M fACERRR�INSTAMAr .ar�...ra.a+..a ANO Tr1TTER t '' DID YOU . : fate College Blvd_and L �"'��'~ - vbr«wssfJM. c Article Date Resource Link Rouda introduces bill to help https://www.lagunabeachindy.com/rouda-introduces-bill-to-help- businesses reopen safely 7/6/2020 Laguna Beach Independent businesses-reopen-safely/ Polls show support for 2 desalination https://ocregister- proposals 7/21/2020 OC Register ca.newsmemory.com/?utm email=1453C5A314E3C46FE52415F421 August is water quality month in Orange County 30-Jul-20 Newsenterprise https://event-newsenterprise.com/17100-2/ https://www.latimes.com/socal/daily-pilot/opinion/story/2020-08- Pouring water on the Poseidon 06/mailbag-pouring-water-on-the-proposed-poseidon-desalinization- desalinization project 6-Aug-20 Daily Pilot rp oject https://angeles.sierraclub.org/news/blog/2020/08/poseidons_problems Poseidon's Problems 6-Aug-20 Sierra Club LA � Public Affairs Update MMM Daisy Covarrubias, Principal Public Affairs Specialist Legislative and Public Affairs Committee September 14, 2020 ENEM M_ -, o�N�y S A N I rq T�O� u newe. 9 :.. c o ti MM�D r/�� THE ENv\� What We Did R 4< <_ • Hosted three OCSD virtual tours and two TOUYS combined virtual tours with OCWD • New branding for the OCSD's Ocean 5 tours / 335 guests Monitoring Vessel 4 speaking engagements • Working with IT launched a new MyOCSD site • Distributed Summer issue of Neighborhood Social Media Connection Newsletter to Plant No. 2 Twitter: community • Distributed second Member Agency Outreach 35 tweets 19.9k impressions Toolkit • Participated in CASA's Meeting the Moment Facebook: video theneigh„ ,+. 36 posts 17k reach took,up in��!sky,it's a bird, mum Instagram. o r mum 35 posts 2,047 impressions � �... Page 2 ULA What • Virtual Tours • Virtual VIP Celebration O00 • Virtual OCSD State of the District NhoWeAre: u,r u,.:,x.r,�,:nre mmmuo.unrrtri pr,wno,...mwm.r rmo-nm..u.mmrni..,,n Roll out of new OCSD Logo 41x..,. ..r • ,.ol,�rm.ocsu n.,:n.:nl,rr.unxl.,n:,:.,,n.:I,r.:...r.r.y.J..a:.n,:,, «: . 1 I :.1 In mnn::,x„u.:::,l,..ra::c,n:mn:,::,r.,m.:,u:,i,a,:mn,.r,mi.� nv,,:,na�. .I i Mission Statement •ra I,rm.rl N.nnr n..vn........rn......nr P�.lamx m.rur..,.mw.r.r cnll.ctlun.,rcann.nl..nJ r.crrYnp" 0 SANG N� 0 Page 3 r , • American Inhouse Design Award from Graphic Design USA • 65 Years of Impressions Annual Report • 651" Anniversary Logo Window Design • National Association of Clean Water Agencies • Platinum Peak Performance Award • Utility of the Future Today Recognition CERTIFICATE OF RECOGNITION WATER Peak RESOUR�C/ESUTIU /THE O�a�g TyS FUTURE Performance A WA R D S o= y. Page 4 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 LEGISLATIVE AND PUBLIC AFFAIRS (714)5937433 COMMITTEE 9oTFCTN0 THE Agenda Report File #: 2020-1255 Agenda Date: 9/23/2020 Agenda Item No: 17. FROM: James D. Herberg, General Manager SUBJECT: ORANGE COUNTY SANITATION DISTRICT BRANDING GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve the new Orange County Sanitation District Logo. BACKGROUND The Orange County Sanitation District's (Sanitation District) logo was last updated in 1989. This was the first time it had changed since the agency was formed in 1954. In 1998, when the agency underwent a name change, the existing logo was left unchanged, however the name was updated. For the last 21 years, the Sanitation District has had the same logo resulting in a dated and inaccurate representation or reflection of who we are and the work that we do today. The Sanitation District is not a standard wastewater treatment plant. The Sanitation District is a resource recovery agency using all elements of the wastewater treatment process from recycling water, solids, and producing energy. The Sanitation District is a sustainable organization. A new logo that reflects the essence of who the Sanitation District is today is what is proposed. RELEVANT STANDARDS • Build brand, trust, and support with policy makers and community leaders • Maintain collaborative and cooperative relationships with regulators, stakeholders, and neighboring communities • Make it easy for people to understand OCSD's roles and value to the community. PROBLEM The current Sanitation District logo has not been refreshed in more than 30 years, making our agency's image appear out of date and not modern. In addition, the Sanitation District is often confused with other agencies such as the Orange County Sheriff's Department and with trash disposal service companies. Providing clarity to the public helps us further spread our message. Orange County Sanitation District Page 1 of 2 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1255 Agenda Date: 9/23/2020 Agenda Item No: 17. PROPOSED SOLUTION To help improve the image and branding of the agency, a logo redesign is proposed. The new proposed logo will provide the Sanitation District with a refreshed look that is more visually appealing. Rebranding the agency to "OC San" allows us to create an updated identity to reflect our forward thinking and innovative approach. TIMING CONCERNS A logo roll-out will be required to communicate with staff and the public on the reason for the change and to generate interest. The roll-out will need to be scheduled and timed to allow time for adoption and changes to be made. The timing of this effort also took into consideration the new Sanitation District Headquarters building currently in design. RAMIFICATIONS OF NOT TAKING ACTION Confusion may persist amongst our community about our function and purpose. The acronym similarity between the Orange County Sheriff's Department and our agency will also remain. ADDITIONAL INFORMATION The logo was designed in-house using existing resources. The Sanitation District's Graphic Designer designed five logo options that were submitted to staff for a vote. Staff was also asked to submit their own design options to be entered for consideration. The second vote consisted of 11 logo options. The top four options were presented to management for a final vote and was the determining factor for the recommendation before the Committee. FINANCIAL CONSIDERATIONS The new logo will be rolled out over a two-year process to allow for the supplies that have our current branding to be utilized. As new material is needed, the new logo will be incorporated. Staff does not anticipate that additional funds will be needed to implement and promote the logo beyond currently planned expenditures. Existing outreach efforts which are already approved and budgeted will be used to advertise and market the change. All items included in the Public Affairs Strategic Plan FY 2020-2022 are budgeted in the FY 2020- 2022 Budget. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Proposed Logo • Presentation Orange County Sanitation District Page 2 of 2 Printed on 9/15/2020 powered by LegistarTM 2020 Orange County Sanitation District's Proposed New Logo bilrA ORANGE COUNTY SANITATION DISTRICT I OCSD BrandingRim 0 Elm 1PON' _ �W Jennifer Cabral, Administration Manager LaPA Committee September 14, 2020 - r o�N�y S A N I rq TO� —{ • _I, —� / iUCTIUYN SAYlR � � /' cc WWI CK ffAcW r/�� THE ENv\� 0%,�-vtmf OCSD Branding —AM 4h" �\ST R I C TS OF .�y S A N I Tq T c �1y1TATlp� �p� D�y2 ��► 1politan O O l Is P'� 4Z3� ,s J `cA , o � 2 2 �� U cn = •e � cc c� o c, o -� U � • • O since 1954 RANGE COVE G THE ENS\RD G THE 1954 1989 1998 Page 2 Why Consider this Now a, WTI • Outdated . • Unclear. • Difficult and costly to print. Page 3 �� Rebranding • , i -Iw:� D C E N T R A L S A N EASTBAY CENTRAL CONTRA COS=RY DISTRICT MUNICIPAL UTILITYDISTRICT low) METRO WASTEWATER RECLAMATION DISTRICT LOS ANGELES COUNTY REGIONALSAN Aram SANITATION DISTRICTS Converting Waste Into Resources 1w CLARK REGIONAL WASTEWATER CC :DISTRICT Inland Empire Utilities Agency A MUNICIPAL WATER DISTRICT Page 4 Input Received Lam' • Simplify. Current one is too complex and needs a narrative. • Incorporate water into the design for quick recognition water vs . trash . • Water drop and leaf to incorporate water and biosolids. • Suggestion : OC San with Orange County Sanitation District Logo and Theme *keep OCSD logo as official seal . Page 5 C' WN.W,-.A, Design Process L- %6 • Five designs created by OCSD's Graphic Designer and submitted for staff's input. • Staff proposed additional designs and 11 options submitted for consideration . • Top four designs considered by board leadership, industry contacts , and management. • Staff's recommendation . . . . Page 6 �1 New Proposed Logo r' ORANGE COUNTY SANITATION DISTRICT Page 7 oJ�V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 LEGISLATIVE AND PUBLIC AFFAIRS (714)5937433 COMMITTEE 9oTFCTN0 THE Agenda Report File #: 2020-1256 Agenda Date: 9/23/2020 Agenda Item No: 18. FROM: James D. Herberg, General Manager SUBJECT: LEGISLATIVE AFFAIRS UPDATE FOR THE MONTHS OF JULY THROUGH AUGUST 2020 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Receive and file the Legislative Affairs Update for the months of July through August 2020. BACKGROUND The Orange County Sanitation District's (Sanitation District) legislative affairs program includes advocating the Sanitation District's legislative interests; sponsoring legislation (where appropriate); and seeking Local, State, and Federal funding for projects and programs. Staff will provide an update on recent legislative and grant activities. RELEVANT STANDARDS • Maintain influential legislative advocacy and a public outreach program • Build brand, trust, and support with policy makers and community leaders • Maintain collaborative and cooperative relationships with regulators, stakeholders, and neighboring communities PROBLEM Without a strong advocacy program, elected officials may not be aware of the Sanitation District's mission, programs, and projects and how they could be impacted by proposed legislation. PROPOSED SOLUTION Continue to work with Local, State, and Federal officials to advocate the Sanitation District's legislative interests. Help to create/monitor legislation and grants that would benefit the Sanitation District, the wastewater industry, and the community as a whole. To assist in our relationship building activities, we will continue to reach out to our elected officials providing facility tours, one-on-one meetings, and trips to D.C. and Sacramento. Orange County Sanitation District Page 1 of 2 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1256 Agenda Date: 9/23/2020 Agenda Item No: 18. TIMING CONCERNS N/A RAMIFICATIONS OF NOT TAKING ACTION If we do not work with Local, State, and Federal elected officials, legislation could be passed that negatively affects the Sanitation District and the wastewater industry as a whole. Additionally, a lack of engagement may result in missed funding opportunities. ADDITIONAL INFORMATION Save the Date: The Sanitation District's State of the District will be held on Friday, October 30 from 8 a.m. to 10 a.m. The event will be held virtually and host Local, State, and Federal dignitaries and provide an update on the Sanitation District, our accomplishments, and the future direction of the agency. Save the Dates will be sent next month. On August 14, the Sanitation District sent a letter of opposition to Assembly Bill (AB) 685 (Reyes) - Occupational safety: COVID-19 exposure: notification. This bill would require a public or private employer to provide specified notifications to its employees, the Division of Occupational Safety and Health, and the State Department of Public Health, relating to the exposure of its employees to COVID-19 in the workplace, when the employer has been notified of the exposure. AB 685 would provide for a specified civil penalty for an employer that violates the notification requirements of these provisions. Unfortunately, AB 685 passed the Legislature and is now headed to the Governor's desk for his signature. Staff along with Townsend Public Affairs will be sending a veto request to the Governor. FINANCIAL CONSIDERATIONS N/A ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: • Federal Update - ENS Resources • Representative Rouda Correspondence • United States Environmental Protection Agency Letter • Federal Legislative Matrix - ENS Resources • State Update - Townsend Public Affairs • Assembly Bill AB 685 (Reyes) • State Legislative Matrix - Townsend Public Affairs • Grant Matrix • Presentations Orange County Sanitation District Page 2 of 2 Printed on 9/15/2020 powered by LegistarTM Ll �V RESOURCES TO: Rebecca Long FROM: Eric Sapirstein DATE: August 21, 2020 SUBJECT: Washington Update During August, Congress recessed for the summer, subject to recall by the congressional leadership after negotiations failed to develop a COVID-19 relief package in early August. Despite the lack of consensus, progress on other fronts occurred. The following summarizes the outlook for legislative efforts when Congress returns to work after Labor Day: Senate Unveils Revised Coronavirus Relief Package The House and Senate failed to agree to a compromise health and economic relief assistance package when Senate Republicans rejected a House offer that would have scaled back the HEROES Act from $3.5 trillion to $2.5 trillion and urged passage of its HEALS Act with a cost of$1 trillion. As a follow-up to this, Senate Majority Leader Mitch McConnell (R-KY), released the "skinny"version of the HEALS Act, now titled Delivering Immediate Relief to America's Families, Schools and Small Businesses Act. Unlike the House's HEROES Act,the measure would limit assistance to extended unemployment insurance payments to 70 percent of a person's prior wages through December, provide liability waivers to employers whose employees return to work and contract COVID 19, small business assistance, and increased funding for virus testing and personal protective equipment (PPE) needs. The absence of key priorities contained within the HEROES Act prompted an instantaneous rejection by House and Senate Democrats. Despite the appearance of gridlock, congressional staff believe that within the coming weeks the House and Senate will return to the table to develop a compromise. Among the speculation is the potential that an agreement might be wrapped into a Continuing Resolution that must be approved before September 30 to ensure governmental operations continue beyond October 1. If this occurs, it highly likely that support for ratepayer assistance, tax credits for mandatory paid leave, and economic assistance for local governments will play a central part in negotiations. 11Page Given the almost changing nature of the debate,the key elements of any effort to pass an agreement appear to target the following differences: • House has agreed to reduce HEROES Act to $2.5 trillion in assistance,but the Senate and White House continue to insist on $1 trillion. • House remains committed to $1.5 billion in water service ratepayer assistance. The Senate is silent on the value of such assistance. • House proposes to extend tax credits for mandatory family leave associated with COVID-19 impacts to public agencies as previously provided to the private sector. The Senate does not provide for such assistance. Instead, it has offered to appropriate $10 billion to support childcare businesses in order return workers to their place of employment. • The Senate proposes a federal cause of action (waiver of liability) for employers that require workers to return to work and subsequently contract the virus at work. The House vehemently opposes the provision. • The House maintains current unemployment benefits ($600 additional payments). The Senate provides for reduced unemployment benefits with a maximum of$300 and a target of 70 percent of a worker's lost wages. • The House provides almost$900 billion to provide financial assistance to state and local governments (excluding special districts unless Governor directs assistance). The Senate has resisted this approach suggesting that previously appropriated funding under the prior three relief laws be repurposed to help offset revenue losses. • Both bills provide extension of provisions to allow for borrowing pensions and delay mandatory withdrawals. WRDA Reauthorization Enters Final Stretch with Potential for Water Infrastructure Assistance The House Committee on Transportation& Infrastructure and Senate Committee on Environment and Public Works staff have begun efforts to "pre-negotiate" a compromise Water Resources Development Act (WRDA) that Members could review and expedite a final bill in September. However, differences between the pending bills (Water Resources Development Act of 2020 (H.R. 7575), Drinking Water Infrastructure Act (S. 3590) and America's Water Infrastructure Act (S. 3591) coupled with the potential to expand negotiations to address broader water infrastructure needs, along with western water policy issues, could complicate reaching a final agreement until after the elections. As of this writing, provisions increasing assistance to disadvantaged communities, regulation of Per- and polyfluoroalkyl substances (PFAS) cleanups, increasing state revolving loan funding (SRF) levels, renewing and expanding water recycling assistance programs, supporting assistance for wastewater monitoring and surveillance of COVID-19, and enhancing the adoption of smart water technologies to reduce wastewater treatment costs could become part of an expanded WRDA rewrite. 