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Home My WebLink About10-13-2010 Administration Committee Agenda AGENDA REGULAR MEETING OF THE ADMINISTRATION COMMITTEE ORANGE COUNTY SANITATION DISTRICT WEDNESDAY, OCTOBER 13, 2010, AT 5:30 P.M. ADMINISTRATIVE OFFICE 10844 Ellis Avenue Fountain Valley, California 92708 www.ocsd.com PLEDGE OF ALLEGIANCE DECLARATION OF QUORUM PUBLIC COMMENTS REPORT OF COMMITTEE CHAIR REPORT OF GENERAL MANAGER REPORT OF DIRECTOR OF FINANCE AND ADMINISTRATIVE SERVICES CONSENT CALENDAR ITEMS (1 - 2) 1. Approve minutes of the September 8, 2010, meeting of the Administration Committee. 2. Recommend that the Board of Directors: receive and file report of reimbursements to Board Members and staff per Government Code 53065.5 for the period July 1, 2009 through June 30, 2010. October 13, 2010 Page 2 of 4 ACTION ITEMS (3 - 4) 3. Recommend that the Board of Directors: A. Adopt Resolution No. OCSD 10-XX, Authorizing the Execution and Delivery by the District of an Installment Purchase Agreement, a Trust Agreement, and a Continuing Disclosure Agreement in connection with the execution and delivery of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2010B, such Notes Evidencing Principal in an Aggregate Amount of Not to Exceed $167,000,000, Approving a Notice of Intention to Sell, Authorizing the Distribution of a Notice Inviting Bids and an Official Statement in Connection with the Offering and Sale of such Notes and Authorizing the Execution of Other Necessary Documents and Related Actions; and, B. That the Orange County Sanitation District Financing Corporation approve the documents supporting and authorizing the Revenue Refunding Certificate Anticipation Notes, Series 2009B in an amount not to exceed $167,000,000. 4. Recommend that the Board of Directors: A. Adopt Resolution No. OCSD 10-XX, a Resolution of the Board of Directors of the Orange County Sanitation District Authorizing the Execution and Delivery by the District of an Installment Purchase Agreement, a Trust Agreement, and a Continuing Disclosure Agreement in Connection with the Execution and Delivery of Orange County Sanitation District Certificates of Participation to be Referred to as Wastewater Revenue Obligations, Series 2010C, Authorizing the Execution and Delivery of such Revenue Obligations Evidencing Principal in an Aggregate Amount of Not to Exceed $157,000,000, Approving a Notice of Intention to Sell, Authorizing the Distribution of an Official Notice Inviting Bids and an Official Statement in Connection with the Offering and Sale of Such Revenue Obligations and Authorizing the Execution and Delivery of Necessary Documents and Related Actions; and, B. That the Orange County Sanitation District Financing Corporation approve the documents supporting and authorizing the Revenue Obligations in an aggregate amount not to exceed $157,000,000. October 13, 2010 Page 3 of 4 INFORMATIONAL ITEMS (5 - 6) 5. Internal Audit Reports — Review of Capital Improvement Program Scheduling Process and Regulatory Compliance Requirements. 6. Information Technology Three-Year Strategic Plan FY 2010-2013. CLOSED SESSION ........................................................ ............................................................ .................................................................. - During the course of conducting the business set forth on this agenda as a regular meeting of the Committee, the Chair may convene the Committee in closed session to consider matters of pending real estate negotiations, pending or potential litigation, or personnel matters, pursuant to Government Code Sections 54956.8, 54956.9, 54957 or 54957.6, as noted. € Reports relating to (a) purchase and sale of real property; (b) matters of pending or potential litigation; (c) employee € I actions or negotiations with employee representatives; or which are exempt from public disclosure under the I California Public Records Act, may be reviewed by the Committee during a permitted closed session and are not I available for public inspection. At such time as final actions are taken by the Committee on any of these subjects,the minutes.willreflect all required disclosures of information. Convene in closed session, if necessary. 7. CONFER WITH LEGAL COUNSEL RE: EXISTING LITIGATION (Government Code Section 54956.9(a)) Case: Frankie Woodside vs. Orange County Sanitation District; Workers Compensation Appeals Board No.: ADJ2243430 (AHM 0113117), Claim No. 7827-0001-01-0028 Reconvene in regular session. Consideration of action, if any, on matters considered in closed session. Other business and communications or supplemental agenda items, if any. ADJOURNMENT The next regular Administration Committee meeting is scheduled for Wednesday, November 10, 2010, at 5:30 p.m. October 13, 2010 Page 4 of 4 Agenda Posting: In accordance with the requirements of California Government Code Section 54954.2, this agenda has been posted in the main lobby of the District's Administrative offices not less than 72 hours prior to the meeting date and time above. All 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 all, of the members of District's Board, are available for public inspection in the office of the Clerk of the Board, located at 10844 Ellis Avenue, Fountain Valley, California. Items Not Posted: In the event any matter not listed on this agenda is proposed to be submitted to the Committee for discussion and/or action, it will be done in compliance with Section 54954.2(b) as an emergency item or because there is a need to take immediate action, which need came to the attention of the Committee subsequent to the posting of agenda, or as set forth on a supplemental agenda posted in the manner as above, not less than 72 hours prior to the meeting date. Public Comments: Any member of the public may address the Administration Committee on specific agenda items or matters of general interest. As determined by the Chair, speakers may be deferred until the specific item is taken for discussion and remarks may be limited to three minutes. Matters of interest addressed by a member of the public and not listed on this agenda cannot have action taken by the Committee except as authorized by Section 54954.2(b). Consent Calendar: All matters placed on the consent calendar are considered as not requiring discussion or further explanation, and unless a particular item is requested to be removed from the consent calendar by a Director or staff member, there will be no separate discussion of these items. All items on the consent calendar will be enacted by one action approving all motions, and casting a unanimous ballot for resolutions included on the consent calendar. All items removed from the consent calendar shall be considered in the regular order of business. The Committee Chair will determine if any items are to be deleted from the consent calendar. Items Continued: Items may be continued from this meeting without further notice to a Committee meeting held within five (5) days of this meeting per Government Code Section 54954.2(b)(3). Meeting Adjournment: This meeting may be adjourned to a later time and items of business from this agenda may be considered at the later meeting by Order of Adjournment and Notice in accordance with Government Code Section 54955 (posted within 24 hours). Accommodations for the Disabled: The Board of Directors Meeting Room is wheelchair accessible. If you require any special disability related accommodations, please contact the Orange County Sanitation District Clerk of the Board's office at (714) 593-7130 at least 72 hours prior to the scheduled meeting. Requests must specify the nature of the disability and the type of accommodation requested. Notice to Committee Members: For any questions on the agenda or to place any items on the agenda, Committee members should contact the Committee Chair or Clerk of the Board ten days in advance of the Committee meeting. Committee Chair: Phil Luebben (714)686-1426 pluebben(o.ci.cypress.ca.us Committee Secretary: Lilia Kovac (714)593-7124 Ikovac(a).ocsd.com General Manager: Jim Ruth (714)593-7110 Iruth(c�ocsd.com Assistant General Manager Bob Ghirelli (714)593-7400 rghirelli(c�ocsd.com Director of Finance and Lorenzo Tyner (714)593-7550 ItynerQocsd.com Administrative Services Human Resources and Employee Jeff Reed (714)593-7144 ireed(@ocsd.com Relations Manager ADMINISTRATION COMMITTEE Meeting Date To Bd. of Dir. 10/13/10 10/27/10 AGENDA REPORT Item Number Item Number 2 Orange County Sanitation District FROM: James D. Ruth, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services GENERAL MANAGER'S RECOMMENDATION Receive and file report of reimbursements to Board Members and Staff per Government Code 53065.5 for the period July 1, 2009 through June 30, 2010. SUMMARY 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, and 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, 2010. PRIOR COMMITTEE/BOARD ACTIONS N/A ATTACHMENTS 1. Report of reimbursements per Government Code 53065.5 for the period July 1, 2009 through June 30, 2010. JDR:LT:MW Page 1 of 1 Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Adams, Matt Sr. Plant Operator 170.00 Certificate Reimbursement Aguilar, Janine H/R Analyst 1,016.90 Tuition Reimbursement Aguilar, Janine H/R Analyst 1,808.59 Tuition Reimbursement Ahn, Terry Regulatory Spec. 326.20 Headphones Reimbursemnt Amezcua, Gerardo Operations Supervisor 190.00 Certificate Reimbursement Arhontes, Nick Dir. Of Ops Et Maint. 152.00 Collect Sys Et Mech Tech Certs Arhontes, Nick Director of Operations Et Maint 112.20 Transportation - WEF The Utility Management Conference San Francisco, CA From 2/20/2010 To 2/25/2010 Meals - (NACWA) 2010 National Pretreatment and Pollution Arhontes, Nick Director of Operations Et Maint 124.00 Prevention Workshop - Speaker Phoenix, AZ From 5/19/2010 To 5/21/2010 Arhontes, Nick Director of Operations Et Maint 236.00 Meals - WEF The Utility Management Conference San Francisco, CA From 2/20/2010 To 2/25/2010 Baroldi, Layne Environmental Supervisor 117.50 Transportation - WEFTEC Conference Orlando, FL From 10/9/2009 To 10/14/2009 Baroldi, Layne Environmental Supervisor 117.93 Lodging - To attend PORS Conference Davis, CA From 9/22/2009 To 9/23/2009 Baroldi, Layne Environmental Supervisor 165.00 Registration - PORS Conference Davis, CA From 9/22/2009 To 9/23/2009 Baroldi, Layne Environmental Supervisor 239.20 Airfare - CASA Biosolids Workshop Sacramento, CA From 8/18/2009 To 8/20/2009 Baroldi, Layne Environmental Supervisor 336.00 Meals - WEFTEC Conference Orlando, FL From 10/9/2009 To 10/14/2009 Baroldi, Layne Environmental Supervisor 405.19 Airfare - WEFTEC Conference Orlando, FL From 10/9/2009 To 10/14/2009 Baroldi, Layne Environmental Supervisor 832.39 Lodging - WEFTEC Conference Orlando, FL From 10/9/2009 To 10/14/2009 Barrett, Michael Plant Operator 190.00 Certificate Reimbursement Bauer II, Wesley Safety Et Health Supervisor 105.00 Certificate Reimbursement Bauer II, Wesley Safety Et Health Supervisor 130.00 Certificate Reimbursement Bauer, Wesley Safety Et Health Supervisor 112.00 Transportation - ASSE Seminar Fest 2010 Las Vegas, NV From 2/13/2010 To 2/20/2010 Bauer, Wesley Safety Et Health Supervisor 497.00 Meals - ASSE Seminar Fest 2010 Las Vegas, NV From 2/13/2010 To 2/20/2010 Bauer, Wesley Safety Et Health Supervisor 1,089.76 Lodging - ASSE Seminar Fest 2010 Las Vegas, NV From 2/13/2010 To 2/20/2010 Bell, Bob Maintenance Supervisor 123.85 Lodging - Maximo 7.1 Administration Training San Diego, CA From 3/9/2010 To 3/10/2010 Bell, Bob Maintenance Supervisor 146.00 Meals - IBM Pulse 2010 Conference Las Vegas, NV From 2/21/2010 To 2/24/2010 Bell, Bob Maintenance Supervisor 396.48 Lodging - IBM Pulse 2010 Conference Las Vegas, NV From 2/21/2010 To 2/24/2010 Behan, Rajkumar Senior Info Tech Analyst 162.13 Lodging - Maximo 7.1 Administration Training San Diego, CA From 3/9/2010 To 3/10/2010 Berdis, Michael Operations Supervisor 190.00 Certificate Reimbursement Bhagat, Dipak Instrumentation Tech II 715.27 Tuition Reimbursement Biele, Catherine Sr. Plant Operator 170.00 Certificate Reimbursement Bihl, David Plant Operator 130.00 Certificate Reimbursement Bingman, Deirdre Pr. Environ Spec. 126.36 Food for BioSolids Mgmt Team Meeting Bingman, Deirdre Pr. Environ Spec. 158.53 Food for NBP EMS Audit Bingman, Deirdre Pr. Environ Spec. 204.00 Subscription Renewal Bingman, Deirdre Pr. Environ Spec. 392.00 Reimbursement for Clipboards 1 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Blair, Bryan Mechanic 115.00 Certificate Reimbursement Bolster, Michael Lead Mechanic 160.00 Certificate Reimbursement Bradley Jr, Jon Sr. Plant Operator 170.00 Certificate Reimbursement Bradley Jr, Jon Sr. Plant Operator 576.57 Tuition Reimbursement Brandvold, Anne Senior Info Tech Analyst 124.83 Lodging - Training for Comm Vault Engineering Et Support Course San Diego, CA From 9/24/2009 To 9/25/2009 Brown, Marc Principal Eng Data Mgmt Spec 139.20 Airfare - Oracle OpenWorld Conference San Francisco, CA From 10/13/2009 To 10/15/2009 Brown, Marc Principal Eng Data Mgmt Spec 157.40 Airfare - California Water Environment Association Sacramento, CA From 4/21/2010 To 4/21/2010 Brown, Marc Principal Eng Data Mgmt Spec 183.00 Meals - Oracle OpenWorld Conference San Francisco, CA From 10/13/2009 To 10/15/2009 Brown, Marc Principal Eng Data Mgmt Spec 621.82 Lodging - Oracle OpenWorld Conference San Francisco, CA From 10/13/2009 To 10/15/2009 Brown, Marc Pr. Engineering Data Mgmt Spec. 935.00 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,118.78 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,275.50 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,305.99 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,372.42 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,445.43 Tuition Reimbursement Brown, Marc Pr. Engineering Data Mgmt Spec. 1,452.81 Tuition Reimbursement Brown, Peter Sr. Plant Operator 170.00 Certificate Reimbursement Burror, James Engineering Supervisor 198.00 AWWA Membership Burror, James Engineering Supervisor 240.00 Urban Water Institute Meeting Long B each, CA From 5/26/2010 To 5/26/2010 Burror, James Engineering Supervisor 250.00 Certificate Reimbursement Burror, James Engineering Supervisor 317.00 Membership Reimbursement Burror, Jim Engineering Supervisor 230.00 Urban Water Institute Meeting Long Beach, CA From 5/26/2010 To 5/26/2010 Cady, Pongsakdi Principal Info Tech Analyst 123.85 Lodging - Maximo 7.1 System Administration Training San Diego, CA From 3/9/2010 To 3/10/2010 Cady, Pongsakdi Pr. Info Tech Analyst 2,070.00 Tuition Reimbursement Carnahan, Pat Safety It Health Specialist 284.00 Meals - OSHA 500: Trainer Course for Construction Industry San Diego, CA From 10/18/2009 To 10/22/2009 Carnahan, Pat Safety It Health Specialist 499.41 Lodging - OSHA 500: Trainer Course for Construction Industry San Diego, CA From 10/18/2009 To 10/22/2009 Carrillo, Dindo Sr Environmental Specialist 119.40 Airfare - to attend CWEA Meeting Sacramento, CA From 4/21/2010 To 4/23/2010 Carrillo, Dindo Sr Environmental Specialist 122.00 Meals - to attend CWEA Meeting Sacramento, CA From 4/21/2010 To 4/23/2010 Carrillo, Dindo Sr Environmental Specialist 176.36 Lodging - to attend CWEA Meeting Sacramento, CA From 4/21/2010 To 4/23/2010 Carrillo, Patrick Sr. Plant Operator 170.00 Certificate Reimbursement Cassidy, William Engineering Supervisor 125.00 Certificate Reimbursement Cassidy, William Engineering Supervisor 147.00 Certificate Reimbursement Cassidy, William Engineering Supervisor 163.00 Certificate Reimbursement Meals - MS Public Sector CIO Summit Meeting and Meeting with Salem Castillon, Rich IT Syst Et Operations Manager 152.00 Oregon Wastewater Treatment Plant EOOM Project Redmond, WA From 2/22/2010 To 2/25/2010 2 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Castillon, Rich IT Syst Et Operations Manager 189.79 Transportation - MISAC 2009 Conference Monterey, CA From 10/3/2009 To 10/6/2009 Transportation - MS Public Sector CIO Summit Meeting and Meeting Castillon, Rich IT Syst Et Operations Manager 299.83 with Salem Oregon Wastewater Treatment Plant EOOM Project Redmond, WA From 2/22/2010 To 2/25/2010 Castillon, Rich IT Syst Et Operations Manager 399.45 Lodging - MISAC 2009 Conference Monterey, CA From 10/3/2009 To 10/6/2009 Lodging - MS Public Sector CIO Summit Meeting and Meeting with Castillon, Rich IT Syst Et Operations Manager 471.70 Salem Oregon Wastewater Treatment Plant EOOM Project Redmond, WA From 2/22/2010 To 2/25/2010 Castro, Ernesto Sr. Plant Operator 103.04 Tuition Reimbursement Castro, Ernesto Sr. Plant Operator 127.50 Tuition Reimbursement Castro, Ernesto Sr. Plant Operator 152.55 Tuition Reimbursement Castro, Ernesto Senior Plant Operator 158.00 Meals - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Castro, Ernesto Senior Plant Operator 176.36 Lodging - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Cervellone, Chris Engineering Supervisor 125.00 Certificate Reimbursement Cervellone, Chris Engineering Supervisor 593.21 Reimb. for P2-91/P-2-80 lunch Chapman, Bruce Maintenance Specialist 102.92 Certificate Reimbursement Chappell, Richard Senior Construction Inspector 112.00 Meals - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Senior Construction Inspector 121.83 Lodging - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Senior Construction Inspector 121.83 Lodging - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Senior Construction Inspector 134.00 Meals - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Senior Construction Inspector 144.40 Transportation - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Senior Construction Inspector 144.40 Transportation - Factory testing at ASCO Winston-Salem, NC From 10/26/2009 To 10/30/2009 Chappell, Richard Sr. Construction Insp. 195.00 Certificate Reimbursement Chappell, Richard Senior Construction Inspector 324.00 Meals - Job#3-52, Westside Pump Station Factory Testing for VFD's Pittsburgh, PA From 8/30/2009 To 9/5/2009 Transportation - Job#3-52, Westside Pump Station Factory Testing for Chappell, Richard Senior Construction Inspector 335.84 VFD's Pittsburgh, PA From 8/30/2009 To 9/5/2009 Chappell, Richard Sr. Construction Insp. 414.80 ASCO Factory Testing Winston-Salem, NC Chappell, Richard Sr. Construction Insp. 436.80 ASCO Factory Testing Winston-Salem, NC Chappell, Richard Senior Construction Inspector 473.10 Lodging - Job#3-52, Westside Pump Station Factory Testing for VFD's Pittsburgh, PA From 8/30/2009 To 9/5/2009 Chappell, Richard Senior Construction Inspector 490.52 Airfare - Job#3-52, Westside Pump Station Factory Testing for VFD's Pittsburgh, PA From 8/30/2009 To 9/5/2009 Chaudhry, Corina Pr. Staff Analyst 179.55 Reimb. Survey Monkey 1/19-9/19 Cheffs, Peter Lead Mechanic 137.00 Certificate Reimbursement Choi, Yeom Sr. Engineer 187.50 License Reimbursement Christensen, Kelly Source Control Supervisor 223.00 CWEA ECI Reimbursement Colson, Bret Pr. Public Info Specialist 124.99 Reimbursement for Supplies Colson, Bret Pr. Public Info Specialist 130.00 1 Kid's Day Gifts 3 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Colson, Bret Pr. Public Info Specialist 177.26 Reimbursement for Storage Supplies Colston, James Environ. Compl-Reg Affair Mgr 108.97 Staff Luncheon Colston, Jim Environ Compl-Reg Affairs Mgr 297.20 Airfare - Tri-TAC Meeting Oakland, CA From 9/10/2009 To 9/10/2009 Colston, Jim Environ Compl-Reg Affairs Mgr 307.20 Airfare - To attend a State Water Resource Control Board Meeting Sacramento, CA From 10/6/2009 To 10/6/2009 Colston, Jim Environ Compl-Reg Affairs Mgr 307.20 Airfare - Tri-TAC Meeting Oakland, CA From 12/3/2009 To 12/4/2009 Cortez, Ronald Sr. Plant Operator 190.00 Certificate Reimbursement Crandall, Larry Board Member 879.82 Reimbursement Expenses for Legislative Meetings Washington, D.C. From 3/16/2010 To 3/18/2010 Crandall, Larry Board Member 924.97 Reimbursement CASA Conference Palm Desert, CA From 1/12/2010 To 1/18/2010 Crandall, Larry Board Member 1,347.70 Reimbursement Expenses for Legislative Meetings Washington, D.C. From 9/29/2009 To 10/1/2009 Crandall, Larry Board Member 623.98 Reimbursement CASA Conference Palm Desert, CA From 8/12/2009 To 8/15/2009 Crandall, Larry Board Member 574.18 Reimbursement NACWA Meeting Washington, D.C. From 7/14/09 to 7/16/09 Cuellar, Raul Engineer 125.00 Certificate Reimbursement Curry, Ian Instrumentation Tech 700.00 Tuition Reimbursement Dao, Chloe Senior Engineer 211.00 Meals - WEF: Odors Et Air Pollutants Conference Charlotte, NC From 3/20/2010 To 3/24/2010 Dao, Chloe Senior Engineer 623.12 Lodging - WEF: Odors Et Air Pollutants Conference Charlotte, NC From 3/20/2010 To 3/24/2010 DaSilva, Andy Engineer 125.00 Certificate Reimbursement DaSilva, Andy Engineer 405.00 Certificate Reimbursement DaSilva, Andy Engineer 764.00 Membership Reimbursement Davert, Douglass Board Member 1,224.92 Reimbursement Expenses for Legislative Meetings Washington, D.C. From 3/16/2010 To 3/18/2010 Davert, Douglass Board Member 415.44 Reimbursement CASA Conference Palm Desert, CA From 1/12/2010 To 1/18/2010 Davert, Douglass Board Member 1,480.49 Reimbursement Expenses for Legislative Meetings Washington, D.C. From 9/29/2009 To 10/1/2009 Davert, Douglass Board Member 702.13 Reimbursement NACWA Meeting Milwaukee, WI From 7/14/09 to 7/16/09 Deanda, Bernardo Maintenance Supervisor 106.96 Transportation - Training: Maintenance and Reliability for Managers Phoenix, AZ From 1/11/2010 To 1/14/2010 Deanda, Bernardo Maintenance Supervisor 139.72 Transportation - Training: Maintenance and Reliability for Managers Phoenix, AZ From 4/19/2010 To 4/22/2010 Deanda, Bernardo Maintenance Supervisor 155.44 Transportation - Maintenance and Reliability for Managers Phoenix, AZ From 7/20/2009 To 7/23/2009 Deanda, Bernardo Maintenance Supervisor 173.00 Meals - Maintenance and Reliability for Managers Phoenix, AZ From 7/20/2009 To 7/23/2009 Deanda, Bernardo Maintenance Supervisor 213.00 Meals - Training: Maintenance and Reliability for Managers Phoenix, AZ From 4/19/2010 To 4/22/2010 Deanda, Bernardo Maintenance Supervisor 220.17 Transportation - Training - Maintenance Et Reliability for Managers Phoenix AZ From 10/12/2009 To 10/15/2009 Deanda, Bernardo Maintenance Supervisor 267.00 Meals - Training - Maintenance Et Reliability for Managers Phoenix AZ From 10/12/2009 To 10/15/2009 Deanda, Bernardo Maintenance Supervisor 267.00 Meals - Training: Maintenance and Reliability for Managers Phoenix, AZ From 1/11/2010 To 1/14/2010 Deanda, Bernardo Maintenance Supervisor 332.85 Lodging - Maintenance and Reliability for Managers Phoenix, AZ From 7/20/2009 To 7/23/2009 Deanda, Bernardo Maintenance Supervisor 420.57 Lodging - Training - Maintenance Et Reliability for Managers Phoenix AZ From 10/12/2009 To 10/15/2009 Deanda, Bernardo Maintenance Supervisor 433.71 Lodging - Training: Maintenance and Reliability for Managers Phoenix, AZ From 4/19/2010 To 4/22/2010 Deanda, Bernardo Maintenance Supervisor 450.87 Lodging - Training: Maintenance and Reliability for Managers Phoenix, AZ From 1/11/2010 To 1/14/2010 4 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Deas, Dion Instrumentation Tech II 195.00 ISA Certificate Deas, Dion Instrumentation Tech II 214.00 Meals - Training Minden NV From 3/14/2010 To 3/17/2010 Deas, Dion Instrumentation Tech II 336.32 Transportation - Training Minden NV From 3/14/2010 To 3/17/2010 Deas, Dion Instrumentation Tech II 461.60 Lodging - Training Minden NV From 3/14/2010 To 3/17/2010 DeVries, Thys H/R Asst. 1,676.75 Tuition Reimbursement DeVries, Thys H/R Asst. 1,701.88 Tuition Reimbursement Dhodia, Hemal Info Tech Analyst 650.00 Tuition Reimbursement Dickey, Fred Plant Operator 195.00 Certificate Reimbursement Dickey, Fred Plant Operator 103.04 Tuition Reimbursement Dillon, Carla Engineering Supervisor 125.00 Certificate Reimbursement Dillon, Carla Engineering Supervisor 185.00 Meals - WEF: Odors It Air Pollutants Conference Charlotte, NC From 3/20/2010 To 3/24/2010 Dillon, Carla Engineering Supervisor 329.30 Airfare - WEF: Odors Ft Air Pollutants Conference Charlotte, NC From 3/20/2010 To 3/24/2010 Dillon, Carla Engineering Supervisor 662.24 Lodging - WEF: Odors Et Air Pollutants Conference Charlotte, NC From 3/20/2010 To 3/24/2010 Eden, Lydia Plant Operator 130.00 Certificate Reimbursement Erickson, Kimberly Sr Human Resources Analyst 288.00 Meals - NAGDCA Conference Austin, TX From 9/12/2009 To 9/17/2009 Erickson, Kimberly Sr Human Resources Analyst 1,113.80 Lodging - NAGDCA Conference Austin, TX From 9/12/2009 To 9/17/2009 Erickson, Kimberly H/R Analyst 688.33 Tuition Reimbursement Erickson, Kimberly H/R Analyst 858.06 Tuition Reimbursement Erickson, Kimberly H/R Analyst 1,503.25 NAGDCA Conference Austin, TX From 9/12/09 to 9/17/09 Erickson, Kimberly H/R Analyst 3,185.42 Tuition Reimbursement Escobar, Santiago Associate Engineer III 194.00 Meals - Solutions 2.0 Reliability Conference Daytona, FL From 11/15/2009 To 11/19/2009 Escobar, Santiago Associate Engineer III 220.00 Meals - Advanced AMS Machinery Course#2070 San Diego, CA From 7/27/2009 To 7/31/2009 Escobar, Santiago Associate Engineer III 534.52 Lodging - Solutions 2.0 Reliability Conference Daytona, FL From 11/15/2009 To 11/19/2009 Escobar, Santiago Associate Engineer III 661.40 Lodging - Advanced AMS Machinery Course#2070 San Diego, CA From 7/27/2009 To 7/31/2009 Transportation - WEF Microconstituents and Industrial Water Quality Evangelista, Jerry Engineering Supervisor 132.60 2009 Conference Baltimore, MD From 7/25/2009 To 7/30/2009 Evangelista, Jerry Engineering Supervisor 177.00 Meals - Attend Micropol and Ecohazard 2009 San Francisco, CA From 6/7/2009 To 6/10/2009 Evangelista, Jerry Engineering Supervisor 209.00 Membership Reimbursement Evangelista, Jerry Engineering Supervisor 217.00 Membership Reimbursement Meals - WEF Microconstituents and Industrial Water Quality 2009 Evangelista, Jerry Engineering Supervisor 309.00 Conference Baltimore, MD From 7/25/2009 To 7/30/2009 Evangelista, Jerry Engineering Supervisor 465.75 Lodging - Attend Micropol and Ecohazard 2009 San Francisco, CA From 6/7/2009 To 6/10/2009 Evangelista, Jerry Engineering Supervisor 891.00 Lodging - WEF Microconstituents and Industrial Water Quality 2009 Baltimore, MD From 7/25/2009 To 7/30/2009 Evans, Theresa Contract/Purch Asst. 1,590.00 Tuition Reimbursement Evans, Theresa Contract/Purch Asst. 1 1,675.00 1 Tuition Reimbursement 5 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Evans, Theresa Contract/Purch Asst. 1,675.00 Tuition Reimbursement Evans, Theresa Contract/Purch Asst. 1,675.00 Tuition Reimbursement Falkenstein, John Engineer 125.00 Certificate Reimbursement Farmer, Michele Pr. Environ Spec. 1,637.76 Tuition Reimbursement Farmer, Michele Pr. Environ Spec. 1,790.74 Tuition Reimbursement Farmer, Michele Pr. Environ Spec. 1,890.80 Tuition Reimbursement Farmer, Michele Pr. Environ Spec. 1,918.21 Tuition Reimbursement Other Expenses - Factory Demo - Bench Testing On Site For Project J- Ferguson, Victor Instrumentation Tech II 350.40 79-1 Columbus OH From 5/9/2010 To 5/15/2010 Ferguson, Victor Instrumentation Tech II 363.00 Meals - Factory Demo - Bench Testing On Site For Project J-79-1 Columbus OH From 5/9/2010 To 5/15/2010 Ferguson, Victor Instrumentation Tech II 377.72 Transportation - Factory Demo - Bench Testing On Site For Project J- Columbus OH From 5/9/2010 To 5/15/2010 Ferguson, Victor Instrumentation Tech II 891.29 Lodging - Factory Demo - Bench Testing On Site For Project J-79-1 Columbus OH From 5/9/2010 To 5/15/2010 Fields, Jeanie Exec. Asst. 250.00 Certificate Reimbursement Fisher, Dean Engineering Manager 150.00 Certificate Reimbursement Fisher, Dean Engineering Manager 181.00 Meals - Attend WEFTEC Orlando, FL From 10/11/2009 To 10/18/2009 Fisher, Dean Engineering Manager 372.40 Airfare - Attend WEFTEC Orlando, FL From 10/11/2009 To 10/18/2009 Fisher, Dean Engineering Manager 573.75 Lodging - Attend WEFTEC Orlando, FL From 10/11/2009 To 10/18/2009 Flores, John Construction Inspector 103.00 Meals - P2-66 Equipment Testing Wichita Falls, TX From 5/10/2010 To 5/11/2010 Flores, John Construction Inspector 125.00 Meals - P2-66 Bar Screen Equipment Testing Wichita Falls, TX From 6/14/2010 To 6/16/2010 Flores, John Construction Inspector 166.70 Lodging - P2-66 Bar Screen Equipment Testing Wichita Falls, TX From 6/14/2010 To 6/16/2010 Flores, John Construction Insp. 249.31 Equipment Testing Wichita Falls, TX From 5/10/2010 To 5/11/2010 Flores, John Construction Insp. 233.25 Tuition Reimbursement Flores, John Construction Insp. 453.60 Tuition Reimbursement Flores, John Construction Insp. 631.64 Tuition Reimbursement Fontela, Daniel Sr. Mechanic 108.00 Meal Reimbursement Forman, Chuck Facilities Manager 123.00 Meals - CCG Faster Conference Norfolk, VA From 10/18/2009 To 10/21/2009 Forman, Chuck Facilities Manager 159.00 Meals - Alternative Fuels Et Vehicles Conference Las Vegas, NV From 5/9/2010 To 5/12/2010 Forman, Chuck Facilities Manager 175.45 Transportation - CCG Faster Conference Norfolk, VA From 10/18/2009 To 10/21/2009 Forman, Chuck Facilities Manager 366.24 Lodging - Alternative Fuels Et Vehicles Conference Las Vegas, NV From 5/9/2010 To 5/12/2010 Forman, Chuck Facilities Manager 518.31 Lodging - CCG Faster Conference Norfolk, VA From 10/18/2009 To 10/21/2009 Francis, Vicki Senior Engineer 152.00 Meals - Attend WEFTEC conference Orlando, Ft From 10/10/2009 To 10/14/2009 Francis, Vicki Senior Engineer 170.00 Meals - Attend Midyear Mtg as committee and symposia speaker New Orleans, LA From 2/3/2010 To 2/6/2010 Francis, Vicki Senior Engineer 370.95 Airfare - Attend Midyear Mtg as committee and symposia speaker New Orleans, LA From 2/3/2010 To 2/6/2010 Francis, Vicki Senior Engineer 370.95 Lodging - Attend Midyear Mtg as committee and symposia speaker New Orleans, LA From 2/3/2010 To 2/6/2010 Francis, Vicki Senior Engineer 1 371.10 Airfare - Attend WEFTEC conference Orlando, Ft 1 From 10/10/2009 To 10/14/2009 6 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Francis, Vicki Senior Engineer 484.14 Lodging - Attend WEFTEC conference Orlando, Fl From 10/10/2009 To 10/14/2009 Francis, Victoria Sr. Engineer 217.00 Membershp Reimbursement Gadzinski, Joscelynn Plant Operator 103.04 Tuition Reimbursement Gadzinski, Joscelynn Plant Operator 103.04 Tuition Reimbursement Gadzinski, Joscelynn Plant Operator 170.00 Certificate Reimbursement Gadzinski, Joscelynn Plant Operator 195.00 Certificate Reimbursement Gamber, Robert Sr Environmental Specialist 100.00 Registration - SoCal SETAC 2010 Annual Meeting San Diego, CA From 4/29/2010 To 4/30/2010 Gamber, Robert Sr Environmental Specialist 142.38 Lodging - SoCal SETAC 2010 Annual Meeting San Diego, CA From 4/29/2010 To 4/30/2010 Gamber, Robert Sr. Environ Spec. 1,561.00 Tuition Reimbursement Gamber, Robert Sr. Environ Spec. 2,014.43 Tuition Reimbursement Gamber, Robert Sr. Environ Spec. 2,068.86 Tuition Reimbursement Garcia, Alfredo Office Asst. 229.29 Tuition Reimbursement Ghirelli, Robert Assistant General Manager 101.48 Mileage - Attend CASA conference San Diego, CA From 8/12/2009 To 8/15/2009 Ghirelli, Robert Assistant General Manager 110.00 Meals - Attend Annual CASA Conference Palm Desert, CA From 1/12/2010 To 1/15/2010 Ghirelli, Robert Assistant General Manager 110.00 Meals - Attend CASA conference San Diego, CA From 8/12/2009 To 8/15/2009 Ghirelli, Robert Assistant General Manager 120.00 Transportation - Attend WEF Utility Management Conference San Francisco, CA From 2/21/2010 To 2/23/2010 Ghirelli, Robert Assistant General Manager 195.00 Meals - Attend WEF Utility Management Conference San Francisco, CA From 2/21/2010 To 2/23/2010 Meals - Attend WEFTEC conference; speaker at Strategic Planning Ghirelli, Robert Assistant General Manager 287.00 Workshop 10/10 Orlando, FL From 10/9/2009 To 10/17/2009 Ghirelli, Robert Assistant General Manager 298.87 Other Expenses - Attend Annual CASA Conference Palm Desert, CA From 1/12/2010 To 1/15/2010 Ghirelli, Robert Assistant General Manager 575.20 Lodging - Attend WEF Utility Management Conference San Francisco, CA From 2/21/2010 To 2/23/2010 Ghirelli, Robert Assistant General Manager 656.59 Lodging - Attend WEFTEC conference; speaker at Strategic Planning Orlando, FL From 10/9/2009 To 10/17/2009 Ghirelli, Robert Assistant General Manager 663.57 Lodging - Attend Annual CASA Conference Palm Desert, CA From 1/12/2010 To 1/15/2010 Ghirelli, Robert Assistant General Manager 759.72 Lodging - Attend CASA conference San Diego, CA From 8/12/2009 To 8/15/2009 Gold, Michael Public Affairs Manager 104.01 Mileage - CASA Annual Conference San Diego, CA From 8/12/2009 To 8/15/2009 Gold, Michael Public Affairs Manager 118.50 Mileage - CASA Conference Palm Desert, CA From 1/13/2010 To 1/15/2010 Gold, Michael Public Affairs Manager 130.00 Transportation - CASA DC Conference Washington, D.C. From 3/7/2010 To 3/10/2010 Gold, Michael Public Affairs Manager 150.00 Meals - Legislative Advocacy Washington, D.C. From 9/29/2009 To 10/1/2009 Gold, Michael Public Affairs Manager 182.00 Meals - CASA DC Conference Washington, D.C. From 3/7/2010 To 3/10/2010 Gold, Michael Public Affairs Manager 279.40 Airfare - Advocacy Trip Washington, D.C. From 3/16/2010 To 3/18/2010 Gold, Michael Public Affairs Manager 414.00 Airfare - CASA DC Conference Washington, D.C. From 3/7/2010 To 3/10/2010 Gold, Michael Public Affairs Manager 496.88 Lodging - CASA Conference Palm Desert, CA From 1/13/2010 To 1/15/2010 Gold, Michael Public Affairs Manager 595.40 Lodging - Legislative Advocacy Washington, D.C. From 9/29/2009 To 10/1/2009 Gold, Michael Public Affairs Manager 661.82 Lodging - Advocacy Trip to Washington, D.C. Washington, D.C. From 3/16/2010 To 3/18/2010 Gold, Michael Public Affairs Manager 1 795.57 1 Lodging - CASA Annual Conference San Diego, CA From 8/12/2009 To 8/15/2009 7 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Gold, Michael Public Affairs Manager 992.73 Lodging - CASA DC Conference Washington, D.C. From 3/7/2010 To 3/10/2010 Gomez, Ruben Senior Construction Inspector 243.00 Meals - Cal OSHA Hazardous Materials Course San Diego, CA From 10/25/2009 To 10/29/2009 Gomez, Ruben Senior Construction Inspector 284.00 Meals - Attend Machine Guarding (OSHA 2045) Course San Diego, CA From 3/15/2010 To 3/18/2010 Gomez, Ruben Senior Construction Inspector 406.20 Lodging - Attend Machine Guarding (OSHA 2045) Course San Diego, CA From 3/15/2010 To 3/18/2010 Gomez, Ruben Senior Construction Inspector 523.16 Lodging - Cal OSHA Hazardous Materials Course San Diego, CA From 10/25/2009 To 10/29/2009 Gonzalez, John Maintenance Supervisor 128.00 Meals - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Gonzalez, John Maintenance Supervisor 191.16 Lodging - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Grande, Steve Sr. Mechanic 130.00 Certificate Reimbursement Hagerty, Wanda Contract/Purch Asst. 134.33 Tuition Reimbursement Halverson, David Pr. Info Tech Analyst 125.00 Certificate Reimbursement Harris, James Construction Insp. Supervisor 359.93 Equipment Testing Wichita Falls, TX From 6/14/2010 To 6/17/2010 Harris, James Construction Insp. Supervisor 549.41 132-90 Equipment Testing Kansas City, MO From 7/6/2009 To 7/8/2009 Harris, Jim Construction Insp Supervisor 112.92 Transportation - Equipment Testing for 132-90 Kansas City, MO From 7/6/2009 To 7/8/2009 Harris, Jim Construction Insp Supervisor 125.00 Meals - 132-66 Bar Screen Equipment Testing Wichita Falls, TX From 6/14/2010 To 6/17/2010 Harris, Jim Construction Insp Supervisor 147.00 Meals - Equipment Testing for 132-90 Kansas City, MO From 7/6/2009 To 7/8/2009 Harris, Jim Construction Insp Supervisor 147.33 Transportation - 132-66 Bar Screen Equipment Testing Wichita Falls, TX From 6/14/2010 To 6/17/2010 Harris, Jim Construction Insp Supervisor 243.14 Lodging - Equipment Testing for 132-90 Kansas City, MO From 7/6/2009 To 7/8/2009 Harting, Michael Engineer 336.00 Meals - Factory Demo - Testing for Project J-79-1 Columbus OH From 11/8/2009 To 11/13/2009 Harting, Michael Engineer 592.85 Lodging - Factory