HomeMy WebLinkAbout1995-11-08FILED
: 1 the Office of the Sec~et~; ,'
.~:;ounzsanit~ion Distr!cn,y,
.• o(s) .J . ';z->1 4,,2, II
NOV 1 51995 DRAFT
B· __/1,r..£.::..----MINUTES OF FINANCE,
County Sanitation Districts
of Orange County, California
P.O. Box 8127 • 10844 Ellis Avenue
Fountain Valley, CA 92728-8127
Telephone: (714) 962-2411
ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
Wednesday, November 8, 1995, 5:30 P.M.
A meeting of the Finance, Administration and Human Resources Committee of the
County Sanitation Districts Nos. 1, 2, 3, 5, 6, 7, 11, 13 and 14 of Orange County,
California was held on November 8, 1995 at 5:30 p.m., at the Districts' Administrative
Offices.
(1) ROLL CALL
The roll was called and a quorum declared present, as follows:
Committee Directors Present:
John C. Cox, Jr., Joint Chair
George Brown, Chair
Jan Debay
James Flora
Wally Lynn
Thomas Saltarelli
William G. Steiner
Peer Swan
Committee Directors Absent:
Burnie Dunlap
John M. Gullixson
Roger R. Stanton, Vice Chair
Other Directors Present:
John Collins
Don Griffin
Pat McGuigan
Staff Present:
Donald F. McIntyre, General Manager
Blake P. Anderson, Assistant General Manager
Judith A. Wilson, Assistant General Manager
Gary Hasenstab, Director of Human Resources
Ed Hodges, Director of Maintenance
Steve Hovey, Director of Information Technology
Bob Ooten, Director of Operations
David Ludwin, Director of Engineering
Gary Streed, Director of Finance
Nancy Wheatley, Director of Technical Services
Michael D. White, Controller
Stephen V. Kozak, Financial Manager
Mike Peterman, Human Resources Supervisor
Others Present:
Thomas L. Woodruff, General Counsel
Terry Andrus, General Counsel
Dennis Vlasich, Keery Consulting Group
Michael Moreland, Moreland & Associates
Charles Acocella, Moreland & Associates
Julie Pritchard, Moreland & Associates
(2) APPOINTMENT OF A CHAIRMAN PRO TEM
No appointment was necessary.
Minutes of Finance, Ac' ·fl. and Human Resources Commit' ,l
Page2
November 8, 1995
(3) PUBLIC COMMENTS
No comments were made.
(4) REPORTS OF THE COMMITTEE CHAIR. GENERAL MANAGER. ASSISTANT
GENERAL MANAGER{Sl. DIRECTOR OF FINANCE/TREASURER. DIRECTOR
OF HUMAN RESOURCES, DIRECTOR OF INFORMATION TECHNOLOGY
AND GENERAL COUNSEL
(a) Report of the Committee Chair
Committee Chair George Brown announced there would be an Executive
Committee meeting starting at 7:00 p.m., immediately after this meeting.
(b) Report of the General Manager
The General Manager, Donald F. McIntyre, reported that the staff
recommendation for a consultant to assist with the new Financial
Information System (FAHR95-38) had been distributed as advised in the
agenda. He also reminded the Directors of the Plant No. 2 tour scheduled
for Saturday, November 18. The General Manager and the Director of
Technical Services will be meeting with Directors to prepare for "Red
Team" meetings regarding excess capacity charges.
(c) Report of Assistant General Manager -Operations
Blake Anderson reported on the status of the staff and consultant work
with the County of Orange regarding the potential purchase of landfills. A
more detailed report was scheduled for the Executive Committee meeting
later in the evening. A County Board of Supervisors meeting on the topic
is scheduled for November 14, the day prior to our next Board meeting.
Report of Assistant General Manager -Administration
Judy Wilson introduced Mike Peterman whose employment as Personnel
Supervisor started this month.
(d) Report of the Director of Finance/Treasurer
(1) Finance DirectorfTreasurer Gary Streed updated the Committee on
the status of the Districts' COP program which he illustrated by
showing a graph of the variable interest rate history on each of the
daily rate COPs, and the effective fixed rate for the two refunding
issues. The two refunding issues are covered by an interest rate
exchange agreement commonly called a "swap." Mr. Streed noted
•
Minutes of Finance, Ad(} and Human Resources Committf)
Page 3
November 8, 1995
that variable rates historically rise at the end of each quarter,
because of business taxes and statements, and usually decline to
prior levels immediately in the following month.
Staff will continue to keep the Committee fully informed about
developments in the program as they occur each month.