2 1 P a g e Fiscal Year 2021 Appropriations Move Through the House The House has passed the key water and wastewater fiscal year (FY) 2021 spending bills and referred the bills to the Senate. The Senate Committee on Appropriations' Republicans and Democrat membership has been unable to find common ground to develop Senate spending bills. As a result, a Continuing Resolution, based on current year program spending levels must be enacted before October 1 to avoid a governmental shutdown. Because FY 2020 spending levels provided adequate assistance to core water infrastructure programs, including Water Infrastructure Finance and Innovation Act (WIFIA), SRF and water recycling, continued program operations should not be disrupted in the coming months,before a final spending agreement is reached. Based upon the House-passed spending priorities, it appears promising that water program spending in FY 2021 could be robust. Among the highlights of the House priorities are: • Mandate that U.S. Environmental Protection Agency (USEPA) maintain research into PFAS with goal of listing at least two chemicals chains as hazardous substances under Superfund; • Mandate for USEPA to issue PFAS effluent limits for industrial discharges; • Mandate to provide grants assistance to local agencies implement pretreatment programs; • SRF for drinking water provided $900 million with an additional $3 billion in emergency spending; • SRF for clean water provided $1.4 billion with an additional $7 billion in emergency spending; • $300 million for WaterSmart; • $50 million for Title XVI; and • $77 million for California water supply storage projects (Water Infrastructure Improvements for the Nation Act) 3 Page Serving. Orange County Sanitation District 10844 Ellis Avenue, Fountain Valley, CA 92708 Anaheim 714.962.2411 1 www.ocsd.com Brea Buena Park Cypress July 28, 2020 Fountain Valley The Honorable Harley Rouda Fullerton U.S. House of Representatives Garden Grove Washington, D.C. 20515 Huntington Beach Dear Representative Rouda: Irvine I write to thank you again for your leadership in providing effective federal policies to protect our La Habra water quality and specifically our coastal resources. Your success in securing a new grants La Palma assistance program to modernize clean water infrastructure as part of the Moving Forward Act (H.R. 2) will allow agencies like the Orange County Sanitation District (OCSD) to improve the Los Alamitos efficient delivery of wastewater treatment services to the more than two million citizens of Newport Beach Orange County. Orange OCSD is committed to leading the way to demonstrate the value that water technology solutions Placentia can provide to deliver safe, reliable and affordable water supplies. Your amendment will serve as a catalyst to adopt innovations that can improve water quality while driving down the costs of Santa Ana such treatment. We believe smart water technologies will help to modernize our water treatment Seal Beach facilities. Stanton We also want to acknowledge Ms. Beth Hammon of your staff. She is an outstanding individual Tustin who provided us with invaluable insights on the effort to address water technology adoption. In the coming months as Congress considers finalizing an infrastructure legislative package, we Villa Park would be pleased to provide any information or assistance. County of Orange Please do not hesitate to contact Jennifer Cabral, OCSD's Administration Manager at (714) 593- Costa Mesa 7581 or via email at cabral@ocsd.com should you have an questions. Thank you for our Sanitary District J Y Y q Y Y continued support of the Orange County Sanitation District. Midway City Sanitary District Sincerely, Irvine Ranch (� Water District &Jn Yorba Linda � 11 Water District David John Shawver Board Chairman GOJNSH SANITq;,10 � � O 2 9 9oT�cr/'VN THE ENV\e`o���2 Our Mission: To protect public health and the environment by providing effective wastewater collection, treatment, and recycling Environmental Protection Network August 12,2020 As former leadeis of the Environmental Protection Agency serving both Democratic and Republican administrations,we take great pride in the agency's many successes improving the quality of the air we breathe,safeguarding the water we drink,and protecting the environment that sustains us and our economy. As EPA approaches its 50th anniversary this December,we believe the time has come to reset the future course for EPA in a new,forward-looking direction to address the environmental challenges we face today and those that lie ahead. 17ie nature of the environmental and health challenges our nation faces have changed.Fifty years ago, pollution was visible and unrelenting throughout our country.Today,less visible but equally dangerous environmental hazards threaten communities in ways that differ place to place,person to person. Climate change is having far-reaching impacts on air quality,infectious diseases,and water quantity and quality,as well as intensifying destructive climate events such as floods,storms,wildfires,and droughts. Environmental injustices are putting lower-wealth communities,communities of color,and indigenous communities at disproportionately high levels of exposure,risk,and vulnerability to toxic pollution,not to mention the pandemic we arc now facing.Speedier,more effective assessments and responses will be nccded to face this and future pandemics,new toxic hazards,and other emerging or unmitigated health risks. The Environmental Protection Network(EPN)and its over 500 EPA alumni have developed detailed recommendations for setting new directions at EPA.We invite everyone to take a look at this important report,available at www.environmentalprotectionnetwork.org/reset.Not everyone will agree with every recommendation,for there is no single roadmap for the way forward.We agree with EPN that the following overarching recommendations for EPA are essential to meet the environmental challenges of the 21 st century and improve people's lives and our economy. 1. EPA must reaffirm its commitment to fully protect public health and the environment. 2. EPA must conduct its scientific and economic analysis free from political interference. 3. EPA must incorporate environmental justice in every aspect of its work in order to address and resolve inequitable environmental conditions. 4. EPA must focus on the most significant and pervasive public health and environmental risks, prioritizing actions that provide the greatest health benefit for the greatest number of people, including vulnerable populations. S. EPA must innovate and collaborate with states,tribes,local governments,and federal agencies as co- regulators,as well as with stakeholders,including the private and non-profit sectors and community groups,to build an effective and resilient system of public health and environmental protections. 6. EPA must earn and maintain broad public trust by demonstrating the best ethical behavior, transparently considering all stakeholder viewpoints,and providing objective environmental information. To do the job well,EPA will need additional resources.As new threats to the health and environmental needs of a growing population have multiplied,EPA's budget has declined.In inflation-adjusted dollars, EPA's budget was more than 50%higher under President Ronald Reagan than it is today.The steady deterioration of resources has undermined EPA's readiness for the In Real Dollars,EPA Spending Has Been Cut in Half Since 1980 challenges ahead and the agency's ability to adapt and respond to sox - emerging needs. 0 40% TOTAL US While we are concerned about the 30% ` N current state of affairs at EPA,we lox DISCRETIONARY arc hopeful for the agency's future. o rox E,PA has a strong foundation on ° which to build.Capable and talented lox 1 staff arc ready to answer the call. o , They have labored in good faith 0 zox - across administrations of both -30% ' parties to fulfill EPA's mission by C -40% following the law,applying the best u 50% _ available science,and displaying Sources.Environmental Protection Network,"Resetting the Course of EPA August 2020.OMB, openness and transparency with the Historical Tables.'table 4.1 Outlays by Agency.1962 2025"(adjusted to real dollars using U.S. public. Bureau of Economic Analysis' implicit price deflator);'sable 8.8- Outlays for Discretionary Programs." America's bedrock environmental laws have delivered enormous health and economic bencfits to the American public,as documented by Republican and Democratic administrations alike.'The public values clean air,clean water,and a healthy natural environment,notwithstanding differences in priorities and approaches. The years ahead will bring new and often far-reaching environmental and health risks.They also hold grcal potential for new approaches,new opportunities,and new technologies to confront environmental problems.Growing ranks of companies are showing internal leadership on swstainability without waiting for regulations.New technologies and data tools can pinpoint and help solve environmental threats.State and local governments,farmers and other landowners,community-based groups,universities,and others have pioneered new approaches to getting results. We have successfully risen as a nation to confront past threats to our health and environment.We are at an environmental crossroads,and we are hopeful that America will again muster the resolve,the will,and the action needed to protect public health,the environment,and our economy. For example,a 2019 Office of Manaeement and Budget study concluded that rules from EPA had the"highest estimated benefits"across the Federal government.OMB estimated the annual benefits of 39 EPA regulations to America's people over a decade at between$194 and$687 billion,far outweighing costs to polluters of less than$55 billion.In 2011.EPA studied 30 years of air quality improvements under the Clean Air Act and found benefits of more than$2 trillion,more than 30 times greater than costs of$65 billion. Sinccrdy, Hon.Lee Thomas EPA Administrator,1985-1989 Hon.William Reilly EPA Administrator,1989-1993 Hon.Carol Browner EPA Administrator,1993-2001 Hon.Christine Todd Whitman EPA Administrator,2001-2003 Hon.Lisa Jackson EPA Administrator,2009-2013 Hon.Gina McCarthy EPA Administrator,2013-2017 OCSD Federal Bills of Interest LATEST ACTION OTHER POSITIONS BILL AUTHOR OCSD POSITION Federal Legislation • MMM House-3/11/20 Ordered Water Recycling Investment and Improvement Act. Establishes a grant to be Reported H.R.1162 Rep.Grace Napolitano(D-CA) program for the funding of water recycling and reuse projects,and for other (Amended)out of Watch CASA SUPPORTS purposes. Committee on Natural Resources by 19-12 Water Quality Protection and Job Creation Act of 2019. Provides nearly$23.5 House- 10/29/19 billion in direct infrastructure investment over the next five years to address Ordered to be Reported H.R.1497 Rep. Peter DeFazio(D-OR) Watch CASA SUPPORTS wastewater infrastructure and local water quality challenges.This bill allocates Out as amended by voice $20 billion in grants for the Clean Water State Revolving Fund. vote PFAS Action Act of 2019. To require the Administrator of the Environmental House-1/13/20 Passed House and reported to H.R.535 Rep. Debbie Dingell (D-MI) Protection Agency to shall designate per-and polyfluoroalkyl substances as the Senate Committee on Watch NYC hazardous substances under the Comprehensive Environmental Response, Environment and Public Compensation,and Liability Act of 1980. Works House-2/6/19 Passed House by voice vote, Pacific Northwest Earthquake Preparedness Act of 2019. Requires the FEMA to received in Senate and H.R.876 Rep. Peter DeFazio(D-OR) develop a plan for the purchase and installation of an earthquake early warning Watch NYC system for the Cascadia Subduction Zone.The term "Cascadia Subduction Zone' . referred to Committee on Homeland Security and Governmental Affairs Regulatory Certainty for Navigable Waters Act. Repeals the Waters of the House-2/7/19 Referred H.R.667 Rep.Jaime Herrera Beutler(R-WA) United States rule and amend the Federal Water Pollution Control Act definition to Subcommittee onWatch NYC of navigable waters,and for other purposes. Water Resources and Environment Updated August 19, 2020 OCSD Federal Bills of Interest LATEST ACTIO OTHER POSITIONS ME AUTHOR SUMMARY M ZLCSD POSITION IMAGINE Act. A bill to encourage the research and use of innovative materials Senate-2/7/19 Referred S.403 Sen.Sheldon Whitehouse(D-RI) and associated techniques in the construction and preservation of the domestic to Committee on Watch NYC transportation and water infrastructure system,and for other purposes. Environment and Public Works Toxic Health Threat Warning Act of 2019. To require the Corps of Engineers to House-2/7/19 Referred H.R.977 Rep. Brian Mast(R-FL) notify affected communities before releasing water contaminated with to Subcommittee onWatch NYC cyanobacteria from flood risk management projects,and for other purposes. Water Resources and Environment California New River Restoration Act of 2019. Requires the USEPA to establish a House-2/7/19 Referred California New River restoration program for the New River. USEPA must(1) to Subcommittee on H.R.358 Rep.Juan Vargas(D-CA) implement projects, plans, and initiatives for the New River supported by the Watch NYC Water Resources and California-Mexico Border Relations Council; and (2) provide grants and technical Environment assistance for coordinating restoration and protection activities. Defense Environment and Property Act of 2019. A bill to amend the Federal Senate-2/7/19 Referred S.376 Sen. Rand Paul (R-KY) Water Pollution Control Act to clarify the definition of navigable waters,and for to Committee on Watch NYC other purposes. Environment and Public Works National Infrastructure Development Bank Act. Facilitates efficient investments House-2/7/19 Referred to Subcommittee on H.R.658 Rep. Rosa DeLauro and financing of infrastructure projects and new job creation through the Economic Development, Watch NYC establishment of a National Infrastructure Development Bank,and for other Public Buildings,and purposes. Emergency Management House-2/12/19 Referred To amend the Water Resources Development Act of 1986 to repeal the to the Subcommittee on H.R. 1137 Rep.John Garamendi(D-CA) Watch NYC authority relating to reprogramming during national emergencies. Water Resources and Environment Updated August 19, 2020 OCSD Federal Bills of Interest LATES OTHER POSITIONS AUTHOR SUMMARY mm�:�LCSD POSITION Coastal Communities Adaption Act. Improves the resilience of the built and House-3/6/19 Referred H.R. 1317 Rep. Harley Rouda (D-CA) natural environment to natural disasters and climate change using,among other to Subcommittee onWatch NYC measures, natural and nature-based features, and for other purposes. Water Resources and Environment PFAS Action Act. A bill to require the Administrator of the Environmental Senate-2/28/19 Referred Protection Agency to designate per-and polyfluoroalkyl substances as hazardous to Committee on S.638 Sen.Tom Carper(D-DE) Watch NYC substances under the Comprehensive Environmental Response,Compensation, Environment and Public Liability Act of 1980,and for other purposes. Works Water Affordability,Transparency,Equity,and Reliability Act of 2019. A bill to Senate-2/28/19 Referred S.611 Sen. Bernie Sanders(I-VT) provide adequate funding for water and sewer infrastructure,and for other to Committee on Watch NYC Environment and Public purposes. Works House-4/9/19 Passed Local Water Protection Act. To amend the Federal Water Pollution Control Act House 329-56. Received referred to H.R.1331 Rep.Angie Craig(D-MN) to reauthorize certain programs relating to nonpoint source management, and in Senate, Watch NYC for other purposes. Committee on Environment and Public Works House-3/15/19 Referred H.R.1764 Rep.John Garamendi(D-CA) To amend the Federal Water Pollution Control Act with respect to permitting to Subcommittee on Watch CASA, NACWA, terms,and for other purposes. Water Resources and ACWA-SUPPORTS Environment PFAS Detection Act of 2019. Requires the Director of the United States Senate-3/28/19 Referred S.950 Sen. Debbie Stabenow(D-MI) Geological Survey to perform a nationwide survey of perfluorinated compounds, to Committee on Watch NYCEnvironment and Public and for other purposes. Works Senate-3/28/19 Referred BLUE GLOBE Act. Improves data collection and monitoring of the Great Lakes, to Committee on S.933 Sen.Sheldon Whitehouse(D-RI) Watch NYC oceans, bays,estuaries,and coasts,and for other purposes. Commerce,Science, and Transportation Updated August 19, 2020 OCSD Federal