Demo - Testing for Project J-79-1 Columbus OH From 11/8/2009 To 11/13/2009 Harting, Michael Engineer 336.00 Meals - Factory demo - Bench Testing - Project J-79-1 Columbus OH From 12/13/2009 To 12/18/2009 Harting, Michael Engineer 592.85 Lodging - Factory demo - Bench Testing - Project J-79-1 Columbus OH From 12/13/2009 To 12/18/2009 Harting, Michael Engineer 984.21 Factory Benchmark Testing Columbus, OH From 12/13/2009 To 12/18/2009 Harting, Michael Engineer 336.00 Meals - Factory Demo - Bench Testing On Site For Project J-79-1 Columbus OH From 5/9/2010 To 5/14/2010 Harting, Michael Engineer 747.91 Lodging - Factory Demo - Bench Testing On Site For Project J-79-1 Columbus OH From 5/9/2010 To 5/14/2010 Harting, Michael Engineer 125.00 Certificate Reimbursement Hauser, William Doug Sr. Plant Operator 190.00 Certificate Reimbursement Haworth, Michael Sr. Plant Operator 170.00 Certificate Reimbursement Haynes, Tod Engineering Manager 125.00 Certificate Reimbursement Heinz, Dave Operations Manager 112.00 Meals - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/22/2010 Heinz, Dave Operations Manager 194.29 Lodging - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/22/2010 Heinz, Dave Operations Manager 224.00 Meals - WEFTEC Orlando, FL From 10/11/2009 To 10/14/2009 Heinz, Dave Operations Manager 293.64 Lodging - WEFTEC Orlando, FL From 10/11/2009 To 10/14/2009 Heinz, Dave Operations Manager 300.40 Airfare - WEFTEC Orlando, FL From 10/11/2009 To 10/14/2009 Heinz, David Operations Manager 135.67 Staff BBQ Heinz, David Operations Manager 139.13 Reimbursement for Food 8 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Heinz, David Ops. Mgr 341.09 Tuition Reimbursement Heinz, David Ops. Mgr 550.00 Tuition Reimbursement Heinz, David Ops. Mgr 1,100.00 Tuition Reimbursement Heinz, David Ops. Mgr 1,572.00 Tuition Reimbursement Heinz, David Ops. Mgr 2,750.00 Tuition Reimbursement Hellebrand, Ingrid Sr. Public Info Specialist 115.43 Water Festival Supplies Hellebrand, Ingrid Sr. Public Info Specialist 181.91 Jan. - Chat Room Supplies Hellebrand, Ingrid Sr. Public Info Specialist 186.69 Aug. - Chat Room Supplies Hellebrand, Ingrid Sr. Public Info Specialist 198.58 Oct. - Chat Room Supplies Meals - Factory demonstration testing at Tesco for College Pump Henderson, Dale Senior Construction Inspector 121.00 Station (7-47) Sacramento, CA From 7/28/2009 To 7/30/2009 Transportation - Factory demonstration testing at Tesco for College Henderson, Dale Senior Construction Inspector 158.17 Pump Station (7-47) Sacramento, CA From 7/28/2009 To 7/30/2009 Meals - Factory demonstration testing at Tesco for Westside Pump Henderson, Dale Senior Construction Inspector 173.00 Station (3-52) Sacramento, CA From 12/7/2009 To 12/11/2009 Lodging - Factory demonstration testing at Tesco for College Pump Henderson, Dale Senior Construction Inspector 185.68 Station (7-47) Sacramento, CA From 7/28/2009 To 7/30/2009 Henderson, Dale Sr. Construction Insp. 195.00 Certificate Reimbursement Henderson, Dale Senior Construction Inspector 209.00 Meals - P2-66 Bar Screen Equipment Testing Ashland, VA From 6/7/2010 To 6/10/2010 Henderson, Dale Senior Construction Inspector 242.00 Meals - Factory demonstration testing at Revere Systems for P2-90 Birmingham, AL From 2/1/2010 To 2/5/2010 Transportation - Factory demonstration testing at Tesco for Westside Henderson, Dale Senior Construction Inspector 245.79 Pump Station (3-52) Sacramento, CA From 12/7/2009 To 12/11/2009 Transportation - Factory demonstration testing at Revere Systems for Henderson, Dale Senior Construction Inspector 300.70 132-90 Birmingham, AL From 2/1/2010 To 2/5/2010 Henderson, Dale Senior Construction Inspector 309.53 Transportation - P2-66 Bar Screen Equipment Testing Ashland, VA From 6/7/2010 To 6/10/2010 Lodging - Factory demonstration testing at Tesco for Westside Pump Henderson, Dale Senior Construction Inspector 334.64 Station (3-52) Sacramento, CA From 12/7/2009 To 12/11/2009 Henderson, Dale Senior Construction Inspector 341.00 Meals - FDT at In-Land Technologies Service for J-79-1 Millstadt, It From 8/9/2009 To 8/15/2009 Henderson, Dale Sr. Construction Insp. 464.85 Factory Demonstration Sacramento, CA From 7/28/2009 To 7/30/2009 Henderson, Dale Senior Construction Inspector 481.80 Transportation - Factory testing for J-79-1 Millstadt, It From 10/18/2009 To 10/30/2009 Henderson, Dale Senior Construction Inspector 486.58 Transportation - FDT at In-Land Technologies Service for J-79-1 Millstadt, It From 8/9/2009 To 8/15/2009 Lodging - Factory demonstration testing at Revere Systems in Henderson, Dale Senior Construction Inspector 542.64 Birmingham, AL for P2-90 Birmingham, AL From 2/1/2010 To 2/5/2010 Henderson, Dale Senior Construction Inspector 565.00 Meals - Factory testing for J-79-1 Millstadt, It From 10/18/2009 To 10/30/2009 Henderson, Dale Senior Construction Inspector 612.17 Lodging - FDT at In-Land Technologies Service in Millstadt, It for J-79- Millstadt, It From 8/9/2009 To 8/15/2009 9 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Henderson, Dale Sr. Construction Insp. 753.43 Factory Demonstration Sacramento, CA From 12/7/2009 To 12/11/2009 Henderson, Dale Senior Construction Inspector 1,542.38 Lodging - Factory testing for J-79-1 Millstadt, It From 10/18/2009 To 10/30/2009 Herberg, James Dir. Of Engineering 170.00 Certificate Reimbursement Herberg, James Dir. Of Engineering 217.00 WEA Et WEF Memberships Herberg, James Dir. Of Engineering 250.00 ASCE Membership Dues Herberg, James Dir. Of Engineering 347.01 CASA Meeting Palm Desert, CA Herberg, James Dir. Of Engineering 380.63 Food for Sr. Staff Retreat Herberg, James Director of Engineering 113.82 Mileage - Attend CASA Regarding Fuel Cell Technology Palm Desert, CA From 1/13/2010 To 1/14/2010 Meals - To Visit Our Federal Representatives and Federal Staff Herberg, James Director of Engineering 138.00 Regarding Funding for OCSD's CIP. Washington, D.C. From 9/29/2009 To 10/1/2009 Herberg, James Director of Engineering 233.19 Lodging - Attend CASA Regarding Fuel Cell Technology Palm Desert, CA From 1/13/2010 To 1/14/2010 Herberg, James Director of Engineering 595.40 Lodging - To Visit Our Federal Representatives and Federal Staff Washington, D.C. From 9/29/2009 To 10/1/2009 Herrera, Fernando Facilities Worker/Builder 120.00 Turf Et Landscape Expo Long Beach, CA From 11/4/2009 To 11/5/2009 Hetherington, Michelle Engineer 132.54 Treatment Plant Visitation Denver, CO From 8/25/2009 To 8/26/2009 Hoang, Tyler Sr. Plant Operator 190.00 Certificate Reimbursement Hodge, Chuck Engineer 150.00 Certificate Reimbursement Holdman, Robert Construction Insp. 195.00 Certificate Reimbursement Holdman, Robert Construction Insp. 676.26 P1-102 Factory Witness Testing Monterrey, Mexico From 6/29/09 to 7/2/09 Hsiao, Lina Principal Accountant 113.00 Mileage - Attended annual GFOA conference Long Beach, CA From 1/11/2010 To 1/15/2010 Hsieh, Eric Principal Info Tech Analyst 106.92 Mileage - SQL Server 2005/2008: Failover Clustering Los Angeles Los Angeles, CA From 8/25/2009 To 8/27/2009 Hunt, Thomas Sr. Plant Operator 170.00 Certificate Reimbursement Huynh, Cindy Safety Et Health Representative 207.00 Meals - OSHA 2264: Permit Required Confined Space San Diego, CA From 10/4/2009 To 10/7/2009 Huynh, Cindy Safety Et Health Representative 256.00 Meals - OSHA 521: Industrial Hygiene San Diego, CA From 7/26/2009 To 7/30/2009 Huynh, Cindy Safety Et Health Representative 284.00 Meals - OSHA 3110: Fall Protection San Diego, CA From 3/21/2010 To 3/25/2010 Huynh, Cindy Safety Et Health Representative 350.72 Lodging - OSHA 2264: Permit Required Confined Space San Diego, CA From 10/4/2009 To 10/7/2009 Huynh, Cindy Safety Et Health Representative 411.24 Lodging - OSHA 3110: Fall Protection San Diego, CA From 3/21/2010 To 3/25/2010 Huynh, Cindy Safety Et Health Representative 642.96 Lodging - OSHA 521: Industrial Hygiene San Diego, CA From 7/26/2009 To 7/30/2009 Huynh, Hai-Thao Health Et Safety Rep 390.00 Certificate Reimbursement Jones, Jeffrey Equipment Operator 123.25 Certificate Et Fingerprints Jonk, Patricia Admin. Asst. 133.10 Food for Retirement Party Kanis, Douglas Sr. Engineer 125.00 Certificate Reimbursement Kanis, Douglas Sr. Engineer 140.00 Certificate Reimbursement Kanis, Douglas Sr. Engineer 311.45 Tuition Reimbursement Kanis, Douglas Sr. Engineer 955.94 Tuition Reimbursement Kavoklis, John Sr. Engineer 1 160.54 1 Treatment Plant Visitation Denver, CO 10 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Khublall, Hardat CIP Project Manager 125.00 Certificate Reimbursement Kirby, Joshua Welder/Fabricator 152.24 Reimb. for safety boots Klinger, Laurie Sr. H/R Analyst 1,500.00 Tuition Reimbursement Klinger, Laurie Sr. H/R Analyst 1,570.68 Tuition Reimbursement Koester, Pamela CIP Project Manager 119.00 Membeship Reimbursement Koester, Pamela CIP Project Manager 217.00 Membership Reimbursement Kogan, Vladimir Senior Scientist 114.33 Mileage - California Association of Sanitation Agencies Conference Palm Desert, CA From 1/13/2010 To 1/15/2010 Kogan, Vladimir Senior Scientist 119.20 Airfare - California Wastewater Climate Change Group Meeting Oakland, CA From 9/10/2009 To 9/10/2009 Kogan, Vladimir Senior Scientist 122.00 Meals - California Air Resources Board Workshop Sacramento, CA From 12/14/2009 To 12/15/2009 Kogan, Vladimir Senior Scientist 122.00 Meals - EPA biogas Meeting San Francisco, CA From 6/9/2010 To 6/10/2010 Kogan, Vladimir Sr. Scientist 125.00 Reimbursmnt AWMA Reg. From 4/23/2010 To 4/24/2010 Kogan, Vladimir Senior Scientist 142.00 Meals - California Association of Sanitation Agencies Conference Palm Desert, CA From 1/13/2010 To 1/15/2010 Kogan, Vladimir Senior Scientist 146.00 Meals - Air and Waste Management Association Conference Charlotte, NC From 3/21/2010 To 3/29/2010 Kogan, Vladimir Senior Scientist 174.40 Airfare - EPA biogas Meeting San Francisco, CA From 6/9/2010 To 6/10/2010 Kogan, Vladimir Senior Scientist 219.20 Airfare - To attend a CEC Meeting Sacramento, CA From 7/27/2009 To 7/27/2009 Airfare - To attend California Energy Commission Meeting in Kogan, Vladimir Senior Scientist 219.20 Sacramento, CA Sacramento, CA From 7/23/2009 To 7/23/2009 Kogan, Vladimir Senior Scientist 253.24 Lodging - CASA Conference San Diego, CA From 8/13/2009 To 8/14/2009 Kogan, Vladimir Senior Scientist 269.20 Airfare - CWCCG Conference Sacramento, CA From 8/25/2009 To 8/25/2009 Kogan, Vladimir Senior Scientist 344.71 Lodging - California Association of Sanitation Agencies Conference Palm Desert, CA From 1/13/2010 To 1/15/2010 Kogan, Vladimir Senior Scientist 348.75 Lodging - Air and Waste Management Association Conference Charlotte, NC From 3/21/2010 To 3/29/2010 Kogan, Vladimir Senior Scientist 383.90 Airfare - Air and Waste Management Association Conference Charlotte, NC From 3/21/2010 To 3/29/2010 Kogan, Vladimir Senior Scientist 550.00 Registration - Air and Waste Management Association Conference Charlotte, NC From 3/21/2010 To 3/29/2010 Kovac, Lilia Assoc Clerk of the Board II 340.77 Lodging - To Attend TTC 400, Technical Training for Clerks Riverside, CA From 6/16/2009 To 6/19/2009 Kovac, Lilia Assoc. Clerk to the Board 534.14 Tuition Reimbursement Kovac, Lilia Assoc. Clerk to the Board 1,545.00 Tuition Reimbursement Kovac, Lilia Assoc. Clerk to the Board 1,545.00 Tuition Reimbursement Kovac, Lilia Assoc. Clerk to the Board 1,545.00 Tuition Reimbursement Kovac, Lilia Assoc. Clerk to the Board 1,545.00 Tuition Reimbursement Krie, Terry Senior Construction Insp Supv 103.00 Meals - P2-66 Equipment Testing Wichita Falls, TX From 5/10/2010 To 5/11/2010 Krie, Terry Senior Construction Insp Supv 104.82 Lodging - P2-66 Equipment Testing Wichita Falls, TX From 5/10/2010 To 5/11/2010 Krie, Terry Senior Construction Insp Supv 118.15 Transportation - P2-66 Equipment Testing Wichita Falls, TX From 5/10/2010 To 5/11/2010 Krzysiak, Paul Principal Info Tech Analyst 162.00 Meals - Training for newly purchased Cisco Nexus 7000 product Atlanta, GA From 7/26/2009 To 7/29/2009 Krzysiak, Paul Principal Info Tech Analyst 238.38 Lodging - Training for newly purchased Cisco Nexus 7000 product Atlanta, GA From 7/26/2009 To 7/29/2009 11 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Transportation - Training for newly purchased Cisco Nexus 7000 Krzysiak, Paul Principal Info Tech Analyst 337.11 product Atlanta, GA From 7/26/2009 To 7/29/2009 Lapus, Ludwig Contracts Administrator 750.00 Tuition Reimbursement Lapus, Ludwig Contracts Administrator 750.00 Tuition Reimbursement Larkin, Michael Engineering Supervisor 125.00 Certificate Reimbursement Larson, Marc Operations Supervisor 190.00 Certificate Reimbursement Le, Dustin Source Control Insp. II 132.00 Certificate Reimbursement Lechner, Jesse Plant Operator 130.00 Certificate Reimbursement Lee, Tony Operations Supervisor 190.00 Certificate Reimbursement Linde[, Deborah Scientist 132.00 Membeship Reimbursement Lockyer, Vincent Lead Plant Operator 190.00 Certificate Reimbursement Loehr, Paul H/R Supervisor 454.16 Personal Expenses incurred from Employee Relations work Loehr, Paul H/R Supervisor 5,250.00 Tuition Reimbursement Lopez, John Plant Operator 130.00 Certificate Reimbursement Losurdo, Linda Admin. Asst. 105.00 Poster for the Lab Losurdo, Linda Admin. Asst. 109.90 '09 Manager's Meeting Luna, Lourdes H/R Asst. 197.99 Tuition Reimbursement Luna, Lourdes H/R Asst. 201.06 Tuition Reimbursement Luna, Lourdes H/R Asst. 272.20 Tuition Reimbursement Luna, Lourdes H/R Asst. 475.10 Tuition Reimbursement Maravilla, Laura Human Resources Analyst 198.68 Mileage - AWWA Workforce Summit San Diego, CA From 11/4/2009 To 11/5/2009 Maravilla, Laura H/R Analyst 692.00 Tuition Reimbursement Maravilla, Laura H/R Analyst 711.00 Tuition Reimbursement Maravilla, Laura H/R Analyst 744.61 Tuition Reimbursement Maravilla, Laura H/R Analyst 769.38 Tuition Reimbursement Maravilla, Laura H/R Analyst 2,002.10 Tuition Reimbursement Maravilla, Laura H/R Analyst 2,362.00 Tuition Reimbursement Meals - To attend ISM - Legal Considerations of Software Licensing It Marcin, Clarice Senior Contracts Administrator 159.00 Other Technology-Related Agreements Tempe AZ From 2/21/2010 To 2/23/2010 Lodging - To attend ISM - Legal Considerations of Software Licensing Marcin, Clarice Senior Contracts Administrator 311.56 Et Other Technology-Related Agreements Tempe AZ From 2/21/2010 To 2/23/2010 Martin, Marie C. Acct Asst. II 1,360.00 Tuition Reimbursement Martin, Marie C. Acct Asst. II 3,890.00 Tuition Reimbursement Martinez, Denise Sr. H/R Analyst 219.00 Webinar Reimbursement Martinez, Denise Sr. H/R Analyst 1 1,320.00 1 Tuition Reimbursement 12 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Martinez, Denise Sr. H/R Analyst 1,390.30 Tuition Reimbursement Martinez, Denise Sr. H/R Analyst 1,485.75 Tuition Reimbursement Matthews, Terry CMMS Technician II 123.85 Lodging - Maximo 7.1 System Administration Training San Diego, Ca From 3/9/2010 To 3/10/2010 Matthews, Terry CMMS Technician II 146.00 Meals - IBM Pulse 2010 Conference Las Vegas, NV From 2/21/2010 To 2/24/2010 Matthews, Terry CMMS Technician II 266.72 Mileage - IBM Pulse 2010 Conference Las Vegas, NV From 2/21/2010 To 2/24/2010 Matthews, Terry CMMS Technician II 396.48 Lodging - IBM Pulse 2010 Conference Las Vegas, NV From 2/21/2010 To 2/24/2010 Mauter, Theodore Operations Supervisor 190.00 Certificate Reimbursement May, Todd A. Lead Mechanic 2,210.00 Tuition Reimbursement May, Todd A. Lead Mechanic 2,210.00 Tuition Reimbursement McCann, James Sr. Plant Operator 170.00 Certificate Reimbursement McNelly, Patrick Pr. Staff Analyst 201.00 Certificate Reimbursement Mendez, Thomas Sr. Plant Operator 170.00 Certificate Reimbursement Meregillano, Tom Regulatory Specialist 201.40 Airfare - Tri-TAC Meeting Oakland, CA From 2/11/2010 To 2/11/2010 Meregillano, Tom Regulatory Specialist 253.40 Airfare - Tri-Tac Meeting Sacramento, CA From 3/11/2010 To 3/11/2010 Meregillano, Tom Regulatory Specialist 280.00 Meals - to attend Water Environment Federation conference Savanna, GA From 5/22/2010 To 5/26/2010 Meregillano, Tom Regulatory Specialist 291.40 Airfare - to attend Tri-TAC meeting Sacramento, CA From 6/10/2010 To 6/10/2010 Meregillano, Tom Regulatory Specialist 303.40 Airfare - Arizona Department of Environmental Quality Meeting Phoenix, AZ From 2/23/2010 To 2/23/2010 Meregillano, Tom Regulatory Specialist 309.40 Airfare - Tri-Tac Meeting Oakland, CA From 4/8/2010 To 4/8/2010 Meregillano, Tom Regulatory Specialist 365.00 Registration - to attend Water Environment Federation conference Savanna, GA From 5/22/2010 To 5/26/2010 Meregillano, Tom Regulatory Specialist 424.30 Airfare - to attend Water Environment Federation conference Savanna, GA From 5/22/2010 To 5/26/2010 Meregillano, Tom Regulatory Specialist 731.72 Lodging - to attend Water Environment Federation conference Savanna, GA From 5/22/2010 To 5/26/2010 Michaels, Robert Principal Info Tech Analyst 206.89 Lodging - 2009 ESRI User Conference San Diego CA From 7/14/2009 To 7/15/2009 Miranda, Daniel Reliability Maint Technician 184.00 Meals - Advanced AMS Machinery Manager Course#2070 San Diego, CA From 7/27/2009 To 7/31/2009 Miranda, Daniel Reliability Maint Technician 661.40 Lodging - Advanced AMS Machinery Manager Course#2070 San Diego, CA From 7/27/2009 To 7/31/2009 Moinuddin, Riaz Engineering Supervisor 125.00 Certificate Reimbursement Moline, William Sr. Plant Operator 50.00 Tuition Reimbursement Moore, Michael 170.00 Meals - NACWA 2009 Summer Conference Milwaukee, WI From 7/9/2009 To 7/17/2009 Morgan, Sonja Wassgren Pr. Public Info Specialist 302.78 Kid's Day Reimbursement Morris, Robert Sr. Plant Operator 170.00 Certificate Reimbursement Lodging - WateReuse Foundation 2009 Water Reuse and Desalination Mowbray, Sam Laboratory Manager 348.29 Research Needs Workshop San Diego, CA From 12/1/2009 To 12/3/2009 Mullins, James Sr. Engineer 125.00 Registration Reimbursement Mullins, James Sr. Engineer 921.31 Equipment Testing Houston, TX From 7/27/2009 To 7/31/2009 Mullins, James Senior Engineer 156.00 Meals - P1-102 480V Switchgear Factory Witness Testing Burlington, IA From 8/25/2009 To 8/29/2009 Mullins, James Senior Engineer 1 218.70 Transportation - Equipment Testing at Factory Houston, TX From 7/27/2009 To 7/31/2009 13 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Mullins, James Senior Engineer 263.00 Meals - Equipment Testing at Factory Houston, TX From 7/27/2009 To 7/31/2009 Mullins, James Senior Engineer 397.50 Airfare - P1-102 480V Switchgear Factory Witness Testing Burlington, IA From 8/25/2009 To 8/29/2009 Mullins, James Senior Engineer 421.04 Lodging - Equipment Testing at Factory Houston, TX From 7/27/2009 To 7/31/2009 Mullins, James Senior Engineer 492.60 Lodging - P1-102 480V Switchgear Factory Witness Testing Burlington, IA From 8/25/2009 To 8/29/2009 Murphy, Tracey Power Plant Operator 130.00 Certificate Reimbursement Murthy, Umesh CIP Project Manager 150.00 Certificate Reimbursement Murthy, Umesh CIP Project Manager 150.00 License Reimbursement Murthy, Umesh CIP Project Manager 150.00 Certificate Reimbursement Nau, Andrew Sr. H/R Analyst 1,537.44 Tuition Reimbursement Nau, Andrew Sr. H/R Analyst 2,365.00 Tuition Reimbursement Nau, Andrew Sr. H/R Analyst 2,433.59 Tuition Reimbursement Newsom, Adam Sr. Mechanic 130.00 Certificate Reimbursement Nguyen, Huan Engineer 209.00 Meals - 132-66 Bar Screen Equipment Testing Ashland, VA From 6/7/2010 To 6/10/2010 Nguyen, Huan Engineer 246.00 Meals - Factory Demonstration Test Part 2 for 132-90 Birmingham, AL From 2/1/2010 To 2/5/2010 Nguyen, Huan Engineer 256.00 Meals - 132-90 Witness Testing Mequon, WI From 7/26/2009 To 8/3/2009 Nguyen, Huan Engineer 478.15 Lodging - 132-90 Witness Testing Mequon, WI From 7/26/2009 To 8/3/2009 Nguyen, Huan Engineer 563.89 Lodging - Factory Demonstration Test Part 2 for 132-90 Birmingham, AL From 2/1/2010 To 2/5/2010 Nguyen, Huan Engineer 573.75 Lodging - 132-66 Bar Screen Equipment Testing Ashland, VA From 6/7/2010 To 6/10/2010 Nguyen, Huan-Hoang Engineer 734.15 132-90 Testing Witness Mequon, WI From 7/26/2009 To 8/3/2009 Nguyen, Huan-Hoang Engineer 782.75 Equipment Testing Wichita Falls, TX From 6/7/2010 To 6/10/2010 Nguyen, Huan-Hoang Engineer 809.89 Factory Demonstration Birmingham, AL From 2/1/2010 To 2/5/2010 Nguyen, Trung Instrumentation Tech II 214.00 Meals - Training Minden NV From 3/14/2010 To 3/17/2010 Nguyen, Trung Instrumentation Tech II 468.20 Lodging - Training Minden NV From 3/14/2010 To 3/17/2010 Nguyen, Washington Engineer 125.00 License Reimbursement Niswonger, James Construction Insp. Supervisor 820.01 Factory Testing Chicago, IL From 2/8/2010 To 2/11/2010 Niswonger, James Construction Insp. Supervisor 931.76 Factory Demonstration Springfield, MO From 9/28/2009 To 10/2/2009 Niswonger, Jim Construction Insp Supervisor 155.22 Transportation - Factory testing at Turblex Springfield, MO From 9/28/2009 To 10/2/2009 Niswonger, Jim Construction Insp Supervisor 171.00 Meals - Factory testing at Turblex Springfield, MO From 9/28/2009 To 10/2/2009 Niswonger, Jim Construction Insp Supervisor 242.34 Transportation - Factory testing at Siemens for 132-90 West Chicago, IL From 2/8/2010 To 2/11/2010 Niswonger, Jim Construction Insp Supervisor 248.00 Meals - Factory testing at Siemens for 132-90 West Chicago, IL From 2/8/2010 To 2/11/2010 Niswonger, Jim Construction Insp Supervisor 329.67 Lodging - Factory testing at Siemens for 132-90 West Chicago, IL From 2/8/2010 To 2/11/2010 Niswonger, Jim Construction Insp Supervisor 534.04 Lodging - Factory testing at Turblex Springfield, MO From 9/28/2009 To 10/2/2009 Oruganti, Jagadish Senior Info Tech Analyst 345.53 Lodging - SCUG 3rd quarter Meeting San Diego, CA From 8/19/2009 To 8/21/2009 Oswald, Nicholas Elec. Tech II 1,620.00 Tuition Reimbursement Oswald, Nicholas Elec. Tech II 1,675.00 Tuition Reimbursement 14 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Oswald, Nicholas Elec. Tech II 1,675.00 Tuition Reimbursement Oswald, Nicholas Elec. Tech II 1,675.00 Tuition Reimbursement Park Jr, Joseph Maintenace Supervisor 125.00 Membership Reimbursement Park, Joseph Maintenance Supervisor 128.00 Meals - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/25/2010 Park, Joseph Maintenance Supervisor 236.41 Transportation - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/25/2010 Patel, Madankumar Sr. Engineer 125.00 Certificate Reimbursement Patel, Samir Info Tech Analyst 1 1,892.00 Tuition Reimbursement Patel, Samir Info Tech Analyst 1 1,970.00 Tuition Reimbursement Patel, Samir Info Tech Analyst 1 2,070.00 Tuition Reimbursement Patel, Samir Info Tech Analyst 1 2,070.00 Tuition Reimbursement Patel, Sejal Engineer 125.00 Certificate Reimbursement Pease, William Lead Power Plant Operator 137.14 Tuition Reimbursement Pease, William Lead Power Plant Operator 222.85 Tuition Reimbursement Peckham, Kevin Plant Operator 130.00 Certificate Reimbursement Pendleton, Edmund Lead Mechanic 132.00 Certificate Reimbursement Pham, Duc Info Tech Analyst 111 375.00 Certificate Reimbursement Pham, Duc M. Info Tech Analyst 111 1,305.00 Tuition Reimbursement Pham, Duc M. Info Tech Analyst 111 1,970.00 Tuition Reimbursement Pham, Duc M. Info Tech Analyst 111 1,975.00 Tuition Reimbursement Philips, David Sr. Engineer 137.85 Treatment Plant Visitation Denver, CO From 8/25/2009 To 8/26/2009 Phongmekhin, Yai Contract/Purch Asst. 525.00 Tuition Reimbursement Phongmekhin, Yai Contract/Purch Asst. 625.00 Tuition Reimbursement Phongmekhin, Yai Contract/Purch Asst. 649.21 Tuition Reimbursement Phongmekhin, Yai Contract/Purch Asst. 650.00 Tuition Reimbursement Phuong, Ddaze Sr. Plant Operator 170.00 Cert. Reimburstment Phuong, Ddaze Sr. Plant Operator 1,650.68 Tuition Reimbursement Phuong, Ddaze Sr. Plant Operator 1,675.00 Tuition Reimbursement Pierce, William Operations Supervisor 138.00 Cert. Reimburstment Pilko, Victoria CIP Project Manager 125.00 ASCE Conference Los Angeles, CA From 3/11/2010 To 3/12/2010 Pilko, Victoria CIP Project Manager 5,250.00 Tuition Reimbursement Radka, John Maintenance Supervisor 114.56 Lodging - Site Visit to Treatment Plants Denver, CO From 8/25/2009 To 8/26/2009 Radka, John Maintenace Supervisor 153.56 P1-102 SwitchGear Testing Witness Burlington, IA From 8/25/2009 To 8/26/2009 Ralph, Alan Lead Mechanic 189.00 Certificate Reimbursement Rathert, Kurt Plant Operator 170.00 Certificate Reimbursement Rebai, Mathew Plant Operator 1 230.00 1 Certificate Reimbursement 15 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Reed, Jeff HR Ft Empty Relations Manager 116.00 Meals - Labor Law and Arbitration Conference San Francisco, CA From 9/10/2009 To 9/11/2009 Reed, Jeff HR Ft Empty Relations Manager 178.00 Meals - 2010 Public Sector Employment Law Conference San Francisco, CA From 2/24/2010 To 2/26/2010 Reed, Jeff HR Ft Empty Relations Manager 206.86 Lodging - Labor Law and Arbitration Conference San Francisco, CA From 9/10/2009 To 9/11/2009 Reed, Jeff HR Ft Empty Relations Manager 319.00 Lodging - 2010 Public Sector Employment Law Conference San Francisco, CA From 2/24/2010 To 2/26/2010 Reynolds, Roy Maintenance Supervisor 289.17 Tuition Reimbursement Roberts, Mark Operations Supervisor 127.00 Certificate Reimbursement Robertson, George Sr. Scientist 121.02 Nerissa Parts Robertson, George Sr. Scientist 136.10 Nerissa Parts Robertson, George Sr. Scientist 322.00 Membership Reimbursemnt Rocha, Milton Plant Operator 130.00 Certificate Reimbursement Rothbart, Lisa Environmental Supervisor 114.33 Mileage - California Association of Sanitation Agencies Conference Palm Desert, CA From 1/14/2010 To 1/15/2010 Rothbart, Lisa Environmental Supervisor 215.00 CASA Registration Reimb. San Diego, CA From 8/13/2009 To 8/15/2009 Rothbart, Lisa Environmental Supervisor 232.88 Lodging - CASA Conference San Diego, CA From 8/13/2009 To 8/15/2009 Rothbart, Lisa Environmental Supervisor 233.19 Lodging - California Association of Sanitation Agencies Conference Palm Desert, CA From 1/14/2010 To 1/15/2010 Registration - California Association of Sanitation Agencies Rothbart, Lisa Environmental Supervisor 425.00 Conference Palm Desert, CA From 1/14/2010 To 1/15/2010 Rulison, Doug Senior Info Tech Analyst 128.00 Meals - ESRI User Conference 2009 San Diego, CA From 7/14/2009 To 7/15/2009 Rulison, Doug Senior Info Tech Analyst 205.00 Meals - Autodesk University 2009 Las Vegas, NV From 11/30/2009 To 12/4/2009 Rulison, Doug Senior Info Tech Analyst 223.88 Lodging - ESRI User Conference 2009 San Diego, CA From 7/14/2009 To 7/15/2009 Rulison, Doug Sr. Info Tech Analyst 293.00 Autodesk University Las Vegas, NV From 11/30/2009 To 12/4/2009 Rulison, Doug Sr. Info Tech Analyst 1,895.00 Registration Autodesk University Las Vegas, NV From 11/30/2009 To 12/4/2009 Ruth, James 130.00 Meals - Attend CASA Annual Conference Palm Desert, CA From 1/12/2010 To 1/13/2010 Ruth, James 221.19 Lodging - Attend CASA Annual Conference Palm Desert, CA From 1/12/2010 To 1/13/2010 Ruth, James 506.48 Lodging - Attend CASA conference in San Diego, CA San Diego, CA From 8/12/2009 To 8/14/2009 Sabri, Julian Engineering Supervisor 116.00 Meals - ESRI Conference San Diego, CA From 7/12/2009 To 7/13/2009 Sabri, Julian Engineering Supervisor 279.53 Registration - Coaching and Mentoring Skills for Leadership Success Anaheim, Ca From 5/27/2010 To 5/27/2010 Sabri, Julian Engineering Supervisor 562.82 Lodging - ESRI Conference San Diego, CA From 7/12/2009 To 7/13/2009 Salinas, Victor Construction Inspector 159.82 Transportation - P2-90 Factory Witness Testing Seneca, SC From 9/22/2009 To 9/25/2009 Salinas, Victor Construction Inspector 169.00 Meals - P2-90 Factory Witness Testing Seneca, SC From 9/22/2009 To 9/25/2009 Salinas, Victor Construction Inspector 224.00 Meals - Factory Witness Testing for P2-90 Seneca, SC From 11/16/2009 To 11/19/2009 Salinas, Victor Construction Inspector 233.10 Lodging - Factory Witness Testing for P2-90 Seneca, SC From 11/16/2009 To 11/19/2009 Salinas, Victor Construction Inspector 233.55 Transportation - Factory Witness Testing for P2-90 Seneca, SC From 11/16/2009 To 11/19/2009 Salinas, Victor Construction Inspector 284.30 Lodging - P2-90 Factory Witness Testing Seneca, SC From 9/22/2009 To 9/25/2009 Salinas, Victor Construction Inspector 487.44 Lodging - Factory Testing for P1-102 Monterrey, Mexico From 8/31/2009 To 9/5/2009 Salinas, Victor Construction Inspector 1 497.00 1 Meals - Factory Testing for P1-102 Monterrey, Mexico From 8/31/2009 To 9/5/2009 16 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Salinas, Victor Construction Inspector 632.74 Factory Demonstration Seneca, SC From 11/16/2009 To 11/19/2009 Schiefelbein, Cheryl Admin. Asst. 120.00 Supplies - Kid's Day Gifts Schiefelbein, Cheryl Admin. Asst. 122.00 Supplies - GWR BBQ Seiler, Merrill Pr Environmental Specialist 100.96 Transportation - Tri TAC Workgroup - Cal FOG Steering Committee Oakland, CA From 7/14/2009 To 7/14/2009 Seiler, Merrill Pr. Environ Spec. 100.96 Certificate Reimbursement Seybert, Tina Sr Human Resources Analyst 117.50 Lodging - CALPELRA - Labor Academy 3 - Negotiations Menlo Park, CA From 3/18/2010 To 3/20/2010 Seybert, Tina Sr Human Resources Analyst 169.00 Meals - CALPELRAs Labor Academies I Et II and Annual Conference Monterey, CA From 11/1/2009 To 11/7/2009 Seybert, Tina Sr. H/R Analyst 425.00 Certificate Reimbursement Seybert, Tina Sr Human Resources Analyst 896.55 Lodging - CALPELRAs Labor Academies I Et II and Annual Conference Monterey, CA From 11/1/2009 To 11/7/2009 Shao, Y J Sr. Engineer 125.00 Certificate Reimbursement Shao, Y J Sr. Engineer 190.00 Certificate Reimbursement Smith, Deneb H/R Asst. 423.03 Subscription Reimbursement Smith, Duane Sr. Plant Operator 170.00 Certificate Reimbursement Speakman, Steven Engineer 125.00 Certificate Reimbursement Spears, James Operations Supervisor 160.54 P1-102 SwitchGear Testing Witness Burlington, IA Spencer, Richard Human Resources Supervisor 100.36 Mileage - World at Work Market Pricing Carlsbad, CA From 9/16/2009 To 9/18/2009 Spencer, Richard H/R Supervisor 126.10 Staff BBQ Airfare - Micropol Et Ecohazard 2009 San Francisco Conference Poster Stacklin, Chris Engineer 119.20 Presentation San Francisco, CA From 6/6/2009 To 6/10/2009 Stacklin, Chris Engineer 125.00 License Reimbursement Transportation - Technical Presentation at SETAC North America 30th Stacklin, Chris Engineer 125.30 Annual Meeting New Orleans, LA From 11/18/2009 To 11/28/2009 Transportation - WEFTEC Orlando 2009 Conference Speaker Stacklin, Chris Engineer 156.00 Presentation and Conference Attendee Orlando, FL From 10/10/2009 To 10/15/2009 Meals - Micropol Et Ecohazard 2009 San Francisco Conference Poster Stacklin, Chris Engineer 256.00 Presentation San Francisco, CA From 6/6/2009 To 6/10/2009 Meals - WEFTEC Orlando 2009 Conference Speaker Presentation and Stacklin, Chris Engineer 363.00 Conference Attendee Orlando, FL From 10/10/2009 To 10/15/2009 Meals - Technical Presentation at SETAC North America 30th Annual Stacklin, Chris Engineer 426.00 Meeting New Orleans, LA From 11/18/2009 To 11/28/2009 Lodging - Micropol Et Ecohazard 2009 San Francisco Conference Poster Stacklin, Chris Engineer 594.45 Presentation San Francisco, CA From 6/6/2009 To 6/10/2009 Lodging - Technical Presentation at SETAC North America 30th Annual Stacklin, Chris Engineer 1 919.74 Meeting 1 New Orleans, LA 1 From 11/18/2009 To 11/28/2009 17 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Lodging - WEFTEC Orlando 2009 Conference Speaker Presentation and 1 Stacklin, Chris Engineer 1,080.00 Conference Attendee Orlando, FL From 10/10/2009 To 10/15/2009 Sternin, Warren Info Tech Supervisor 1,970.00 Tuition Reimbursement Sternin, Warren Info Tech Supervisor 2,070.00 Tuition Reimbursement Stokes, Don Elec. Tech II 1,350.00 Tuition Reimbursement Sullivan, Patrick Sr. Plant Operator 170.00 Certificate Reimbursement Sullivan, Patrick Sr. Plant Operator 1,207.78 Tuition Reimbursement Sullivan, Patrick Sr. Plant Operator 2,238.00 Tuition Reimbursement Tafolla, Orlando Maintenance Supervisor 278.40 Barren Keys Talebi, Mahin Source Control Manager 142.00 Meals - NACWA Pretreatment Workshop Phoenix, AZ From 5/19/2010 To 5/21/2010 Talebi, Mahin Source Control Manager 314.36 Lodging - NACWA Pretreatment Workshop Phoenix, AZ From 5/19/2010 To 5/21/2010 Talebi, Mahin Source Control Manager 575.00 Registration - NACWA Pretreatment Workshop Phoenix, AZ From 5/19/2010 To 5/21/2010 Taylor, Mandy Engineer 217.00 Membership Reimbursemnt Taylor, Mandy Engineer 525.00 CWEA Registration Reimb. Sacramento, CA From 4/21/2010 To 4/23/2010 Taylor, Mandy Engineer 737.93 Equipment Testing Salt Lake City, UT From 10/14/2009 To 10/16/2009 Taylor, Mandy Engineer 122.00 Meals - 3-52 Equipment Testing Salt Lake City, UT From 10/14/2009 To 10/16/2009 Taylor, Mandy Engineer 137.00 Meals - CWEA Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Taylor, Mandy Engineer 174.83 Transportation - 3-52 Equipment Testing Salt Lake City, UT From 10/14/2009 To 10/16/2009 Taylor, Mandy Engineer 293.80 Lodging - 3-52 Equipment Testing Salt Lake City, UT From 10/14/2009 To 10/16/2009 Taylor, Mandy Engineer 352.72 Lodging - CWEA Conference Sacramento, CA From 4/21/2010 To 4/23/2010 Terriquez, Laura Sr Environmental Specialist 122.00 Meals - ONR/MTS Buoy Workshop 2010 Monterey, CA From 3/8/2010 To 3/11/2010 Terriquez, Laura Sr Environmental Specialist 340.02 Mileage - ONR/MTS Buoy Workshop 2010 Monterey, CA From 3/8/2010 To 3/11/2010 Terriquez, Laura Sr Environmental Specialist 431.18 Lodging - ONR/MTS Buoy Workshop 2010 Monterey, CA From 3/8/2010 To 3/11/2010 Terriquez, Laura Sr. Envrionmental Specialist 898.35 Re-certification of Nerissa's Liferaft Thomas, Christina Sr. Envrionmental Specialist 388.17 Food for Ocean Monitoring trip Thomas, Christina Sr. Envrionmental Specialist 410.61 Food for Nerrisa Trip Thompson, Robert Engineering Manager 125.00 Certificate Reimbursement Thompson, Robert Engineering Manager 748.65 Certificate Reimbursement Tjen, Kwen Plant Operator 170.00 License Reimbursement Torres, Ed Director of Technical Services 106.00 Meals - National Association of Clean Water Agencies Washington DC From 11/9/2009 To 11/11/2009 Torres, Ed Director of Technical Services 121.00 Transportation - National Association of Clean Water Agencies Washington DC From 11/9/2009 To 11/11/2009 Torres, Ed Director of Technical Services 221.19 Lodging - CASA Mid-Year Conference Palm Desert, CA From 1/13/2010 To 1/14/2010 Torres, Ed Director of Technical Services 501.52 Lodging - National Association of Clean Water Agencies Washington DC From 11/9/2009 To 11/11/2009 Torres, Edward Dir. Of Technical Services 125.00 Certificate Reimbursement 18 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Meals - American Society for Microbiology (ASM) 110th General Tsai, Yu-Li Senior Scientist 252.00 meeting San Diego, CA From 5/23/2010 To 5/26/2010 Registration - American Society for Microbiology (ASM) 110th General Tsai, Yu-Li Senior Scientist 500.00 meeting San Diego, CA From 5/23/2010 To 5/26/2010 Tyner, Lorenzo Director of Fin Ft Admin Svcs 191.86 Lodging - Fitch Bond Rating Presentation San Francisco, CA From 4/20/2010 To 4/21/2010 Unsell, Bobby Lead Mechanic 123.25 Hazmat Certification Van Voorst, Don Maintenance Supervisor 309.51 Transportation - Factory Demo - Testing Product for Project J-79-1 Columbus OH From 11/8/2009 To 11/13/2009 Van Voorst, Don Maintenance Supervisor 336.00 Meals - Factory Demo - Testing Product for Project J-79-1 Columbus OH From 11/8/2009 To 11/13/2009 Van Voorst, Don Maintenance Supervisor 567.35 Lodging - Factory Demo - Testing Product for Project J-79-1 Columbus OH From 11/8/2009 To 11/13/2009 Van Voorst, Don Maintenance Supervisor 233.40 Transportation - Factory Demo - Bench Testing - Project J-79-1 Columbus OH From 12/13/2009 To 12/18/2009 Van Voorst, Don Maintenance Supervisor 336.00 Meals - Factory Demo - Bench Testing - Project J-79-1 Columbus OH From 12/13/2009 To 12/18/2009 Van Voorst, Don Maintenance Supervisor 567.35 Lodging - Factory Demo - Bench Testing - Project J-79-1 Columbus OH From 12/13/2009 To 12/18/2009 