(2) Mr. Streed noted that October is the first full month of external
money management by Pacific Investment Management Company,
"PIMCO," the Districts' Investment Manager, and Mellon Trust
Company, Custodial Bank. A monthly report prepared by PIMCO
and Mellon was handed out at the beginning of the meeting. The
Committee reviewed the Monthly Report and the Portfolio Detail By
Sector and Portfolio Summary By Sector reports. In conclusion, Mr.
Streed advised that the total CSDOC cash and investments amount
to $337,832,649 as of October 31, 1995.
The Committee moved, seconded and duly carried a motion to
receive, approve and forward this report to the Executive
Committee and Joint Boards.
( e) Report of the Director of Human Resources
Gary Hasenstab had no report.
(f) Report of the Director of Information Technology
The Director of Information Technology, Steve Hovey, reported that the 60
personal computer purchases authorized last month had been completed
for a final cost approximately $11,000 less than that authorized.
(g) Report of General Counsel
General Counsel had no report.
(5) APPROVAL OF MINUTES
It was moved, seconded and duly carried to approve the draft minutes of the
October 11, 1995, meeting of the Finance, Administration and Human Resources
Committee.
Minutes of Finance, Ad ·)I. and Human Resources Commitf
Page4
November 8, 1995
(6) Consideration of PDC95-36 -Consideration of motion to solicit proposals
for Professional Planning. Design and Construction services for three
proiects as follows:
Proiect No. 1:
Proiect No. 2:
Project No. 3:
Engineering Services for Investigation and Repair of
Ocean Outfalls
Management of Peak Hydraulic Discharge
Determination of Financial Charges
Dave Ludwin, Director of Engineering, and Tom Dawes of his staff gave a brief
presentation detailing three separate, but related projects which staff is
requesting authorization to solicit RFPs. Most of the proposed work is Master-
Plan related, and the land use data necessary for the Management of Peak
Hydraulic Discharge and Determination of Financial Charges is nearly identical.
Several different Professional Services Agreements will be required to complete
the projects.
After discussion on this item, it was moved, seconded and duly carried to
recommend the Executive Committee authorize staff to request proposals on the
three projects as noted above.
(7) OLD BUSINESS
FAHR95-24 Consideration of motion extending early retirement incentive
program provisions for all eligible employees:
(a) Consideration of motion to recommend a Board
Ordinance adopting the provisions of Government Code
Section 31641.04 authorizing all eligible Districts'
employees to receive two years additional service credit
for retirement purposes.
(b) Consideration that the Ordinance should specify that
provisions of the Early Retirement Incentive Program
would be effectiv~ January 1 through March 30, 1996,
and that the total cost-savings of positions filled at a
lower level or held vacant for a period of time shall
exceed the total actuarial cost of the additional service
credit granted and associated paid leave payoff costs.
Minutes of Finance, Adr) and Human Resources Committer')
Page 5
November 8, 1995
(c) Consideration that, for a period of five years, or until
such time as the full actuarially determined cost is paid
to OCERS, the Districts' Controller will conduct an
annual post-audit to verify that the savings exceed the
actuarial and associated costs attributable to the
additional service credit, and report the findings of that
audit to the Finance. Administration and Human
Resources Committee. The first report will be presented
during the fourth quarter of fiscal year 1996.
Gary Hasenstab reported that the cost of the 1995 program has already been
exceeded by avoided payroll costs for the first four months, and that the program
has been very successful.
After discussion on this matter, it was moved, seconded and duly carried to
recommend approval of the extension of the early retirement incentive program,
as indicated above, to the Executive Committee.
FAHR95-38 Consideration of motion authorizing selection of a consultant
and a professional services agreement for a New Financial
Information System. Phase Ill, Selection Process for
Hardware and Software: and Phase IV. Implementation and
Acceptance of the Selected Hardware and Software
Solutions.
Mike White, Controller, advised that the firm of Deloitte &Touche has been
selected to complete Phases I and II for the selection, acquisition and installation
of a new financial information system within the Districts' Finance Department. In
October 1995, the FAHR Committee approved the F.I.S. Request for Proposals
and authorized staff to solicit proposals for professional consulting services to
complete the project.
Mr. White reported that four (4) proposals were received on Friday, October 28,
1995, from Ernst & Young LLP, A.E.F. Consulting Systems, Intelligent Directions
Consulting, and Kerry Consulting Group. Interviews were conducted on
November 2 and 3, 1995. After interviewing and evaluating each of these·
consulting firms, Kerry Consulting Group was found to offer the best services
consistent with the requirements of the project, and their bid was found to be
within the amount budgeted for the project.
Mr. Dennis Vlasich was introduced and he described his experience, knowledge
and approach to projects of this type.