Bills of Interest Coordinated Ocean Observations and Research Act of 2019. Reauthorizes the Integrated Coastal and Ocean Observation System Act of 2009,to clarify the Senate-12/5/19 Placed S.914 Sen. Roger Wicker(R-MS) authority of the Administrator of the National Oceanic and Atmospheric on Senate Legislative Watch NYC Administration with respect to post-storm assessments,and to require the Calendar establishment of a National Water Center, and for other purposes. Smart Energy and Water Efficiency Act of 2019. Provides for a smart water House-4/9/19 Referred H.R.2019 Rep.Jerry McNerney(D-CA) to Committee on Science, Watch NYC resource management pilot program. Space, and Technology Indian Water Rights Settlement Extension Act.Amends the Omnibus Public House-4/4/19 H.R.1904 Rep. Raul Grijalva (D-CA) Land Management Act of 2009 to make the Reclamation Water Settlements Committee on Natural Watch NYC Fund permanent. Resources Hearings Held Water Quality Certification Improvement Act of 2019.Amends the Federal House-4/11/19 Referred H.R.2205 Rep. David McKinley(R-WV) Water Pollution Control Act to make changes with respect to water quality to Subcommittee on Watch NYC certification,and for other purposes. Water Resources and Environment Digital Coast Act. Requires the Secretary of Commerce,acting through the Administrator of the National Oceanic and Atmospheric Administration,to establish a constituent-driven program to provide a digital information platform House-11/26/19 Placed H.R.2189 Rep. Dutch Ruppersberger(D-MD) capable of efficiently integrating coastal data with decision-support tools, on Union Calendar Watch NYC training,and best practices and to support collection of priority coastal geospatial data to inform and improve local,State, regional, and Federal capacities to manage the coastal region, and for other purposes. Updated August 19, 2020 OCSD Federal Bills of Interest Digital Coast Act. A bill to require the Secretary of Commerce,acting through the Administrator of the National Oceanic and Atmospheric Administration,to Senate-6/18/20 Placed establish a constituent-driven program to provide a digital information platform on Senate Legislative S. 1069 Sen.Tammy Baldwin (D-WI) capable of efficiently integrating coastal data with decision-support tools, Calendar under General Watch NYC training,and best practices and to support collection of priority coastal Orders.Calendar No.481 geospatial data to inform and improve local,State, regional, and Federal capacities to manage the coastal region, and for other purposes. Water Quality Certification Improvement Act of 2019. A bill to amend the Senate-11/19/19 S. 1087 Sen.John Barrasso (R-WY) Federal Water Pollution Control Act to make changes with respect to water Committee on Watch NYC quality certification, and for other purposes. Environment and Public Works hearings held S.A.V.E.Water Resources Act. Promotes water supply reliability and improved House-3/11/20 Ordered H.R.2473 Rep.Josh Harder(D-CA) water management for rural communities, the State of California, and the to be Reported Watch NYC Nation, and for other purposes. (Amended) by 19-12 Safe Drinking Water Assistance Act of 2019. Improves and coordinate Senate-4/30/19 Referred interagency Federal actions and provide assistance to States for responding to to Committee on S. 1251 Sen.Jeanne Shaheen (D-NH) Watch NYC public health challenges posed by emerging contaminants, and for other Environment and Public purposes. Works WISE Act.Amends the Federal Water Pollution Control Act to require a certain House-5/2/19 Referred H.R.2458 Rep. Debbie Mucarsel-Powell (D-FL) percentage of funds appropriated for revolving fund capitalization grants be to Subcommittee ofWatch NYC used for green projects, and for other purposes. Water Resources and Environment Protect Drinking Water from PFAS Act of 2019. Requires the Environmental Protection Agency(EPA)to address the level of perfluoroalkyl and polyfluoroalkyl substances(PFAS) in drinking water.Specifically,the EPA must House 9/2 H.R.2377 Rep. Brendan Boyle(D-PA) Forwarded too Full Watch NYC publish a maximum contaminant level goal and promulgate a national primary Committee by voice vote drinking water regulation for total PFAS. PFAS are man-made chemicals that may lead to adverse human health effects. Updated August 19, 2020 OCSD Federal Bills of Interest iil:111111.......... 7Providuinginancial Assistance for Safe Drinking Water Act. To assist House-9/26/19 H.R.2533 Rep. Frank Pallone(D-NJ) water systems affected by PFAS contamination,and for other Forwarded to Full Watch NYC purposes. Committee by voice vote To require the Administrator of the Environmental Protection Agency to revise House-9/26/19 H.R.2566 Rep. Darren Soto(D-FL) the Safer Choice Standard to provide for a Safer Choice label for pots,pans, Forwarded to Full Watch NYC and cooking utensils that do not contain PFAS,and for other purposes. Committee by voice vote PFAS Right-To-Know Act.Amends the Emergency Planning and Community Right House-9/26/19 H.R.2577 Rep.Antonio Delgado(D-NY) To-Know Act of 1986 to include per-and polyfluoroalkyl substances on the Toxics Forwarded to Full Watch NYC Release Inventory,and for other purposes. Committee by voice vote PFAS Accountability Act of 2019. A bill to encourage Federal agencies to Senate-5/8/19 Referred expeditiously enter into or amend cooperative agreements with States for to Committee on S. 1372 Sen. Debbie Stabenow(D-MI) removal and remedial actions to address PFAS contamination in drinking, Environment and Public Watch NYC surface, and ground water and land surface and subsurface strata,and for other Works purposes. House-5/15/19 Referred H.R.2705 Rep. Earl Blumenauer(D-OR) Water Infrastructure Trust Fund Act of 2019. To establish a Water to Subcommittee on Watch NYC Infrastructure Trust Fund,and for other purposes. Water Resources and Environment House-5/16/19 Referred H.R.27SS Rep. Brendan Boyle(D-PA) Buy America 2.0 Act. To standardize and extend certain Buy America Provisions. to Subcommittee on Watch NYC Aviation Protect Drinking Water from PFAS Act of 2019. A bill to amend the Safe House-5/15/19 Referred Drinking Water Act to require the Administrator of the Environmental Protection to Committee on S. 1473 Sen. Kristen Gillibrand (D-NY) Watch NYC Agency to set maximum contaminant levels for certain chemicals,and for other Environment and Public purposes. Works Updated August 19, 2020 OCSD Federal Bills of Interest Reinventing Economic Partnerships and Infrastructure Redevelopment Act. A bill to facilitate efficient investments and financing of infrastructure projects and Senate-5/16/19 Referred S. 1535 Sen. Mark Warner(D-VA) Watch NYC new, long-term job creation through the establishment of an Infrastructure to Committee on Finance Financing Authority, and for other purposes. House-5/16/19 Referred Stop Sewage Overflow Act. To make certain municipalities eligible for grants to Subcommittee on H.R.2776 Rep. Lori Trahan (D-MA) Watch NYC under the Federal Water Pollution Control Act, and for other purposes. Water Resources and Environment PFAS Monitoring Act of 2019. To amend the Safe Drinking Water Act to require House-5/17/20 Referred H.R.2800 Re Elissa Slotkin D-MI continued and expanded monitoring of erfluoroalk I and of fluoroalk I to Subcommittee on Watch NYC p� ( ) p g p y p Y y Environment and Climate substances in drinking water, and for other purposes. Change Senate-6/27/19 Passed PFAS Release Disclosure and Protection Act of 2019. A bill to include certain as an amendment to S. 1507 Sen.Shelley Moore Capito(D-WV) perfluoroalkyl and polyfluoroalkyl substances in the toxics release inventory,and National Defense Watch NYC for other purposes. Authorization Act(S. 1790) Contaminant and Lead Electronic Accounting and Reporting Requirements for Senate-5/22/19 Referred (CLEARR)Drinking Water Act of 2019. Amends the Safe Drinking Water Act to to Committee on S. 1613 Sen. Ed Markey(D-MA) Watch NYC update and modernize the reporting requirements for contaminants, including Environment and Public lead, in drinking water,and for other purposes. Works Aquifer Recharge Flexibility Act. Provides flexibility to allow greater aquifer Senate- 10/29/19 Placed S. 1570 Sen.James Risch (R-ID) on Senate Legislative Watch NYC recharge,and for other purposes. Calendar House-6/10/19 Referred Aquifer Recharge Flexibility Act. Provides flexibility to allow greater aquifer to Subcommittee on H.R.2871 Rep. Russ Fulcher(R-ID) Watch NYC recharge,and for other purposes. Water Resources and Environment Updated August 19, 2020 OCSD Federal Bills of Interest 11pir- pr . . Local Water Protection Act. Amends the Federal Water Pollution Control Act Senate-5/22/19 Referred S. 1604 Sen.Amy Klobuchar(D-MN) to reauthorize certain programs relating to nonpoint source management, and to Committee on Watch NYC Environment and Public for other purposes. Works Living Shorelines Act of 2019. Directs the Administrator of the National Oceanic and Atmospheric Administration to make grants to State and local governments Senate-6/5/19 Referred and nongovernmental organizations for purposes of carrying out climate- to Committee on S. 1730 Sen. Kamala Harris(D-CA) Watch NYC resilient living shoreline projects that protect coastal communities by supporting Commerce,Science and ecosystem functions and habitats with the use of natural materials and systems, Transportation and for other purposes. PIPE Act. A bill to require the Administrator of the Environmental Protection Senate-6/13/19 Referred S. 1837 Sen. Kristen Gillibrand (D-NY) Agency to establish a discretionary grant program for drinking water and to Committee on Watch NYC wastewater infrastructure projects, and for other purposes. Environment and Public Works PIPE Act. To require the Administrator of the Environmental Protection Agency House-6/14/19 Referred H.R.3254 Rep.Antonio Delgado(D-NY) to establish a discretionary grant program for drinking water and wastewater to Subcommittee on Watch NYC infrastructure projects, and for other purposes. Water Resources and Environment Wastewater Infrastructure Workforce Investment Act.To amend the Federal House-6/27/19 Referred H.R.3521 Rep.Greg Stanton (D-AZ) Water Pollution Control Act with respect to wastewater infrastructure workforce to the Subcommittee on Watch NYC development, and for other purposes. Water Resources and Environment Coastal State Climate Preparedness Act of 2019. To amend the Coastal Zone Management Act of 1972 to require the Secretary of Commerce to establish a House-11/15/19 Placed H.R.3541 Rep.Salud Carbajal (D-CA) Watch NYC coastal climate change adaptation preparedness and response program, and for on Union Calendar other purposes. National Opportunity for Lead Exposure Accountability and Deterrence Act of Senate-7/11/19 Referred 2019. To amend the Safe Drinking Water Act to improve transparency under the to Committee on S.2086 Sen.Tammy Duckworth (D-IL) Watch NYC national primary drinking water regulations for lead and copper,and for other Environment and Public purposes. Works Updated August 19, 2020 OCSD Federal Bills of Interest Senate-7/18/19 CASA, NACWA, Drought Resiliency and Water Supply Infrastructure Act. To support water S. 1932 Sen.Cory Gardner(R-CO) Subcommittee Hearings Watch NWRA,ACWA - infrastructure in Reclamation States, and for other purposes. Held SUPPORTS Living Shorelines Act of 2019. To direct the Administrator of the National Oceanic and Atmospheric Administration to make grants to State and local governments and nongovernmental organizations for purposes of carrying out House-11/26/19 Placed H.R.3115 Rep. Frank Pallone(D-NJ) Watch NYC climate-resilient living shoreline projects that protect coastal communities by on the Union Calendar supporting ecosystem functions and habitats with the use of natural materials and systems,and for other purposes. Water Resources Research Amendments Act. To amend the Water Resources House-7/25/20 Research Act of 1984 to reauthorize grants for and require applied water supply H.R.3510 Rep.Josh Harder(D-CA) Subcommittee hearings Watch NYC research regarding the water resources research and technology institutes held established under that Act. Desalination Development Act. To promote desalination project development House-3/11/20 Ordered H.R.3723 Rep. Mike Levin (D-CA) to be Reported Watch NYC and drought resilience,and for other purposes. (Amended) by 13-10 National Opportunity for Lead Exposure Accountability and Deterrence Act of House-7/11/19 Referred 2017. To amend the Safe Drinking Water Act to improve transparency under the to Subcommittee on H.R.3677 Rep. Dan Kildee(D-MI) Watch NYC national primary drinking water regulations for lead and copper, and for other Environment and Climate purposes. Change Creating Opportunity And Sustainability Through Science Act.To require House-8/7/19 Referred research in coastal sustainability and resilience,to ensure that the Federal to Subcommittee on H.R.3919 Rep.Seth Moulton (D-MA) Watch NYC Government continues to implement and advance coastal resiliency efforts,and Water,Oceans,and for other purposes. Wildlife Environmental Justice Act of 2019. To require Federal agencies to address Senate-7/23/19 Referred S.2236 Sen. Cory Booker(D-NJ) environmental justice,to require consideration of cumulative impacts in certain to Committee and Public Watch NYC permitting decisions,and for other purposes. Works House-9/4/19 Referred H.R.4033 Rep. Dan Kildee(D-MI) Water Justice Act. To provide supplemental appropriations for safe and secure to Subcommittee on Watch NYC water,and for other purposes. Commodity Exchanges, Energy, and Credit Updated August 19, 2020 OCSD Federal Bills of Interest ACTIONLATEST OTHER POSITIONS ME AUTHOR _JL SUMMARY OCSD POSITION To amend the Water Resources Reform and Development Act of 2014 to House-7/25/19 Referred H.R.3944 Rep. Kevin Hern (R-OK) modify the procedure for communicating certain emergency risks,and for to Subcommittee onWatch NYC other purposes. Water Resources and Environment Environmental Justice Act of 2019. To require Federal agencies to address House-8/15/19 Referred H.R.3923 Rep. Raul Ruiz(D-CA) environmental justice,to require consideration of cumulative impacts in certain to Subcommittee on theWatch NYC permitting decisions,and for other purposes. Constitution,Civil Rights, and Civil Liberties Clean Water Through Green Infrastructure Act. To establish centers of Senate-9/10/19 Referred S.2456 Sen.Tom Udall (D-NM) excellence for innovative stormwater control infrastructure,and for other to Committee on Watch NYC Environment and Public purposes. Works Clean Water Through Green Infrastructure Act. To establish centers of House-9/11/19 Referred H.R.4266 Rep. Denny Heck(D-WA) excellence for innovative stormwater control infrastructure,and for other to Subcommittee on Watch NYC Water Resources and purposes. Environment Senate-9/11/19 Referred Water Justice Act. To provide supplemental appropriations for safe and secure to Committee on 5.2466 Sen. Kamala Harris(D-CA) Watch NYC water,and for other purposes. Environment and Public Works PREPARE Act of 2019. To enhance the Federal Government's planning and preparation for extreme weather and the Federal Government's dissemination House-9/19/19 Ordered H.R.4347 Rep. Matt Cartwright(D-PA) of best practices to respond to extreme weather,thereby increasing resilience, to be reported out of Watch NYC improving regional coordination,and mitigating the financial risk to the Federal Committee by Voice Vote Government from such extreme weather, and for other purposes. Updated August 19, 2020 OCSD Federal Bills of Interest BILL AUTHOR SUIVIMARyJN�������� TEST ACTION OCSD POSITION OTHER POSITIONS —d NIL Voluntary Water Partnership for Distressed Communities Act of 2019. To Senate-10/15/19 amend the Safe Drinking Water Act to authorize certain community water Referred to Committee S.2596 Sen.Tammy Duckworth (D-IL) Watch NYC systems to enter into partnerships to improve the water systems,and for other on Environment and purposes. Public Works Clean Water Infrastructure Resilience and Sustainability Act. To amend the Senate-10/17/19 Federal Water Pollution Control Act to establish a program to make grants to Referred to Committee S.2636 Sen. Ben Cardin (D-MD) Watch NYC eligible entities to increase the resilience of publicly owned treatment works to on Environment and natural hazards, and for other purposes. Public Works House-10/17/19 Referred to Committees SMART Infrastructure Act. To waive certain procurement provisions for a on Transportation and H.R.4687 Rep. Harley Rouda (D-CA) Infrastructure,Science, Watch NYC project that receives funds from certain Federal agencies. Space,and Technology, Agriculture, and Energy and Commerce National Infrastructure Investment Corporation Act of 2019. To establish a House-10/23/19 H.R.4780 Rep.Salud Carbajal (D-CA) Government corporation to provide loans and loan guarantees for infrastructure Referred to Watch NYC projects,and