Van Voorst, Don Maintenance Supervisor 307.00 Meals - Factory Demo - Bench Testing On Site for Project J-79-1 Columbus OH From 5/16/2010 To 5/21/2010 Other Expenses - Factory Demo - Bench Testing On Site for Project Van Voorst, Don Maintenance Supervisor 323.40 J-79-1 Columbus OH From 5/16/2010 To 5/21/2010 Van Voorst, Don Maintenance Supervisor 567.35 Lodging - Factory Demo - Bench Testing On Site for Project J-79-1 Columbus OH From 5/16/2010 To 5/21/2010 Velasco, MarcoPolo Associate Engineer III 413.00 Meals - NACE Coating Inspector Training Houston, TX From 6/20/2009 To 6/26/2009 Velasco, MarcoPolo Associate Engineer III 596.70 Lodging - NACE Coating Inspector Training Houston, TX From 6/20/2009 To 6/26/2009 Velasco, MarcoPolo Associate Engineer III 634.66 Transportation - NACE Coating Inspector Training Houston, TX From 6/20/2009 To 6/26/2009 Velasco, MarcoPolo Assoc Engineer III 777.45 Tuition Reimbursement Vitko, Tadeo Engineer 515.00 Tuition Reimbursement Voss, Betty Buyer 1,275.00 Tuition Reimbursement Wong, Michael Operations Supervisor 142.13 Reimb. for Staff Appreciation lunch Waldron, Kathy Pr. Lab Analyst 103.94 Food for Retirement Party Waldron, Kathy Pr. Lab Analyst 104.42 Food for Retirement Party Ward, Paul Sr. Plant Operator 170.00 Certificate Reimbursement Watson, Simon Maintenance Manager 110.00 Lodging - CWEA Board Meeting Oakland, CA From 6/26/2009 To 6/27/2009 Watson, Simon Maintenance Manager 112.51 Lodging - CWEA Board Meeting Redding, CA From 9/15/2009 To 9/16/2009 Watson, Simon Maintenance Manager 142.00 CWEA Board Meeting Redding, CA From 6/26/2010 To 6/27/2010 Watson, Simon Maintenance Manager 150.00 Certificate Reimbursement Watson, Simon Maintenance Manager 154.50 Tuition Reimbursement Watson, Simon Maintenance Manager 203.14 Lodging - CWEA Board Meeting Oakland, CA From 6/24/2010 To 6/26/2010 Watson, Simon Maintenance Manager 230.00 Meals - WEFTEC 2009 Orlando FL From 10/9/2009 To 10/13/2009 Watson, Simon Maintenance Manager 254.05 Staff Luncheon 19 of 20 Prepared By: Lisa Rogers Orange County Sanitation District Government Code 53065.5, Public Disclosure Reports - Reimbursements by OCSD July 1, 2009 Through June 30, 2010 Employee Title Amount Description Site Location Duration Watson, Simon Maintenance Manager 406.26 Lodging - CWEA Board and Workshop San Diego, CA From 1/28/2010 To 1/30/2010 Watson, Simon Maintenance Manager 503.96 Lodging - WEFTEC 2009 Orlando FL From 10/9/2009 To 10/13/2009 Watson, Simon Maintenance Manager 529.08 Lodging - CWEA Annual Conference Sacramento, CA From 4/21/2010 To 4/24/2010 Watson, Simon Maintenance Manager 567.00 Tuition Reimbursement Wheeler, Ryal Maintenance Supervisor 135.00 VIP Winner Gift White, Allen Plant Operator 130.00 Certificate Reimbursement White, Mike Controller 158.00 Meals - GFOA Annual Conference Seattle, WA From 6/28/2009 To 7/1/2009 White, Mike Controller 191.86 Lodging - Fitch Bond Rating Presentation San Francisco, CA From 4/20/2010 To 4/21/2010 White, Mike Controller 586.08 Lodging - GFOA Annual Conference Seattle, WA From 6/28/2009 To 7/1/2009 Wigington, Lawrence Plant Operator 130.00 Certificate Reimbursement Wilcox, Robyn Engineer 125.00 PE License Reimbursemnt Willis, Bryan Auto/Hvy Equip Tech 149.05 Tuition Reimbursement Willis, Bryan Auto/Hvy Equip Tech 207.96 Tuition Reimbursement Winsor, Charles Sr. Engineer 125.00 Certificate Reimbursement Winsor, Chuck Senior Engineer 235.00 Meals - WEFTEC Orlando, FL From 10/9/2009 To 10/17/2009 Winsor, Chuck Senior Engineer 613.15 Lodging - WEFTEC Orlando, FL From 10/9/2009 To 10/17/2009 Wong, Ken Operations Supervisor 190.00 Certificate Reimbursement Wong, Pierre Engineer 242.98 Transportation - 132-90 Witness Testing Mequon, WI From 7/26/2009 To 7/31/2009 Wong, Pierre Engineer 256.00 Meals - 132-90 Witness Testing Mequon, WI From 7/26/2009 To 7/31/2009 Wong, Pierre Engineer 407.95 Lodging - 132-90 Witness Testing Mequon, WI From 7/26/2009 To 7/31/2009 Woodward, Jeff Sr. Plant Operator 170.00 Certificate Reimbursement Worthy, Matthew Mechanic 145.00 Certificate Reimbursement Yin, Shuang Engineer 125.00 License Renewal Reimb. Yokoyama, Dean Auto/Hvy Equip Tech 123.25 Vehicle Registration for 2 District Vehicles Lodging - Training for Implementing and Configuring the Cisco Nexus Yu, Dennis Senior Info Tech Analyst 186.42 7000 Nashville, TN From 9/13/2009 To 9/16/2009 Meals - Training for Implementing and Configuring the Cisco Nexus Yu, Dennis Senior Info Tech Analyst 196.00 7000 Nashville, TN From 9/13/2009 To 9/16/2009 Transportation - Training for Implementing and Configuring the Cisco Yu, Dennis Senior Info Tech Analyst 232.76 Nexus 7000 Nashville, TN From 9/13/2009 To 9/16/2009 Zedek, Michael Engineer 125.00 Certificate Reimbursement Zedek, Michael 1 Engineer 1 283.48 1 Lodging - 2009 ESRI International User Conference San Diego, CA From 7/14/2009 To 7/16/2009 20 of 20 Prepared By: Lisa Rogers ADMINISTRATION COMMITTEE Meeting Date To Bd. of Dir. 10/13/10 10/27/10 AGENDA REPORT Item Number Item Number 3 Orange County Sanitation District FROM: James D. Ruth, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services GENERAL MANAGER'S RECOMMENDATION A. Adopt Resolution No. OCSD 10-XX, Authorizing the Execution and Delivery by the District of an Installment Purchase Agreement, a Trust Agreement, and a Continuing Disclosure Agreement in connection with the execution and delivery of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2010B, such Notes Evidencing Principal in an Aggregate Amount of Not to Exceed $167,000,000, Approving a Notice of Intention to Sell, Authorizing the Distribution of a Notice Inviting Bids and an Official Statement in Connection with the Offering and Sale of such Notes and Authorizing the Execution of Other Necessary Documents and Related Actions; and, B. That the Orange County Sanitation District Financing Corporation approve the documents supporting and authorizing the Revenue Refunding Certificate Anticipation Notes, Series 2009B in an amount not to exceed $167,000,000. SUMMARY In September 2010, the Administration Committee and the Board of Directors authorized the execution and delivery of up to $167 million of Refunding Certificates of Participation. The current global financial crisis has negatively impacted the financial strength and ratings of many financial institutions that provide bank liquidity facilities securing variable rate bonds issued by municipal entities. Variable rate issues secured by banks with the least favorable investor perception have experienced higher than expected interest rate resets as investors are less willing to hold bonds secured by these weakening banks. In many cases, investors have tendered the bonds to the banks (Bank Bonds) to preempt any possibility of the liquidity bank not being able to provide funds in the future. In addressing the global financial crisis and uncertainty in the market place, the Sanitation District refinanced its exposure to higher reset rates and Bank Bonds existing with its outstanding Certificates of Participation (COP), Series 2006 variable rate debt by refunding it with the COP Series 2008C Certificate Anticipation Notes (CANs). Page 1 of 4 In December 2008, the Sanitation District proactively refunded the 2006 COPs with the Refunding COP Series 2008C Certificate Anticipation Notes (the 2008C CANs) to reduce its exposure to higher variable rate costs. The yield on the 2008C CANs was 0.98% for a one-year period. The issuance of the 2008C CANs allowed the Sanitation District to redeem the 2006 COPs at an all-in cost of less than 1 .25% and avoid paying a bank rate of 4.75% which would have been effective starting in January 2009. As the 2008C CANs became due and payable in December 2009, the Sanitation District again conducted a refunding by issuing the $165.865 million of Revenue Refunding Certificate Anticipation Notes, Series 2009B (the 2009B CANs). The yield on the 2009B CANs is 0.37% for the one-year period ending December 1, 2010 and the all-in cost is 0.56%. Staff has again recommended refunding the 2009B CANs with a new one-year CAN that will again enable the Sanitation District to lock-in a low rate for approximately one year without encumbering its cash reserves. Given the large single maturity, CANs can be sold on a competitive basis in order to obtain the lowest interest rate possible. PRIOR COMMITTEE/BOARD ACTIONS September 22, 2010 — Directed staff to pursue up to $167 million in one-year fixed-rate Certificates of Participation (COP) notes to replace the one-year $165.9 million outstanding certificates of participation notes maturing in December 2010. ADDITIONAL INFORMATION The Board of Directors and the Financing Corporation will each be required to adopt separate Resolutions to complete this refinancing. Drafts of these two Resolutions are attached for review. A Financing Corporation is required by the structure of the COPs and was formed in April 2000, to satisfy this need. The Board of Directors of the Corporation is the same as the Board of Directors of the Sanitation District and the Corporation meets after an adjournment of the OCSD Board. The OCSD Resolution authorizes the execution and delivery of certain legal documents and the execution and delivery of Revenue Refunding Certificate Anticipation Notes, Series 2010B, evidencing principal in an aggregate amount of not to exceed $167,000,000 all as spelled out in the title as follows: Page 2 of 4 A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AUTHORIZING THE EXECUTION AND DELIVERY BY THE DISTRICT OF AN INSTALLMENT PURCHASE AGREEMENT, A TRUST AGREEMENT, AND A CONTINUING DISCLOSURE AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT REVENUE REFUNDING CERTIFICATE ANTICIPATION NOTES, SERIES 2010B, SUCH NOTES EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $167,000,000, APPROVING A NOTICE OF INTENTION TO SELL, AUTHORIZING THE DISTRIBUTION OF A NOTICE INVITING BIDS AND AN OFFICIAL STATEMENT IN CONNECTION WITH THE OFFERING AND SALE OF SUCH NOTES, AND AUTHORIZING THE EXECUTION OF OTHER NECESSARY DOCUMENTS AND RELATED ACTIONS." The Resolution of the Corporation is somewhat shorter and simpler. It authorizes three actions that are similarly enumerated in the title as follows: "A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION AUTHORIZING THE EXECUTION AND DELIVERY BY THE CORPORATION OF AN INSTALLMENT PURCHASE AGREEMENT AND A TRUST AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT REVENUE REFUNDING CERTIFICATE ANTICIPATION NOTES, SERIES 201013; AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH NOTES EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT-TO-EXCEED $167,000,000 AND; AUTHORIZING THE EXECUTION OF NECESSARY DOCUMENTS AND NOTES AND RELATED ACTIONS." Following is a chart listing the remaining steps to be completed for the issuance of the Certificate Anticipation Notes Series 2010B debt issuance: October ➢ Board approval of legal and disclosure documents Receive Ratings from Bond Rating Agencies November Competitive Bids Closing December ➢ Payment on 2009B CANs CEQA N/A Page 3 of 4 BUDGET / DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENTS 1. Resolution No. OCSD 10-XX 2. Resolution No. FC-XX Page 4 of 4 Fulbright & Jaworski L.L.P. Draft—9/16/10 RESOLUTION NO. OCSD 10- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AUTHORIZING THE EXECUTION AND DELIVERY BY THE DISTRICT OF AN INSTALLMENT PURCHASE AGREEMENT, A TRUST AGREEMENT AND A CONTINUING DISCLOSURE AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT REVENUE REFUNDING CERTIFICATE ANTICIPATION NOTES, SERIES 2010B, SUCH NOTES EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $1 1, APPROVING A NOTICE OF INTENTION TO SELL, AUTHORIZING THE DISTRIBUTION OF A NOTICE INVITING BIDS AND AN OFFICIAL STATEMENT IN CONNECTION WITH THE OFFERING AND SALE OF SUCH NOTES AND AUTHORIZING THE EXECUTION OF OTHER NECESSARY DOCUMENTS AND RELATED ACTIONS WHEREAS, to finance the acquisition, construction and installation of certain improvements to its wastewater system (the "Prior Project") the District caused the execution and delivery of $165,865,000 in aggregate principal amount of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2009B, of which $165,865,000 in principal amount is currently outstanding (the "Prior Certificates"); WHEREAS, the District desires to pay at maturity all of the Prior Certificates by paying all of the remaining principal components of the installment payment relating to the Prior Certificates (the "Prior Installment Payment"), and the interest components thereof to the date of maturity; WHEREAS, to provide the funds necessary to pay the Prior Installment Payment to be so paid, the District and the Orange County Sanitation District Financing Corporation (the "Corporation") desire that the Corporation purchase the Prior Project from the District and the District sell the Prior Project to the Corporation, and that the District then purchase the Prior Project from the Corporation and the Corporation sell the Prior Project to the District, for the installment payment (the "Installment Payment") to be made by the District, pursuant to a new installment purchase agreement (the "Installment Purchase Agreement"), and the Corporation and the District have agreed to finance such payment by causing the execution and delivery of up to $[ I in aggregate principal amount of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2010B (the "Notes") to be repaid from the sale proceeds of future certificates of participation, other notes or obligations or lawfully available funds of the District; WHEREAS, the Corporation intends to assign without recourse certain of its rights under and pursuant to the Installment Purchase Agreement to U.S. Bank National Association, as trustee (the "Trustee"), pursuant to a Trust Agreement by and among the Trustee, the Corporation and the District (such Trust Agreement, in the form presented at this meeting, with 90163882.2 Page 1 of 7 such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Trust Agreement"); WHEREAS, in consideration of such assignment and the execution and delivery of the Trust Agreement, the Trustee intends to execute and deliver the Notes, evidencing direct, undivided fractional interests in the Installment Payment, and the interest thereon; WHEREAS, the District desires to provide for the public sale of the Notes in one or more discrete sale transactions; WHEREAS, a form of the Notice of Intention to Sell to be published in connection with the public offering and sale of the Notes has been prepared (such Notice of Intention to Sell, in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution,being referred to herein as the "Notice of Intention to Sell"); WHEREAS, a form of the Official Notice Inviting Bids to be distributed in connection with the public offering and sale of the Notes has been prepared (such Official Notice Inviting Bids, in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Notice Inviting Bids"); WHEREAS, a form of the Preliminary Official Statement to be distributed in connection with the public offering of the Notes has been prepared (such Preliminary Official Statement in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Preliminary Official Statement"); WHEREAS, Rule 15c2-12 promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended ("Rule 15c2-12"), requires that the underwriter thereof must have reasonably determined that the District has undertaken in a written agreement or contract for the benefit of the holders of the Notes to provide disclosure of certain material events; WHEREAS, to cause such requirement to be satisfied, the District desires to enter into a Continuing Disclosure Agreement with a dissemination agent to be named therein and the Trustee (such Continuing Disclosure Agreement in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Continuing Disclosure Agreement"); WHEREAS, there have been prepared and submitted to this meeting forms o£ (1) the Installment Purchase Agreement; (2) the Trust Agreement; (3) the Notice of Intention to Sell; (4) the Notice Inviting Bids; (5) the Preliminary Official Statement; and 90163882.2 Page 2 of 7 (6) the Continuing Disclosure Agreement. WHEREAS, all acts, conditions and things required by the Constitution and laws of the State of California to exist, to have happened and to have been performed precedent to and in connection with the consummation of the financing authorized hereby do exist, have happened and have been performed in regular and due time, form and manner as required by law, and the District is now duly authorized and empowered, pursuant to each and every requirement of law, to consummate such financing for the purpose, in the manner and upon the terms herein provided; NOW, THEREFORE, THE BOARD OF DIRECTORS OF THE DISTRICT DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. All of the recitals herein contained are true and correct and the Board of Directors of the District(the "Board") so finds. Section 2. The Installment Purchase Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The Chair of the Board, and such other member of the Board as the Chair may designate, the General Manager of the District, the Director of Finance and Administrative Services of the District, and such other officers of the District as the Director of Finance and Administrative Services may designate (the "Authorized Officers") are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Installment Purchase Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Installment Purchase Agreement by such Authorized Officer; provided, however, that such changes, insertions and omissions shall not result in an aggregate principal amount of the Installment Payment in excess of $[ ], shall not result in a true interest cost for the Installment Payment in excess of [3.0]% per annum and shall not result in an Installment Payment later than December 15, 2011. Section 3. The Trust Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Trust Agreement in the form presented to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Trust Agreement by such Authorized Officer. Section 4. The execution and delivery of Notes evidencing principal in an aggregate amount not to exceed $r ], payable in the years and in the amounts, and evidencing principal of and interest on the Installment Payment as specified in the Trust Agreement as finally executed, are hereby authorized and approved. 90163882.2 Page 3 of 7 Section 5. The payment of the remaining principal components of the Prior Installment Payment at maturity, and the interest components thereof, and the Prior Certificates evidencing interests therein, is hereby authorized and approved. Section 6. The form of Notice of Intention to Sell, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, is hereby approved, and the use of the applicable Notice of Intention to Sell in connection with the offering and sale of a series of the Notes is hereby approved. The Authorized Officers are each hereby authorized and directed, for and in the name and on behalf of the District, to cause one or more Notices of Intention to Sell to be published in The Bond Buyer (or in such other financial publication generally circulated throughout the State of California or reasonably expected to be disseminated among prospective bidders for the Notes as an Authorized Officer shall approve as being in the best interests of the District) at least five days prior to the date set for the opening of bids under the applicable Notice Inviting Bids, with such changes, insertions and omissions therein as an Authorized Officer may require or approve, such requirement or approval to be conclusively evidenced by the publishing of such Notice of Intention to Sell. Section 7. The Notice Inviting Bids, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, be and the same is hereby approved, and the use of one or more Notices Inviting Bids in connection with the offering and sale of the Notes is hereby authorized and approved. The terms and conditions of the offering and sale of the Notes shall be as specified in the applicable Notice Inviting Bids. Bids for the purchase of the Notes shall be received at the time and place set forth in the applicable Notice Inviting Bids. The Authorized Officers are each hereby authorized and directed, for and in the name and on behalf of the District, to accept the bid for the Notes with the lowest true interest cost, or to reject all bids therefor, in accordance with the terms of the applicable Notice Inviting Bids. Section 8. The Preliminary Official Statement, in substantially the form presented to this meeting and made a part hereof as though set forth in full herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, is hereby approved, and the use of the Preliminary Official Statement in connection with the offering and sale of the Notes is hereby authorized and approved. The Authorized Officers are each hereby authorized to certify on behalf of the District that the Preliminary Official Statement is deemed final as of its date, within the meaning of Rule 15c2-12 (except for the omission of certain information permitted by Rule 15c2-12 to be omitted). The Authorized Officers are each hereby authorized and directed to furnish, or cause to be furnished, to prospective bidders for the Notes a reasonable number of copies of the Preliminary Official Statement. Section 9. The preparation and delivery of a final Official Statement (the "Official Statement"), and its use in connection with the offering and sale of the Notes, be and the same is hereby authorized and approved. The Official Statement shall be in substantially the form of the Preliminary Official Statement, with such changes, insertions and omissions as may be approved by an Authorized Officer, such approval to be conclusively evidenced by the execution and delivery thereof. The Authorized Officers are, and each of them is, hereby authorized and 90163882.2 Page 4 of 7 directed to execute the final Official Statement and any amendment or supplement thereto, for and in the name of the District. Section 10. The Continuing Disclosure Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Continuing Disclosure Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Continuing Disclosure Agreement by such Authorized Officer. Section 11. The Authorized Officers are, and each of them hereby is, authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the execution and delivery of the Notes and the transactions contemplated by the notices, agreements and documents referenced in this Resolution. The Authorized Officers are further authorized and directed to execute and deliver such additional notes as may be necessary or desirable to pay the Notes at maturity; provided, however, that the documents executed and delivered in connection with any such notes shall be in the form approved pursuant to this Resolution in connection with the Notes. Section 12. All actions heretofore taken by the officers and employees of the District with respect to the execution, delivery and sale of the Notes, or in connection with or related to any of the agreements or documents referenced in this Resolution, are hereby approved, confirmed and ratified. Section 13. This Resolution shall take effect immediately upon its adoption. 90163882.2 Page 5 of 7 PASSED AND ADOPTED at a regular meeting held on October 27, 2010. Chair ATTEST: Clerk of the Board APPROVED: General Counsel, Orange County Sanitation District 90163882.2 Page 6 of 7 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) 1, , Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 10-— was passed and adopted at a regular meeting of said Board on the 27th day of October, 2010, 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 27th day of October, 2010. Clerk of the Board of Directors Orange County Sanitation District 90163882.2 Page 7 of 7 Fulbright & Jaworski L.L.P. Draft—9/16/10 RESOLUTION NO. FC- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION AUTHORIZING THE EXECUTION AND DELIVERY BY THE CORPORATION OF AN INSTALLMENT PURCHASE AGREEMENT AND A TRUST AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT REVENUE REFUNDING CERTIFICATE ANTICIPATION NOTES, SERIES 2010B, AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH CERTIFICATES EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $[ 1 AND AUTHORIZING THE EXECUTION OF OTHER NECESSARY DOCUMENTS AND RELATED ACTIONS WHEREAS, to finance the acquisition, construction and installation of certain improvements to its wastewater system (the "Prior Project") the District caused the execution and delivery of $165,865,000 in aggregate principal amount of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2009B, of which $165,865,000 in principal amount is currently outstanding (the "Prior Certificates"); WHEREAS, the District desires to pay at maturity all of the Prior Certificates by paying all of the remaining principal components of the installment payment relating to the Prior Certificates (the "Prior Installment Payment"), and the interest components thereof to the maturity date; WHEREAS, to provide the funds necessary to pay the Prior Installment Payment to be so paid, the District and the Orange County Sanitation District Financing Corporation (the "Corporation") desire that the Corporation purchase the Prior Project from the District and the District sell the Prior Project to the Corporation, and that the District then purchase the Prior Project from the Corporation and the Corporation sell the Prior Project to the District, for the installment payments (the "Installment Payment") to be made by the District, pursuant to a new installment purchase agreement (the "Installment Purchase Agreement"), and the Corporation and the District have agreed to finance such payment by causing the execution and delivery of up to $[ ] in aggregate principal amount of Orange County Sanitation District Revenue Refunding Certificate Anticipation Notes, Series 2010B (the "Notes") to be repaid from future certificates of participation, other notes or obligations or lawfully available funds of the District; WHEREAS, the Corporation intends to assign without recourse certain of its rights under and pursuant to the Installment Purchase Agreement to U.S. Bank National Association, as trustee (the "Trustee"), pursuant to a Trust Agreement by and among the Trustee, the Corporation and the District (such Trust Agreement, in the form presented at this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Trust Agreement"); 90163883.2 Page 1 of 5 WHEREAS, in consideration of such assignment and the execution and delivery of the Trust Agreement, the Trustee intends to execute and deliver the Notes, evidencing direct, undivided fractional interests in the Installment Payment, and the interest thereon; WHEREAS, the Corporation desires to assist the District to provide for the public sale of the Notes; WHEREAS, there have been prepared and submitted to this meeting forms of- (a) the Installment Purchase Agreement; (b) the Trust Agreement; and (c) the Preliminary Official Statement. WHEREAS, all acts, conditions and things required by the Constitution and laws of the State of California to exist, to have happened and to have been performed precedent to and in connection with the consummation of the actions authorized hereby do exist, have happened and have been performed in regular and due time, form and manner as required by law, and the Corporation is now duly authorized and empowered, pursuant to each and every requirement of law, to consummate such actions for the purpose, in the manner and upon the terms herein provided. NOW, THEREFORE, the Board of Directors of the Corporation DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. All of the recitals herein contained are true and correct and the Board of Directors of the Corporation so finds. Section 2. The Installment Purchase Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The President of the Corporation, the Vice-President of the Corporation, the Treasurer of the Corporation and the Secretary of the Corporation, and such other officers of the Corporation as the President may designate (the "Authorized Officers") are, and each of them is, hereby authorized and directed, for and in the name of the Corporation, to execute and deliver the Installment Purchase Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Installment Purchase Agreement by such Authorized Officer; provided, however, that such changes, insertions and omissions shall not result in an aggregate principal amount of Installment Payments in excess of$[ ], shall not result in a true interest cost for the Installment Payments in excess of[3.0]% per annum and shall not result in a final Installment Payment later than December 15, 2011. Section 3. The Trust Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the Corporation, to execute and deliver the Trust Agreement in the form presented to 90163883.2 Page 2 of 5 this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Trust Agreement by such Authorized Officer. Section 4. The Preliminary Official Statement, in substantially the form presented to this meeting and made a part hereof as though set forth in full herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, is hereby approved, and the use of the Preliminary Official Statement in connection with the offering and sale of the Notes is hereby authorized and approved. The Authorized Officers are each hereby authorized to certify on behalf of the Corporation that the Preliminary Official Statement is deemed final as of its date, within the meaning of Rule 15c2-12 (except for the omission of certain information permitted by Rule 15c2-12 to be omitted). The Authorized Officers are each hereby authorized and directed to furnish, or cause to be furnished, to prospective bidders for the Notes a reasonable number of copies of the Preliminary Official Statement. Section 5. The execution and delivery of Notes evidencing principal in an aggregate amount not to exceed $[ ], payable in the years and in the amounts, and evidencing direct, undivided fractional interests in the Installment Payment, and the interest thereon, as specified in the Trust Agreement as finally executed, are hereby authorized and approved. Section 6. The Authorized Officers of the Corporation are, and each of them hereby is, authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the execution and delivery of the Notes and the transactions contemplated by the agreements or documents referenced in this Resolution. The Authorized Officers are further authorized and directed to assist the District in delivering such additional notes as may be necessary or desirable to pay the Notes at maturity; provided, however, that the documents executed and delivered in connection with any such notes shall be in the form approved pursuant to this Resolution in connection with the Notes. Section 7. All actions heretofore taken by the officers and agents of the Corporation with respect to the execution, delivery and sale of the Notes, or in connection with or related to any of the agreements or documents referenced in this Resolution, are hereby approved, confirmed and ratified. Section 8. This Resolution shall take effect immediately upon its adoption. 90163883.2 Page 3 of 5 PASSED AND ADOPTED at a meeting held on October 27, 2010. President, Orange County Sanitation District Financing Corporation ATTEST: Secretary, Orange County Sanitation District Financing Corporation APPROVED: General Counsel, Orange County Sanitation District Financing Corporation 90163883.2 Page 4 of 5 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, , Secretary of the Orange County Sanitation District Financing Corporation, do hereby certify that the foregoing Resolution No. FC-_was passed and adopted at a regular meeting of said Board on the 27th day of October, 2010, 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 Financing Corporation this 27th day of October, 2010. Secretary of the Orange County Sanitation District Financing Corporation 90163883.2 Page 5 of 5 ADMINISTRATION COMMITTEE Meeting Date To Bd. of Dir. 10/13/10 10/27/10 AGENDA REPORT Item Number Item Number 4 Orange County Sanitation District FROM: James D. Ruth, General Manager Originator: Lorenzo Tyner, Director of Finance and Administrative Services GENERAL MANAGER'S RECOMMENDATION A. Adopt Resolution No. OCSD 10-XX, a Resolution of the Board of Directors of the Orange County Sanitation District Authorizing the Execution and Delivery by the District of an Installment Purchase Agreement, a Trust Agreement, and a Continuing Disclosure Agreement in Connection with the Execution and Delivery of Orange County Sanitation District Certificates of Participation to be Referred to as Wastewater Revenue Obligations, Series 2010C, Authorizing the Execution and Delivery of such Revenue Obligations Evidencing Principal in an Aggregate Amount of Not to Exceed $157,000,000, Approving a Notice of Intention to Sell, Authorizing the Distribution of an Official Notice Inviting Bids and an Official Statement in Connection with the Offering and Sale of Such Revenue Obligations and Authorizing the Execution and Delivery of Necessary Documents and Related Actions; and, B. That the Orange County Sanitation District Financing Corporation approve the documents supporting and authorizing the Wastewater Revenue Obligations, Series 2010C, in an aggregate amount not to exceed $157,000,000. SUMMARY The Administration Committee and the Board of Directors have previously authorized the execution and delivery of $157,000,000 of new Certificates of Participation and approved the financing team consisting of an independent financial advisor, Public Resources Advisory Group (PRAG), and bond and disclosure counsel, Fulbright & Jaworski. Woodruff, Spradlin & Smart, the District's General Counsel, has also been assisting staff. The purpose of the financing is to provide a portion of the funding required for the capital improvement program of FY 2010-2011. None of the proceeds will be used for operations and maintenance needs. This financing is included in the 2010-11 approved budget. The financing is structured as new fixed rate Certificates of Participation to be referred as Wastewater Revenue Obligations that are to be sold in a competitive sale. The final documents will be presented to the Board and the OCSD Financing Corporation on October 27, 2010, for final approval. Staff and consultants will make a brief presentation and provide an overview of the draft documents and the financing schedule at the Administration Committee meeting. A current financing schedule is attached. Page 1 of 5 PRIOR COMMITTEE/BOARD ACTIONS September 22, 2010: Approved Resolution declaring Sanitation District's intent to reimburse itself for capital outlays from a future long-term financing. September 22, 2010: Directed staff to initiate process to issue up to $157,000,000 in new fixed-rate Certificates of Participation (COP) debt. ADDITIONAL INFORMATION Strategy Staff is proposing to issue this $157,000,000 fixed rate debt by competitive sale as opposed to a negotiated sale due to PRAG's opinion that a competitive fixed rate sale will be less costly to the District. Depending on market conditions and the associated cost savings, all, or a portion, of the debt issuance may be offered as Build America Bonds (BABs). The American Recovery and Reinvestment Act of 2009 created a new financing product, BABs, for the municipal issuer. BABs are issued as higher interest taxable bonds; however, the U.S. Treasury provides a 35 percent subsidy on interest payments. The net cost, after accounting for the 35 percent subsidy payment, frequently results in lower net costs to the issuer, specifically in the maturity years beyond ten years. The Sanitation District began taking advantage of the BABs program with its issuance of Wastewater Revenue Obligations, Series 2010A, for which it was able to borrow for 30 years at a rate of 3.68%. Under current market conditions, BABs continue to outperform traditional tax-exempt bonds, and we would expect the net yield to the District of a 30-year BABs maturity to be approximately 3.70% compared to a 30-year tax-exempt borrowing yield of approximately 4.52% (or 82 basis points higher cost). The current net 30-year BABs borrowing yield to the District of 3.70% compares favorably to the Sanitation District's past traditional fixed rate tax-exempt borrowing yields shown in the table below: District Series 30-Year Yields Series 2003 5.10% Series 2007B 4.81 Series 2009A 5.06 The 35 percent subsidy is available for certain debt issuances prior to January 1, 2011. There are a couple of outstanding federal proposals to extend the BABs program beyond 2010; however, these proposals reduce the subsidy from the current 35 percent to lower levels of 32 percent (in 2011) and 30 percent (in 2012). In the current market, a reduction of the subsidy to 30 percent and 32 percent would increase the 30-year net borrowing cost to the Sanitation District by 28 and 17 basis points, respectively. Since it is likely the BABs subsidy will be reduced, or may disappear, after this calendar year, in order to optimize the funding of the overall capital improvement program, the Sanitation District could "back-load" the $157,000,000 of new money borrowing by amortizing debt Page 2 of 5 in the later years. Benefits from back-loading the new money issuance include (1) capturing the higher 35 percent interest subsidy, instead of an anticipated future lower subsidy; and, (2) minimizing the risk of rising interest rates by locking in historical low long-term Sanitation District borrowing costs (see table above). In the example of a back-load structure below, the deferred new money amortization compared to a more traditional level debt service structure (equal payments in each year) saves the District approximately $3.2 million per year from FY 2011-12 through FY 2032-33; however, net debt service costs will increase by approximately $17 million per year from FY 2033-34 through FY 2039-40 as shown in the graph below: Aggregate Net Debt Service Structures $140mil $120mil $100mil $80mil - - - - - - - - - - -- - 1-1-1-1-1-1-1-1-'-'-'-$ - 60mil - - -I- -I-'- -- - - - - - - - - - - - - - - - - - - I 1 1 $40mi1 - - - - - - - - - - - - - - - - - - - - - - - $20miI - - - - - - - - - - - $0mil ' M in r, M M Ln r, rn M Ln r, m .