Minutes of Finance, Ad·-')1. and Human Resources Committ
Page6
November 8, 1995
After discussion on this matter, it was moved, seconded and duly carried to
approve staff's recommendation to enter into a professional services agreement
with Kerry Consulting Group for a New Financial Information System, Phase II,
Selection Process for Hardware and Software; and Phase IV, Implementation and
Acceptance of the Selected Hardware and Software Solutions; for a sum not to
exceed $58,263.
8. NEW BUSINESS
FAHR95-44 Consideration of Resolution No. 95-• Revising Districts'
Procedure for Settlement of Claims Made Against the
Districts: Settlement of Claims Made by the Districts:
Collection of Delinquent Accounts Owing to the Districts;
Settlement of Civil or Administrative Actions; and Settlement
of Worker's Compensation Actions; and repealing Resolution
Nos. 93-13 and 90-89.
Gary Streed reported that the Directors approved Resolutions in 1990 and 1993
which established staff's authority to settle different types of claims by and
against the Districts. The purposes of this proposed Resolution are to combine
the existing authorities into one Resolution and to revise the dollar thresholds of
the authority levels. The authority levels proposed will parallel those recently
approved for purchases and other authority delegations in Resolution No. 95-62.
Mr. Streed summarized the proposed changes to be included in the proposed
resolution.
After discussion on this item, it was moved, seconded and duly carried to
recommend the Executive Committee approve a resolution amending claim
settlement procedures, and to direct staff to report annually on settlement
activities and results.
FAHR95-45 Consideration of motion to review. approve and file Joint
Works Budget Reviews prepared by staff for the quarter
ended September 30, 1995.
Gary G. Streed presented the Joint Works Budget reviews for the quarter ended
September 30, 1995. He reviewed the summary statements of the Joint Works
Operating Costs, the Joint Works Capital Improvement Program, and the costs of
the workers' compensation, public liability and health plan self-insurance funds for
the three months of fiscal year 1995-96, as well as some comparative graphics.
After discussion on this item, it was moved, seconded and duly carried to review,
approve and file these reports. Staff will report in January on labor charges
outside of the Treatment Plants.
Minutes of Finance, Ad(~ and Human Resources Committn
Page 7
November 8, 1995
Summary reports for the Joint Works and the individual Districts will be
considered by the full Boards of Directors at their next meeting.
FAHR95-46 Consideration of motion to receive, approve and file the
Annual Audit Report submitted by Moreland & Associates,
Certified Public Accountants, and staff; the annual
Management Letter. the Auditor's Report to the Finance,
Administration and Human Resources Committee, and the
Appropriations Limit Report: and forward the Comprehensive
Annual Financial Report to the Executive Committee.
Mike White announced that the Districts' independent auditors, Moreland &
Associates, have completed their examination for 1994-95. Each year, the FAHR
Committee reviews the results of the audit and the corresponding management
letter. He advised that this year, the Comprehensive Annual Financial Report
(CAFR) has been completely prepared in-house, for the first time. The CAFR will
be submitted to the Government Finance Officers' Association (GFOA) for their
review. Michael Moreland, Partner and Charles Acocello, Senior Manager, and
Julie Pritchard, were in attendance and answered some of the Directors'
questions regarding the audit and the CAFR.
After some discussion, it was moved, seconded and duly carried to receive and
approve the: Annual Audit Report submitted by Moreland & Associates, Certified
Public Accountants, and staff; the annual Management Letter; the Auditor's
Report to the Finance, Administration and Human Resources Committee; and the
Appropriations Limit Report; and forward the Comprehensive Annual Financial
Report with an editorially revised transmittal letter to the Joint Boards.
(9) CLOSED SESSION
There was no closed session required.
(10) OTHER BUSINESS, IF ANY
None.
(11) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A
SUBSEQUENT MEETING
No reports were requested.
(12) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE
AGENDA FOR ACTION AND A STAFF REPORT
None.
Minutes of Finance, Ac ·n. and Human Resources Commit'. ,
Page 8
November 8, 1995
(13) CONSIDERATION OF UPCOMING MEETING DATES AND ITEMS TO BE
DISCUSSED AT THOSE MEETINGS
The next Committee meeting is scheduled for Wednesday, January 10, 1996.
(14) ADJOURNMENT
The meeting was adjourned at 7:00 p.m.
GGS:lc
J:\WP0OC\FIN\CRANE\FPC.MTG\FAHR.95\FAHR.MINIMFAHR11.95
,
Format
0 Written Report
D Overheads
0 Slides
D Flip Charts Anticipated Time 6 min.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
(4)(d)(2)
Summary
AGENDA FOR
NOVEMBER 8, 1995
Treasurer's Report
As previously reported, both PIMCO and Mellon signed their final contracts in time for the U.S.
Treasury Bill maturity of September 7. October will be the first full month of external money
management.