for other purposes. Subcommittee on Highways and Transit Low-Income Water Customer Assistance Programs Act of 2019. To amend the Senate-10/23/19 Safe Drinking Water Act and the Federal Water Pollution Control Act to establish Referred to Committee S.2687 Sen. Ben Cardin (D-MD) Watch NYC pilot programs to assist low-income households in maintaining access to on Environment and sanitation services and drinking water, and for other purposes. Public Works Assuring Quality Water Infrastructure Act. To amend the Safe Drinking Water Senate-10/23/19 S.2674 Sen.Shelley Moore Capito(D-WV) Act to establish a grant program for improving infrastructure asset management Referred to CommitteeWatch NYC by small public water systems, and for other purposes. on Environment and Public Works A bill to amend the Federal Water Pollution Control Act to establish a pilot Senate-10/31/19 S.2767 Sen. Doug Jones(D-AL) competitive grant program for improving the sharing of water quality data, Referred to CommitteeWatch NYC and for other purposes. on Environment and Public Works Updated August 19, 2020 OCSD Federal Bills of Interest Disadvantaged Community Drinking Water Assistance Act.To require the House-2/12/20 Ordered H.R.5347 Rep.TJ Cox(D-CA) Secretary of the Interior to establish a grant program to close gaps in access to to be Reported Watch NYC safe drinking water in disadvantaged communities,and for other purposes. (Amended) by voice vote Discouraging Frivolous Lawsuits Act.To amend the Federal Water Pollution House-12/9/19 Referred H.R.5341 Rep.Tom Rice(R-SC) Control Act with respect to citizen suits and the specification of disposal sites, to Subcommittee onWatch NYC and for other purposes. Water Resources and Environment Affordable Safe Drinking Water Act of 2020.To amend the Federal Water Senate- 1/8/20 Referred S.3160 Sen. Elizabeth Warren (D-MA) Pollution Control Act and the Safe Drinking Water Act to modify the payment to Committee on Watch NYC periods of loans from State revolving funds under those Acts,and for other Environment and Public purposes. Works Protect and Restore America's Estuaries Act.A bill to amend the Federal Water Senate- 1/9/20 Referred S.3171 Sen.Sheldon Whitehouse(D-RI) Pollution Control Act to reauthorize the National Estuary Program, and for other to Committee on Watch NYC Environment and Public purposes. Works House-1/17/20 Referred Blue Carbon for Our Planet Act.To establish an Interagency Working Group on to Subcommittee on H.R.5589 Rep.Suzanne Bonamici (D-OR) Watch NYC Coastal Blue Carbon, and for other purposes. Water,Oceans, and Wildlife Encouraging the Environmental Protection Agency to maintain and strengthen House-1/14/20 Referred H. Res.797 Rep. Debbie Dingell (D-MI) requirements under the Clean Water Act and reverse ongoing administrative to Subcommittee onWatch NYC actions to weaken this landmark law and protections for United States waters. Water Resources and Environment Prevent Future American Sickness Act of 2020. Senate-1/28/20 Referred To require the Administrator of the Environmental Protection Agency to to Committee on S.3227 Sen. Bernie Sanders(I-VT) designate per-and polyfluoroalkyl substances as hazardous substances under Environment and Public Watch NYC the Comprehensive Environmental Response,Compensation,and Liability Act of Works 1980,and for other purposes. Updated August 19, 2020 OCSD Federal Bills of Interest ACTIONLATEST OTHER POSITIONS AUTHORBILL SUMMARY OCSD POSITION Endangered Species Transparency and Reasonableness Act of 2020.To amend House-1/31/20 Referred the Endangered Species Act of 1973 to require publication on the internet of the to Subcommittee on H.R.5694 Rep.Tom McClintock(R-CA) Watch NYC basis for determinations that species are endangered species or threatened Water,Oceans, and species,and for other purposes. Wildlife Senate-2/13/20 Referred S.3306 Sen.Jeff Merkley(D-MA) MICRO Plastics Act of 2020.A bill to establish a microplastics pilot program, and to Committee on Watch NYC for other purposes. Environment and Public Works House-2/14/20 Referred H.R.5902 Rep. Brian Mast(R-FL) MICRO Plastics Act of 2020.A bill to establish a microplastics pilot program, and to Subcommittee on Watch NYC for other purposes. Water Resources and Environment Break Free From Plastic Pollution Act of 2020.To amend the Solid Waste Disposal Act to reduce the production and use of certain single-use plastic House-2/12/20 Referred products and packaging,to improve the responsibility of producers in the design, to Subcommittee on H.R.5845 Rep.Alan Lowenthal (D-CA) collection, reuse, recycling,and disposal of their consumer products and Watch CASA supports Water Resources and packaging,to prevent pollution from consumer products and packaging from Environment entering into animal and human food chains and waterways,and for other purposes. Break Free From Plastic Pollution Act of 2020.To amend the Solid Waste Disposal Act to reduce the production and use of certain single-use plastic products and packaging,to improve the responsibility of producers in the design, Senate-6/17/20 Full S.3944 Sen.Tom Udall (D-NM) collection, reuse, recycling,and disposal of their consumer products and Watch CASA supports Committee hearings held packaging,to prevent pollution from consumer products and packaging from entering into animal and human food chains and waterways,and for other purposes. Updated August 19, 2020 OCSD Federal Bills of Interest ACTIONLATEST OTHER POSITIONS ME AUTHOR SUMMARY OCSD POSITION House-2/12/20 Referred To amend the Federal Water Pollution Control Act to establish a decentralized to Subcommittee on H.R.5856 Rep.Terri Sewell (D-AL) Watch NYC wastewater grant program,and for other purposes. Water Resources and Environment A bill to amend the Federal Water Pollution Control Act to establish a Senate-2/11/20 Referred S.3274 Sen.Cory Booker(D-NJ) to Environment and Watch NYC decentralized wastewater grant program,and for other purposes. Public Works National Defense Authorization Act of 2021.Authorizes appropriations for fiscal H.R.6395 Rep.Adam Smith (D-WA) Year 2021 for military activities of the Department of Defense and for military House-7/21/20 Passed Watch NYC construction,to prescribe military personnel strengths for such fiscal year, and House 295-125 for other purposes. CARES Act.Amends the Internal Revenue Code of 1986 to repeal the excise tax House-3/27/20 Became H.R.748 Rep.Joe Courtney(D-CT) Watch NYC on high cost employer-sponsored health coverage. Public Law No: 116-136 Emergency Water is a Human Right Act. Prohibits water shutoffs during the House-4/20/20 Referred H.R.6552 Rep. Rashid to Subcommittee ona Tlaib (D-MI) COVID-19 emergency period, provide drinking and waste water assistance to Watch NYC households,and for other purposes. Water Resources and Environment America's Water Infrastructure Act of 2020. Provides for improvements to the Senate-5/11/20 rivers and harbors of the United States,to provide for the conservation and Reported out of S.3591 Sen.John Barrasso (R-WY) Committee on Watch NYC development of water and related resources,to provide for water pollution control activities,and for other purposes. Environment and Public Works Senate-5/11/20 Drinking Water Infrastructure Act of 2020. Amends the Safe Drinking Water Act Reported out of S.3590 Sen.John Barrasso(R-WY) Committee on Watch NYC to reauthorize certain provisions,and for other purposes. Environment and Public Works Updated August 19, 2020 OCSD Federal Bills of Interest AUTHORMW SUMMARY 0 P LATESTACTION aCSID POSITION The HEROES Act. Making emergency supplemental appropriations for the fiscal House- 5/15/20 Passed H.R.6800 Rep. Nita Lowey(D-NY) House by 208-199; Watch NYC year ending September 30, 2020,and for other purposes. Referred to Senate Senate-7/22/20 Restoration of Essential Conveyance Act.A bill to provide financial assistance Committee on Energy and S.3811 Sen. Dianne Feinstein (D-CA) for projects to address certain subsidence impacts in the State of California,and Natural Resources Watch NYC for other purposes. Subcommittee on Water and Power. Hearings held House-6/1/20 Referred To amend the Social Security Act to include special districts in the coronavirus to Committee on H.R.7073 Rep.John Garamendi(D-CA) relief fund,to direct the Secretary to include special districts as an eligible Oversight and Reform, Watch CSDA SUPPORTS issuer under the Municipal Liquidity Facility,and for other purposes and in addition to the Committee on Financial Services, Break Free From Plastic Pollution Act of 2020.Amends the Solid Waste Disposal Act to reduce the production and use of certain single-use plastic products and Senate-6/11/20 packaging,to improve the responsibility of producers in the design,collection, Referred to Committee S.3944 Sen.Tom Udall (D-NM) Watch NYC reuse, recycling,and disposal of their consumer products and packaging,to on Environment and prevent pollution from consumer products and packaging from entering into Public Works animal and human food chains and waterways,and for other purposes. National Defense Authorization Act of 2021.To authorize appropriations for fiscal year 2021 for military activities of the Department of Defense,for military Senate-7/23/20 Passed S.4049 Sen.James Inhofe(R-OK) construction,and for defense activities of the Department of Energy,to Watch NYC prescribe military personnel strengths for such fiscal year,and for other Senate by 86-14 purposes. Moving Forward Act.To authorize federal funds to support transportation, energy,water,environment and green infrastructure, resiliency and disaster House-7/20/20 Passed H.R.2 Rep. Peter DeFazio(D-OR) Watch NYC mitigation, housing, healthcare, and broadband infrastructure activities,and for House by 233-188 other purposes. Updated August 19, 2020 OCSD Federal Bills of Interest ACTIONLATEST OTHER POSITIONS ML AUTHOR SUMMARY a = OCSD POSITION Water Resources Development Act of 2020.To provide for improvements to the House-7/30/20 Passed H.R.7575 Rep. Peter DeFazio(D-OR) rivers and harbors of the United States,to provide for the conservation and Watch NYC by Unanimous Consent development of water and related resources,and for other purposes. Senate-7/22/20 Water for Tomorrow Act.To provide for drought preparedness and improved Committee on Energy and S.4188 Sen. Kamala Harris(D-CA) Natural Resources Watch NYC water supply reliability, and for other purposes. Subcommittee on Water and Power Special Districts Provide Essential Services Act.To amend the Social Security Act Senate-7/23/20 Referred to include special districts in the coronavirus relief fund,to direct the Secretary S.4308 Sen. Kyrsten Sinema (D-AZ) to the Committee on Watch CSDA SUPPORTS to include special districts as an eligible issuer under the Municipal Liquidity Finance. Facility,and for other purposes. State,Foreign Operations,Agriculture,Rural Development, Interior, House-7/24/20 Passed H.R.7608 Rep. Nita Lowey(D-NY) Environment,Military Construction,and Veterans Affairs Appropriations Act, Watch NYC House 224-189 2021. Updated August 19, 2020 OCSD Federal Bills of Interest ACTIONLATEST OTHER POSITIONS AUTHOR i SUIVIIVIARM��������� OCSD POSITION Defense,Commerce,Justice,Science,Energy and Water Development, Financial Services and General Government,Labor,Health and Human House-7/31/20 Passed H.R.7617 Rep. Peter Visclosky(D-IN) Watch NYC Services,Education,Transportation, Housing,and Urban Development House 217-197 Appropriations Act,2021. Senate-8/6/20 Referred A bill to ensure climate and environmental justice accountability,and for other to Committee on S.4513 Sen. Kamala Harris(D-CA) Watch NYC purposes. Homeland Security and Governmental Affairs Legend: ACC-OC-Association of California Cities,Orange County LOCC-League of California Cities NYC-Not Yet Considered CASA-California Association of Sanitation Agencies NACWA-National Association of Clean Water Agencies ACWA-Association of California Water Agencies CSDA-California Special Districts Association Updated August 19, 2020 T %C)" WNSEND P U B L I C A F F A I R S EST TPA 1998 To: Orange County Sanitation District From: Townsend Public Affairs, Inc. Date: August 21, 2020 Subject: Legislative and Public Affairs Agenda Report State Legislative Update In August, the Legislature and the Governor continued to focus on policy proposals to address the major concerns of COVID-19, housing, homelessness, and climate resilience. Governor Newsom also took action to reduce indoor operations for certain sectors, announced a major purchase of personal protective equipment (PPE), and outlined a pandemic plan for the 2020-21 school year. The Legislature is entering the final stretch of the 2020 legislative session. The last day of session is August 31 when members will return to their districts in preparation of the November election. Following adjournment on August 31, Governor Newsom will have 30 day to sign or veto legislation. The Legislature was originally scheduled to return to the Capitol on July 13, however several members and staff tested positive for COVID-19, postponing their return until July 27. When members returned to the Capitol, there was a flurry of activity regarding the remaining 740 bills that were still active in both houses. Members were told to reduce their bill packages to allow for priority legislation to be considered under the new timeline. On August 20, the Senate and Assembly Appropriations Committees conducted their Suspense File hearings, which determined the fate of several hundred bills in just a few hours. The bills that passed out of the Appropriations Committees are now on the Senate and Assembly Floor for their final votes before August 31. Assembly and Senate Leaders are also discussing the possibility of a special legislative session with the Administration that would take place after this current session ends on August 31; however, any decisions will likely depend on the growing number of COVID-19 cases throughout the state. Below are the upcoming deadlines for the Legislature: August 21 — Last day for fiscal committees to meet and report bills August 24-31 — Senate floor session August 26 — Last day to amend bills on the floor (Senate) August 31 — Last day for each house to pass bills September 30 — Last day for the Governor to sign or veto legislation Water Resiliency Portfolio As a follow-up to Governor Newsom's April 2019 Executive Order that directed State agencies to plan and prepare for statewide water shortages, the Governor announced a finalized Water Resiliency Portfolio that will direct future State water policies. The plan prioritizes safe drinking water, groundwater recharge, healthy waterways, and the Salton Sea. The plan also outlines nearly 150 state actions to help build a more climate-resilient system as the State responds to the impacts of climate change. The portfolio guides policy regarding the long-term functionality of the State Water Project and other conveyance infrastructure. In January 2020, the California Natural Resources Agency, Environmental Protection Agency, and Department of Food and Agriculture released a draft version of the portfolio for public feedback. More than 200 individuals responded with comments which resulted in 14 new actions reflected in the portfolio, including addressing upper watershed health and cross-border water issues. Lastly, the plan recognizes the current State budget and recognizes that the pace of these policy priorities will be dependent on future funding. TPA will continue to provide updates regarding relevant State water policy so the Sanitation District is kept abreast of potential impacts on the changes to State policy Cap and Trade Auction Summary In May, the State of California and Quebec, Canada held a joint auction for Greenhouse Gas (GHG) allowances as a part of the Cap and Trade program. Prior to this quarterly auction, all available emissions credits and all future credits had sold out for approximately two years. At the May 2020 auction, only 35 percent of the available and future credits were sold, dealing a decisive blow to Cap and Trade revenues for the quarter. The major change in market behavior is best described as uncertainty for the future due to COVID-19's ongoing economic shutdown. As a reminder, Cap and Trade revenues are used to fund a variety of State grant and discretionary programs, including the Organics Grant Program, various transportation programs, and climate resiliency projects. On August 18, the next joint auction for GHG allowances took place, however the results are still yet to be determined. If revenues continue to fall short of predictions, there will be less money available for statewide programs to reduce GHG emissions. Legislature Announces State Economic Stimulus Package On July 27, key members of the Legislature introduced the outline of a $100 billion economic stimulus plan. The plan will prioritize economic recovery efforts to build on the Legislature's work on the State Budget. The Assembly and Senate have appointed