--I -1 -1 -1 -1 N N N N N M M M M M O O O O O O O O O O O O O O O N N N N N N N N N N N N N N N Existing Fixed Rate i�Existing Variable Rate Level D/S Back-Loaded D/S If the Sanitation District back-loads the debt service on the upcoming new money issuance, future debt funding of the capital improvement program would amortize additional principal in the fiscal years prior to FY FY 2032-33 and reduce principal after FY 2033-34 with the goal of overall level debt service for funding the District's capital improvement program. Based on current market conditions, comparing a back-loaded BABs new money borrowing to a back-loaded tax-exempt structure would result in present value savings to the Sanitation District of $23.2 million (14.8% present value savings) which is well in excess of the savings the District would ever expect to achieve from a future refunding. If the Sanitation District would refund and restructure the BABs, it could be very costly; however, staff believes the future need to restructure the BABs is extremely remote. Effectively, by issuing BABs, the Sanitation District should consider the debt to be non- callable as it would otherwise be very expensive to optionally redeem. In addition to the Sanitation District's Wastewater Revenue Obligations, Series 2010A, other municipal issuers have sold over $135 billion of BABs since the first issuance in Page 3 of 5 April 2009. In addition, approximately 25% of the municipal bond volume was comprised of BABs in 2010. A number of California issuers have already each sold over a billion dollars of BABs, including the State of California, Los Angeles Unified School District, Bay Area Toll Authority, and University of California. California utility issuers that have issued BABs include the Metropolitan Water District of Southern California, Sacremento County Sanitation Districts, Los Angeles Department of Water and Power, San Diego County Water Authority, East Bay Municipal Utility District, and the San Francisco Public Utilities Commission. Legal Authorization and Approvals The Board of Directors and the Financing Corporation will each be required to adopt separate Resolutions to complete this borrowing. Drafts of these two Resolutions are available for review on the District's webpage, as described in the "Attachments" section below. A Financing Corporation is required by the structure of the COPs and was formed in April 2000, solely to satisfy this need. The Board of Directors of the Corporation is the same as the Board of Directors of the District and the Corporation meets after an adjournment of the OCSD Board. The OCSD Resolution authorizes the execution and delivery of certain legal documents and the execution and delivery of Certificates of Participation to be referred to as Wastewater Revenue Obligations, Series 2010C, evidencing principal in an aggregate amount of not to exceed $157,000,000 all as spelled out in the title as follows: "A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AUTHORIZING THE EXECUTION AND DELIVERY BY THE DISTRICT OF AN INSTALLMENT PURCHASE AGREEMENT, A TRUST AGREEMENT, AND A CONTINUING DISCLOSURE AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT CERTIFICATES OF PARTICIPATION TO BE REFERRED TO AS WASTEWATER REVENUE OBLIGATIONS, SERIES 2010C, AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH REVENUE OBLIGATIONS EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $157,000,000, APPROVING A NOTICE OF INTENTION TO SELL, AUTHORIZING THE DISTRIBUTION OF AN OFFICIAL NOTICE INVITING BIDS AND AN OFFICIAL STATEMENT IN CONNECTION WITH THE OFFERING AND SALE OF SUCH REVENUE OBLIGATIONS, AND AUTHORIZING THE EXECUTION AND DELIVERY OF NECESSARY DOCUMENTS AND RELATED ACTIONS." The Resolution of the Corporation is somewhat shorter and simpler. It authorizes three actions that are similarly enumerated in the title as follows: Page 4 of 5 "A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION AUTHORIZING THE EXECUTION AND DELIVERY BY THE CORPORATION OF AN INSTALLMENT PURCHASE AGREEMENT AND A TRUST AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT CERTIFICATES OF PARTICIPATION TO BE REFERRED TO AS WASTEWATER REVENUE OBLIGATIONS, SERIES 2010C; AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH REVENUE OBLIGATIONS EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT-TO-EXCEED $157,000,000 AND; AUTHORIZING THE EXECUTION AND DELIVERY OF NECESSARY DOCUMENTS AND RELATED ACTIONS." Following is a chart listing the remaining steps to be completed for the issuance of the Wastewater Revenue Obligations Series 2010C new money debt issuance: November ➢ Finalize debt service and cash flow modeling ➢ Board approval of legal and disclosure documents ➢ Marketing and Sale through a Competitive Sale Process December ➢ Execute up to $157 million Fixed-Rate debt issue ➢ Investment of Bond Proceeds ➢ Debt Administration CEQA N/A BUDGET / DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENTS 1. Resolution No. OCSD 10-XX 2. Resolution No. FC-XX Page 5 of 5 Fulbright & Jaworski L.L.P. Draft—9/16/10 RESOLUTION NO. OCSD 10- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT AUTHORIZING THE EXECUTION AND DELIVERY BY THE DISTRICT OF AN INSTALLMENT PURCHASE AGREEMENT, A TRUST AGREEMENT, AND A CONTINUING DISCLOSURE AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT CERTIFICATES OF PARTICIPATION TO BE REFERRED TO AS WASTEWATER REVENUE OBLIGATIONS, SERIES 2010C, AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH REVENUE OBLIGATIONS EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $ , APPROVING A NOTICE OF INTENTION TO SELL, AUTHORIZING THE DISTRIBUTION OF AN OFFICIAL NOTICE INVITING BIDS AND AN OFFICIAL STATEMENT IN CONNECTION WITH THE OFFERING AND SALE OF SUCH REVENUE OBLIGATIONS AND AUTHORIZING THE EXECUTION AND DELIVERY OF NECESSARY DOCUMENTS AND RELATED ACTIONS WHEREAS, the Orange County Sanitation District (the "District") desires to finance the acquisition, construction and installation of certain improvements to its wastewater system (the "Project"); WHEREAS, to finance the Project, the District desires to purchase the Project from the Orange County Sanitation District Financing Corporation (the "Corporation"), and the Corporation desires to sell the Project to the District, for the installment payments (the "Installment Payments") to be made by the District pursuant to an Installment Purchase Agreements (the "Installment Purchase Agreement"), by and between the District and the Corporation; WHEREAS, the Corporation intends to assign without recourse certain of its rights under and pursuant to the Installment Purchase Agreement to U.S. Bank National Association, as trustee (the "Trustee"), pursuant to a Trust Agreement among the Trustee, the Corporation and the District (such Trust Agreement, in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Trust Agreement"); WHEREAS, in consideration of such assignment and the execution and delivery of the Trust Agreement, the Trustee intends to execute and deliver Orange County Sanitation District Wastewater Revenue Obligations, Series 2010C, (which constitute certificates of participation), as "build America bonds" (the "Revenue Obligations"), evidencing direct, undivided fractional interests in the Installment Payments, and the interest thereon; WHEREAS, the District desires to provide for the public sale of each series of the Revenue Obligations in a discrete sale transaction; 90172747.2 Page 1 of 6 WHEREAS, a form of the Notice of Intention to Sell to be published in connection with the public offering and sale of the Revenue Obligations has been prepared (such Notice of Intention to Sell, in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Notice of Intention to Sell"); WHEREAS, a form of the Official Notice Inviting Bids to be distributed in connection with the public offering and sale of the Revenue Obligations has been prepared (such Official Notice Inviting Bids, in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Notice Inviting Bids"); WHEREAS, a form of the Preliminary Official Statement to be distributed in connection with the public offering of the Revenue Obligations has been prepared(such Preliminary Official Statement in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution, being referred to herein as the "Preliminary Official Statement"); WHEREAS, Rule 15c2-12 promulgated by the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended ("Rule 15c2-12"), requires that the underwriter thereof must have reasonably determined that the District has undertaken in a written agreement or contract for the benefit of the holders of the Revenue Obligations to provide disclosure of certain material events; WHEREAS, to cause such requirement to be satisfied, the District desires to enter into a Continuing Disclosure Agreement(such Continuing Disclosure Agreement in the form presented to this meeting, with such changes, insertions and omissions as are made pursuant to this Resolution,being referred to herein as the "Continuing Disclosure Agreement"); WHEREAS, there have been prepared and submitted to this meeting forms of: (a) the Installment Purchase Agreement; (b) the Trust Agreement; (c) the Notice of Intention to Sell; (d) the Notice Inviting Bids; (e) the Preliminary Official Statement; and (f) the Continuing Disclosure Agreement; WHEREAS, all acts, conditions and things required by the Constitution and laws of the State of California to exist, to have happened and to have been performed precedent to and in connection with the consummation of the financing authorized hereby do exist, have happened and have been performed in regular and due time, form and manner as required by law, and the District is now duly authorized and empowered, pursuant to each and every requirement of law, to consummate such financing for the purpose, in the manner and upon the terms herein provided; 90172747.2 Page 2 of 6 NOW, THEREFORE, THE BOARD OF DIRECTORS OF THE DISTRICT DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. All of the recitals herein contained are true and correct and the Board of Directors of the District(the "Board") so finds. Section 2. The Installment Purchase Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The Chair of the Board, and such other member of the Board as the Chair may designate, the General Manager of the District, the Director of Finance and Administrative Services of the District, and such other officers of the District as the Director of Finance and Administrative Services may designate (the "Authorized Officers") are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Installment Purchase Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of such Installment Purchase Agreement by such Authorized Officer; provided, however, that such changes, insertions and omissions shall not result in an aggregate principal amount of Installment Payments in excess of$ , shall not result in a true interest cost for the Installment Payments in excess of 8% and shall not result in an Installment Payment later than [December 1, 2040]. Section 3. The Trust Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Trust Agreement in the form presented to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of the Trust Agreement by such Authorized Officer. Section 4. The execution and delivery of the Revenue Obligations evidencing principal in an aggregate amount not to exceed , payable in the years and in the amounts, and evidencing principal of and interest on the Installment Payments as specified in the Trust Agreement as finally executed, are hereby authorized and approved. The Revenue Obligations may be executed and delivered in one or more series, and sold in one or more discrete sale transactions, all as determined by an Authorized Officer. Section 5. The form of Notice of Intention to Sell, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, is hereby approved, and the use of the Notice of Intention to Sell in connection with the offering and sale of a series of the Revenue Obligations is hereby approved. The Authorized Officers are each hereby authorized and directed, for and in the name and on behalf of the District, to cause one or more Notices of Intention to Sell to be published in The Bond Buyer (or in such other financial publication generally circulated throughout the State of California or reasonably expected to be disseminated among prospective bidders for the Revenue Obligations as an Authorized Officer shall approve as being in the best interests of the District) at least five days prior to the date set for the opening of bids under the Notice Inviting Bids, with such changes, insertions and 90172747.2 Page 3 of 6 omissions therein as an Authorized Officer may require or approve, such requirement or approval to be conclusively evidenced by the publishing of such Notice of Intention to Sell. Section 6. The Notice Inviting Bids, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, be and the same is hereby approved, and the use of the Notices Inviting Bids in connection with the offering and sale of the Revenue Obligations is hereby authorized and approved. The terms and conditions of the offering and sale of a series of the Revenue Obligations shall be as specified in Notice Inviting Bids. Bids for the purchase of a series of the Revenue Obligations shall be received at the time and place set forth in the Notice Inviting Bids. The Authorized Officers are each hereby authorized and directed, for and in the name and on behalf of the District, to accept the bid for a series of the Revenue Obligations with the lowest true interest cost, or to reject all bids therefor, in accordance with the terms of the Notice Inviting Bids. Section 7. The Preliminary Official Statement, in substantially the form presented to this meeting and made a part hereof as though set forth in full herein, with such changes, insertions and omissions therein as may be approved by an Authorized Officer, is hereby approved, and the use of the Preliminary Official Statement in connection with the offering and sale of a series of the Revenue Obligations is hereby authorized and approved. The Authorized Officers are each hereby authorized to certify on behalf of the District that a Preliminary Official Statement with respect to a series of the Revenue Obligations is deemed final as of its date, within the meaning of Rule 15c2-12 (except for the omission of certain information permitted by Rule 15c2-12 to be omitted). The Authorized Officers are each hereby authorized and directed to furnish, or cause to be furnished, to prospective bidders for a series of the Revenue Obligations a reasonable number of copies of the Preliminary Official Statement. Section 8. The preparation and delivery of a final Official Statements (the "Official Statement"), and their use in connection with the offering and sale of the Revenue Obligations, be and the same is hereby authorized and approved. An Official Statement shall be in substantially the form of the Preliminary Official Statement, with such changes, insertions and omissions as may be approved by an Authorized Officer, such approval to be conclusively evidenced by the execution and delivery thereof. The Authorized Officers are, and each of them is, hereby authorized and directed to execute a final Official Statement and any amendment or supplement thereto, for and in the name of the District. Section 9. The Continuing Disclosure Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the District, to execute and deliver the Continuing Disclosure Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of such Continuing Disclosure Agreement by such Authorized Officer. 90172747.2 Page 4 of 6 Section 10. The Authorized Officers are, and each of them hereby is, authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the execution and delivery of the Revenue Obligations and the transactions contemplated by the notices, agreements and documents referenced in this Resolution. Section 11. All actions heretofore taken by the officers and employees of the District with respect to the execution, delivery and sale of the Revenue Obligations, or in connection with or related to any of the agreements or documents referenced in this Resolution, are hereby approved, confirmed and ratified. Section 12. This Resolution shall take effect immediately upon its adoption. PASSED AND ADOPTED at a regular meeting held on , 2010. Chair of the Board of Directors ATTEST: Clerk of the Board of Directors APPROVED: General Counsel Orange County Sanitation District 90172747.2 Page 5 of 6 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, , Clerk of the Board of Directors of the Orange County Sanitation District, do hereby certify that the foregoing Resolution No. OCSD 10-— was passed and adopted at a regular meeting of said Board on the day of , 2010, 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 day of 12010. Clerk of the Board of Directors Orange County Sanitation District 90172747.2 Page 6 of 6 Fulbright & Jaworski L.L.P. Draft—9/16/10 RESOLUTION NO. FC- A RESOLUTION OF THE BOARD OF DIRECTORS OF THE ORANGE COUNTY SANITATION DISTRICT FINANCING CORPORATION AUTHORIZING THE EXECUTION AND DELIVERY BY THE CORPORATION OF AN INSTALLMENT PURCHASE AGREEMENT AND A TRUST AGREEMENT IN CONNECTION WITH THE EXECUTION AND DELIVERY OF ORANGE COUNTY SANITATION DISTRICT CERTIFICATES OF PARTICIPATION TO BE REFERRED TO AS WASTEWATER REVENUE OBLIGATIONS, SERIES 2010C, AUTHORIZING THE EXECUTION AND DELIVERY OF SUCH REVENUE OBLIGATIONS EVIDENCING PRINCIPAL IN AN AGGREGATE AMOUNT OF NOT TO EXCEED $ AND AUTHORIZING THE EXECUTION AND DELIVERY OF NECESSARY DOCUMENTS AND RELATED ACTIONS. WHEREAS, the Orange County Sanitation District (the "District") desires to finance the acquisition, construction and installation of certain improvements to its wastewater system (the "Project"); WHEREAS, to finance the Project, the District desires to purchase the Project from the Orange County Sanitation District Financing Corporation (the "Corporation"), and the Corporation desires to sell the Project to the District, for the installment payments (the "Installment Payments") to be made by the District pursuant to an Installment Purchase Agreement (the "Installment Purchase Agreement"), by and between the District and the Corporation; WHEREAS, the Corporation intends to assign without recourse certain of its rights under and pursuant to the Installment Purchase Agreement to U.S. Bank National Association, as trustee (the "Trustee"), pursuant to a Trust Agreement among the Trustee, the Corporation and the District (the "Trust Agreement"); WHEREAS, in consideration of such assignment and the execution and delivery of the Trust Agreement, the Trustee intends to execute and deliver Orange County Sanitation District Wastewater Revenue Obligations, Series 2010C, (which constitute certificates of participation), as "build America bonds" (the "Revenue Obligations"), evidencing direct, undivided fractional interests in the applicable Installment Payments, and the interest thereon; WHEREAS, there have been prepared and submitted to this meeting forms of: (a) the Installment Purchase Agreement; and (b) the Trust Agreement; WHEREAS, all acts, conditions and things required by the Constitution and laws of the State of California to exist, to have happened and to have been performed precedent to and in connection with the consummation of the actions authorized hereby do exist, have happened and 90172743.2 Page 1 of 4 have been performed in regular and due time, form and manner as required by law, and the Corporation is now duly authorized and empowered, pursuant to each and every requirement of law, to consummate such actions for the purpose, in the manner and upon the terms herein provided; NOW, THEREFORE, THE BOARD OF DIRECTORS OF THE CORPORATION DOES HEREBY RESOLVE, DETERMINE AND ORDER: Section 1. All of the recitals herein contained are true and correct and the Board of Directors of the Corporation(the "Board") so finds. Section 2. The Installment Purchase Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth herein, be and the same is hereby approved. The President of the Corporation, the Vice-President of the Corporation, the Treasurer of the Corporation and the Secretary of the Corporation, and such other officers of the Corporation as the President may designate (the "Authorized Officers") are, and each of them is, hereby authorized and directed, for and in the name of the Corporation, to execute and deliver the Installment Purchase Agreement in the form submitted to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of such Installment Purchase Agreement by such Authorized Officer; provided, however, that such changes, insertions and omissions shall not result in an aggregate principal amount of Installment Payments in excess of$ , shall not result in a true interest cost for the Installment Payments in excess of 8% and shall not result in a final Installment Payment later than [December 1, 2040]. Section 3. The Trust Agreement, in substantially the form submitted to this meeting and made a part hereof as though set forth in full herein, be and the same is hereby approved. The Authorized Officers are, and each of them is, hereby authorized and directed, for and in the name of the Corporation, to execute and deliver the Trust Agreement in the form presented to this meeting, with such changes, insertions and omissions as the Authorized Officer executing the same may require or approve, such requirement or approval to be conclusively evidenced by the execution of such Trust Agreement by such Authorized Officer. Section 4. The execution and delivery of Revenue Obligations evidencing principal in an aggregate amount of not to exceed $ , payable in the years and in the amounts, and evidencing direct, undivided fractional interests in the applicable Installment Payments, and the interest thereon, as specified in the Trust Agreement as finally executed, are hereby authorized and approved. Section 5. The Authorized Officers of the Corporation are, and each of them hereby is, authorized and directed to execute and deliver any and all documents and instruments and to do and cause to be done any and all acts and things necessary or proper for carrying out the execution and delivery of the Revenue Obligations and the transactions contemplated by the agreements or documents referenced in this Resolution. 90172743.2 Page 2 of 4 Section 6. All actions heretofore taken by the officers and agents of the Corporation with respect to the execution, delivery and sale of the Revenue Obligations, or in connection with or related to any of the agreements or documents referenced in this Resolution, are hereby approved, confirmed and ratified. Section 7. This Resolution shall take effect immediately upon its adoption. PASSED AND ADOPTED at a meeting held on , 2010. President, Orange County Sanitation District Financing Corporation ATTEST: Secretary, Orange County Sanitation District Financing Corporation APPROVED: General Counsel, Orange County Sanitation District Financing Corporation 90172743.2 Page 3 of 4 STATE OF CALIFORNIA ) ss COUNTY OF ORANGE ) I, , Secretary of the Orange County Sanitation District Financing Corporation, do hereby certify that the foregoing Resolution No. FC- , was passed and adopted at a regular meeting of said Board on the day of , 2010, 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 Financing Corporation this day of , 2010. Secretary, Orange County Sanitation District Financing Corporation 90172743.2 Page 4 of 4 ADMINISTRATION COMMITTEE Meeting Date To Bd. of Dir. 10/13/10 10/27/10 AGENDA REPORT Item Number Item Number 5 Orange County Sanitation District FROM: James D. Ruth, General Manager Lorenzo Tyner, Director of Finance and Administrative Services GENERAL MANAGER'S RECOMMENDATION Informational Item Re Internal Audit Reports — Review of Capital Improvement Program Scheduling Process and Regulatory Compliance Requirements. SUMMARY At the direction of the Administration Committee's Audit Oversight Subcommittee, Lance, Soll & Lunghard, LLP (LSL), Certified Public Accountants were engaged to apply agreed-upon procedures on the Capital Improvement Program (CIP) Scheduling Process and Regulatory Compliance Requirements. Attached are the Accountant Reports from LSL, the Sanitation District's contracted internal auditors, on these two engagements. Also attached are separate reports on staff's responses to the auditor's findings and recommendations contained within their reports. In summary, LSL concluded that the Sanitation District is appropriately following its prescribed policies and procedures over the scheduling process of the CIP, however, the design of internal controls could be improved specifically in the area of the design phase of a capital project. Likewise, LSL concluded that the Sanitation District has adequate policies and procedures in place over regulatory compliance requirements and they are functioning as designed, however, certain exceptions were noted. PRIOR COMMITTEE/BOARD ACTIONS December 09, 2009 — Administration Committee approved the selection of LSL, to perform internal auditing services for the period of March 1, 2010 through February 28, 2011, in an amount not to exceed $58,670. Also at this time, the Administration Committee established an Audit Oversight Subcommittee consisting of Directors Waldman, Luebben, and Dalton who were assigned to meet with auditors and staff to give direction on the scope of audit areas and to report back to the Administration Committee on the results of audits undertaken. Page 1 of 2 ADDITIONAL INFORMATION N/A CEQA N/A BUDGET / DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENTS 1. Accountants' Report on Agreed-Upon Procedures on the Capital Improvement Program (CIP) Scheduling Process. 2. Accountant's Report on Agreed-Upon Procedures on Regulatory Compliance Requirements. 3. Staff's Responses to Internal Audit Report on the Capital Improvement Program (CIP) Scheduling Process. 4. Staff's Responses to Procedures Performed on Regulatory Compliance Requirements. JDR:LT:MW Page 2 of 2 CERTIFIED PUBLIC ACCOUNTANTS ORANGE COUNTY • • • Independent Accountants' Report on Agreed-Upon Procedures for the Scheduling Process of the Capital • • Program July 28, 2010 Lance Soll&Lunghard,LLP 203 North Brea Blvd Suite 203 Brea, CA 92821 41185 Golden Gate Circle Suite 103 Murrieta, CA 92562 ORANGE COUNTY SANITATION DISTRICT Independent Accountants' Report on Agreed-Upon Procedures for the Scheduling Process of the Capital Improvement Program July 28, 2010 LSE000 000 CERTIFIED PUBLIC ACCOUNTANTS Brandon W.Burrows,CPA Donald L.Parker,CPA Michael K.Chu,CPA David E.Hale,CPA,CFP A Professional Corporation Donald G.Slater,CPA Richard K.Kikuchi,CPA Susan F.Matz,CPA Shelly K.Jackley,CPA July 28, 2010 Administration Committee Orange County Sanitation District Fountain Valley, California INDEPENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED-UPON PROCEDURES We have performed the procedures enumerated below which were agreed to by the management of the Orange County Sanitation District, Fountain Valley, California (Sanitation District), solely to assist the Sanitation District in evaluating the scheduling process for the Capital Improvement Program. This engagement to apply agreed-upon procedures was performed in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of the procedures is solely the responsibility of the management of the Sanitation District. Consequently, we make no representation regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested, or for any other purpose. The procedures performed and the results obtained from the performance thereof were as follows: 1. Procedures Performed: We reviewed the Sanitation District's project management policies and procedures as they relate to scheduling and monitoring the status of capital projects. We inquired with project team members and performed a walkthrough to determine that the proper procedures were being followed as designed to ensure that project completion dates and milestones were accomplished in a timely manner. Findings: Through our review we found certain delays in the completion of capital projects to the original time budget established by the Sanitation District. These delays could be for a variety of reasons. We found through our walkthrough of open capital projects, that the key reasons for the delays related to ineffective monitoring of consultant design submittals and reviews and the inability to acquire permits in a timely manner. The Sanitation District should make improvements through the addition of controls and a monitoring mechanism in phases 2 and 3 of the capital project life cycle to address these issues. We recommend the following procedures be implemented: • Address the time delays related to acquiring required permits related to capital projects. We recommend that the Sanitation District assign employees to be responsible for understanding the requirements for specific permits and act as ad hoc committee members to the specific permitting entities. • Address the time delays related to receiving and reviewing design submittals from consultants. We recommend that the Sanitation District implement intermittent communications and meetings with consultants during the design submittal stages with the intent of preventing unnecessary delays in this process. The process should also be expanded to monitor staff to ensure these meetings are occurring and the project is progressing appropriately. Lance,Soil&Lunghard,LLP 203 North Brea Boulevard Suite 203 Brea, CA 92821 TEL: 714.672.0022 Fax: 714.672.0331 www.islepas.com 41185 Golden Gate Circle Suite 103 Murrieta, CA 92562 TEL: 951.304.2728 Fax: 951.304.3940 LSE••• CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California • We recommend that the Sanitation District update its current capital project template, which is outdated and is not an accurate reflection of the size, schedule, and complexity of the current capital projects. Updating the capital project template could more accurately predict the budgeted schedule and completion date. 2. Procedures Performed: We selected the following capital projects as of June 30, 2010 and tested each project for key internal controls related to the scheduling process including approvals for project charters, amended schedule baselines, current budget adjustments, change orders, construction contracts, and notice to proceed. We also tested that the Sanitation District had established milestones for both internal and the construction contractors, that capital project schedule and cost meetings were completed, risk management plans were done, and that all appropriate documents were properly stored and filed in the electronic data management system (EDMS). PROJECT # PROJECT NAME NUMBER 1 Carbon Cnyn Sewer and Pump Stn. Abandonment 2-24-1 2 Rehabilitation of the Westside Pump Station 3-52 3 Rehabilitation of Magnolia Trunk Sewer 3-58 4 Replacement of the Rocky Point Pump Station 5-50 5 Newport Force Main Condition Assessment 5-60 6 North County Collections Yard 15-04 7 Treatment Plant Strategic Plan Update J-102 8 Temporary Upgrades To Plant Security Barriers J-108 9 Outfall Beach Box Rehabilitation Evaluation J-119 10 Air Quality Improvements J-79 11 Sludge Digester Rehabilitation at Plant 1 P1-100 12 New Secondary Treatment System at Plant No. 1 P1-102 13 Activated Sludge Plant Rehabilitation P1-82 14 Plant 1 66kV Substation P1-97 15 Headworks Improvements at Plant No. 2 P2-66 16 Primary Treatment Rehab/Refurb P2-80 17 Trickling Filters at Plant No. 2 P2-90 18 Plant No. 2 Landscaping Project P2-96 19 USBR Brine Management Grant Project SP-116 20 Oxygen Plant Rehabilitation at Plant No. 2 SP-129 Findings: During our review we noted the following: • The Sanitation District could not produce an approved amended re-baseline of Project J- 108. From our discussion with the Sanitation District staff, the reason for this is probably related to the Sanitation District originally filing project documents under project manager, which may cause files to be lost when capital projects change project managers. The Sanitation District now files documents under the project number. LSL • CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California • Project documents were either not electronically filed or were not appropriately documented in the electronic data management system (EDMS). The issues identified in the EDMS were the result of ineffective monitoring of the electronic documents filing and documentation. The Sanitation District should make improvements to control in the area of monitoring over the EDMS to ensure appropriate filing and documentation. Summary of Results Based on our review of the Sanitation District's policies and procedures and internal controls over the scheduling process for the capital improvement program, we found that the Sanitation District is appropriately following its prescribed policies and procedures. However, as noted above, we found that the design of internal controls could be improved upon specifically in the area of the design phase of a capital project. The review was conducted in order to assess and provide feedback to the Sanitation District regarding the scheduling process for the capital improvement program. As noted in the previous section, we performed tests on procedures, conducted inquiries and reviewed the procedures that have been established by the Sanitation District. We found certain exceptions and made recommendations which are mentioned above. Conclusion We were not engaged to, and did not conduct an audit, the objective of which would be the expression of an opinion on the specified elements, accounts or items. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to the Sanitation District. This report is intended solely for the use of the specified users listed above and is not intended to be, and should not be, used by anyone other than those specified parties. 0��, ""4 Q,-444a, V 000 *00 000 LSE 00 CERTIFIED PUBLIC ACCOUNTANTS ORANGE COUNTY SANITATION DISTRICT Independent Accountants' Report on Agreed-Upon Procedures on Regulatory Compliance Requirements of the Technical Services Department July 28, 2010 203 North Brea Blvd Suite 203 92821 41185 Golden Suite 103 ORANGE COUNTY SANITATION DISTRICT Independent Accountants' Report on Agreed-Upon Procedures on Regulatory Compliance Requirements of the Technical Services Department July 28, 2010 LSE000 000 CERTIFIED PUBLIC ACCOUNTANTS Brandon W.Burrows,CPA Donald L.Parker,CPA Michael K.Chu,CPA David E.Hale,CPA,CFP A Professional Corporation Donald G.Slater,CPA Richard K.Kikuchi,CPA Susan F.Matz,CPA Shelly K.Jackley,CPA July 28, 2010 Administration Committee Orange County Sanitation District Fountain Valley, California INDENDENT ACCOUNTANTS' REPORT ON APPLYING AGREED-UPON PROCEDURES We have performed the procedures enumerated below which were agreed to by the management of the Orange County Sanitation District, Fountain Valley, California (Sanitation District), solely to assist the Sanitation District in evaluating various regulatory compliance requirements for the Technical Services Department. This engagement to apply agreed-upon procedures was performed in accordance with attestation standards established by the American Institute of Certified Public Accountants. The sufficiency of the procedures is solely the responsibility of the management of the Sanitation District. Consequently, we make no representation regarding the sufficiency of the procedures described below, either for the purpose for which this report has been requested, or for any other purpose. The overall results of our procedures performed disclosed that the Sanitation District complied with the various regulatory compliance requirements applicable to the Technical Services Department. The specific procedures performed and the results obtained from the performance thereof were as follows: Air Quality Program 1. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Air Quality Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: No findings were noted as a result of the procedures performed. 2. Procedures Performed: We selected a sample of Title V Permits which were issued by the South Coast Air Quality Management District and are valid through November 11, 2014. We verified the periodic monitoring requirements were met as of June 30, 2010, in compliance with the regulatory requirements. We also verified the Sanitation District was in compliance by submitting the semi- annual monitoring report for the 2010 calendar year and the annual monitoring report for the 2009 calendar year to the South Coast Air Quality Management District in a timely manner. We selected a sample of annual State regulatory requirements covering calendar year 2009, and verified the reports were submitted in a timely manner to the various regulatory agencies including the California Environmental Protection Agency. Findings: No findings were noted as a result of the procedures performed. Lance,Soil&Lunghard,LLP 203 North Brea Boulevard Suite 203 Brea, CA 92821 TEL: 714.672.0022 Fax: 714.672.0331 www.islepas.com 41185 Golden Gate Circle Suite 103 Murrieta, CA 92562 TEL: 951.304.2728 Fax: 951.304.3940 LSE••• CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California Biosolids Program 3. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Biosolids Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: The Sanitation District prepares and submits monthly Notice and Necessary Information (NANI) reports to the Arizona Department of Environmental Quality for biosolids. The reports document readings on the biosolids and whether they are in compliance with the requirements. The Sanitation District staff completes preparation and submission of these reports two months after the reporting period which creates a risk that if toxicity levels were to exceed limits, then the Sanitation District's Executive Management Team would not be made aware of the exceeding levels in a timely manner. We recommend reviewing and reporting the information in the NANI in the subsequent month. 4. Procedures Performed: We reviewed a sample of months for the fiscal year ending June 30, 2010, reported on the NANI to determine whether the Sanitation District is in compliance with the regulatory requirements of the United States Environmental Protection Agency and conformance requirements of the Sanitation District. Information from the NANI is used to submit the Biosolids Management Compliance Report — EPA 40 CFR Part 503 on an annual basis. We also reviewed the Certification Statement for the EPA 40 CFR Part 503 Annual Report for the 2009 calendar and verified the report was submitted in a timely manner. Findings: There was a compliance finding noted relating to the number of biosolid releases. The performance measure states that the number of biosolid releases must be zero at all times. However, we noted that during the fiscal year ending June 30, 2010, there were two biosolid releases: one occurred on July 14, 2009, and the other occurred on February 22, 2010. Both incidents were the result of vendors using privately owned trucks to haul the Sanitation District's biosolids. Biosolid release reports were properly completed and submitted to the Regional Water Quality Control Board for both incidents. The Sanitation District sets goals for itself to keep the number of notice of violations, inspection findings and offsite complaints to a minimum. We noted that the Sanitation District was not in conformance with some of the self-imposed requirements mainly relating to the Best Management Practices in the following areas: Contractor Notice of Violations, Significant Contractor Issues/Inspection and Off-site Complaints. There was also a conformance issue relating to the number of on-site spills. The Sanitation District strives to keep the number of on-site spills zero at all times. However, there were two spills noted during the fiscal year ending June 30, 2010, which occurred on July 14, 2009 and September 15, 2009. The cause of both spills was due to operator error. These conformance issues do not have an effect on the Sanitation District's performance relating to regulatory compliance since the issues noted relate to self-imposed requirements. We recommend the Sanitation District continuously monitor the different compliance and conformance areas to ensure operations are consistent with regulatory and self-imposed requirements. LSE••• CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California Dewatering Compliance Program 5. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Dewatering Compliance Program. Findings: Based on our conversation with various staff at the Sanitation District, there are currently no written programs or procedures in place to monitor on-site and off-site dewatering discharge. We recommend the District establish policies and procedures relating to the Dewatering Compliance Program. Discharge Monitoring Program 6. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Discharge Monitoring Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: The Sanitation District utilizes an electronic system for environmental compliance, ECAP, which is used for tracking and monitoring environmental compliance. Inconsistent with other compliance programs in ECAP, we noted that the Sanitation District's National Pollutant Discharge Elimination System (NPDES) permit, which must be renewed every five years, does not have an obligation set-up to ensure timely filing for the permit. We recommend being consistent with other compliance programs and improving control by establishing an obligation in ECAP to remind staff of the requirement. 7. Procedures Performed: We reviewed a sample of monthly Discharge Monitoring Reports submitted during the fiscal year ending June 30, 2010, which are used by the Sanitation District to ensure they are in compliance with the regulatory requirements set forth by the United States Environmental Protection Agency and the Regional Water Board. We also reviewed the current National Pollutant Discharge Elimination System (NPDES) Permit the Sanitation District has. Findings: Based on our review of the monthly Discharge Monitoring Reports, there was a compliance finding noted during the month of November 2009. The final effluent settleable solids grab sample result was 12 mL/L. However, the maximum limit per the NPDES permit is 3 mL/L. When a sample limit exceeds the required limit, the Sanitation District's Operations Manager is required to contact the United States Environmental Protection Agency and the Regional Water Board by submitting a staff report explaining the incident and what the Sanitation District plans to do to correct the issue. We verified the report was submitted to the regulatory agencies on November 19, 2009, and was properly addressed. We recommend the Sanitation District continue to follow its policy and procedure to monitor the wastewater that is discharged into the ocean on a regular basis to determine whether it is under the appropriate levels of certain chemicals as specified by the regulatory agencies. We reviewed the current NPDES permit the Sanitation District has and determined the permit expired in 2009 but is in effect until the Sanitation District obtains their new permit which has already submitted for renewal. LSE::0 CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California Environmental Auditing Program and ECAP (Environmental Compliance Awareness Program) 8. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with conformance requirements relating to the Environmental Auditing Program and ECAP (Environmental Compliance Awareness Program). We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: Based on our review of ECAP, we noted that there were some inconsistencies with the level of detail regarding the different compliance programs. There are some programs, such as the Air Quality Program, which has a very high level of detail by listing out all of the different compliance and conformance requirements. However, there are other programs, such as Storm Water, which do not have any compliance and conformance requirements listed. To remain consistent with all of the compliance programs, we recommend the Sanitation District thoroughly review each compliance area to determine all compliance and conformance requirements have been properly set up. This will help mitigate the risk that deadlines may be overlooked. This will also assist when there may be turnover because it will be easier for a new staff person to go into ECAP and review each area to determine the different requirements they may be responsible for. This finding was also noted in an internal audit conducted by the Sanitation District's Environmental Compliance and Regulatory Affairs Division which occurred in the beginning of the 2010 calendar year. Hazardous Waste Program 9. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Hazardous Waste Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: Based on our review of the information in ECAP relating to the Hazardous Waste Program, we noted that there were some conformance areas not included in ECAP mainly relating to the following: recordkeeping of exception reports and biennial reporting. Although there are some compliance and conformance areas already included in ECAP, we recommend the Sanitation District thoroughly review the information listed in ECAP to ensure all pertinent information is included. 10. Procedures Performed: Manifests are required to be used by the Sanitation District to record information related to the shipment of biosolids. We selected a sample of manifests submitted during the fiscal year ending June 30, 2010, and reviewed each manifest to determine the following Federal and State compliance requirements were met: in accordance with 40 CFR §262.40 and 22 CCR §66262.40, the Sanitation District must retain a copy of the manifest for three years; in accordance with 40 CFR §262.42 and 22 CCR §66262.42, if the `Designated Facility to Generator' copy of the manifest is not received by the Sanitation District within 45 days of the shipment, an exception report must be prepared and sent to the Department of Toxic Substance and Control (DTSC) informing them that the copy has not been received; in accordance with 22 CCR§66262.23, the Sanitation District must submit a copy of the manifest to LSE::0 CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California DTSC within 30 days of each shipment; and in accordance with 40 CFR §262.23 and 22 CCR §66262.23, the Sanitation District and the transporter must sign and date the manifest. Findings: No findings were noted as a result of the procedures performed. Ocean Monitoring Program 11. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Ocean Monitoring Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: No findings were noted as a result of the procedures performed. Sanitary Sewer Overflow Program 12. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Sanitary Sewer Overflow Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: No findings were noted as a result of the procedures performed. 13. Procedures Performed: When a sanitary sewer overflow occurs, the Sanitation District is required to prepare a Sanitary Sewer Overflow report and submit it to the Regional Water Quality Control Board and the Orange County Health Care Agency (OCHCA). We selected a sample of Sanitary Sewer Overflow reports that occurred during the fiscal year ending June 30, 2010, and tested them for compliance with OCHCA regulatory requirements. We tested them for the various category attributes. Findings: No findings were noted as a result of the procedures performed. Storm Water Program 14. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Storm Water Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: The Sanitation District is currently not using ECAP to monitor the Storm Water Program because the staff member that is in charge of the program is fairly new to the program and is in the process of compiling the information. There is currently only one conformance task related to the program that is included in ECAP. To be consistent with the other compliance areas, we LSE::0 CERTIFIED PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California recommend the Sanitation District include all regulatory compliance and conformance issues in ECAP so that staff clearly understand what is required to be in compliance with the program. 15. Procedures Performed: We selected a sample of off-site construction projects that were active during the fiscal year ending June 30, 2010, to determine whether the construction company was in compliance with the regulations set forth by the State Water Resources Control Board (SWRCB). We reviewed the Storm Water Pollution Prevention Plan (SWPPP) and verified the following components were included: a notice of intent was properly submitted to the SWRCB, all mandatory requirements were properly included in the SWPPP and the permit was renewed on an annual basis and in a timely manner. Findings: No findings were noted as a result of the procedures performed. Underground Storage Tanks Program 16. Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Underground Storage Tanks Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: The Sanitation District currently has only one Underground Storage Tank (UST) Designated Operator in the Operations Department. It is the responsibility of the UST Designated Operator to receive an annual certification. To maintain compliance with the UST program, we recommend the Sanitation District designate an alternate UST Designated Operator in the event that the current UST Designated Operator may be unable to fulfill his duties. This recommendation was previously made by the Sanitation District's Environmental Compliance and Regulatory Affairs Division to the supervisor for the current Designated Operator 17. Procedures Performed: We reviewed the compliance requirements set forth by the Orange County Health Care Agency which the Sanitation District must comply with to obtain the Annual Permit from the County of Orange Certified Unified Program Agency. We verified the Sanitation District was in compliance by performing bi-weekly inspections for the 2009 calendar year and annual inspections for the fiscal year ending June 30, 2010 at Plant 1, Plant 2 and the Main Street Pump Station. We also verified the annual pipe integrity testing for the fiscal year ending June 30, 2010, was performed in a timely manner for the Main Street Pump Station underground storage tank. We verified the Sanitation District obtained the annual permit for the fiscal year ending June 30, 2010. Findings: No findings were noted as a result of the procedures performed. Summary of Results Based on our review of the Sanitation District's policies and procedures and internal controls over regulatory compliance requirements for the Technical Services Department, we believe that overall, the Sanitation District has adequate policies and procedures in place and they are functioning as designed. The review was conducted in order to assess and provide feedback to the Sanitation District regarding regulatory compliance requirements for the Technical Services Department. LSEP C E NTIEIEO PUBLIC ACCOUNTANTS Administration Committee Orange County Sanitation District Fountain Valley, California As noted in the previous sections, we performed tests on procedures, conducted inquiries and reviewed the procedures that have been established by the Sanitation District. We found certain exceptions and made recommendations which are mentioned above. Conclusion We were not engaged to, and did not conduct an audit, the objective of which would be the expression of an opinion on the specified elements, accounts or items. Accordingly, we do not express such an opinion. Had we performed additional procedures, other matters might have come to our attention that would have been reported to the Sanitation District. This report is intended solely for the use of the specified users listed above and is not intended to be, and should not be, used by anyone other than those specified parties. 0;;�' "t,4 Co4 6�JNSv SAMIT, y ORANGE COUNTY SANITATION DISTRICT Memorandum 9or CJ p R�TiM�E DATE: September 10, 2010 TO: Mike White Controller FROM: Jim Herberg Director of Engi ring SUBJECT: Independent Accountant's Report on Agreed-Upon Procedures for the Scheduling Process of the Capital Improvement Program The following response is made to the key recommendations presented in Lance, Soll & Lunghard's Independent Accountant's Report dated July 28, 2010. Recommendation No. 1: Address the time delays related to acquiring required permits related to capital projects. We recommend that the Sanitation District assign employees to be responsible for understanding the requirements for specific permits and act as ad hoc committee members to the specific permitting entities. Response We agree that improvements are warranted in this area. However, sometimes delays caused by permitting agencies are beyond the control of the Orange County Sanitation District (Sanitation District). Action Plan Outline: • Air Quality and Water Discharge permitting will continue to be handled by the Environmental Compliance group. The recent transfer of this group into the Engineering Department will strengthen this support. • For all other project permits, a position from our existing staffing will be assigned to lead the permitting process and to be the main contact with permitting agencies. Project Managers will retain overall responsibility and accountability for permitting on their projects. • The Project Management Supervisor will ensure that all Project Managers are consistently tracking permit status on their project schedules and in the Project Controls System. Page 2 of 5 September 10, 2010 Recommendation No. 2: Address the time delays related to receiving and reviewing design submittals from consultants. We recommend that the Sanitation District implement intermittent communications and meetings with consultants during the design submittal stages with the intent of preventing unnecessary delays in this process. The process should also be expanded to monitor staff to ensure these meetings are occurring and the project is progressing appropriately. Response We agree that improved interaction and oversight is warranted in addition to the current periodic meetings to monitor progress and resolve design issues. These improvements are needed in the areas of design consultant management and progress monitoring/ reporting. Action Plan Outline: • Design Consultant Management: o The Project Management Supervisor will provide consistent review of all design scopes of work and schedules to ensure that schedules are realistic and account for the timing of key decisions. o Plan and schedule design workshops a minimum of four weeks in advance to allow for scheduling of resources and to ensure timely review of submittals. This is a common practice but will be formalized in procedures and guidelines for consistency. o Include "over-the-shoulder" progress reviews of project plans at the consultant's offices in our procedures and guidelines to improve communication and address potential schedule risks earlier in the design process. • Progress Monitoring and Reporting: o The Project Management Supervisor will ensure that all project schedules are being tracked and updated and will pay particular attention to design submittal and design review status. Page 3 of 5 September 10, 2010 Recommendation No. 3: We recommend that the Sanitation District update its current capital project template, which is outdated and is not an accurate reflection of the size, schedule, and complexity of the current capital projects. Updating the capital project template could more accurately predict the budgeted schedule and completion date. Response We agree that the template needs to be updated to reflect revised procedures and lessons learned. Schedule templates are designed to meet all the basic project guidelines and interfaces of a generic project and must always be customized for each project. Schedule templates are also currently being updated to include cost controls imbedded in the schedule to help with tracking of contingency and Board Authorized change amounts. Action Plan Outline: • Critically review schedule templates and activities for: o New processes and procedures and routine activities not currently included. o Items that are no longer needed or are not routinely applicable. o Activity relationships that may be critical or incorrect. o Approval timelines required by Contracts Administration, Management, or the Board of Directors. o Develop different templates based on project type, size, and complexity, and create a template schedule to more accurately predict completion dates. • Implement improved tracking of contingency and GM Authorization using schedule work packages in Primavera software (this planning is mostly complete at this time). Findings: Project documents were either not electronically filed or were not appropriately documented in the electronic data management system (EDMS). The Sanitation District should properly manage their electronic documents for capital projects. The issues identified in the EDMS are the result of decentralized electronic database input and the lack of effective monitoring of the electronic documents filing and documentation at either plant facilities. The Sanitation District should implement a centralized electronic database input method and create a document filing procedure. Page 4 of 5 September 10, 2010 Response We agree that, over time, searching for documents in the EDMS has become more cumbersome and needs to be streamlined. This may have led to some difficulties in searching for documents. After receipt of the audit report and a subsequent list of documents that could not be located in the EDMS by the audit team, our staff was able to quickly locate all of the documents. However, this is most likely due to staffs unique understanding of the changes that have been made to the EDMS, and it would be difficult for someone not having this experience to readily locate the documents. We also note that since there are several "owners" of documents throughout the organization, the Master List of Files (MLF) is the central organizational structure that captures the enterprise-wide filing procedure as it relates to project documentation. At this time, both the Document Control procedure and the MLF are undergoing a revision to reflect recent organization and process changes. In addition, responsibility for the Engineering EDMS has been transferred to the Information Technology Division (IT) since the audit was conducted. IT is working across all of the departments to develop a District-wide document control solution to bring all of the documents into a central electronic filing structure. Action Plan Outline: • Finalize new Document Management policies and procedures and roll out to staff with training (nearly complete). • Finalize changes to Master List of Files and roll out to staff with training (team is defined and meets regularly). • Finalize development of the Document Management Quality Assurance policies and procedures, including monitoring of the electronic documents filing (team is defined and meets regularly). • Work with IT to finalize the new Electronic Content Management (ECM) effort. As part of this effort, OCSD is developing taxonomy of standardized searchable terms and defining the new software protocol that will be the future upgrade to the EDMS (Work groups defined, team meets regularly). Page 5 of 5 September 10, 2010 If you have any questions or need additional information, please contact me at 714-593-7300. JDH:gc H:\dept\eng\710\herberg\memos\2010 AUP Audit Response cc: J. Ruth L. Tyner S+ " nr `tee e? ORANGE COUNTY SANITATION DISTRICT Memorandum DATE: October 4,2010 TO: Mike White Ilt FROM: Jim Colston SUBJECT: Responses to Revised AUP Report for Technical Services Department Please find below the responses by the Environmental Compliance Division to the Findings of the AUP Report. I did not respond to those areas without Findings. Some minor changes have occurred in divisional roles and responsibilities due to the recent re-engineering within the agency. I believe that I have captured these changes appropriately. General Comments The Environmental Compliance Division is pleased to confirm that no violations,failures to report,or other non-compliance events occurred during the period of review of the Independent Accountants' Report issued on July 28,2010.As noted,there was a onetime event when the effluent from the ocean discharge exceeded the permit limit; however,this event was excused by the regulators since it occurred during the planned start-up of rehabilitated secondary treatment facilities. In order to avoid non-compliance events, the compliance and regulatory affairs staff utilize a layered approach to protect the Sanitation District: regulatory advocacy,environmental permit negotiation,documentation and training on permit requirements, routine and special reporting,and review of all compliance related incidences to reduce threats of future non-compliance. Much of the compliance related discussion in the report revolves around what staff refers to as conformance measures or standards.These are internal control targets based on policy or best management practices developed through the best professional judgment of the staff.Within the area of biosolids management, many of the biosolids conformance measures relate to our vendors including the trucking and recycling of the biosolids. Based on this report and recent changes in the management of our biosolids program,staff is reevaluating the manner that conformance is measured to assure a timely and proper response by OCSD staff. We will not measure OCSD's direct conformance based on 3nd party actions, but rather the manner in which vendors are managed and held accountable to fulfill their contract obligations. In the case of compliance requirements that apply to vendors, OCSD may still be held accountable for failures by our contractors to fulfill contractual obligations.An example of this is the application of a stormwater permit for the construction of new facilities. If an OCSD owned construction site does not meet stormwater requirements,the regulators will pursue enforcement against OCSD(and possibly the contractor). In this instance,OCSD has an active interest in measuring contractor compliance equivalent to our own. Both compliance and conformance are actively tracked in the Environmental Compliance Awareness Program.This program provides staff and management a readily accessible view of the compliance status of environmental programs. Biosollds Program Finding#3 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation Districts process for ensuring compliance with regulatory and conformance requirements relating to the Biosolids Program.We Mike White Page 2 of 6 also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings:The Sanitation District prepares and submits monthly Notice and Necessary Information (NANI)reports to the Arizona Department of Environmental Quality for biosolids.The reports document readings on the biosolids and whether they are in compliance with the requirements. The Sanitation District staff completes preparation and submission of these reports two months after the reporting period which creates a risk that if toxicity levels were to exceed limits,then the Sanitation District's Executive Management Team would not be made aware of the exceeding levels in a timely manner. We recommend reviewing and reporting the information in the NANI in the subsequent month. Response:See the General Comments above regarding planned changes to this area.OCSD uses logs, round sheets, monitoring data in the CRISP database, and pass down meetings to monitor daily operations and notify supervisors and managers of any digester holding time or temperature issues. Analytical monitoring data from the contract laboratory is reviewed against historical values for any results that might be outside normal ranges. In the event that any parameter exceeds established criteria, management is notified immediately.The information included in the Notice and Necessary Information(NANI)report needs to be reviewed by several staff at various stages of report production to ensure its accuracy. Because of this,the current period between the reporting month and NANI report distribution is considered acceptable to assure management of the agency's compliance status. At this time Environmental Compliance is not able to decrease the amount of time necessary to prepare the formal report due to the amount of time that it takes to receive the information from other Divisions and vendors used in the preparation of the report. Finding#4 Procedures Performed: We reviewed a sample of months for the fiscal year ending June 30,2010, reported on the NANI to determine whether the Sanitation District is in compliance with the regulatory requirements of the United States Environmental Protection Agency and conformance requirements of the Sanitation District. Information from the NANI is used to submit the Biosolids Management Compliance Report—EPA 40 CFR Part 503 on an annual basis.We also reviewed the Certification Statement for the EPA 40 CFR Part 503 Annual Report for the 2009 calendar and verified the report was submitted in a timely manner. Findings:There was a compliance finding noted relating to the number of biosolid releases.The performance measure states that the number of biosolid releases must be zero at all times. However,we noted that during the fiscal year ending June 30, 2010,there were two biosolid releases:one occurred on July 14,2009, and the other occurred on February 22,2010. Both incidents were the result of vendors using privately owned trucks to haul the Sanitation District's biosolids. Biosolids release reports were properly completed and submitted to the Regional Water Quality Control Board for both incidents. Response:See the General Comments above regarding planned changes to this area.As implied by the regulation (Arizona Department of Environmental Quality.AZDEQ Title 18, Ch. 9. Article 10 section R18-9-1011.D), releases/leaks do sometimes occur. In both instances mentioned in the finding above,OCSD complies with the regulations by notifying and reporting to the pertinent authorities. Additionally,following a release of biosolids, ECRA staff evaluates current truckloading and hauling procedures,changes them as appropriate and provides additional training to operators and haulers.OCSD sets an internal goal of no releases in order to ensure they are minimized, corrective actions are adequate,ensure that management is Mike White Page 3 of 6 informed, and that staff, management,and contractors give proper priority and resources to this issue. The Sanitation District sets goals for itself to keep the number of notice of violations, inspection findings and offsite complaints to a minimum.We noted that the Sanitation District was not in conformance with some of the self-imposed requirements mainly relating to the Best Management Practices in the following areas: Contractor Notice of Violations,Significant Contractor Issues/Inspection and Off-site Complaints. Response: See the General Comments above regarding planned changes to this area.As with the previous finding,OCSD sets internal goals for peak performance(e.g., no Notice of Violations, no off-site complaints,and minimal issues). This ensures that if the performance of our contractors is less than ideal,staff, management, and contractors give proper priority and resources to the respective issues.The national standard,to which OCSD's biosolids management program is certified, requires that we"demonstrate oversight and control of our biosolids contractors." Therefore,OCSD works closely with our contractors to identify and resolve any issues that might jeopardize their sustainability,such as Notices of Violation, neighbor complaints and other significant site issues.Although OCSD chooses to contract some duties,we ensure the proper performance of these activities and OCSD monitors response through key performance indicators. Each issue is tracked and documented through OCSD's Biosolids Issue Tracker; a summary of all open issues that trigger an exceedence of the KPI are reported to management in the monthly report and discussed at a quarterly interdepartmental biosolids management team meeting. There was also a conformance issue relating to the number of on-site spills. The Sanitation District strives to keep the number of on-site spills zero at all times. However,there were two spills noted during the fiscal year ending June 30, 2010,which occurred on July 14,2009 and September 15, 2009. The cause of both spills was due to operator error.These conformance issues do not have an effect on the Sanitation District's performance relating to regulatory compliance since the issues noted relate to self-imposed requirements.We recommend the Sanitation District continuously monitor the different compliance and conformance areas to ensure operations are consistent with regulatory and self-imposed requirements. Response:OCSD believes that it is better to set goals that reflect expected peak performance and drive continual improvement. As stated in the responses above,setting goals in this manner is key to ensuring OCSD's goal of a sustainable biosolids program is realized and to ensure our high standards are implemented. Dewatering Compliance Program Finding#5 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Dewatering Compliance Program. Findings: Based on our conversation with various staff at the Sanitation District,there are currently no written programs or procedures in place to monitor on-site and off-site dewatering discharge.We recommend the District establish policies and procedures relating to the Dewatering Compliance Program. Mike White Page 4of6 Response:The Sanitation District currently has no plans to use the dewatering permit;however, Environmental compliance will use the ECAP system to assure the completion of monthly non- use certification reports as well as the permit renewal process. If use of the permit is anticipated in the future, Environmental Compliance will establish standard operating procedures for use of the permit. Discharge Monitoring Report Program Finding#6 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Discharge Monitoring Program.We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings:The Sanitation District utilizes an electronic system for environmental compliance, ECAP,which is used for tracking and monitoring environmental compliance. Inconsistent with other compliance programs in ECAP,we noted that the Sanitation District's National Pollutant Discharge Elimination System (NPDES)permit,which must be renewed every five years,does not have an obligation set-up to ensure timely filing for the permit.We recommend being consistent with other compliance programs and improving control by establishing an obligation in ECAP to remind staff of the requirement. Response: Staff agrees with this finding.As the renewal of the permit is pending,the new 5-year permit period will not begin until the new permit is issued. Once the permit is issued,the new renewal date will be added to the ECAP system along with the numerous other requirements of the new permit.The new permit is expected early in 2011. Finding#7 Procedures Performed:We reviewed a sample of monthly Discharge Monitoring Reports submitted during the fiscal year ending June 30,2010,which are used by the Sanitation District to ensure they are in compliance with the regulatory requirements set forth by the United States Environmental Protection Agency and the Regional Water Board.We also reviewed the current National Pollutant Discharge Elimination System(NPDES)Permit the Sanitation District has. Findings: Based on our review of the monthly Discharge Monitoring Reports,there was a compliance finding noted during the month of November 2009. The final effluent settleable solids grab sample result was 12 mUL. However,the maximum limit per the NPDES permit is 3 mUL. When a sample limit exceeds the required limit,the Sanitation District's Operations Manager is required to contact the United States Environmental Protection Agency and the Regional Water Board by submitting a staff report explaining the incident and what the Sanitation District plans to do to correct the issue. We verified the report was submitted to the regulatory agencies on November 19, 2009,and was properly addressed.We recommend the Sanitation District continue to follow its policy and procedure to monitor the wastewater that is discharged into the ocean on a regular basis to determine whether it is under the appropriate levels of certain chemicals as specified by the regulatory agencies.We reviewed the current NPDES permit the Sanitation District has and determined the permit expired in 2009 but is in effect until the Sanitation District obtains their new permit which has already submitted for renewal. Response: Finding noted. Mike White Page 5 of 6 Environmental Auditing Program and ECAP(Environmental Compliance Awareness Program) Finding#8 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with conformance requirements relating to the Environmental Auditing Program and ECAP(Environmental Compliance Awareness Program).We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: Based on our review of ECAP,we noted that there were some inconsistencies with the level of detail regarding the different compliance programs.There are some programs, such as the Air Quality Program,which has a very high level of detail by listing out all of the different compliance and conformance requirements. However,there are other programs, such as Storm Water,which do not have any compliance and conformance requirements listed.To remain consistent with all of the compliance programs,we recommend the Sanitation District thoroughly review each compliance area to determine all compliance and conformance requirements have been properly set up.This will help mitigate the risk that deadlines may be overlooked.This will also assist when there may be turnover because it will be easier for a new staff person to go into ECAP and review each area to determine the different requirements they may be responsible for. This finding was also noted in an internal audit conducted by the Sanitation District's Environmental Compliance and Regulatory Affairs Division which occurred in the beginning of the 2010 calendar year. Response: By January 31,2011 the Environmental Compliance Division will establish minimum criteria for all compliance areas within ECAP covering compliance, conformance and the knowledge base.An implementation schedule for the minimum criteria will be determined in consultation with subject matter experts. Hazardous Waste Program Finding#9 Procedures Performed: We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Hazardous Waste Program.We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings: Based on our review of the information in ECAP relating to the Hazardous Waste Program,we noted that there were some conformance areas not included in ECAP mainly relating to the following: recordkeeping of exception reports and biennial reporting.Although there are some compliance and conformance areas already included in ECAP,we recommend the Sanitation District thoroughly review the information listed in ECAP to ensure all pertinent information is included. Response:We are exempt from filing a biennial report and staff have updated ECAP to include exception reporting under waste manifest tracking. This program has been moved to the new Risk Management Division.We will provide these findings to them for further consideration. Mike White Page 6 of 6 Storm Water Program Finding#14 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Storm Water Program. We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings:The Sanitation District is currently not using ECAP to monitor the Storm Water Program because the staff member that is in charge of the program is fairly new to the program and is in the process of compiling the information.There is currently only one conformance task related to the program that is included in ECAP.To be consistent with the other compliance areas,we recommend the Sanitation District include all regulatory compliance and conformance issues in ECAP so that staff clearly understand what is required to be in compliance with the program. Response: See Response to#8 Finding above. Underground Storage Tanks Program Finding#16 Procedures Performed:We inquired with personnel involved with monitoring and supervising the program to obtain an understanding about the Sanitation District's process for ensuring compliance with regulatory and conformance requirements relating to the Underground Storage Tanks Program.We also tested internal controls over compliance and performed a transaction walkthrough test for each procedure to determine the proper procedures were being followed as designed. Findings:The Sanitation District currently has only one Underground Storage Tank(UST) Designated Operator in the Operations Department. It is the responsibility of the UST Designated Operator to receive an annual certification.To maintain compliance with the UST program,we recommend the Sanitation District designate an alternate UST Designated Operator in the event that the current UST Designated Operator may be unable to fulfill his duties.This recommendation was previously made by the Sanitation District's Environmental Compliance and Regulatory Affairs Division to the supervisor for the current Designated Operator. Response:This Finding will be provided to the Maintenance Supervisor in the Operations and Maintenance Department for further action. JC:jb H.\dept\eng\790\Manager\MEMOS\Mike White AUP Memo 10 410.doc cc: J. Herberg E.Torres Audit File ADMINISTRATION COMMITTEE Meeting Date To Bd. of Dir. 10/13/10 AGENDA REPORT Item Number Item Number 6 Orange County Sanitation District FROM: James D. Ruth, General Manager Originator: Lorenzo Tyner, Director of Finance & Administrative Services GENERAL MANAGER'S RECOMMENDATION Informational item regarding the Information Technology Three-Year Strategic Plan - FY2010 - 2013. SUMMARY The Information Technology Strategic Plan (ITSP) aligns Information Technology with OCSD's mission, vision, and business goals, and establishes the overall goals and direction of the IT efforts at OCSD. In 2008, IT internally developed a three-year strategic plan. The resources necessary to implement the plan are committed during OCSD's two-year budget cycle. The ITSP is updated to coincide with this budget cycle. The attached three-year ITSP is the culmination of the endeavor to create the plan that ties Information Technology's efforts directly to OCSD's strategic plan. The creation of the ITSP involved the following actions: • Assess the current state of IT. • Assess the needs of the agency to fulfill the Strategic Plan. • Determine the gaps between the current state and the technology requirements. • Determine general and specific solutions to fill those gaps. • Develop annual IT roadmaps and work plans using the IT governance process and projected availability of resources. • Obtain funding for IT efforts identified in the ITSP. Based on the above actions, specific goals and levels of service were defined that IT needs to achieve to realize the vision, goals, and service levels of OCSD. High level goals include improving our computing infrastructure, completing a document management system, and continue to implement best practices frameworks. Finally, recommendations were developed to budget for specific efforts. Richard Castillon, the District's Information Technology Systems and Operation Manager, will present the ITSP at the Administration Committee Meeting and discuss IT's strategy going forward. Page 1 of 2 PRIOR COMMITTEE/BOARD ACTIONS March 2008 — Approved Information Technology Three-Year Strategic Plan. ADDITIONAL INFORMATION None. CEQA N/A BUDGET / DELEGATION OF AUTHORITY COMPLIANCE N/A ATTACHMENTS 1. Information Technology Strategic Plan FY 2010-13 J DR:LT:RC Page 2 of 2 Information Technology Three - Year Strategic Plan Orange County Sanitation District July 2010 Orange County Sanitation District Information Technology Three -Year Strategic Plan Fiscal Years 2010-201 1 201 1 -2012 2012-201 3 Orange County Sanitation District 10844 Ellis Avenue, Fountain Valley, CA 92708 714-962-2411 www.ocsd.com TABLE of CONTENTS INFORMATION TECHNOLOGY STRATEGIC PLAN PROJECT TEAM............... i MESSAGE FROM THE IT SYSTEMS and OPERATIONS MANAGER....................ii EXECUTIVE SUMMARY............................................................................... i i i OCSD MISSION and VISION......................................................................... 1 OCSD MISSION STATEMENT............................................................... 1 OCSD VISION STATEMENT................................................................. 1 INFORMATION TECHNOLOGY MISSION and VISION................................... 2 Information Technology Mission Statement....................................... 2 Information Technology Vision Statement......................................... 2 Information Technology Guiding Principles ....................................... 2 GOALS and OBJECTIVES.............................................................................. 4 Goals Completed in the Past Year ..................................................... 4 StrategicGoals ................................................................................. 5 Telecommunications System ....................................................... 5 Enterprise Content Management (ECM)........................................ 6 Emergency Operations And Business Continuity.......................... 6 Network Infrastructure................................................................ 7 Enterprise Obsolescence ............................................................. 7 Critical Infrastructure and Cyber Security..................................... 8 Implement Best Practices Framework........................................... 8 SERVICES..................................................................................................... 9 INFORMATION TECHNOLOGY APPLICATIONS ..................................... 9 Infrastructure.............................................................................. 9 Hardware.................................................................................... 9 Systems Software And Utilities .................................................. 10 Enterprise Applications ............................................................. 1 1 Business Unit Applications ........................................................ 12 INFORMATION TECHNOLOGY ORGANIZATION AND SERVICES .......... 13 Staffing..................................................................................... 14 Funding .................................................................................... 17 Departmental Applications........................................................ 17 INFORMATION TECHNOLOGY DECISION MAKING ............................. 18 Technology Governance Committees......................................... 18 Project Management Office (ITPMO)........................................... 20 Technology Standards............................................................... 20 Computing Policies And Procedures .......................................... 20 FINANCIAL SUMMARY AND IMPLEMENTATION PLAN .............................. 21 Appendix A - Future IT Centralized Operating Budget................................ 22 Appendix B - New Operational & Infrastructure IT Projects......................... 23 Appendix C — New Line of Business IT Projects ........................................... 26 Appendix D - Governance Calendar........................................................... 32 Appendix E - Glossary of Terms................................................................. 33 INFORMATION TECHNOLOGY STRATEGIC PLAN PROJECT TEAM Lorenzo Tyner..................Director of Finance &Administrative Services Rich Castillon ..................IT Systems and Operations Manager John Swindler...................IT Manager Warren Sternin................IT Supervisor Mike Herrera....................Principal IT Analyst Rob Michaels....................Principal IT Analyst Paul Krzysiak....................Principal IT Analyst Pongsakdi Cady................Principal IT Analyst Eric Hsieh.........................Principal IT Analyst Henry Salgado..................Principal IT Analyst Pinky Burke......................Staff Analyst/Strategic Plan Coordinator i MESSAGE from t h e IT SYSTEMS and OPERATIONS MANAGER During the last decade, the Information Technology(IT) Department has operated effectively to provide IT services and technology solutions that improve business efficiencies at the Orange County Sanitation District(OCSD). As resources have become scarce, it has been important that we implemented a governance process in which all stakeholders gave necessary input to prioritize and assign IT resources. This decision making process now places IT resources where they are needed the most. Following our strategic planning process, I am proud to present this plan that continues charting our course for the next three years. The mission, vision, and guiding principles adopted as part of the previous plan continue to form the building blocks for our continued success. As IT staff relocated to the administration building, we began the effort of reorganizing in a framework that adopts the Information Technology Infrastructure Library(ITIL) standard. This standard is a collection of best practices that aim to improve and then maintain a certain level of computing services quality in the information technology sector.All of the IT technical staff attended the multi-day ITIL foundation training and over 90% of those obtained certifications. IT reorganized to incorporate the prescribed functions and is phasing in formal implementation of the 24 ITIL processes. IT staff has expended a tremendous effort to define operating and solutions initiatives and implement a detailed planning process to match initiatives with available resources. Combined with the governance process, these efforts form the baseline for the centralized IT budget. Line items for annual technology operating and capital expenses will be included in OCSD's next two year budget. The Strategic Plan for IT should be viewed in concert with OCSD's Strategic Plan and the District's budget. Together, these documents plan for information technology now and in the future.We will review and update this plan annually to adjust goals and expenditures as changing conditions dictate. I am grateful to the IT team and the many people and executive sponsors in the OCSD community who contributed their time, ideas„ and feedback to the strategic planning process. I extend special thanks to Water &Wastewater CIO forum and the Municipal Information System Association of California who act as peers in collaborating within local government to contribute to the success of our IT operations. Respectfully submitted, Richard A. Castillon IT Systems and Operations Manager ii EXECUTIVE SUMMARY In January 2008, OCSD's Executive Management Team (EMT) adopted a new comprehensive IT strategic plan. This plan aligned IT with the Orange County Sanitation District's (OCSD) mission, vision, and business goals and established the overall goals and direction of the IT efforts at OCSD. This ITSP closely followed the new Orange County Sanitation District Five-Year Strategic Plan. This year, the IT Strategic Plan is being updated to continue looking forward at a three- year horizon. Following a similar process to last year's plan, senior IT staff interacted with senior technical staff in all divisions to determine their business needs and explore business process improvements. Once this information was gathered, the IT Systems and Operations Manager met with division managers to validate the information and get their input on current and future technology needs required to support their respective operations. These sessions were followed-up with meetings with the Managers Team (MT) and the EMT to discuss and prioritize changes and additions to the plan. Driven by our mission,vision, and guiding principles, this Strategic Plan, updated for 2010, continues our aggressive efforts to enable OCSD to achieve its vision and levels of service by maximizing the contribution of technology solutions. In the past year, significant progress was made in most of the goals and the goal to implement a collaboration framework was completed. This year, we will add the objective to utilize emerging technologies to increase efficiencies that can reduce OCSD's projected environmental footprint. This Strategic Plan will continue to address the objectives and challenges facing Information Technology and OCSD now and into the next three years. • Participate as business leaders at the enterprise level • Integrate tightly with OCSD's business units • Address solutions from a business perspective at the enterprise balcony • Enhance visibility of compliance of Key Performance Indicators (KPIs) using business intelligence tools • Use governance models to make decisions on proposed large technology- driven efforts • Identify annual technology budget requirements • Reduce "islands of information"with integrated database solutions • Continue to promote and update our Geographic Information System (GIS) This ITSP will continue to be updated each budget cycle to reflect and support the latest OCSD goals and changing levels of service. This is the opportunity, using best practices, to enhance the way OCSD serves its mission of protecting the public health and the environment by providing effective wastewater collection, treatment, and recycling using well planned and managed information technology. iii OCSD MISSION and VISION OCSD MISSION STATEMENT The OCSD Mission Statement is the basic foundation that defines why the Orange County Sanitation District exists. "We protect public health and the environment by providing effective wastewater collection, treatment, and recycling." OCSD VISION STATEMENT The Vision Statement supports the Mission Statement by expressing a broad philosophy of what the Orange County Sanitation District strives to achieve now and in the future in the delivery of services to our customers,vendors, other agencies, the general public and each other. The Orange County Sanitation District is committed to: • Making decisions in an open and honest way to produce optimum financial, environmental and societal results. • Cooperating with other stakeholders to protect the ocean and regional water resources for the people we serve. • Beneficially recycling wastewater, biosolids and other resources using safe and effective processes and systems. • Developing the best possible workforce by providing employees with opportunities to advance their careers through enhanced growth, responsibility, and professional development. I INFORMATION TECHNOLOGY MISSION and VISION Information Technology Mission Statement We enable the Orange County Sanitation District to achieve its vision and levels of service by maximizing the contribution of technology solutions. Information Technology Vision Statement We are recognized for our leadership and technical proficiencies and for our ability to seamlessly partner with our customers to create and deliver high quality services and sound business solutions that are consistent within our industry. These services are delivered through a robust infrastructure that is modern, secure, responsive, reliable and available. To achieve this vision, the IT Division is committed to the following Guiding Principles. Information Technology Guiding Principles These guiding principles are formed from a broad and high-level perspective. They will guide IT for many years to come, irrespective of changes in its goals, strategies, type of work, or the top management. • Adopt and implement a set of best practices as defined in recognized IT programs Using best practices such as the Information Technology Infrastructure Library (ITIL) provides operational guidance that enables our IT organization to achieve system reliability, availability, supportability, and manageability of IT products and technologies. Using these practices to guide our organization,we will be able to assess our current IT service management maturity, prioritize the processes of greatest concern, and apply proven principles and best practices to optimize the management of our various platforms. • Utilize a broad collection of partners to act as virtual IT team members This virtual extension of the IT staff provides consulting and partnering as well as hardware, software, networking, hosting, and support services. In the future, external partners will be the primary owners and suppliers of select technologies which will focus on their core competencies of building and running applications. Interfacing with our peers will provide networking opportunities and coalitions to solve common problems while sharing resources. 2 • Make the best possible business decisions in which IT staff uses a business-driven consultative approach IT is no longer just a service provider;we cross organizational boundaries and therefore need to develop relationships while becoming intimately familiar with the business processes of the divisions that we support. IT staff needs to become stewards of corporate information and partner with our customers to generate ideas for business innovation. • Increase IT's commitment to proactively stay on top of new and emerging technologies and practices to ensure quality and cost-effective solutions As IT moves from being an "IT service provider" towards a "value-added business partner",we must have practical awareness of current applications, platforms, and technologies in order to offer technology solutions. IT will move to cross-training staff and will invest in technical training to ensure competencies. • Simplify solutions to lower ongoing maintenance and support costs Support costs greatly exceed initial procurement costs. IT will standardize on hardware and software and move to consolidate the number of servers. Whenever possible,we will avoid customizing commercial off the shelf software and instead, encourage business process change to match the software. We will use an enterprise approach in designing and integrating solutions and avoid building islands of information. 3 GOALS and OBJECTIVES Goals Completed in the Past Year During the past year, the following goals were completed: Telecommunications System • Replaced the PBX telephone system with a new digital system • Provided a new Unified Messaging System • Repaired all existing Public Address Systems and expanded the system • Acquired cellular smart phone technologies • Provided remote connectivity in OCSD off-site vehicles Enterprise Content Management • Adopted a formal Enterprise Content Management(ECM) initiative • Developed a forms library architecture • Procured hardware and software for the ECM project Network Infrastructure • Defined the campus wireless infrastructure • Initiated a pilot program for process area wireless network access • Increased data storage for archival data Enterprise Obsolescence • Selected and began installing a new Computerized Maintenance Management System • Replaced obsolete servers and desktop computers • Replaced obsolete major enterprise hardware Collaboration Tools • Architected and implemented collaboration tool suite • Implemented enterprise search capabilities • Selected an integrated workflow platform • Designed and implemented executive dashboards to monitor key performance initiatives Critical Infrastructure and Cyber Security • Participated with Water Sector Coordination Council to draft national standards • Received "Best Practices" certification at both divisional and individual levels 4 Strategic Goals Completing the following goals enable OCSD to provide effective wastewater collection, treatment, and recycling. These goals target areas that will effectively enable IT to fulfill our mission of maximizing the contribution of technology solutions. In order to keep the goals as meaningful as possible, we have limited their horizon to the next 36 months. In some cases, full implementation of a goal or objective will require additional objectives that have not yet been included in this document or budgetary resources that are not yet available. The underlying goals and objectives will be evaluated during the initial undertaking of this strategic Plan and updated annually. Solutions specific to divisional needs identified during the ITSP interview process are identified in the Financial Section of this strategic Plan. The IT Project Management Office (PMO) controls local project plans for each goal that includes operationalizing each goal, responsible parties, resource requirements, and metrics to measure progress. The local project information is sent to the OCSD Agency PMO where the project plans rollup into the Agency project plan. Goal 1 : Telecommunications System OCSD's former PBX telephone system has been replaced with an Internet Protocol UP) enabled system that is integrated with our network and email system. Completing the unified messaging infrastructure will permit users to retrieve and send voice, fax, and e-mail messages from a single interface, whether it be a wired phone,wireless phone, PC, or Internet-enabled PC. Our current Public Address system has been upgraded to include all normally occupied buildings. Additions to the system will ensure that emergency announcements will be audible in select plant process areas. Telecommunication systems will be extended to field staff through wireless networking and staff will have real-time connectivity to OCSD's computer applications via the internet. The Federal Communications Commission has mandated that our current plant radio system be replaced with new technology. The replacement effort will include all base radios, mobile radios, and handheld units. Objective 1.1: Complete the expansion of the enterprise public address (PA)system Objective 1.2: Complete the implementation of the wireless infrastructure Objective 1.3: Provide remote connectivity to plant field staff Objective 1.4: Complete the configuration of the unified messaging system Objective 1.5: Replace the plant radio system 5 Goal 2: Enterprise Content Management (ECM) The OCSD IT Steering Committee authorized development and installation of an ECM system. Based on Microsoft SharePoint, this solution will allow all departments to facilitate collaboration with staff and outside parties and supply access to information that is essential to organizational goals. Solutions will be available to effectively implement business processes and provide data repositories on key performance indicators. There will also be a simple library where forms can be accessed, filled out, sent, and authenticated in a paperless environment. A comprehensive ECM solution will address records management, document management, image management, content management,workflow, and collaboration. The fully developed enterprise system will include all of OCSD's major computer activities such as financial, plant operations, Human Resources and Maintenance. The final system will share information to provide a single data source for reporting and decision making. Objective 2.1: Complete the development of an enterprise taxonomy Objective 2.2: Upgrade the current software based framework to support the ECM process Objective 2.3: Identify, upgrade, and install applicable plug-in software applications Objective 2.4: Continue to populate the forms library Objective 2.5: Execute the complete enterprise ECM plan Goal 3 : Emergency Operations and Business Continuity OCSD has been prudent in developing solutions to recover water treatment processes in the event of an emergency. The current Emergency Operations Center(EOC) lacks significant technology to coordinate OCSD's operations with outside agencies. Such technology must be identified, acquired, and implemented in our current and future EOC. A business continuity plan that prepares business functions for future incidents that could jeopardize the organization's core mission and its long-term health needs to be developed. This includes creating an offsite location where operations essential to OCSD would be relocated. This site requires computing and telecommunication resources and data be made available to continue operations. Objective 3.1: Be a leader on the team that develops the Business Recovery Plan Objective 3.2: Architect the new Business Recovery Site Objective 3.3: Virtualize applications wherever possible to shorten recovery time Objective 3.4: Identify and architect an Emergency Operations Site Objective 3.5: Identify, procure and install appropriate software and hardware for each site 6 Goal 4: Network Infrastructure The wastewater treatment process facilities are currently undergoing major capital improvements. Much of the equipment has built-in intelligence and must be connected to the process network as inputs to local computer resources. The information is eventually input in to the Supervisory Control and Data Acquisition (SCADA) system,which needs to be isolated from the office network. The current process network needs to be greatly expanded to handle the increase in secure traffic. Fail-safe connectivity between Plant 1, Plant 2, and the remote pump stations needs to be designed and installed. The process areas of the plant shall be covered with wireless communication access to the network to allow staff access to the computing resources required to fulfill their mission. With this increased data growth, new data storage capacity will be calculated and installed. Objective 4.1: Architect and implement a new Plant Process Network that meets the required capacity and security requirements Objective 4.2: Create Wireless Campus Process Areas for each Treatment Plant Objective 4.3: Architect and implement a complete Data Storage Solution that addresses current and future data growth Objective 4.4: Install a new Interplant Fiber Optic Line Objective 4.5: Provide network connectivity for the new remote facilities Objective 4.6: Update network connectivity to the pump/lift stations Goal 5: Enterprise Obsolescence Major OCSD enterprise software systems are nearing the end of their supported live span. Studies will be scheduled to determine the replacements of select systems along with associated budgets required to design, install, and support such systems. Hardware systems that are at end- of-life include plotting and printing systems as well as server and desktop systems. Objective 5.1: Complete the replacement of the current Computerized Maintenance Management System (CMMS) Objective 5.2: Develop a plan to replace or reliably extend the life of the current SCADA System Objective 5.3: Complete the plan to analyze the future of the current Enterprise Resource Planning(ERP) System Objective 5.4: Finalize the replacement of the current Piping and Instrumentation Diagram (P&ID) System Objective 5.5: Utilize emerging technologies to increase efficiencies that can reduce OCSD's projected environmental footprint 7 Goal 6: Critical Infrastructure and Cyber Security The Department of Homeland Security(DHS) recognizes the Water/Waste Water sector as a critical infrastructure. As such,we partner within the sector to design and improve the security of the nation's critical infrastructure. We will develop a plan to reduce cyber threats and vulnerabilities as well as protect critical information from the general public. Objective 6.1: Define and identify information that is required to be secured Objective 6.2: Secure critical infrastructure information from the general public Objective 6.3: Develop systems to make public information available as per the Public Records Act Objective 6.4: Ensure the SCADA system is protected in accordance with national standards Objective 6.5: Use the DHS supplied Cyber Evaluation Tool to self-assess our cyber security posture Objective 6.6: Implement a formal Information Security Program Objective 6.7: Maintain "Best Practices"certification Goal 7: Implement Best Practices Framework The Information Technology Infrastructure Library(ITIL) defines processes, lifecycle concepts, roles, and functions as an internally accepted approach to manage IT services. Using the ITIL framework,we will formally adapt and adopt this integrated IT Service Management framework within our organization. Objective 7.1: Ensure tasks associated with IT Services are captured in the established Service Desk application Objective 7.2: Develop and maintain formal Service Portfolios and Catalogs Objective 7.3: Complete the implementation of the Problem Management process Objective 7.4: Develop and maintain a Capacity Management process Objective 7.5: Develop and maintain a Security and Access Management process Objective 7.6: Develop and maintain a Release and Deployment process 8 SERVICES The following pages define the computer, network, application and related- infrastructure environment at the Orange County Sanitation District. These resources support a user population of approximately 725.Approximately 625 of these are employees; the balances are contractors. 