economic recovery working groups led by Senators Bob Hertzberg (D-Van Nuys) and Steven Bradford (D-Gardena), and Assemblymembers Phil Ting (D-San Francisco) and Jacqui Irwin (D-Thousand Oaks). The stimulus plan aims to raise $100 billion through a new tax voucher program and the acceleration of existing revenue streams. The plan includes the following relevant provisions: C) August 2020 Report 2 State Revenues • Authorize State Treasurer to issue future tax vouchers to generate billions of revenues for general economic stimulus efforts. • Securitization of current revenue streams, including: o Accelerate SB 1 transportation funds to create jobs and improve key roads and highways. o Accelerate existing California Public Utilities Commission (CPUC) revenue streams that will expand broadband services throughout the state to benefit distance learning and other activities. o Accelerate future Cap and Trade funds to backfill lost revenues due to the downturn and ensure critical programs remain funded. • Accelerate authorized, but unused, general obligation bonds to generate bond funds to infrastructure projects. • Borrow from the federal government to bolster state unemployment insurance programs. Small Businesses • Expand small business tax breaks, such as extending the sales tax loan program. • Streamline the Work Sharing program administered by EDD. • Incentivize on-shore manufacturing of PPE, ventilators, swabs and other products critical to the COVID-19 response, including expansion of workforce retraining programs. Protections for Individuals; Housing and Homelessness Funding • Fill gaps in Unemployment Insurance, including extending to undocumented workers, shortfalls resulting from if the federal government does not extend the $600 per week payment • Increase affordable housing supply by helping homeowners access financing to build ADUs. • Protect renters from eviction and support struggling homeowners and landlords. • Augment Budget Act appropriations for local governments to combat homelessness and provide incentives for local governments to build housing on non-traditional sites. Environment Funding • Invest in wildfire prevention and vegetation management activities. • Improve clean water delivery and recycling infrastructure. • Create a dedicated fund to incentivize light and heavy-duty, including passenger clean vehicles, as well as expedite and expand electric vehicle charging infrastructure projects. • Streamline the CEQA through targeted, and limited, use of the AB 900 process—including for housing —to ensure environmental leadership projects get built. The Legislature is currently seeking input from the Newsom Administration on the economic plan. C) August 2020 Report 3 Priority Legislation AB 685 (Reyes) — Occupational safety: COVID-19 exposure: notification (OCSD Oppose) Would require a public or private employer to provide specified notifications to its employees, the Division of Occupational Safety and Health, and the State Department of Public Health, relating to the exposure of its employees to COVID-19 in the workplace, when the employer has been notified of the exposure. The bill would provide for a specified civil penalty for an employer that violates the notification requirements of these provisions. AB 685 is currently on the Senate Floor. AB 1672 (Bloom) — Solid waste: nonwoven disposable products (OCSD Supports) AB 1672 would require, commencing January 1, 2021, certain nonwoven disposal products to be labeled clearly and conspicuously to communicate that they should not be flushed. The bill would prohibit a covered entity, as defined, from making a representation about the flushable attributes, benefits, performance, or efficacy of those nonwoven disposal products. AB 1672 was held in the Senate Appropriations Committee's Suspense File and is dead for the year. AB 2762 (Muratsuchi) — Cosmetics: Safety (OCSD Supports) AB 2762 would prohibit a person or entity from manufacturing, selling, delivering, holding, or offering for sale, in commerce any cosmetic product that contains any of several specified intentionally added ingredients, including certain strains of PFAS/PFOA. AB 2762 is currently on the Senate Floor. AB 3163 (Salas) — Energy: biomethane:procurement (OCSD Supports) AB 3163 would define "biomethane" as methane produced from an organic waste feedstock, rather than biogas, that meets specified standards and is either produced from the anaerobic decomposition of organic material or produced from the non-combustion thermal conversion of specified materials. This would allow greater uses for the byproducts produced by OCSD facilities. AB 3163 is currently on the Senate Floor. August 2020 Report 4 Serving. Orange County Sanitation District 10844 Ellis Avenue, Fountain Valley, CA 92708 Anaheim 714.962.2411 www.ocsd.com Brea Buena Park Cypress August 14, 2020 Fountain Valley The Honorable Eloise Reyes Fullerton California State Assembly Garden Grove State Capitol, Room 2047 Sacramento, CA 95814 Huntington Beach Irvine RE: Oppose AB 685 (Reyes)—COVID-19 Exposure Notification La Habra Dear Assemblymember Reyes, La Palma On behalf of the Orange County Sanitation District, I am writing to express opposition to AB 685, Los Alamitos which would require both public and private employers to take multiple actions within 24 hours Newport Beach after they are made aware of employees that may have been exposed to COVID-19. Orange This bill attempts to create a process for notifying employees and the State after an employee has Placentia been exposed to COVID-19. However, the bill lacks specificity and clear definitions while creating an unworkable standard for employers. While well-intentioned, this bill would also likely not Santa Ana result in improving workplace safety, disregards the statewide requirements already in place for Seal Beach employers, and fines employers an onerous$10,000 if they do not comply.The bill would require employers not only to post notices for those who may have been exposed to COVID-19 (both in Stanton and out of the workplace), but would require employers to verbally notify all employees, notify Tustin the employee's union, the Division of Occupational Safety and Health, and the California Department of Public Health. Villa Park County of Orange This bill has several issues, including the requirement of employers to notify employees and the State without clearly defining a connection to the workplace. Without clearer definitions, Costa Mesa lace. The bill also employers could be held liable for its employees' actions outside of the work Sanitary Districtp does not clearly define "exposure"for employees,which may or may not include those who have Midway City tested positive or have symptoms of COVID-19. This lack of clarity will create confusion and Sanitary District pY expose employers to a myriad of lawsuits that could result in additional financial burdens for cities Irvine Ranch that are providing essential public services, including responding to the COVID-19 pandemic. Water District Yorba Linda The bill contains language that would require employers to comply with these provisions if the Water District employer "should have known" of the employees' exposure to COVID-19. This language is ambiguous and essentially places employers in the position of having to determine whether an o�NtH SANIpq',/0 employee has COVID-19. Further, this bill raises privacy concerns that may violate HIPAA if 2 G s employers are required to publish the worksite, number of employees impacted, and their D occupation. That information, particularly the occupation, can be enough to identify the exact individual, even if a name is not provided,violating their rights under privacy. 9oT�cr/NN THE ENV\e`o���2 Our Mission: To protect public health and the environment by providing effective wastewater collection, treatment, and recycling �O JNj� S A N I TgT�o/Y C� .A = 9 Q t cf O � A ti 9oTFcr/N� 7HE ENv\Qo���2 P Two o This bill would create more issues than solutions, and it is for these reasons that the Orange County Sanitation District opposes AB 685. Sincerely, David John Shawver Board Chairman Our Mission: To protect public health and the environment by providing effective wastewater collection, treatment, and recycling. OCSD State Bills of Interest D DWER FbsITION POSITIONS Proposed Legislation 2020-2021 AB 69 Ting [D] Help Homeowners Add New Housing Program: accessory dwelling Gut and Amend. Watch Legislative and Regulatory ACCOC - NYC unit financing. Current law provides for the creation by local ordinance, Currently on the Senate Policies: Special Districts - LOCC - NYC or by ministerial approval if a local agency has not adopted an ordinance, Floor Oppose further state CASA- NYC of accessory dwelling units to allow single-family or multifamily dwelling regulations that adversely ACWA- NYC residential use in accordance with specified standards and conditions. impact special district CSDA- NYC This bill would require the Treasurer, within 6 months of the effective financing, operations, and date of these provisions, to develop the Help Homeowners Add New administration. Housing Program with the purpose of assisting homeowners, as defined, in qualifying for loans to construct additional housing units on their property, including accessory dwelling units and junior accessory dwelling units. The bill would, with regard to the development of the program, require the Treasurer to consult with the California Housing AB 134 Bloom [D] Safe Drinking Water Restoration Would require the State Water Dead Watch State Priorities: Support ACCOC - NYC Resources Control Board to report to the Legislature by July 1, 2025, on legislation or regulations that LOCC -Watch its progress in restoring safe drinking water to all California communities restrict the use of CASA- NYC and to create an internet website that provides data transparency for all microplastics in any product ACWA- NYC of the board's activities described in this measure. The bill would require that is disposed of through CSDA-Watch the board to develop metrics to measure the efficacy of the fund in the sewer system. ensuring safe and affordable drinking water for all Californians. AB 291 Chu Emergency preparedness Would establish a Local Emergency Dead Watch State Priorities: Secure ACCOC - NYC Preparedness and Hazard Mitigation Fund to support staffing, planning, funding through grants and LOCC -Watch and other emergency mitigation priorities to help local governments meet legislation for infrastructure, CASA- NYC emergency management, preparedness, readiness, and resilience goals. collection improvements and ACWA- NYC The bill would, upon appropriation by the Legislature, require the alternative renewable energy CSDA-Watch Controller to transfer$500,000,000 to the fund. The bill would require the at the Fountain Valley, Plant Office of Emergency Services to establish the Local Emergency No. 1 and Huntington Beach, Preparedness and Hazard Mitigation Fund Committee under the Plant No. 2. Standardized Emergency Management System Advisory Board. AB 292 Quirk [D] Recycled water: raw water and groundwater augmentation Current Two Year Bill - Currently Watch Legislative and Regulatory ACCOC - NYC law requires the State Water Resources Control Board, on or before in the Inactive File Policies: Water Quality and LOCC -Watch December 31, 2023, to adopt uniform water recycling criteria for direct Supply- Support measures CASA- NYC potable reuse through raw water augmentation, as specified. This bill that promote and provide for ACWA- NYC would eliminate the definition of"direct potable reuse" and instead would the use of reclaimed water CSDA-Support substitute the term "groundwater augmentation"for"indirect potable reuse for groundwater recharge" in these definitions. The bill would require, on or before December 31, 2023, the state board to adopt uniform water recycling criteria for raw water augmentation. OCSD State Bills of Interest AB 352 E. Garcia [D] Wildfire Prevention, Safe Drinking Water, Drought Preparation, and Inactive rWatcLegislative and Regulatory Flood Protection Bond Act of 2020. Would enact the Wildfire Policies: Grant Funding - Prevention, Safe Drinking Water, Drought Preparation, and Flood Support legislation, bonds, Protection Bond Act of 2020, which, if approved by the voters, would programs and projects that authorize the issuance of bonds in the amount of$3,920,000,000 provide funding for: pursuant to the State General Obligation Bond Law to finance a wildlife infrastructure construction prevention, safe drinking water, drought preparation, and flood protection and rehabilitation, special program. The bill would provide for the submission of these provisions to studies and research or the voters at the November 3, 2020, statewide general election. projects relating to security, environmental education, water quality, wastewater processing, urban runoff, wastewater recycling, biosolids and organics management, water quality improvement, resource recovery, or alternative energy. AB 685 Quirk [D] Occupational safety: COVID-19 exposure: notification. Would require Currently on the Senate Watch Legislative and Regulatory ACCOC - NYC a public or private employer to provide specified notifications to its Floor Policies: Human Resources LOCC - Oppose employees, the Division of Occupational Safety and Health, and the - Support measures to reform CASA- Oppose State Department of Public Health, relating to the exposure of its current workers ACWA- Oppose employees to COVID-19 in the workplace, when the employer has been compensation formulas that CSDA-Watch notified of the exposure, as specified. The bill would provide for a rely on a proportionate specified civil penalty for an employer that violates the notification exposure formula. requirements of these provisions. AB 992 Mullin [D] Open meetings: local agencies: social media Would provide that the Currently on the Senate Watch Legislative and Regulatory ACCOC - NYC Ralph M. Brown Act does not apply to the posting, commenting, liking, Floor Policies: Special Districts - LOCC -Watch interaction with, or participation in, internet-based social media platforms Oppose further state CASA-Approve that are ephemeral, live, or static, by a majority of the members of a regulations that adversely ACWA- NYC legislative body, provided that a majority of the members do not discuss impact special district CSDA-Support among themselves business of a specific nature that is within the subject financing, operations, and matter jurisdiction of the legislative body of the local agency. administration. AB 1080 Gonzalez [D] California Circular Economy and Plastic Pollution Reduction Act Currently on the Senate Watch State Priorities: Support ACCOC - NYC Would establish the California Circular Economy and Plastic Pollution Floor legislation or regulations that LOCC - Support Reduction Act, which would require the Department of Resources restrict the use of CASA- NYC Recycling and Recovery, in consultation with the State Water Resources microplastics in any product ACWA- NYC Control Board and the Ocean Protection Council, to adopt, on or before that is disposed of through CSDA- NYC January 1, 2023, regulations to achieve, by 2030, a 75% reduction by the sewer system.U manufacturers and retailers of the waste generated from single-use packaging and products offered for sale or sold in the state through source reduction, recycling, or composting. OCSD State Bills of Interest POSITIONSBILL AUTHOR SUMMARY LATEST ACTION OCSD LEGISLATIVE PLAN OTHER POSITION AB 1484 Grayson [D] Mitigation Fee Act: housing developments. This bill would prohibit a Currently in the Senate Watch Legislative and Regulatory ACCOC- NYC local agency from imposing a housing impact requirement adopted by Rules Committee Policies: Special Districts - LOCC -Watch the local agency on a housing development project, as defined, unless waiting to be assigned to Oppose further state CASA-Watch specified requirements are satisfied by the local agency, including that policy committees regulations that adversely ACWA-Watch the housing impact requirement be roughly proportional in both nature impact special district CSDA-Oppose and extent to the impact created by the housing development project. financing, operations, and administration. AB 1672 Bloom [D] Solid waste: flushable products The California Integrated Waste Held in the Senate Support Legislative and Regulatory ACCOC - NYC Management Act of 1989, administered by the Department of Resources Appropriations Policies: Source Control - LOCC -Watch Recycling and Recovery, generally regulates the disposal, management, Committee Support legislation that CASA- Sponsor and recycling of solid waste. This bill would, among other things, on or regulates the disposal of ACWA- Support after January 1, 2021, prohibit a covered entity, as defined, from labeling flushable wipes. CSDA-Support a covered product as safe to flush, safe for sewer systems, or safe for