1. Information Technology Applications This section of the ITSP identifies the technology areas for which Information Technology is responsible. The standards for these particular areas change often and are available through Information Technology management. 1.1.Infrastructure Low voltage cabling and radio systems that carry voice or data packets and associated peripherals are the responsibility of the IT division. 1.1.1. Data and Voice Cables: Cables in the facilities that are used to carry data or voice traffic to or from servers,workstations, telephones, or video devices. 1.1.2. Microwave System: The radio system that connects the treatment facilities. 1.1.3. Cable Distribution and Management: The racks and patch panels that interconnect the cable systems throughout the facility. 1.1.4. Fiber Optic Cabling: The fiber that connects buildings and process areas throughout the facilities. 1.1.5. Wireless Access: Wi-Fi and cellular coverage to our devices capable of receiving these signals 1.1.6. Process Peripherals: Fiber to copper transducers used in the process areas. 1.2.Hardware These are the physical devices making up a computer system. IT maintains standards for the device and its configurations. 1.2.1. Telephone System: The voice communication system in use at our facilities. It includes the Voice-Over Internet Protocol (VOIP) infrastructure, desktop phones, and cellular phones. 1.2.2. Radio System: Includes the radio transmitter, repeaters, consoles, and hand-held radio units. 1.2.3. Public Address System: Speakers, amplifiers, and interfaces that broadcast messages to staff. 1.2.4. Network Distribution: Routers, switches, and other network devices that manage traffic on our data and voice network. 9 1.2.5. Fire &Security Systems: Cameras, sensors, monitors, alarm panels, and card access devices that connect to our life safety systems. 1.2.6. Servers: File servers, web servers, application servers, database servers and virtual server hosts distributed throughout the facilities. 1.2.7. Computer Workstations: Personal computers (PCs), notebooks, and tablet computers assigned to OCSD staff. 1.2.8. Printers: Printers and multifunction devices used to print, fax, and scan documents. 1.2.9. Network Storage&Backup: Devices that backup and store data associated with the servers. 1.2.10. Cellular Devices: Cell phones and Personal Data Assistants (PDAs) assigned to designated staff. 1.2.11. Reprographics: This includes management of the Copy Center that provides copying/reproduction services staffed by dedicated personnel. This also covers management of all Xerox multi-function printers including service maintenance and equipment supplies. 1.2.12. Mailroom:This includes processing of incoming and outgoing mail as well its internal and external mail distribution. 1.3.Systems Software and Utilities These include the software used by the hardware devices and are configured and maintained by IT. The tools and utility software defined below constitute the IT software; they are used to provide interfaces and integration between enterprise and departmental applications and serve to fill the functional gaps in commercial off-the-shelf software. 1.3.1. Server Operating Systems: The operating systems that run on the file, web, application and back end servers at OCSD. 1.3.2. Workstation Operating Systems: The operating system versions currently supported for PCs, notebook, and tablet computers in use at OCSD. 1.3.3. PDA Systems: The operating systems used in PDAs at OCSD. 1.3.4. Database Engines: The database engines for all of OCSD's informational databases. 1.3.5. Report Writing Software: The report writing tools that allow users to access the informational databases. 1.3.6. Telephone Conference Bridge: This allows OCSD to host activities where multiple users call a toll-free phone number to participate in an audio tele-conference. 1.3.7. Application Development Tools: The programming languages used to develop software applications. 1.3.8. Website Management Tools: The tools used to create and manage content of OCSD's internet and intranet. 1.3.9. Internet Monitoring Tools. The tools used to manage and monitor access to outside websites. 10 1.3.10. Network Security Tools: The firewalls, routers, and intrusion detection systems that protect OCSD's network from viruses, spam, spyware and unauthorized entry. 1.3.11. System Management Tools: The tools used to distribute and monitor applications and patches and to monitor and control system readiness. 1.3.12. Help Desk Tool: The application that receives and tracks calls to the Service Desk. 1.4.Enterprise Applications These are the software systems that are used for general business functions throughout OCSD and are not a solution for a specific business unit. 1.4.1. Desktop Office Systems: 1.4.1.1. Word Processing 1.4.1.2. Spreadsheets 1.4.1.3. Presentations and Graphics 1.4.1.4. Email 1.4.1.5. Calendaring 1.4.1.6. Printing&Scanning 1.4.2. Web Browsers: 1.4.2.1. Internet Web Browser 1.4.3. Electronic Messaging System: 1.4.3.1. Email system 1.4.4. Enterprise Content Management(ECM): 1.4.4.1. Records Management 1.4.4.2. Document Management 1.4.4.3. Image Management 1.4.4.4. Content Management 1.4.4.5. Workflow 1.4.4.6. Collaboration 1.4.5. Telephone Systems: 1.4.5.1. Telephone Voice Over I/P 1.4.5.2. Telephone voice mail 1.4.6. Internet Services 1.4.6.1. Public website content management 1.4.7. Intranet Services 1.4.7.1. Internal website content management 1.4.8. Enterprise Resource Planning(ERP) System 1.4.8.1. Finance module 1.4.8.2. Payroll module 1.4.8.3. Human Resources module 1.4.8.4. Purchasing module 1.4.8.5. Warehouse module 11 1.4.9. Geographic Information System (GIS) 1.4.9.1. Create and distribute GIS content 1.4.10. Business Intelligence Tools 1.4.10.1. Create and distribute complex data reports 1.4.11. Cable Management System: 1.4.11.1. Document fiber optic cable information and locations 1.4.12. Data Warehouse: 1.4.12.1. Document and store treatment plant process information 1.4.13. Citizen Relationship Management (CRM) System: 1.4.13.1. Document, store, and route citizen complaints and comments 1.4.14. Timekeeping 1.4.14.1. Electronic Time Sheet 1.4.15. Mathematical Analysis 1.4.15.1. Statistical Analysis 1.4.15.2. Mathematical Simulations 1.4.16. Life Safety 1.4.16.1. Fire Alarm System 1.4.16.2. Closed Circuit Television (CCTV) 1.4.16.3. Card Access System 1.5.13usiness Unit Applications These are the major applications that are implemented and operated for the benefit of specific business units, even though access to certain modules may be distributed to other business units. IT and/or the Process Control Integration groups initiate integration of these applications into other processes. 1.5.1. Operations and Maintenance 1.5.1.1. Supervisory Control & Data Acquisition (SCADA) System 1.5.1.2. Computerized Maintenance Management System (CMMS) 1.5.1.3. O&M electronic library 1.5.1.4. Vibration Monitoring 1.5.1.5. Thermal Imaging 1.5.1.6. Electrical Load Monitoring Program 1.5.1.7. Energy Management 1.5.1.8. Engine Control System 1.5.1.9. Monthly Summary of Operations 1.5.1.10. Truck weighing 1.5.2. Engineering 1.5.2.1. Project Management 1.5.2.2. Program Control System 1.5.2.3. Computer Aided Design (CAD) 1.5.2.4. Flow Modeling 12 1.5.2.5. Schedule Analyzer 1.5.2.6. Capital Improvement Program 1.5.2.7. Computerized Emission Management System 1.5.2.8. Industrial Pre-Treatment 1.5.2.9. Reliability-Based Maintenance 1.5.2.10. Non-Industrial Pre-Treatment 1.5.2.11. Biosolids Tracking 1.5.2.12. Environmental Compliance and Awareness Program (ECAP) 1.5.2.13. EPA Permitting and Reporting 1.5.2.14. Construction Management 1.5.2.15. Engineering Library 1.5.3. Laboratory 1.5.3.1. Laboratory Information Management System (LIMS) 1.5.3.2. Chromatography Data System 1.5.3.3. Instrumentation-specific Applications 1.5.3.4. Ocean Monitoring 1.5.4. Facilities Support Services 1.5.4.1. Dig-Alert 1.5.4.2. Fleet Management System 1.5.4.3. Sewer Lines TV 1.5.5. Finance 1.5.5.1. General Ledger 1.5.5.2. Accounts Payable 1.5.5.3. Accounts Receivable 1.5.5.4. Budget 1.5.5.5. Fixed Assets 1.5.5.6. Payroll 1.5.5.7. Purchasing 1.5.5.8. Online Bidding 1.5.5.9. Warehousing 1.5.5.10. Contract Management 1.5.6. Human Resources 1.5.6.1. Position Control 1.5.6.2. Employee Information 1.5.6.3. Applicant Tracking 1.5.6.4. Succession Management 1.5.6.5. Performance Management 2. Information Technology Organization and Services The Information Technology Division is organized in a framework to effectively address the mission, vision and goals of the organization. OCSD is committed to provide resources (people, training, funding, facilities and resources) necessary to 13 provide a level of support necessary to support the goals and applications identified in the prior sections. 2.1.Staffing In developing the IT organizational structure, services and solutions are identified that are essential to provide OCSD business units with the structure necessary to support their missions. 2.1.1. IT Management 2.1.1.1. Information Technology Systems and Operations Manager This position is the Information Technology Leader who at the enterprise level, works with other departments to develop strategies to achieve organizational goals and make the enterprise more effective. This position provides leadership, vision and perspective to allocate and support technology resources. This position partners with industry peers, suppliers, and solution providers. 2.1.1.2. Information Technology Manager This position manages day-to-day customer support for all aspects of the division while providing programming and support to address the IT portfolio of projects. This position is the primary liaison between the project development team and the operations groups, and covers configuration management and software control and distribution. 2.1.1.3. Staff Analyst This position provides a variety of analytical and administrative duties in support of IT management including budget coordination, planning and analysis. This position represents the Administrative Services Division as a member of the agency's Management Services Team. 2.1.1.4. Administrative Assistant This position performs a variety of secretarial, advanced clerical, and routine administrative work in support of IT staff and maintains all IT maintenance agreements. 2.1.1.5. Records Management Specialist This position performs a variety of analytical and administrative duties involved in the development, implementations, and administration of the records management program. 2.1.2. IT Services The IT Services function ensures that all of the IT services being provided to customers are aligned to the customers' need for them. This role is fulfilled by a team of Principal IT Analysts who act as business analysts and interface regularly with the various business units. 14 2.1.3. Infrastructure Support This team proactively supports the evolving enterprise architecture and ensures that plans are in place to meet the new and changing requirements of running the business from a networking backbone, telecommunications, hardware, and software perspective. They support enterprise architecture, infrastructure engineering, capacity management, the telephone system, and the life safety(fire and security) systems. Additionally, they provide technicians to support desktop hardware. 2.1.3.1. Principal Information Technology Analyst This position is the team leader and interacts directly with IT Management. 2.1.3.2. Senior IT Analysts These senior level staff members provide highly advanced infrastructure support. 2.1.3.3. IT Analysts These staff members provide specialized infrastructure support. 2.1.4. IT Operations and Support This team provides production-systems tasks necessary to run IT on a daily basis and includes the service desk, incident, and problem management functions while providing production support for custom and commercial off-the-shelf applications. Enterprise operations roles include dedicated specialties such as messaging, system administration, tape backup and restore, server support, and database administration. 2.1.4.1. IT Supervisor This position supervises the Service Desk and IT Operations staff members. 2.1.4.2. Principal Information Technology Analyst This position is a team leader and interacts directly with IT Management. 2.1.4.3. Senior IT Analyst These senior level staff members provide highly advanced operations support. 2.1.4.4. IT Analysts These staff members provide specialized operations support, staff the Support Desk and provide specialized hardware and software support. 2.1.4.5. IT Technician This position provides technical assistance to system users for computer and network related problems and installs, troubleshoots, repairs, and maintains telecommunications, data, and computer equipment. 15 2.1.5. Security The primary goals of the Security function are to protect information from being compromised and ensure data confidentially, integrity, and availability. 2.1.5.1. Currently, this function is housed within the Operations function. 2.1.6. Solutions This team provides software development and deployment required to successfully deliver technology solutions,while minimizing risk and producing high quality results. The team functions through a disciplined approach to managing technology projects based on industry best practices in software development and project management. The IT Project Management Office and the associated certified project management staff are included in this function. 2.1.6.1. Principal Information Technology Analyst These positions provide team leadership for programming and database and project management functions and interact directly with IT Management, the IT Services Team, and the customer. This level also provides enterprise Project Management support. 2.1.6.2. Senior IT Analysts These senior level staff members provide highly advanced programming and solutions support. This level also provides local Project Management support. 2.1.6.3. IT Analysts These staff members provide general programming support. 2.1.7. Facilities Records The facilities records function ensures that "as-built" facility and process area records and data are captured and up to date. The group provides GIS mapping and CAD support and maintains the Engineering Library with associated documents while keeping CAD and GIS standards current. 2.1.7.1. Senior IT Analyst This position provides functional leadership and highly advanced operations and GIS support. 2.1.7.2. Engineering Associate This position supports engineering staff with documents and reports from the design phase through the bidding process and reconciles reports and drawings with the enterprise GIS application. 2.1.7.3. Engineering Data Management Specialists This position maintains plant facility models and documents while maintaining data quality in the associated databases. 16 2.1.7.4. Engineering Assistants This position acts as an enterprise CAD resource and validates associated attributes and data. Staff also maintains the engineering library. 2.1.8. CMMS Group The CMMS Group configures and loads the maintenance management system with accurate data. The group actively ensures that data standards are adhered to during CIP design and delivery for all new plant projects. This data is checked for quality and loaded into the CMMS. This unit produces datasets as requested and maintains the Operations &Maintenance library. 2.1.8.1. Maintenance Supervisor This position supervises the CMMS staff as wells as the administration of the associated data, models, and documents. 2.1.8.2. CMMS Technicians These staff members validate, organize,validate, and load electronic data into the CMMS database and administer the CMMS application. 2.2.Funding Funding for IT assets is generally centralized and contained in the IT budget. Select enterprise technology solutions or large-scale improvements are funded through the Capital Improvement Program (CIP). CIP efforts that contain technology are approved through IT and contain line items to cover IT related software and hardware and the associated acquisition, management, and support costs. The associated budgets are: 2.2.1. Operating Budget for salaries and other expenses less than$5,000 and a life less than five years budgeted on an annual basis are recognized through the ITSP. 2.2.2. Equipment Budget for equipment(including software) greater than $5,000 and a life of at least than five years budgeted on an annual basis; these expenses are recognized through the ITSP. 2.2.3. Capital Improvement Program Budget for salaries and other expenses pertaining to and recognized in a specific project. 2.3.Departmental Applications The appropriate IT Service Team member identifies solutions to departmental business needs. The business unit technical leader works with the IT Service Team member to create a business case. The solution must support installation of an IT approved platform and hardware. Depending on the cost of the solution and the resource requirements, the solution is approved by either the IT Technical or IT Steering Committee before it is added to the ITSP. The IT Steering Committee approves the budget and assigns the effort to the appropriate budget year. Included in the solutions costs are: hardware and 17 software acquisition costs, third party consultant costs, annual licensing costs, and annual maintenance agreement costs. As required, IT will provide or participate in project management and in conjunction with the vendor, install the application, if required, configures the database, and integrates with other departmental and enterprise systems. 3. INFORMATION TECHNOLOGY DECISION MAKING IT Governance is the set of authorities, processes and procedures whereby key strategic and operational decisions are made and aligned with OCSD's strategic plan and business goals. OCSD uses IT Governance to: oversee information technology investments; identify business needs that are candidates for technology solutions; develop enterprise information strategies, policies and standards; structure how OCSD aligns IT strategy with business strategy; review, authorize, sponsor and prioritize enterprise technology efforts from a business perspective; stay abreast of project progress and resolve high level issues; ensure all stakeholders and interests are taken into account and that processes provide measurable results; and build and maintain IT relationships with OCSD's business units. 3.1.Technology Governance Committees 3.1.1. Information Technology Steering Committee OCSD has established an Information Technology Steering Committee comprised of members of the Executive Management Team and the IT Operations &Support Manager. The committee supports the development of enterprise information strategies, policies and standards, overseeing information technology investments and creating a secure and efficient information management environment. This must be done in the proper context of business strategies and operational requirements. The committee will meet at least twice a year to review the status and progress of the ITSP and will meet to approve changes in the IT Portfolio as recommended by the Management Team. In discharging its responsibilities, the Committee shall have the sole authority to, and shall, do the following: • Identify business needs that are candidates for technology solutions • Review, authorize, sponsor and prioritize enterprise technology efforts • Authorize Technology CIP, CORF and special Operating Budgets • Stay abreast of project progress and resolve high level issues • Provide feedback or direction to staff • Gain better understanding of Information Technology and how it can be used at OCSD 3.1.2. Information Technology Technical Committee This committee was formed to support the IT Steering Committee and to represent line of business units in respect to business processes and their integration with technology. A governance calendar is put together 18 annually identifying the key deliverables, reports, review meetings, and processes; see Appendix D. In discharging its responsibilities, the Committee and its members shall have the responsibility and authority to, and shall, do the following: Committee Roles • Help to identify and coordinate enterprise technology needs • Understand the basic levels of technology and impacts on integration • Review status of major initiatives • Technical exchange of information • Discuss known technology issues • Review IT project charters and business cases • Review new and completed IT projects • Review Service Level reports • Recommend common platforms and standards • Re-prioritize recommendations to the Management Team • Conduct research and/or gather resource requirements requested by the Executive IT Steering Committee • Annually review software and hardware licensing • Ensure that value is realized from IT investments Individual Roles • Be the unit's business technology and information resource and champion • Understand technology solutions that are being provided for by IT in your business unit • Understand and document your business processes • Provide subject matter expertise to your business unit and as required, be the liaison to IT support staff • As a team,work together and mentor with IT Principal Analysts • Identify, communicate, and coordinate business needs to the team and technical committee • Gather requirements and translate them into business solutions • Provide project justifications • Participate in project management of your projects • Be knowledgeable of your unit's data and storage requirements • Be a training resource for core applications • Work with IT to implement application software upgrades • Communicate with your business units 3.1.3. OCSD Managers Team (MT) The MT meets during the ITSP yearly update to recommend placement and prioritization of newly proposed IT solutions into the ITSP and the centralized IT budget. The team also reviews the IT portfolio and recommends changes based on available resources. Recommendations 19 are forwarded to the IT Steering Committee. On a quarterly basis, the MT meets to vet any proposed changes to the IT portfolio. If any changes are recommended, the portfolio will be presented for review to the Information Technology Steering Committee. 3.2.Project Management Office (PMO) The IT PMO methodology is based on the Project Management Institute's Body of Knowledge (PMBOK) and is responsible for identifying and implementing project management best practices. The project processes and standards are published in the Project Managers Manual. The IT PMO also maintains project focus, management visibility, and performs quality control and assurance on IT related projects.All major IT projects are reviewed monthly. Required project elements include project charters, scopes of work, work breakdown structures, communication plans, issue logs, meeting minutes and status reports. Current support efforts include managing IT project enhancement requests and new project requests, coordinating with the IT Technical Committee, maintaining the scheduled and future IT projects portfolio listing, scheduling and forecasting IT resources, conducting project gate reviews, publishing the monthly IT Roadmap Report and portfolio statistics. 3.3.Technology Standards OCSD has set technology standards that can be supported and updated on a regular basis. These standards are available through Information Technology and are used as required for Requests for Proposals (RFPs) and Scopes of Work (SOWs). The standards apply to: 3.3.1. Server hardware 3.3.2. Desktop, tablet, and notebook computers 3.3.3. Server operating systems and revision/patch updates 3.3.4. Desktop, tablet, and notebook operating systems and revision/patch updates 3.3.5. Databases 3.3.6. Office Systems 3.3.7. Operating system services 3.3.8. Application and server account permissions 3.3.9. Backup applications 3.3.10. Virtual applications 3.4.Computing Policies and Procedures The Human Resources division maintains OCSD's Policies and Procedures manual. Policy numbers 5.8 to 5.17 contain policies specific to the computing environment. IT and HR staff regularly review these policies and revise when appropriate. 20 FINANCIAL SUMMARY and IMPLEMENTATION PLAN Appendices A through C reflect the work efforts identified by OCSD's business units, their financial impacts, and fiscal year implementation schedules. The plan shows an aggressive sequence of events required to make the transformation over a three-year period. The costs and efforts shown to accomplish the specific tasks in this plan are reasonable estimates based on assumptions of activity requirements. They have been developed as planning estimates and not detailed acquisition costs. Annual plan funding is based on agency priorities as identified by the IT Steering Committee along with assumptions regarding rate of change that can effectively be accomplished. The three-year window was chosen based on the rapid changes in technologies. Annual budgeting considerations will most likely change between years but efforts within available funding will continue as the priority dictates. Each year, the IT Steering Committee will review the ITSP projected efforts and determine which items will be approved for the following year. The financial summary will also be updated to reflect the changing needs of OCSD. Budget Assumptions • The Centralized IT Operating Budget line items will remain consistent with the FY 2010/2011 approved amounts after adjustment for economic inflation • Requests for small (below$5,000) computer items will be procured based on priority but within the allocated budget • Request for programming services that are above the efforts internal staff can provide may be accomplished through professional services based on priority but within the allocated budget • Computer items over$5,000 with a useful lifetime greater than three years will be procured through the Centralized Computer Equipment Capital Budget. These line items are subject to approval through the normal budgeting process • Software, hardware, or services that are directly related to Capital Improvement Project(CIP) or long-term Master Plan efforts will be charged against the specific project(s) • Priorities will be determined through the IT governance process based on the goals, vision, and Level of Service as defined by the OCSD Strategic Plan and negotiated through the Management Team (MT) 21 Appendix A - FUTURE IT CENTRALIZED OPERATING BUDGET (FY 2010-1 1/FY 201 1 -12/FY 2012-13) Information Technology identified the routine projects for implementation in the next three fiscal years. These projects are repetitive and are currently being implemented. FY 11-12 FY 12-13 FY 13-14 Est. Est. Est. Est. Est. Est. Budget Project Cost Labor Cost Labor Cost Labor Category Comments M (hours) M (hours) M (hours) Desktop 275,000 100 302,500 100 332,750 100 Operating PCs, notebooks, Obsolescence laptops Maintenance Hardware&software Agreements 1,160,000 100 1,276,000 100 1,403,600 100 Operating licensing and maintenance contracts Office Automation 175,000 500 192,500 500 211,750 500 Operating Non-PC hardware, software, peripherals Professional 250,000 250,000 250,000 Operating External Programming Services Support Labor&materials cost Repairs and for maintenance of Maintenance 132,500 200 145,750 200 160,325 200 Operating programs, equipment& facilities Reprographics/ Copy Center and mail Mail Room 350,000 50 350,000 50 350,000 50 Operating room equipment, personnel, &postage Telephone 300,000 100 300,000 100 30,000 100 Operating Landline, cellular and broadband 22 Appendix B - STRATEGIC IT BUDGET New Operational and Infrastructure Projects This table reflects New IT Operational and Infrastructure Projects for (FY) 2010-11/2011-12/2012-13. Project Estimated Cost Est. Labor Budget Category ($) (hours) Fiscal Year 2010-2011 Add compliance and air emissions collection points $ 20,000 100 CIP-O&M Add Vehicle License Plate Cameras $ 60,000 50 CIP-IT Architect and implement a complete Data Storage 120 Operating Solution Building Cell Repeaters $ 20,000 100 CIP- ENG Deploy Print Servers 80 Operating Desktop Migration to Windows 7 Operating System 1000 Operating Develop Agenda Report Management site and 500 Operating workflows Digital video recording &editing (Duplicator, etc) $ 10,000 20 Equipment Electronic Mapbook Conversion $ 10,000 200 CIP- IT Evaluate Microsoft System Center Service Desk 200 Operating Evaluate MS Systems Center Data Protection 100 Operating Manager Expand E-SCADA to add process network $ 50,000 100 Equipment Fax Server $ 12,000 80 Equipment Imaging Equipment $ 7,000 20 Equipment Implement&configure Network Mgmt Optimization $ 6,000 47 Operating Solution Implement ERP Service Pack 24 $ 10,000 600 Operating Increase and improve P1 video monitoring $ 40,000 100 Equipment capabilities Info. Systems Upgrade and Replacements-Backup $ 25,000 8 Equipment Info. Systems Upgrade and Replacements-Servers $ 205,000 Equipment Info. Systems Upgrade and Replacements- Unified/Instant Messaging $ 15,000 160 Equipment 23 Appendix B - STRATEGIC IT BUDGET New Operational and Infrastructure Projects This table reflects New IT Operational and Infrastructure Projects for (FY) 2010-11/2011-12/2012-13. Project Estimated Cost Est. Labor Budget Category ($) (hours) Informatica Software Upgrade(Vista/Windows 7 100 Operating compliance) Install Vehicle/License Cameras $ 40,000 20 CIP-IT Instrumentation Laptop Replacements 100 Operating LIMS Upgrade 180 Operating Microsoft Exchange Server Upgrade to 2010 $ 15,000 120 Equipment Microsoft Office 2010 deployment 100 Operating Network Access Protection $ 10,000 120 Operating Network Security Vunerability Assessment 80 Operating New Interplant fiber $ 150,000 100 Facilities Engineering Infrastructure Core Switch Installation $ 200,000 100 CIP- IT Infrastructure Core DataCenter Switch Installation $ 30,000 250 CIP- IT Pictometry upgrade to Windows 7 compatible version 50 Operating (2.7 r12 or higher) Plant Radio Replacement $ 1,300,000 200 Equipment Primavera Contract Manager upgrade to 13.1 40 Operating Process Controls Ethernet $ 500,000 120 CIP- IT Remote Capture of Buoy data 25 Operating Replace Firewall/Proxy Server $ 3,000 50 Operating Replace Obsolete Large Format MFP $ 15,000 20 Equipment Replace Pump-Station Video Path Study $ 20,000 120 Operating Re-Terminate Plant 2 Maintenance Closet Cabling $ 10,000 40 Operating Re-wire Control Center Basement $ 10,000 60 Operating 24 Appendix B - STRATEGIC IT BUDGET New Operational and Infrastructure Projects This table reflects New IT Operational and Infrastructure Projects for (FY) 2010-11/2011-12/2012-13. Project Estimated Cost Est. Labor Budget Category ($) (hours) Server Room Upgrade 500 Operating SharePoint Development 1000 Operating Database Cluster $ 36,000 200 Equipment Update server UPS configuration in support of improved reliability 50 Operating Upgrade Business Intelligence Software 200 Operating Upgrade SharePoint to the 2010 release 200 Operating Upgrade to Database 64-bit server architecture and 300 Operating 32-bit clients Video monitoring equipment, pump stations $ 25,000 50 Equipment Fiscal Year 2011 -2012 Building Cell Repeaters 20 Operating CIP Taskforce-Major Equipment Out of Service 120 collaboration Desktop Migration to Windows 7 Operating System 500 Operating GIS-Web Services Migration $ - 360 CIP- IT Info. Systems Upgrade and Replacements-Servers $ 200,000 20 Equipment MSO/Data Warehouse Upgrade $ 150,000 250 CIP- IT Video monitoring and recording in PROCESS Areas $ 20,000 40 Equipment Fiscal Year 2012-2013 Building Cell Repeaters $ 10,000 40 Operating Info. Systems Upgrade and Replacements-Servers $ 200,000 Equipment Video monitoring and recording in PROCESS Areas $ 20,000 40 Equipment 25 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Fiscal Year 2010-2011 Air emissions collection points $ 20,000 100 CIP-O&M Asset Management Modeling Software $ 20,000 20 CIP-ENG Call Center application improvements 20 Operating Campus wireless coverage in support of the CMMS $ 175,000 300 CIP- IT/O&M project CIP Testing &Startup $ 10,000 500 CIP-ENG CMMS Replacement $ 530,000 3400 CIP-O&M Critical Infrastructure and Cyber Security $ 10,000 250 Operating Data Capture-Greenhouse Gas $ 3,000 80 Operating Develop version 2 of the Electronic Self Monitoring 120 Operating Report(eSMR) ECAP-Environmental Compliance Awareness Program Technology Solution Mtce 80 Operating ECM Categorization/Taxonomy 500 ECM, Phase 3-Email Management $ 10,000 2950 Operating ECM, Phase 5-Forms 40 Operating ECM, Phase 7-Scanners $ 35,900 50 Equipment ECRA Compliance Library 80 Operating Enterprise GIS Implementation and Support $ 7,500 1600 CIP- IT ERP Support Study $ 20,000 300 Operating Evaluation of Commercial Off The Shelf(COTS) 60 Operating software for Source Control application Evaluation of e-Submit for Source Control 40 Operating 26 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Fiscal Year 2010-2011 (continued) GIS-Sewer Atlas Migration 200 CIP- IT GWRS Support 100 Operating Hazardous Waste Management Application $ 4,000 30 Operating HR Talent Management System acquisition $ 75,000 500 Operating Implement CMMS GIS (Phase 3) $ 500,000 800 CIP-O&M Implement CMMS Mobile(Phase 2) $ 250,000 400 CIP-O&M Increase GPS handheld units $ 36,000 25 CIP- IT Increase in plant data points& MSOs 850 Operating Land Records Information System (LRIS)data population and archival research $ 150,000 200 CIP- IT/ENG LIMS Integration of Ocean Monitoring Program Data 200 Operating LIMS Upgrade 180 Operating Monthly Summary of Operations (MSO)support 315 Operating OCSD.com Internet Redesign $ 60,000 200 Operating P&ID Replacement Study and Implementation 100 CIP-ENG Primavera Risk Analysis Software(Pertmaster) $ 40,000 20 CIP-ENG Process Controls Ethernet $ 800,000 300 CIP- ENG Process SCADA link to Pump Stations study $ 45,000 120 CIP- IT Process SCADA Replacement Study $ 10,000 200 Operating Process SCADA Stations $ 40,000 20 CIP- ENG 27 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Fiscal Year 2010-2011 (continued) Reorganization of Paygrade numbering system 40 Operating Replace Pump Station Telemetry Path $ 15,000 120 Operating Re-wire patch cabling in the P1 LAB(comm closet) $ 20,000 60 Operating Software licenses for Purchasing Contracts $ 25,000 20 Equipment Source Control Automation of Semi-Annual/Annual 120 Operating QAQC reports Support J-79-1-Engine Controls $ 8,000 125 CIP-ENG Support Process Ethernet for electrical Monitoring $ - 300 CIP-ENG Update Discharge Monitoring Report(DMR)per the new NPDES permit 50 Operating Vehicle Tracking $ 55,000 120 Equipment Video monitoring and recording in PUMP STATIONS $ 50,000 60 Equipment Visitor Management System $ 5,000 80 Operating Workforce Timecard Upgrade $ 42,600 300 Operating Fiscal Year 2011 -2012 CIP Testing &Startup $ 10,000 500 CIP-ENG ECAP-Environmental Compliance Awareness Program Technology Solution Maintenance 80 Operating ECM, Phase 4-Enterprise Search (Hardware) $ 100,000 40 CIP-ENG ECM, Phase 7-Enterprise Scanning $ 75,000 300 Operating Electronic O&M Manual 200 Operating Enterprise GIS Implementation and Support $ 7,500 100 CIP- IT 28 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Fiscal Year 2011 -2012 (continued) ERP Upgrade or Replacement $ 1,000,000 5000 CIP- IT GIS-Sewer Atlas Migration to ArcGIS Platform $ - 200 CIP- IT Increase in plant data points& MSOs 850 Operating Land Records Information System (LRIS)data population and archival research $ 150,000 200 CIP- IT/ENG MSO/Data Warehouse Upgrade $ 150,000 250 CIP- IT North County Yard Information Continuity $ 615,000 2160 Equipment PCS Replacement Study $ 10,000 280 Operating Process Controls Ethernet $ 400,000 300 CIP-ENG Process Ethernet for electrical Monitoring $ 20,000 200 CIP-ENG Process SCADA link to Pump Stations $ 45,000 CIP- IT Process SCADA Stations $ 40,000 20 CIP-ENG Support J-79-1-Engine Controls $ 8,000 125 CIP-ENG Vehicle Tracking $ 55,000 120 Equipment Video monitoring and recording in PUMP STATIONS $ 10,000 40 Equipment 29 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Fiscal Year 2012-2013 CIP Testing&Startup $ 10,000 500 CIP-ENG ECM, Phase 4-Enterprise Search (Hardware) $ 205,000 40 CIP-ENG Emergency Operations and Business Continuity 200 Operating Increase in plant data points& MSOs 850 Operating Land Records Information System (LRIS)data population and archival research $ 150,000 100 CIP- IT/ENG MSO/Data Warehouse Upgrade $ 150,000 250 CIP- IT North County Yard Connectivity $ 25,000 60 Equipment PCS Replacement(COTS) $ 225,000 280 Operating Process Ethernet for electrical Monitoring $ 20,000 300 CIP-ENG Process SCADA System Replacement $ 16,000,000 2080 CIP-ENG Replace Pump-Station Video Path 60 Operating VAX Server replacement 200 Operating Video monitoring and recording in PUMP STATIONS $ 10,000 40 Equipment Fiscal Year 2013-2014 Emergency Operations Center $ 100,000 200 CIP-O&M IT Data Center Replacement $ 1,800,000 2080 Facilities Eng'g IT Workroom Replacement i $ 135,000 300 Facilities Eng'g 30 Appendix C - STRATEGIC IT BUDGET Line-of-Business (LOB) IT Projects This table reflects New LOB IT Projects for(FY) 2010-11 and future years. Estimated Cost Est. Labor Project Budget Category ($) (hours) Other Projects(No Resources Currently Available; Subject to Governance) Budget Book Automation 300 Operating Employee self-serve $ 36,000 200 Operating HRIS $ 300,000 600 CIP Labor Relations tracking $ 25,000 200 Operating Leave of Absence tracking $ 25,000 200 Operating Purchasing &AP document automation 300 Operating Source Control Enhance Bad Boys application with 80 Operating Effluent Monitoring Review functionality Source Control Fats, Oil and Grease- Enforcement 200 Operating Module Source Control Inspection Data Report Application 40 Operating modification to calculate and display flow information Source Control Inspection Data Report Application 120 Operating modification to indicate inspection types Source Control Inspection Data Report Application 80 Operating Reporting Source Control Inspection Data Report Application 80 Operating Search Source Control Maintenance work on Inspection Data 80 Operating Report Application Source Control Meter book modification 80 Operating Source Control Modifications to Inspector Performance Module 40 Operating Source Control Modify LIMS to Source Control 80 Operating Interface Source Control Permit Fact Sheet Application for 160 Operating Special Purpose Discharge Permits (SPDP) Source Control Pre Permit Inspection Report(PPIR) 50 Operating Submittal Dates Source Control Programming for GWRS Phase 1 500 Operating Source Control Reorganization Programming M $ 36,000 360 Operating Modifications Phase II Source Control Self Monitoring Requirements form for 80 Operating Annual reporting by companies 31 Appendix D — Governance Calendar Monthly IT Technical Committee Meetings Key Processes Maior Deliverables • Requested agenda items • End of month project reviews • Updated Roadmap Report • Review status of major initiatives • Update reports • Updated IT Portfolio • Technical exchange • Manager Team meeting updates • Known issues • Project Charter/Business Case review Quarterly IT Technical Committee Meetings Key Processes Maior Deliverables • Review of projects completed and • Service Level Reporting • IT Quarterly Board Report started • (IT Roadmap&Service • New projects received Level Performance • Service level reporting Metrics) • Re-prioritization recommendations Annually IT Technical Committee Meetings Key Processes Maior Deliverables • Software&hardware license review • Fiscal Year summaries • Fiscal Year-end Roadmap • Service Level Performance Metrics and • Project outcome measurements Report Service Level Agreement review • Fiscal Year-end IT • Ensure that value is realized from IT Portfolio metrics investments BI-Annual Budget Process IT Technical Committee Meetings Key Processes Maior Deliverables • Budget preparation-call for IT • Link IT priorities to OCSD • New projects added to IT projects strategy Portfolio • Review of District strategic initiatives • Business unit analysts work with • Updated IT Strategic Plan and existing business unit plans IT Business Analysts to identify and appendix/budget opportunities • Manager review and input • IT cost and level of effort estimates • IT resource loading estimates • Manager Team workshop and recommendation • IT Steering Committee approval of IT Strategic Plan 32 Appendix E - Glossary of Terms Adaptive -Able to support a wide variety of applications and evolve as business or technology changes. Adaptive Architecture - A set of design specifications that result in an orderly structure than can be changed to fit new circumstances without destruction of the design or plan. Alignment-To be in the correct position relative to something else. See Business Alignment Application -A set of programs and functions that perform a given task or a set of related tasks. Application Architecture - Defines how applications are designed and how they cooperate, promotes common presentation standards to facilitate rapid training and implementation of new applications and functions. Good application architecture enables a high level of system integration, reuse of components and rapid deployment of applications in response to changing business requirements. Architecture -The art or science of designing structures. A set of designs and specifications that results in orderly arrangement of structural components. Architecture Product -The structure of components, their interrelationships, and the principles and guidelines governing their design and evolution over time. Architecture products support the decision making process. Architecture Repository-An information system used to store and access architectural information, relationships among the information elements, and architectural artifacts. Architecture Requirements -A set of boundaries and framework under which business- driven enterprise architecture must operate. ARs define the basic IT requirements needed to enable and support the key enterprise business strategies or business drivers of the enterprise. Authentication -Authentication is the means by which assurance of the identity of parties to a transaction is established. Baseline Architecture -the set of artifacts that portray the existing enterprise. Commonly referred to as the "As-Is" architecture. Benchmark-A set of conditions against which a product or system is measured. Best Practices - Practices that have been shown in actual application to be of value. Proven practices. Business Alignment-The positioning of technology to match the needs of the business. 33 Business Architecture - Defines the organization and functions of the business processes that support those functions. Business Continuity- Describes the processes and procedures an organization puts in place to ensure that essential functions can continue during and after a disaster. Business continuity planning seeks to prevent interruption of mission-critical services, and to reestablish full functioning as swiftly and smoothly as possible. Business Drivers - External and internal forces that create a need for business action or "drive" the organization's business, as well as the strategies that an organization defines in response to these forces. Business drivers are those "key enterprise level business strategies" that will have the most significant impact on the architecture process. Business Entity-A business entity is an object that implements the business rules in a system application or service. Business Process- 1. A related set of activities that when correctly performed satisfy some business goal. 2. A process orchestrates or coordinates a series of activities needed to satisfy some business goal. 3. A business process controls the step-by-step actions of executing some work, moving the system from one state to another. At each step it may perform a business operation. Capital Improvement Program (CIP) -A short-range plan, usually four to six years, which identifies capital projects and equipment purchases, provides a planning schedule and identifies options for financing the plan. Essentially, the plan provides a link between a public agency and/or other local government entity and its comprehensive strategic plans and annual budget. Chief Information Officer (CIO) -The person responsible for oversight and control of an organization's information assets and information processing systems. Commercial Off-The-Shelf(COTS) - Computer hardware or software products that are ready-made and available for sale, lease, or license to the general public. They are often used as alternatives to in-house developed. Component -A software object that exposes one or more interfaces and that implements logic. In object-oriented programming and distributed object technology, a component is a reusable program building block that can be combined with other components in the same or other computers in a distributed network to form an application. Computerized Maintenance Management System (CMMS)—A software used by Operations & Maintenance staff to manage discrete and linear assets, plan/schedule and monitor work order management, and tract/monitor maintenance related regulatory issues. Conceptual Architecture -A general design that indicates the overall intent and outline of the target architecture and lays the foundation and defines the process that will be used to develop the target architecture. 34 Confidentiality- Confidentiality is the assurance that no one is able to eavesdrop on the transaction in progress. Contract-A legally binding agreement that describes all the constraints between multiple parties. Current Technologies -Technologies that are the current standard for use within the enterprise, tested and generally accepted as standard by industry. Data Life Cycle Management (DLM) -A policy-based approach to managing the flow of an information system's data throughout its life cycle: from creation and initial storage to the time when it becomes obsolete and is deleted. Data Warehouse -A data warehouse is a central repository for all or significant parts of the data that an enterprise's various business systems collect. Data from the production databases are copied to the data warehouse so that queries can be performed without disturbing the performance or the stability of the production systems. Data Marts - Data warehouses can become enormous with hundreds of gigabytes of transactions. As a result, subsets, known as "data marts," are often created for just one department or product line. Database -A database is a collection of information that is organized so that it can easily be accessed, managed, and updated. Databases are sometimes classified according to their organizational approach. The most prevalent approach is the relational database, a tabular database in which data is defined so that it can be reorganized and accessed in a number of different ways. A distributed database is one that can be dispersed or replicated among different points in a network. An object-oriented programming database is one that is congruent with the data defined in object classes and subclasses. Computer databases typically contain aggregations of data records or files, such as sales transactions, product catalogs and inventories, and customer profiles. Database Management System (DBMS) -A Database Management System (DBMS) is a computer program (or more typically, a suite of them) designed to manage a database (a large set of structured data), and run operations on the data requested by numerous clients. DBMSs control the organization, storage, retrieval, security and integrity of data in a database. A DBMS is usually an inherent part of a database product. On PCs, Microsoft Access is a popular example of a single- or small-group user DBMS. Microsoft's SQL Server is an example of a DBMS that serves database requests from multiple (client) users. Other examples include IBM's D132, Oracle's line of database management products, and Sybase's products. De-facto Standards -Standards that have become accepted and adopted although not originally defined by consent. Often are more important than standards that have been defined by consent of standards groups. A good example is TCP/IP which is accepted as a standard instead of the competing OSI (Open Systems Interconnect) standard which was defined by a standards group. 35 Desktop Computer-A single-user computer. A desktop computer typically includes a monitor, processor, keyboard, mouse, operating system and other hardware and software. Frequently referred to as a Personal Computer, PC or Mac, but may also refer to a workstation from Sun, IBM, etc. Also called a "client computer" or "client" or simply a "desktop," the term implies stationary use, whether it resides on the top of the desk or under the desk in a tower case. Digital Certificate - an electronic "ID" that establishes your credentials when doing business or other transactions on the Web. It is issued by a certification authority (CA). It contains your name, a serial number, expiration dates, a copy of the certificate holder's public key (used for encrypting messages and digital signatures), and the digital signature of the certificate-issuing authority so that a recipient can verify that the certificate is real. Digital Signature -An electronic signature that can be used to authenticate the identity of the sender of a message or the signer of a document, and possibly to ensure that the original content of the message or document that has been sent is unchanged. Digital signatures are easily transportable, cannot be imitated by someone else, and can be automatically time-stamped. The ability to ensure that the original signed message arrived means that the sender cannot easily repudiate it later. Discipline - Logical functional areas to address when building the architecture blueprint. The descriptions of the disciplines. Domain - Logical groupings of disciplines that form the main building blocks within the architectural framework. e-Business- Electronic-business; conducting business online. The term is often used synonymously with e-commerce, but e-business encompasses more than just buying and selling of products on the Web, for example; business licensing, registration and tax payments. e-government-The transformation of internal and external business processes toward customer-centric service delivery offered by Web-based technologies to better fulfill the purposes of government. Electronic Collaboration -The interaction of individuals and groups using electronic media. Electronic collaboration technologies promote group productivity. Electronic Signature -A paperless way to sign a document using an electronic symbol or process attached or associated with the document. Not the same as a digital signature which offers non-repudiation. Emerging Technologies-The most current technologies. These items will usually require testing prior to acceptance by industry as the current standard. It is generally understood that emerging technologies be considered carefully before implementing in an enterprise- wide architecture. 36 Enterprise -An organization supporting a defined business scope and mission. An enterprise is comprised of interdependent resources (people, organizations, and technology) that should coordinate their functions and share information in support of a common mission (or set of related missions). Enterprise Architecture - 1. The set of primitive, descriptive artifacts that constitute the knowledge infrastructure of the enterprise. 2. A strategic information asset base, which defines the business, the information necessary to operate the business, the technologies necessary to support the business operations, and the transitional processes necessary for implementing new technologies in response to the changing business needs. It is a representation or blueprint. 3. An overall plan for designing, implementing and maintaining the infrastructure to support the enterprises business functions and underlying networks and systems. Enterprise Architecture Team -The core team responsible for the development and maintenance of the State's Architecture. The team is responsible for the documentation of the architecture and dissemination of information about the architecture. Enterprise Business Strategies-Those highest priority strategies that significantly impact and/or set direction for programs across the enterprise. In essence, they "drive" the overall business of state government. See also Business Drivers Enterprise Life Cycle -The integration of management, business, and engineering life cycle processes that span the enterprise to align IT with the business. Enterprise-Wide Technical Architecture -A logically consistent set of principles that are derived from business requirements, guide the engineering of an organization's systems and technology infrastructure across the various component architectures, are understood and supported by senior management, take into account the "full context" in which the architecture will be applied, and enable rapid change in business processes and the applications that enable them. Entity-An information-sharing unit. All agencies (see definition above) are entities; so are courts and legislative bodies. Private organizations that share governmental information are also entities, as are private persons. Extranet-A network or network of networks that can only be accessed by permission, usually protected by firewalls, or other security technology. Firewall -A network device that protects networks from unauthorized entry. A firewall is a method for keeping a network secure. Firewalls are widely used to give users access to the Internet in a secure fashion as well as to separate a company's public Web server from its internal network. They are also used to keep internal network segments secure. 37 Framework-A basic structure that supports and gives shape. A broad outline or plan that serves to define the shape of the result. Illustration of the various architecture elements, used as a guide for assisting governments as they create enterprise architectures for their organizations. FTP (File Transfer Protocol) -A protocol used to transfer files between two computers over a TCP/IP network (Internet, UNIX, etc.). Function -A major work element that accomplishes the mission or business of an organization, such as accounting, marketing, etc. A sub-function is defined as a component of a function such as accounts receivable, accounts payable, etc. within the accounting function. Gap Analysis-The process of comparing an existing state with a desired state and determining what changes must be made to achieve the desired state. Geographic Information Systems (GIS) - Software and hardware that combines discrete data with spatial data. GIS Architecture - Defines the standards and technologies for implementation of Geographic Information Systems. Governance -The act or process of governing, providing authorization, direction or control. Home Page -The first page retrieved when accessing a Web site. It serves as a table of contents to the rest of the pages on the site or to other Web sites. HTML (Hypertext Markup Language) -The set of markup symbols or codes inserted in a file intended for display on a World Wide Web browser page. The markup tells the Web browser how to display a Web page's words and images for the user. IEEE - Institute of Electrical and Electronics Engineers, involved with setting standards for computers and communications. Industry Trends - Emerging trends within the business world that impact the provision of services and information. Information Architecture - Defines the overall data architecture. Describes the logical structure of databases and the methodology used to correlate data in multiple databases. Provides a framework for defining responsibility for data integrity and distribution. Information Life Cycle Management (ILM) -A comprehensive approach to managing the flow of an information system's data and associated metadata from creation and initial storage to the time when it becomes obsolete and is deleted. 38 Infrastructure -The basic framework of an organization or operation. Infrastructure components are units of technology that support the operation of the information systems. Those components that together offer, through connectivity and computing capability, the potential for all state entities to communicate with each other using voice, video, and data. Statewide infrastructure includes enterprise systems, transport and connectivity, and activities to monitor, maintain, secure, and recover the systems. Integration -The process of bringing together related parts into a single system. To make various components function as a connected system. The ability to access and exchange critical information electronically at key decision points throughout the enterprise. Internet-An international network of networks based on TCP/IP protocols. 1. A large network made up of a number of smaller networks. 2. (Internet) "The" Internet is made up of more than 65 million computers in more than 100 countries covering commercial, academic and government endeavors. Internet Domain Names-An Internet domain name is an organization's unique name combined with a top-level domain name (TLD). For example, computerlanguage.com would be considered a "second level domain." Following are examples of top level domains: .com=commercial, .org=non-profit organization, .edu=educational and research, gov= government, .mil=military agency. Int=international intergovernmental. Outside of the U.S., the top-level domains are typically the country code; for example, UK for United Kingdom. Interoperability-The ability to function separately or together. The capability to allow users to readily share data among applications residing on varying combinations of hardware and software within and between existing networks. Intranet -A network or network of networks based on internet technologies that are not open to access from the Internet. An in-house Web site that serves the employees of the enterprise. ISO-The International Organization for Standardization, Geneva, is an organization that sets international standards. The U.S. member body is ANSI. IT Governance - Cross-jurisdictional organizational structure that provides a decision- making process for the determination of the services, architecture, standards and policies for the organizations IT. (Determination of who does what and how it gets decided as to who does what.) IT Infrastructure -The systems and network hardware and software that supports applications. IT infrastructure includes servers, hubs, routers, switches, cabling, desktop, lap and handheld devices. 39 Information Technology Infrastructure Library (ITIL) -A set of best practices standards for information technology (IT) service management. The United Kingdom's Central Computer and Telecommunications Agency (CCTA) created the ITIL in response to the growing dependence on information technology to meet business needs and goals. The ITIL provides businesses with a customizable framework of best practices to achieve quality service and overcome difficulties associated with the growth of IT systems. Laboratory Information Management System (LIMS) -An automation software solution used for the data handling requirements of laboratories that include sample tracking and management, instrument and calibration management, standards & reagents management, instrument interfaces, reporting and auditing. Land Records Information System (LRIS) -A system that provides Geographic Information Systems (GIS) and Land Surveying services for the mapping of easements, grant deeds, quitclaim deeds, permits, agreements, access and right-of-way documents, and any other land document. Laptop Computer-A portable computer that usually weighs less than eight pounds. Laptops usually come with displays that use thin-screen technology and an integrated keyboard with mouse. Often called just a "laptop" or "notebook," it uses batteries for mobile use and AC power for charging the batteries and desktop use. High-end laptops provide all the capabilities of most desktop computers. Legacy Systems -Those systems in existence and either deployed or under development at the start of a modernization program. All legacy systems will be affected by modernization to a greater or lesser extent. Some systems will become transition systems before they are retired. Other systems will simply be retired as their functions are assumed by modernization systems. Still others will be abandoned when they become obsolete. An automated system built with older technology that may be unstructured, lacking in modularity, documentation and even source code. Line-of-Business (LOB) - Directly relating to the core software applications, operations or practices that have a direct effect on the profit/loss of an enterprise. Message -A unit of information transmitted electronically from one service to another. Metadata - Data about data. Metadata describes how and when and by whom a particular set of data was collected, and how the data is formatted. Metadata is essential for understanding information stored in data warehouses and has become increasingly important in XML-based Web applications. Methodology-A documented approach for performing activities in a coherent, consistent, accountable, and repeatable manner. 40 Middleware - Software systems that facilitate the interaction of disparate components through a set of commonly defined protocols. The purpose is to limit the number of interfaces required for interoperability by allowing all components to interact with the Middleware using a common interface. Models - Representations of information, activities, relationships and constraints. Monthly Summary of Operations (MSO) -The MSO Report is a culmination of monthly summaries of projects, plant performance, and activities of each Division within the Operations and Maintenance Department. The Chief Operator reports on each plant's unit process status, monthly average of key parameters, chemical usage and personnel status. The daily data captured in the MSO includes the data items from both Plant 1 & Plant 2. Network- Hardware and software components that support the exchange of information between systems. Network Architecture - Defines the communications infrastructure. Defines the various topologies, carrier services and protocols necessary to facilitate the interconnection Nevada institutions of government and education. Included in this architecture is the definition of both internal networks and connections to external networks. Open Source - refers to any program whose source code is made available for use or modification as users or other developers see fit. Open System -A system that supports commonly accepted standards for inter-operation with other systems. Operating System - (sometimes abbreviated as "OS") is the program that, after being initially loaded into the computer by a boot program, manages all the other programs in a computer. Operational Data Stores -The data warehouse is structured to support a variety of analyses, including elaborate queries on large amounts of data that can require extensive searching. When databases are set up for queries on daily transactions, they are often called "operational data stores" rather than data warehouses. Platforms - Hardware and software systems that can be used for information processing. Policies (and Policy)— Policies are long-term, high-level management instructions on how the organization is to be run and generally are driven by legal concerns (due diligence). Policies reflect an organization's goals, objectives, culture and are intended for broad audiences. They also are mandatory and are application to anyone—employee, contractor, temporary, etc. Special approval if the policy is not be followed (an exception) should be documented. (Yes, a policy for exceptions is necessary!). Policies drive standards, procedures and technical controls. Example: Passwords will be used. Practices- Established or customary methods or procedures. 41 Procedures -A set of administrative instructions for implementation of a policy or standard. Procedures are specific instructions (ordered tasks) for performing some function or action. Procedures are of a somewhat short duration, are mandatory and they reflect organizational change or environmental changes. Example: To change your password, type your old password, then a front slash and then your new password. Process -A series of actions performed repeatedly in sequence to achieve a desired outcome. See business process. Project-A discrete set of actions performed over a given period of time to achieve a given objective. Project Management-A methodical approach to planning and guiding project processes from start to finish. The processes are guided through five stages: initiation, planning, executing, controlling, and closing. Project management can be applied to almost any type of project and is widely used to control the complex processes of software development projects. Proprietary- Legally made or distributed only by those holding patents or rights. Most standard operating systems and software are proprietary; owned by a private individual or corporation. Protocol - Rules governing transmitting and receiving of data. Reference Data -A composition of snapshot data used by clients of a service. Repository-An information system used to store and access architectural information, relationships among the information elements, and work products. Scalability-The ability to use the same applications and systems on all classes of computers from personal computers to supercomputers. Security- Safeguards against unauthorized access to or modification of data in systems. Must be balanced against the need for access and the rights of citizens to privacy. Security Architecture - Defines the security standards and policies necessary to both protect the information assets of Nevada and to make the information available to the citizens and workforce. Service -A software component whose behaviors with respect to its clients are message driven. Service Level Agreement (SLA) - is a contract between a service provider and a customer that specifies, usually in measurable terms, what services the service provider will furnish. 42 Service-Oriented Architecture (SOA) -The underlying structure supporting communications between services. SOA defines how two computing entities, such as programs, interact in such a way as to enable one entity to perform a unit of work on behalf of another entity. Service interactions are defined using a description language. Each interaction is self- contained and loosely coupled, so that each interaction is independent of any other interaction. Standard -A prescribed or proscribed specific technical approach, solution, methodology, product or protocol, which must be adhered to in the design, development, implementation or upgrade of systems architecture (e.g., hardware/software/services). Standards shall be designated as either "preferred" or "mandatory". Standardization -The methods used to reduce or eliminate custom, one-time and seldom- used components and processes that introduce variability and potential added costs and quality problems. Sunset Technologies -Technologies that have been phased out and cannot be used within the organization past a specified date. System - 1. A collection of components organized to accomplish a specific function or set of functions. 2. set of different elements so connected or related as to perform a unique function not performable by the elements alone (Rechtin 1991). Systems Development Life Cycle - Guidance, policies, and procedures for developing systems throughout their life cycle, including requirements, design, implementation, testing, deployment, operations, and maintenance. Systems Management-The process of controlling, monitoring and reporting the status and performance of the hardware and software components. Target Architecture - Representation of a desired future state or "to be built" for the enterprise within the context of the strategic direction. Technology Baseline -An inventory of the "as is" state of technology. Identifies existing technology to determine what can be leveraged for the future and what changes must be made to achieve the desired state. Technology Drivers - Internal business processes or needs and external innovation that influence technology. These are captured in three stages: 1. Technology Trends— Emerging trends within the technology world that are impacting how services and the IT portfolio will be provided. 2. IT Best Practices—Trends and approaches that are most successful at providing services and IT portfolio. 3. IT Principles—Those practices and approaches that the organization chooses to institutionalize to better all provided services and IT portfolio pieces. Technology-Tools or tool systems by which we transform parts of our environment and extend our human capabilities. 43 Technology Trends - Existing patterns of change that can be used to infer or predict the future of technology. Template -A form used as a guide, such as a document in which the standard parts are already included and the variable parts are completed as appropriate. Transaction -A single unit of work in which all parties must agree that the work should and can be done. Trust-The confidence a service has in the reliability of other services and the information that they provide. Trust Model -A Trust Model is a framework utilized to establish secure access to multiple systems in an enterprise using one credential (typically a user-id and password) per user. In order for information owners to trust credentials that have been issued to users, the credentials must have been issued, protected and managed according to documented and agreed rules. The Trust Model establishes a standard set of processes, which include registering or identifying users, issuing credentials, using the credentials and recordkeeping and auditing. Web Application -Software based on the Web. This can refer to almost anything Web related, including a Web browser or other client software that can access the Web. It can refer to software that runs on Web sites or software that is stored on Web sites and downloaded to the user. Web Hosting- Placing a customer's Web page or Web site on a commercial Web server. Many ISPs host a personal Web page at no additional cost above the monthly service fee, while multi-page, commercial Web sites are hosted at a very wide range of prices. The customer's registered domain name is typically used. A single computer can hold hundreds or even thousands of small Web sites, while larger Web sites use a dedicated computer or multiple computers. Web Server-A computer that provides World Wide Web services on the Internet or Intranet Web Site-Web pages and other files that are "served" to the requestor. Web-based Application -An application that is downloaded from the Web each time it is run. The advantage is that the application can be run from any computer, and the software is routinely upgraded and maintained by the hosting organization rather than each individual user. World Wide Web -An Internet facility that links documents locally and remotely. The Web document, or Web page, contains text, graphics, animations and videos as well as hypertext links. XML(Extensible Markup Language) -A flexible way to create common information formats and share both the format and the data on the World Wide Web, intranets, and elsewhere. 44 ORANGE COUNTY SANITATION DISTRICT 10844 Ellis Avenue Fountain Valley, California 92708-7018 (714) 962-2411 www.ocsd.com