septic systems, unless the product is a flushable wipe that meets certain performance standards. The bill would require nonflushable products to be labeled clearly and conspicuously to communicate that they should not be flushed, as specified. AB 1751 Chiu [D] Water and sewer system corporations: consolidation of service. Two Year Bill Watch Legislative and Regulatory ACCOC - NYC This bill, the Consolidation for Safe Drinking Water Act of 2019, would Policies: Special Districts - LOCC - NYC authorize a water or sewer system corporation to file an application and Oppose further state CASA- NYC obtain approval from the commission through an order authorizing the regulations that adversely ACWA- NYC water or sewer system corporation to consolidate with a public water impact special district CSDA- NYC system or state small water system that has fewer than 3,300 service financing, operations, and connections and serves a disadvantaged community, or to implement administration. rates for the subsumed water system. AB 1924 Grayson [D] Housing development: fees Would require that a fee levied or imposed Dead Watch Legislative and Regulatory ACCOC - NYC on a housing development project by a local agency be proportionate to Policies: Special Districts - LOCC - NYC the square footage of the proposed unit or units. Oppose further state CASA- NYC regulations that adversely ACWA- NYC impact special district CSDA- NYC financing, operations, and administration. OCSD State Bills of Interest POSITIONSBILL AUTHOR SUMMA11 LATEST ACTION OCSD LEGISLATIVE PLAN OTHER L POSITION AB 1945 Salas [D] Emergency services: first responders Would, for purposes of the Currently on the Senate Watch Legislative and Regulatory ACCOC- NYC California Emergency Services Act, define "first responder" as an Floor Policies: Special Districts - LOCC -Watch employee of the state or a local public agency who provides emergency Oppose further state CASA-Watch response services, including a peace officer, firefighter, paramedic, regulations that adversely ACWA-Watch emergency medical technician, public safety dispatcher, public safety impact special district CSDA-Watch telecommunicator, emergency response communication employee, financing, operations, and rescue service personnel, or emergency manager. Does not explicitly administration. include water or wastewater personnel. AB 2093 Gloria [D] Public records: writing transmitted by electronic mail: retention Dead Watch Legislative and Regulatory ACCOC - NYC Would, unless a longer retention period is required by statute or Policies: Special Districts - LOCC - Oppose regulation, require a public agency for purposes of the California Public Oppose further state CASA-Watch Records Act to retain and preserve for at least 2 years every writing regulations that adversely ACWA- NYC containing information relating to the conduct of the public's business impact special district CSDA- Oppose prepared, owned, or used by any public agency that is transmitted by financing, operations, and electronic mail. administration. AB 2107 Rodriguez [D] Local government: securitized limited obligation notes Current law, Currently on the Senate Watch Legislative and Regulatory ACCOC - NYC until December 31, 2019, authorizes a special district to issue, as Floor Policies: Special Districts - LOCC -Watch specified, securitized limited obligation notes for the acquisition or Oppose further state CASA- NYC improvement of land, facilities, or equipment. This bill would extend that regulations that adversely ACWA- NYC authorization to December 31, 2024. impact special district CSDA-Support financing, operations, and administration. AB 2182 Rubio [D] Emergency backup generators: water and wastewater facilities: Dead Watch Guiding Principles: Oppose ACCOC - NYC exemption Would exempt the operation of an alternative power source, redundant regulatory and LOCC -Watch as defined, to provide power to a critical facility, as defined, from any legislative requirements that CASA-Watch local, regional, or state regulation regarding the operation of that source. cause undue constraints on ACWA-Watch The bill would authorize providers of essential public services, in lieu of efficient operations CSDA-Support compliance with applicable legal requirements, to comply with the maintenance and testing procedure set forth in the National Fire Protection Association Standard for Emergency and Standby Power System, NFPA 110, for alternative power sources designated by the nroviders for the support of cr4firal fa(-'Imt4p-,- AB 2364 Rubio [D] Municipal separate storm sewer systems: financial capability Dead Watch Legislative and Regulatory ACCOC - NYC analysis Would require the State Water Resources Control Board, by Policies: Water Quality and LOCC -Watch July 1, 2021, to establish financial capability assessment guidelines for Supply-Support measures CASA-Watch municipal separate storm sewer system permittees that are adequate that promote and provide for ACWA-Watch and consistent when considering the costs to local jurisdictions. The bill the use of reclaimed water CSDA-Watch would require the state board and the regional boards to continue using available regulatory tools and other approaches to foster collaboration with permittees to implement permit requirements in light of the costs of OCSD State Bills of Interest BILL AUTHOR SUMMARY LATEST ACTION OCSD LEGISLATIVE PLAN OTHER POSITION POSITIONS AB 2560 Water quality: notification and response levels: procedures The Currently on the Senate Watch State Priorities: Monitor ACCOC - NYC California Safe Drinking Water Act requires the State Water Resources Floor state legislation as well as LOCC -Watch Control Board to adopt drinking water standards for contaminants in State Water Resources CASA-Watch drinking water based upon specified criteria and requires any person who Control Board (SWRCB) ACWA-Watch owns a public water system to ensure that the system, among other regulatory activity related to CSDA-Watch things, complies with those drinking water standards. The act requires a PFAS. public water system to provide prescribed notices within 30 days after it is first informed of a confirmed detection of a contaminant found in drinking water delivered by the public water system for human consumption that is in excess of a maximum contaminant level, a notification level, or a response level established by the state board. This bill would require the state board to comply with specified public notice and comment procedures when establishing or revising notification or response levels. AB 2612 Maienschein [D] Greenhouse Gas Reduction Fund: recycling: appropriation Would, Currently in the Watch Guiding Principles: Seek ACCOC - NYC beginning in the 2020-21 fiscal year, would continuously appropriate Assembly Natural funds for OCSD projects LOCC - Support $100,000,000 from the Greenhouse Gas Reduction Fund annually to the Resources Committee through grants, CASA- Support Department of Resources Recycling and Recovery for in-state organic appropriations, or other ACWA-Watch waste recycling projects that reduce greenhouse gas emissions and means CSDA-Watch achieve certain organic waste disposal goals, as specified. The bill, beginning in the 2020-21 fiscal year, would also continuously appropriate $100,000,000 from the fund annually to the department for in- state recycling projects that reduce greenhouse gas emissions and help achieve a specified state policy relating to solid waste, as specified. AB 2762 Muratsuchi [D] Cosmetics: safety. The Sherman Food, Drug, and Cosmetic Law Currently on the Senate Support State Priorities: Monitor ACCOC - NYC prohibits the manufacture, sale, delivery, holding, or offer for sale of Floor state legislation as well as LOCC - NYC adulterated cosmetics, and prescribes when a cosmetic is adulterated, State Water Resources CASA- Support including when it bears or contains a poisonous or deleterious substance Control Board (SWRCB) ACWA- NYC that may render it injurious to users when used as directed in the regulatory activity related to CSDA- NYC cosmetic's labeling or advertising or under customary or usual PFAS. conditions. Provisions of this law are enforced by the State Department of Public Health. This bill would, commencing January 1, 2025, prohibit a person or entity from manufacturing, selling, delivering, holding, or offering for sale, in commerce any cosmetic product that contains any of several specified intentionally added ingredients, except under specified circumstances. AB 2943 Ting [D] Surplus property: disposal Current law prescribes requirements for the Dead Watch Legislative and Regulatory ACCOC - NYC disposal of surplus land, as defined, by a local agency, as defined. Policies: Special Districts - LOCC -Watch Current law requires land to be declared surplus land or exempt surplus Oppose further state CASA-Watch land, as supported by written findings, before a local agency takes any regulations that adversely ACWA-Watch action to dispose of it consistent with the agency's policies or impact special district CSDA-Watch procedures. This bill would provide that the provisions regulating the financing, operations, and disposal of surplus land shall not be construed to require a local agency administration. to dispose of land that is determined to be surplus. OCSD State Bills of Interest k AB 3147 Gabriel [D] Fees for development projects Would require a judicial action or Dead Watch Legislative and Regulatory ACCOC - NYC proceeding to be conducted in accordance with other procedures that, Policies: Special Districts - LOCC -Watch among other things, require a protest to be filed within 90 days after the Oppose further state CASA-Watch imposition of the fees and an action to attack, review, set aside, void, or regulations that adversely ACWA-Watch annul the imposition of the fees to be filed within 180 days after delivery impact special district CSDA-Oppose of a specified notice by the local agency. The bill would require revenues financing, operations, and in excess of actual cost to be used to reimburse the payor of the fee or administration. service charge. AB 3163 Salas [D] Energy: biomethane: procurement. Current law requires the Public Currently on the Senate Support Legislative and Regulatory ACCOC - NYC Utilities Commission, in consultation with the State Air Resources Board, Floor Policies: Biosolids and LOCC -Watch to consider adopting specific biomethane procurement targets or goals Biogas -Support streamlined CASA- Support for each gas corporation so that each gas corporation procures a legislation, regulations and ACWA- NYC proportionate share, as determined by the commission, of biomethane policies that encourage the CSDA-Watch annually, as specified. Current law defines "biomethane"for that purpose procurement of biogas, as biogas that meets specified standards adopted by the commission for biosolids, and compost injection into a common carrier pipeline. This bill would instead define "biomethane"for that purpose as methane produced from an organic waste feedstock, rather than biogas, that meets those specified standards and is either produced from the anaerobic decomposition of organic material or produced from the noncombustion thermal conversion of specified materials. AB 3256 Garcia [D] Climate risks: bond measure The California Drought, Water, Parks, Passed the Assembly Watch Guiding Principles: Seek ACCOC - NYC Climate, Coastal Protection, and Outdoor Access For All Act of 2018, Appropriations funds for OCSD projects LOCC -Watch approved by the voters as Proposition 68 at the June 5, 2018, statewide Committee and sent through grants, CASA-Watch direct primary election, authorizes the issuance of bonds in the amount back to the Assembly appropriations, or other ACWA-Watch of$4,000,000,000 pursuant to the State General Obligation Bond Law to Rules Committee means CSDA-Watch finance a drought, water, parks, climate, coastal protection, and outdoor access for all program. This bill would state the intent of the Legislature to enact a bond measure that would address climate risks to the State of ACA 1 Aguiar-Curry[D] Local government financing: affordable housing and public Currently on the Watch Guiding Principles: Seek ACCOC - NYC infrastructure: voter approval. The California Constitution prohibits the Assembly Floor funds for OCSD projects LOCC - Support ad valorem tax rate on real property from exceeding 1% of the full cash through grants, CASA- Support value of the property, subject to certain exceptions. This measure would appropriations, or other ACWA- NYC create an additional exception to the 1% limit that would authorize a city, means; CSDA-Support county, city and county, or special district to levy an ad valorem tax to service bonded indebtedness incurred to fund the construction, reconstruction, rehabilitation, or replacement of public infrastructure, affordable housing, or permanent supportive housing, or the acquisition or lease of real property for those purposes, if the proposition proposing that tax is approved by 55% of the voters of the city, county, or city and county, as applicable, and the proposition includes specified accountability requirements. OCSD State Bills of Interest SB 667 Hueso [D] Greenhouse gases: recycling infrastructure and facilities. Would Currently on the Support Legislative and Regulatory ACCOC - NYC require the Department of Resources Recycling and Recovery to Assembly Floor Policies: Biosolids and LOCC - Support develop, on or before January 1, 2021, and would authorize the Biogas -Support the CASA- Support department to amend, a 5-year needs assessment to support innovation promotion and funding of ACWA- NYC and technological and infrastructure development, in order to meet local pilot programs, studies, CSDA- NYC specified organic waste reduction and recycling targets, as provided. The and research for the bill would require, on or before June 1, 2021, the department, in beneficial use of biosolids. coordination with the Treasurer and the California Pollution Control Financing Authority, to develop financial incentive mechanisms, including, among other mechanisms, loans and incentive payments, to fund and accelerate public and private capital towards organic waste SB 931 Wieckowski [D] Local government meetings: agenda and documents This bill would Dead Oppose Legislative and Regulatory ACCOC - NYC require, if the local agency has an internet website, a legislative body or Policies: Special Districts - LOCC - Oppose its designee to email a copy of, or website link to, the agenda or a copy Oppose further state CASA- Oppose of all the documents constituting the agenda packet if the person regulations that adversely ACWA- Oppose requests that the items be delivered by email. The bill would require, impact special district CSDA- Oppose where the local agency determines it is technologically infeasible to send financing, operations, and a copy of all documents constituting the agenda packet or a website link administration. containing the documents by electronic mail or by other electronic means, the legislative body or its designee to send by electronic mail a copy of the agenda or a website link to the agenda and mail a copy of all other documents constituting the agenda packet in accordance with the SB 996 Portantino [D] State Water Resources Control Board: Constituents of Emerging Dead Watch State Priorities: Monitor ACCOC - NYC Concern Program Would require the State Water Resources Control state legislation as well as LOCC -Watch Board to establish, maintain, and direct an ongoing, dedicated program State Water Resources CASA-Watch called the Constituents of Emerging Concern Program to assess the Control Board (SWRCB) ACWA-Watch state of information and recommend areas for further study on regulatory activity related to CSDA-Watch constituents of emerging concern in drinking water that may pose risks to PFAS. public health. The bill would require the state board to establish the Stakeholder Advisory Group and, by an unspecified date, the Science Advisory Panel, both as prescribed, to assist in the gathering and development of information for the program, among other functions. The bill would require the program to provide opportunities for public SB 1044 Allen [D] Firefighting equipment and foam: PFAS chemicals. Would, Currently on the Watch State Priorities: Monitor ACCOC - NYC commencing January 1, 2022, require any person, including a Assembly Floor state legislation as well as LOCC -Watch manufacturer, as defined, that sells firefighter personal protective State Water Resources CASA-Watch equipment to any person or public entity to provide a written notice to the Control Board (SWRCB) ACWA-Watch purchaser at the time of sale if the firefighter personal protective regulatory activity related to CSDA-Support equipment contains perfluoroalkyl and polyfluoroalkyl substances PFAS. (PFAS), and would provide that a violation of this requirement is punishable by a specified civil penalty. The bill would require the seller and the purchaser to retain the notice on file for at least 3 years and to furnish the notice and associated sales documentation to the State Fire Marshal within 60 days upon request, as provided. OCSD State Bills of Interest BILL AUTHOR SUMMARY LATEST ACTION OCSD=== OTHER%,1L • . . POSITIONS SB 1052 Hertzberg [D] Water quality: municipal wastewater agencies Would establish Dead Watch Legislative and Regulatory ACCOC- NYC municipal wastewater agencies and would authorize a municipal Policies: Water Quality and LOCC - NYC wastewater agency, among other things, to enter into agreements with Supply- Support measures CASA- Sponsor entities responsible for stormwater management for the purpose of that promote and provide for ACWA-Watch managing stormwater and dry weather runoff, to acquire, construct, the use of reclaimed water CSDA-Support expand, operate, maintain, and provide facilities for specified purposes relating to managing stormwater and dry weather runoff, and to levy taxes, fees, and charges consistent with the municipal wastewater agency's existing authority in order to fund projects undertaken pursuant to the bill. SB 1056 Portantino [D] Drinking water: testing: perfluoroalkyl and polyfluoroalkyl Dead Watch State Priorities: Monitor ACCOC - NYC substances. Would require the State Water Resources Control Board, state legislation as well as LOCC -Watch on or before January 1, 2022, to certify a methodology or methodologies State Water Resources CASA-Watch for testing drinking water, groundwater, and surface water for Control Board (SWRCB) ACWA-Watch perfluoroalkyl and polyfluoroalkyl substances, as provided, and to regulatory activity related to CSDA-Watch accredit qualified laboratories in California to analyze perfluoroalkyl and PFAS. polyfluoroalkyl substances pursuant to the adopted methodology or methodologies. SB 1099 Dodd [D] Emergency backup generators: critical facilities: exemption Would, Dead Watch Guiding Principles: Oppose ACCOC - NYC consistent with federal law, require air districts to adopt a rule, or revise redundant regulatory and LOCC -Watch its existing rules, to allow critical facilities with a permitted emergency legislative requirements that CASA-Watch backup generator to use that emergency backup generator during a cause undue constraints on ACWA-Watch deenergization event or other loss of power, and to test and maintain that efficient operations CSDA-Support emergency backup generator, as specified, without having that usage, testing, or maintenance count toward that emergency backup generator's time limitation on actual usage and routine testing and maintenance. The bill would prohibit air districts from imposing a fee on the issuance or renewal of a permit issued for those critical facility emergency backup generators. OCSD State Bills of Interest BILL AUTHOR SUMMARY LATEST ACTION OCSI) • . OTHER . POSITIONS SB 1159 Hill [D] Workers' compensation: COVID-19: critical workers. Would, until an Currently on the Watch Legislative and Regulatory ACCOC- NYC unspecified date, define "injury"for a critical worker, as specified, to Assembly Floor Policies: Human Resources LOCC -Watch include illness or death that results from exposure to coronavirus disease -Support measures to reform CASA-Watch 2019 (COVID-19) under specified circumstances. The bill would create a current workers ACWA-Watch disputable presumption, as specified, that an injury that develops or compensation formulas that CSDA-Watch manifests itself while a critical worker is employed arose out of and in the rely on a proportionate course of the employment. exposure formula. SB 1352 Hueso [D] Gas corporations: renewable gas procurement Would require the Dead Watch Legislative and Regulatory ACCOC - NYC Public Utilities Commission to establish a renewable gas, as defined, Policies: Biosolids and LOCC -Watch procurement program that requires each gas corporation to procure Biogas -Support streamlined CASA-Watch renewable gas in an amount so that, by January 1, 2030, at least 20 legislation, regulations and ACWA- NYC percent of the total volume of gas delivered to core customers in policies that encourage the CSDA- NYC California by that gas corporation is renewable gas. The bill would procurement of biogas, require the commission, in designing and implementing the program, to biosolids, and compost ensure that the renewable gas procurement program is a cost-effective means to achieve forecast reductions in emissions of short-lived climate pollutants pursuant to specified laws and that the program complies with all applicable state and federal laws. SB 1383 Jackson [D] Unlawful employment practice: family leave Would revise and recast Currently on the Watch Legislative and Regulatory ACCOC - NYC specified provisions to make it an unlawful employment practice for any Assembly Floor Policies: Public Health - LOCC -Watch employer to refuse to grant a request by an employee to take up to 12 Monitor legislation that CASA-Watch workweeks of unpaid protected leave during any 12-month period to provides additional ACWA-Watch bond with a new child of the employee or to care for themselves or a occupational safety and CSDA-Oppose child, parent, grandparent, grandchild, sibling, spouse, or domestic health standard requirements partner, as specified. The bill would require an employer who employees' for employees, contractors, both parents of a child to grant leave to each employee. or subcontractors. Legend: ACC-OC -Association of California Cities, Orange County LOCC - League of California Cities NYC- Not Yet Considered CASA- California Association of Sanitation Agencies ACWA-Association of California Water Agencies CSDA- California Special Districts Association OCSD's Grant and Loan Funding Tracker 2019-2020 Name of Grant/Loan Synopsis of Grant/Loan Amount of Grant/Loan Amount Applying Y/N Project/Pro ram Reason Match Deadline Category Rcvd Grant/ Applying for g g y Financing YIN STATE The Organics Grant Program is part of California Climate Investments,a statewide program that puts billions of cap-and-trade dollars to work reducing greenhouse gas emissions,strengthening the economy,and improving public health and the Food-Waste Co-Digestion facility environment-particularly in disadvantaged and/or low-income communities. The Cap- at Plant No.2 in Huntington We will review the possible funding Organics Grant Program and-Trade program also creates a financial incentive for industries to invest in clean Application materials for FY 2020-21 will TBD Yes Beach to accept up to 150 wet opportunity to determine if it is a fit for TBD TBD Energy/Recycling No technologies and develop innovative ways to reduce pollution. California Climate tentatively be available summer 2020. tons per day(wtpd)of pre- the Sanitation District. Investments projects include affordable housing,renewable energy,public processed source separated transportation,zero-emission vehicles,environmental restoration,more sustainable organics. agriculture,recycling,and much more. At least 35 percent of these investments are made in disadvantaged and low-income communities. The Proposition 1 IRWM Grant Program,administered by DWR,provides funding for TPA and OCSD are monitoring the projects that help meet the long term water needs of the state,including: grant program development from the Santa Ana Watershed Project Authority Integrated Regional Water TBD NA No NA (SAWPA).Currently,Round 2 has yet 50% NA.Will return in 2021 Water No Management(IRWM)Grant Program Assisting water infrastructure systems adapt to climate change; to be announced.TPA and OCSD will for Round 2 Providing incentives throughout each watershed to collaborate in managing the continue to watch this and other region's water resources and setting regional priorities for water infrastructure matches. FEDERAL TBD We are waiting to hear back on this grant and anticipate The Title XVI Water Reclamation and Reuse Projects funding opportunity allows for to receive notice by sponsors of water reclamation and reuse projects that are congressionally authorized Summer 2020 The Water Infrastructure Improvements or are eligible under section 4009(c)of the WIIN Act to request cost-shared funding for Reclamation is making up to$20 million Final Expansion of GW IRSThe Sanitation District applied for $20mm or 25%of (Congress has available for those projects authorized under the $3 million Yes Headworks Segregation project that will project costs 6/2 812 0 1 9 Water/Infrastructure demanded that Act(WIIN) planning,design and construction of those Projects.Water reclamation and reuse WIIN Act. Headworks(P2-122) help to bring more water to the GWRS. whichever is less. project projects provide improved ed efficiency,flexibility during water shortages and diversifies the water supply. recommendations be transmitted to without delay as part of USBR FY 2021 Spending Bill) USEPA published allocation formula with deadline for Stormwater and CSO Grant Program USEPA is authorized to provide grants assistance of public agencies to control Funding cost-share is not identified in the law TBD TBD.We will monitor for possible TBD FY 2020-$28 million Yes Anticipate by July 2020 Water/Infrastructure public comments stormwater flows and CSO's.Funding through state awards. funding opportunities/A 9/3/2020.Expect formal allocation to State as early as 45 days after 9/3/2020 Project Funding Opportunity: Energy production to reduce Through the WaterSmart program,USBR will costs of recycled water through innovative technologies. issue solicitations for innovative approaches to We will review the possible funding The Department of Energy(DOE), The DOE's Office of Energy Efficiency is likely to continue to be funded by Congress to TBD.We will monitor for possible Innovative water monitoring USBR and USEPA support such efforts as bio as,biosolids and green ener managing water and water treatment through TBD fundingopportunities technologythat can produce opportunity to determine if it is a fit for N/A TBD Energy/Water/Infrastructure TBD pp g g gy' technology and processes for FY 2020-$60 pp re the Sanitation District. million efficient real time monitoring and data analysis,Biogas Management and Use Improvements. Updated 8/19/2020 MD's Grant and Loan Funding Tracker 2019-2020 Name of Grant/Loan Synopsis of Grant/Loan Amount of Grant/Loan Amount Applying Y/N Project/Pro ram Reason Match Deadline Category Rcvd Grant/ Applying for j g g y Financing YIN The goal of this funding opportunity is to increase use of AD to manage food waste. We will not be applying for this grant as The Environmental Protection Agency Another goal is to support the after further research we do not feel we (EPA) Supporting Anerobic Digestion in Communities. $300,000 $300,000 No development of new AD will be qualified as there is an No 7/14/2020 Energy/Recycling No infrastructure in the U.S.EPA is educational component that we do not interested in funding projects that meet increase anaerobic digestion capacity in the United States. Oth The primary focus of the Community Partnering Program(CPP)is sponsorship of water conservation and water-use efficiency programs and activities.Applications must be submitted 30 days prior to the start date of the event or program. Community Partnering Program Grant Metropolitan Water District Requests for a maximum$2,000 award will be $2,000 Yes For Plant No.1 Signage Applied Match ongoing Education Yes reviewed year-round and funds are awarded throughout the year.Funds are limited, however,and may be depleted prior to the ending of this fiscal year(June 30). The California Government Operations Agency (GovOps)will award$500,000 in grants as part of the statewide California Mass Timber Building Competition.Grants will be awarded to selected proponent teams presenting viable and Mass Timber Competition CalGovOps repeatable mass timber solutions for $40,000 Yes Headquarters Building Applied No 03/18/19 Environment Yes commercial and multi-family projects in California.The competition is being hosted by GovOps and administered by WoodWorks— Wood Products Council. Updated 8/19/2020 Ci Presented By : G THE Eric Sapirstein ENS Resources, Inc . September 1. 4, 2020 • • Key Activeities • _ _ qsrimmw • Passed House —HEROES $3Trillion Package • Senate Passage Stalled—HEALS s1Trillion Package • Key Issues • Tax credits for mandatory paid leave • Ratepayer assistance and Local Governmental Assistance • Liability Waiver Infrastructure Assistance • Water Resources Development Act (H.R. 7575/S• 3590 & S. 3591) • H.R. 2 Water Provisions in Mix including H.R. 1497 (House Clean Water Rewrite) • Rep. Rouda Smart Water Technology Adoption Grants Assistance Fiscal&-&22 0 21Appropriations • EPA Spending Bill Passed House; No Action in Senate • Continuing Resolution under Development with Passage in September • Potential to Roll COVID Relief Legislation into Continuing Resolution Page 2 Questions � � T WNSEND PUBLIC AFFAIRS EST T PA 1998 TH TPA Presentation to: WWW.TOWNSENDPA.COM Orange County Sanitation SACRAMENTO • WASHINGTON, DC NORTHERN CALIFORNIA • CENTRAL CALIFORNIA • SOUTHERN CALIFORNIA September Agenda mb- End of Session Update State COVID-19 Response Legislative Recap — Priority Legislation Slide 2 End of Session Update End of Session Update • Senate and Assembly adjourned just past 1 :00 a. m. on August 31 • Both houses met over the weekend to address several hundred bills before the midnight deadline • Despite the effort, several high-profile bills fell victim to the deadlines and did not move on to the Governor's desk • Governor has until September 30 to sign or veto legislation SACRy ENT1104 1411 1 Slide End of Session Update - Details • In the final days of session , Senate Republicans were forced to self- quarantine as one of their members tested positive for COVID-19 • Senate Republicans participated remotely in the final days of debate, which instigated several outcries and points of contention between parties • Increase in partisan and bicameral politics that influenced which bills passed in the final hours • Several parliamentary delays contributed to major initiatives not being taken up in both houses SACR . 'M. ENTO KAMw ��f � State COVID =19 Response Recent State Actions on COVI D- 19 • Eviction moratorium was extended on August 31 (AB 3088, Chiu) • Essential employee presumption of liability from COVID-19 illness (SB 1159, Hill) • Expansion of the California Family Rights Act to grant additional paid and unpaid family leave (SB 1383, Jackson) • New Statewide COVID-19 Blueprint for Reopening WIDESPREADState COVID- 1 9 Response — Blueprint for Reopening More than 7 More than 8% daily new cases Viper 100k) ilusitive tests Many non-essential indoor business operations are closed SUBSTANTIAL 4 - 7 5 - 8% daily new cases (per 100k) Positive tests Some non-essential indoor business operations are closed MODERATE1 - 3.9 2 - 4.9% daily new cases (per 100k) Positive test- Some indoor business operations are open with modifications Less than 1 Less than 2% daily new cases (per 100k) Positive test," Most indoor business operations are open with modifications State COVID- 19 Re *As of September 1 , 2020 Statewide Metrics ■ widespread ■ Substantial 1 0.9 ■ Moderate Minimal New COVID-19 positive cases per 100K IN 6.0% Positivity Rate Legislative Update - Priority Legislation Legislative Update Description OCSD Position AB 685 (Reyes) Would require a public or private employer to Oppose Passed. On provide specified notifications to its employees Governor's desk about COVID-19 infections AB 1672 (Bloom) The bill would require nonflushable products to Support Failed to pass out be labeled clearly and conspicuously to of Senate communicate that they should not be flushed. Appropriations AB 2560 (Quirk) This bill would require the state board to comply Watch Passed. On with specified public notice and comment Governor's desk procedures when establishing or revising notification or response levels AB 2762 (Muratsuchi) Prohibit manufacturing or selling cosmetics that Support Passed. On have harmful chemicals Governor's desk AB 3163 (Salas) Redefine biomethane to make it more beneficial Support Passed. On to OCSD Governor's desk SB 55 (Jackson) Various CEQA reforms and changes to Program Watch Failed to pass EIRs SB 667 (Hueso) Require CalRecycle to create a five year needs Support Failed to pass assessment to support innovation and technology for organic waste reduction SB 931 (Wieckowski) Would require the electronic delivery of Board Oppose Failed to pass agenda packets upon request in lieu of physical copies. O JNj S A N 1 rq TL n O o A T10" W N S E N D PUBL , AF , AIR _. -10 9oTF e��2 EST TPA 1998 cl/N THE ENPO Thank Cori Williams Eric O'Donnell Southern California Senior Director Senior Associate CWilliams@townsendpa.com EODonnell@townsendpa.com www.townsendQa.com www.townsendQa.com on . - oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 STEERING COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1257 Agenda Date: 9/23/2020 Agenda Item No: 19. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: TUSTIN AVENUE MANHOLE AND PIPE REPAIR, PROJECT NO. FE17-06 GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Approve a contingency increase of $70,000 to the construction contract with Nuline Technologies, LLC for Tustin Avenue Manhole and Pipe Repair, Project No. FE17-06, for a total contingency of $105,000 (30%). BACKGROUND The Orange County Sanitation District (Sanitation District) owns and operates a regional sewer near Tustin Avenue and Orangethorpe Avenue in the cities of Anaheim and Placentia. The vitrified clay sewer was originally installed in 1960. The Sanitation District identified significant cracks in the pipe as well as a manhole defect. A construction contract was awarded to Nuline Technologies, LLC in October 2019 and construction is approximately 95 percent complete. RELEVANT STANDARDS • Ensure the public's money is wisely spent • Maintain a proactive asset management program PROBLEM Unforeseen conditions encountered during construction have resulted in higher than expected contract changes. At the beginning of construction, a previously unidentified natural gas line, street light and traffic signal conduit and cables, and a concrete encasement were found inside the project excavation limits. The cost of addressing these unknown, below grade conditions has already exceeded the Board authorized contract contingency. Stopping the work would have resulted in much higher costs resulting from the need to leave the work site in a safe condition for the public and to demobilize and remobilize the contractor. Orange County Sanitation District Page 1 of 2 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1257 Agenda Date: 9/23/2020 Agenda Item No: 19. PROPOSED SOLUTION Approve a contingency increase of $70,000 to the construction contract for a total contingency of $105,000 (30%). This increase will cover additional costs to complete the work and provide funds for additional construction-related risks. TIMING CONCERNS Additional contingency funds are required to authorize any required construction changes without causing project delays. The work involved excavation in public streets and there were safety risks associated with excavation, shoring, and traffic control that required timely mitigation. RAMIFICATIONS OF NOT TAKING ACTION The Sanitation District may already be obligated to reimburse costs in excess of the current Board authorized contract contingency. If the contract contingency is not increased, the Sanitation District may be subject to legal action by the Contractor. PRIOR COMMITTEE/BOARD ACTIONS October 2019 - Awarded a Construction Contract to Nuline Technologies, LLC, for Tustin Avenue Manhole and Pipe Repair, Project No. FE17-06, for a total amount not to exceed $350,000 and approved a contingency of $35,000 (10%). CEQA The project is categorically exempt under Class 1 set forth in California Code of Regulations sections 15301 of CEQA, and statutorily exempt from CEQA under Public Resources Code section 21080.21 and no further CEQA review is required. FINANCIAL CONSIDERATIONS This recommendation will be funded under Repairs and Maintenance for the Operations and Maintenance Department (Budget Update, Fiscal Years 2020-21, Section 6 - Page 75). The budget is sufficient for the recommended action. Date of Approval Contract Amount Contingency 10/23/2019 $350,000 $ 35,000 (10%) 09/23/2020 $105,000 (30%) ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: N/A RL:dm Orange County Sanitation District Page 2 of 2 Printed on 9/15/2020 powered by LegistarTM oJ�1V SAN17gTO9 Orange Count Sanitation District Administration Building 5� o, g � 10844 Ellis Avenue 2 9 Fountain Valley, CA 92708 STEERING COMMITTEE (714)5937433 9oTFCTN0 THE ENVQ����2 Agenda Report File #: 2020-1258 Agenda Date: 9/23/2020 Agenda Item No: 20. FROM: James D. Herberg, General Manager Originator: Kathy Millea, Director of Engineering SUBJECT: HEADQUARTERS COMPLEX AT PLANT NO. 1, PROJECT NO. P1-128A GENERAL MANAGER'S RECOMMENDATION RECOMMENDATION: Authorize payment to the City of Fountain Valley for Building Department and Public Works Department standard fees related to the Headquarters Complex at Plant No. 1, Project No. P1-128A, for an amount not to exceed $900,000. BACKGROUND The Orange County Sanitation District (Sanitation District) is replacing the existing Administration Building and other buildings at Plant No. 1 with a new Headquarters Complex north of Ellis Avenue across from Plant No. 1. The project will consist of an approximately 110,000 square foot, three story office building, a pedestrian bridge over Ellis Avenue connecting the building to Plant No. 1, and surface parking. The construction plans include approximately 680 full size drawings. RELEVANT STANDARDS • Maintain collaborative and cooperative relationships with regulators, stakeholders, and neighboring communities PROBLEM The Sanitation District requires approval from the City of Fountain Valley to build the Headquarters Complex. This approval involves standard plan checks, inspections, and utility connections. The City recovers its costs of processing permit applications, conducting inspections, and providing utility services in accordance with standard fee schedules and tracking of actual costs incurred. Staff estimates that these standard fees may amount to up to $900,000. PROPOSED SOLUTION Authorize payment to the City of Fountain Valley for Building Department and Public Works Department standard fees for an amount not to exceed $900,000. Orange County Sanitation District Page 1 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1258 Agenda Date: 9/23/2020 Agenda Item No: 20. TIMING CONCERNS The project is expected to advertise for bids in early January 2021. The City's review of the project, including related design revisions, is on a critical path to meet that date. Any delays in advertising for bids could result in construction cost escalation and extend the period that the existing buildings and trailers need to be maintained. RAMIFICATIONS OF NOT TAKING ACTION Without payment of standard fees, the City will not issue a building permit, and the project cannot be built. PRIOR COMMITTEE/BOARD ACTIONS N/A ADDITIONAL INFORMATION The Sanitation District expects to pay a total of $65,000 to the City for Planning Department review, including the City's review of the Sanitation District's addendum to the Fountain Valley Crossings Specific Plan Environmental Impact Report. The funds requested in this Agenda Report are not intended to cover those costs. The funds also do not include payments related to a negotiated Development Agreement between the Sanitation District and the City of Fountain Valley. CEQA On January 23, 2018, the City of Fountain Valley certified the Program Environmental Impact Report for the Fountain Valley Crossings Specific Plan that evaluated the total buildout of the Specific Plan area with a goal of revitalizing the existing light industrial use. Following that, the Sanitation District prepared an Initial Study/Addendum for the Administrative Headquarters Building, Project No. P1-128, dated December 2019, to the City's Program Environmental Impact Report. The addendum concluded that no further environmental review was required. (Public Resources Code Section 21166; CEQA Guidelines Sections 15162 and 15164.) On June 25, 2020, a Notice of Determination was filed with the Orange County Clerk-Recorder after the Sanitation District Board approval of the construction contract for the Headquarters Complex Site Preparation, Project No. P1-128C. The Initial Study/Addendum for the Administrative Headquarters Building, Project No. P1-128, dated December 2019, was updated in September 2020 to reflect minor subsequent changes to the project. FINANCIAL CONSIDERATIONS This request complies with authority levels of the Sanitation District's Purchasing Ordinance. This item has been budgeted. (Adopted Budget, Fiscal Years 2020-2021 and 2021-2022, Line item: Section 8, Page 58). Orange County Sanitation District Page 2 of 3 Printed on 9/15/2020 powered by LegistarTM File #: 2020-1258 Agenda Date: 9/23/2020 Agenda Item No: 20. ATTACHMENT The following attachment(s) may be viewed on-line at the OCSD website (www.ocsd.com) with the complete agenda package: N/A TG:dm Orange County Sanitation District Page 3 of 3 Printed on 9/15/2020 powered by LegistarTM ORANGE COUNTY SANITATION DISTRICT COMMON ACRONYMS ACWA Association of California LOS Level Of Service RFP Request For Proposal Water Agencies APWA American Public Works MGD Million Gallons Per Day RWQCB Regional Water Quality Association Control Board AQMD Air Quality Management MOU Memorandum of SARFPA Santa Ana River Flood District Understanding Protection Agency ASCE American Society of Civil NACWA National Association of Clean SARI Santa Ana River Engineers Water Agencies Interceptor BOD Biochemical Oxygen Demand NEPA National Environmental Policy SARWQCB Santa Ana Regional Water Act Quality Control Board California Air Resources Non-Governmental Santa Ana Watershed CARB Board NGOs Organizations SAWPA Project Authority CASA California Association of NPDES National Pollutant Discharge SCADA Supervisory Control And Sanitation Agencies Elimination System Data Acquisition National Water Research Southern California CCTV Closed Circuit Television NWRI Institute SCAP Alliance of Publicly Owned Treatment Works CEQA California Environmental O& M Operations&Maintenance SCAQMD South Coast Air Quality Quality Act Management District Capital Improvement Orange County Council of SOCWA South Orange County CIP Program OCCOG Governments Wastewater Authority CRWQCB California Regional Water OCHCA Orange County Health Care SRF Clean Water State Quality Control Board Agency Revolving Fund CWA Clean Water Act OCSD Orange County Sanitation SSMP Sewer System District Management Plan CWEA California Water Environment OCWD Orange County Water District SSO Sanitary Sewer Overflow Association EIR Environmental Impact Report OOBS Ocean Outfall Booster Station SWRCB State Water Resources Control Board EMT Executive Management Team OSHA Occupational Safety and TDS Total Dissolved Solids Health Administration US Environmental Protection Professional EPA Agency PCSA Consultant/Construction TMDL Total Maximum Daily Load Services Agreement FOG Fats, Oils, and Grease PDSA Professional Design Services TSS Total Suspended Solids Agreement Per-and Polyfluoroalkyl Waste Discharge gpd gallons per day PFAS Substances WDR Requirements GWRS Groundwater Replenishment PFOA Perfluorooctanoic Acid WEF Water Environment System Federation Water Environment& ICS Incident Command System PFOS Perfluorooctanesulfonic Acid WERF Reuse Foundation IERP Integrated Emergency POTW Publicly Owned Treatment WIFIA Water Infrastructure Response Plan Works Finance and Innovation Act Water Infrastructure JPA Joint Powers Authority ppm parts per million WIIN Improvements for the Nation Act Local Agency Formation PSA Professional Services WRDA Water Resources LAFCO Commission I Agreement I Development Act ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS ACTIVATED SLUDGE PROCESS—A secondary biological wastewater treatment process where bacteria reproduce at a high rate with the introduction of excess air or oxygen and consume dissolved nutrients in the wastewater. BENTHOS —The community of organisms, such as sea stars, worms, and shrimp, which live on, in, or near the seabed, also known as the benthic zone. BIOCHEMICAL OXYGEN DEMAND (BOD) — The amount of oxygen used when organic matter undergoes decomposition by microorganisms.Testing for BOD is done to assess the amount of organic matter in water. BIOGAS—A gas that is produced by the action of anaerobic bacteria on organic waste matter in a digester tank that can be used as a fuel. BIOSOLIDS—Biosolids are nutrient rich organic and highly treated solid materials produced by the wastewater treatment process. This high-quality product can be recycled as a soil amendment on farmland or further processed as an earth-like product for commercial and home gardens to improve and maintain fertile soil and stimulate plant growth. CAPITAL IMPROVEMENT PROGRAM (CIP) — Projects for repair, rehabilitation, and replacement of assets. Also includes treatment improvements, additional capacity, and projects for the support facilities. COLIFORM BACTERIA—A group of bacteria found in the intestines of humans and other animals, but also occasionally found elsewhere, used as indicators of sewage pollution. E. coli are the most common bacteria in wastewater. COLLECTIONS SYSTEM — In wastewater, it is the system of typically underground pipes that receive and convey sanitary wastewater or storm water. CERTIFICATE OF PARTICIPATION (COP)—A type of financing where an investor purchases a share of the lease revenues of a program rather than the bond being secured by those revenues. CONTAMINANTS OF POTENTIAL CONCERN (CPC) — Pharmaceuticals, hormones, and other organic wastewater contaminants. DILUTION TO THRESHOLD (D/T) —The dilution at which the majority of people detect the odor becomes the D/T for that air sample. GREENHOUSE GASES (GHG) — In the order of relative abundance water vapor, carbon dioxide, methane, nitrous oxide, and ozone gases that are considered the cause of global warming ("greenhouse effect"). GROUNDWATER REPLENISHMENT SYSTEM(GWRS)—Ajoint water reclamation project that proactively responds to Southern California's current and future water needs. This joint project between the Orange County Water District and OCSD provides 70 million gallons per day of drinking quality water to replenish the local groundwater supply. LEVEL OF SERVICE (LOS)—Goals to support environmental and public expectations for performance. N-NITROSODIMETHYLAMINE (NDMA) — A N-nitrosamine suspected cancer-causing agent. It has been found in the GWRS process and is eliminated using hydrogen peroxide with extra ultra-violet treatment. NATIONAL BIOSOLIDS PARTNERSHIP(NBP)—An alliance of the NACWA and WEF,with advisory support from the EPA. NBP is committed to developing and advancing environmentally sound and sustainable biosolids management practices that go beyond regulatory compliance and promote public participation to enhance the credibility of local agency biosolids programs and improved communications that lead to public acceptance. PER-AND POLYFLUOROALKYL SUBSTANCES (PFAS) — A large group (over 6,000) of human-made compounds that are resistant to heat,water,and oil and used for a variety of applications including firefighting foam,stain and water-resistant clothing, cosmetics, and food packaging. Two PFAS compounds, perfluorooctanesulfonic acid (PFOS)and perfluorooctanoic acid (PFOA) have been the focus of increasing regulatory scrutiny in drinking water and may result in adverse health effects including developmental effects to fetuses during pregnancy, cancer, liver damage, immunosuppression,thyroid effects, and other effects. PERFLUOROOCTANOIC ACID (PFOA) — An ingredient for several industrial applications including carpeting, upholstery, apparel, floor wax, textiles, sealants,food packaging, and cookware(Teflon). PERFLUOROOCTANESULFONIC ACID (PFOS)—A key ingredient in Scotchgard, a fabric protector made by 3M, and used in numerous stain repellents. PLUME—A visible or measurable concentration of discharge from a stationary source or fixed facility. PUBLICLY OWNED TREATMENT WORKS (POTW)—A municipal wastewater treatment plant. SANTA ANA RIVER INTERCEPTOR (SARI) LINE—A regional brine line designed to convey 30 million gallons per day of non- reclaimable wastewater from the upper Santa Ana River basin to the ocean for disposal,after treatment. SANITARY SEWER—Separate sewer systems specifically for the carrying of domestic and industrial wastewater. SOUTH COAST AIR QUALITY MANAGEMENT DISTRICT (SCAQMD) — Regional regulatory agency that develops plans and regulations designed to achieve public health standards by reducing emissions from business and industry. SECONDARY TREATMENT — Biological wastewater treatment, particularly the activated sludge process, where bacteria and other microorganisms consume dissolved nutrients in wastewater. SLUDGE—Untreated solid material created by the treatment of wastewater. TOTAL SUSPENDED SOLIDS(TSS)—The amount of solids floating and in suspension in wastewater. ORANGE COUNTY SANITATION DISTRICT GLOSSARY OF TERMS TRICKLING FILTER—A biological secondary treatment process in which bacteria and other microorganisms, growing as slime on the surface of rocks or plastic media, consume nutrients in wastewater as it trickles over them. URBAN RUNOFF—Water from city streets and domestic properties that carry pollutants into the storm drains, rivers, lakes, and oceans. WASTEWATER—Any water that enters the sanitary sewer. WATERSHED—A land area from which water drains to a particular water body. OCSD's service area is in the Santa Ana River Watershed.