Monthly reports are available from PIMCO and Mellon on the sixth day after calendar month-
end. Thus, they are not available for the regular FAHR Committee mailing, but will be
distributed at the meeting.
Attached are a three-page Portfolio Detail by Sector report and a one-page Portfolio Summary
by Sector report which we hope to obtain on-line from Mellon Trust in the near future. These
reports include a description of our investments, our current market value, the percentage that
would be realized if fixed income securities were sold, the estimated annual income from fixed
securities, and the current yield for fixed securities. The annualized gain/loss, the estimated
annual yield, and the current yield are not reported for cash and cash equivalent investments,
which are purchased at a discount with the interest imbedded in the maturity value.
State of Calif. LAIF
Bank of America
·:.:•:-:::::::::::·: ·-.·
/??:\::.::;: ..
PIMCO -Short-term Portfolio
PIMCO -Long-term Portfolio
District 11 GO Bond Fund
Debt Service Reserves @ Trustees
Staff Recommendation
$12,943,353
1,269,187
60,520,792
236,765,148
10,013
26,324,156
$337,832,649
Staff recommends the Committee receive this report and the supplemental information which
will be available at the meeting, approve and forward the reports to the Executive Committee
and the Joint Boards.
J:IWPDOCIFINICRANEIFPC.MTGIFAHR.95\JTEMITREAS11.95
. ~Q~~ ¥. ~fQRT
COUNTY SANITATlON DISTRICTS OF ORANGE COUNTY
INVESTMENT MANAGEMENT PROGRAM
Pi:MCO'S PERFORMANCE MONITORING & REPORTING
(for the month ending October 31, 1995)
Uquld Operating Monies
14.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value:
Historical Cost:
14.1.2 MODIFIED DURATION Of Portfolio:
Of Index:
14.1.3 1 % INTEREST RATE CHANGE Dollar Impact (gain/loss) of 1 % Change:
14.1.4 REVERSE REPOS % of Portfolio in Reverse Repos:
(see attached schedule)
14.1.5 PORTFOLIO MATURITY % of Portfolio Maturing within 90 days:
14.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality:
14.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below "A":
14.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance"
14.1.9 PORTFOLIO PERFORMANCE Portfolio Total Rate of Return:
1 Month:
3 Months:
12 Months:
Year-to-Date:
Index Total Rate of Return:
1 Month:
.. nn~
~, 4
$60,520,421 I $60,531,195
.15 .
.25
$90,781
0%
68%
AA
0
.46 -----------
.42
I :
MONTHLY REPORT
C--OtJNTY SAMTATioN biSTIUcfs OF ORANGE coUNTY
INVESTMENT MANAGEMENT PROGRAM
PIMCO'S PERFORMANCE MONITORING & REPORTING
(for the month endi.ng October 31, 1995)
Long Term Operating Monies
14.1.1 PORTFOLIO COST AND MARKET VALUE Current Market Value:
Historical Cost:
14.1.2 MODIFffiD DURATION Of Portfolio:
Of Index:
14.1.3 1 % INTEREST RATE CHANGE Dollar Impact (gain/loss) of 1 % Change:
14.1.4 REVERSE REPOS % of Portfolio in Reverse Repos:
(see attached schedule)
14.1.S PORTFOLIO MATURITY % of Portfolio Maturing within 90 days:
14.1.6 PORTFOLIO QUALITY Average Portfolio Credit Quality:
14.1.7 SECURITIES BELOW "A" RATING % of Portfolio Below II A":
14.1.8 INVESTMENT POLICY COMPLIANCE "In Compliance"
14.1.9 PORTFOLIO PERFORMANCE Portfolio Total Rate of Return:
1 Month:
3 Months:
12 Months:
Year-to-Date:
Index Total Rate of Return:
1 Month:
ey. I --nfl"I•
---'
$236,571,005
$235,423,026
2.27
2.4
$5,370,162
0%
NA
AA
0
.98 -----------
.98
0
I
(
C
November 8, 1995
$500
$400
I!
!$300
"S
Js200
i
$100
CSDOC
TOTAL CASH. & INVESTMENTS
~ ~---
Dec6 Dec31 Jan 31 Feb28 Mar31 Apr30 May 31 June 30 July 31 Aug. 31 Sept 30 Oct 30
J:IWPDOC\FIN\CRANE\FPC.MTGIFAHR.95\ITEM\TREAS11.95
-.
OCSGOOOlOO MztiLON TRIJS'l' P,t.GE;: 1
OP. cnY C:ONl!IOt PORTFOLIO 11Jt9fA~Y BY !ECTOR BASE: U!O 31-oeT·U,5 KBUOO
, or UNREALIZED E!ITIMATt.0 CIJI\I\
PORTrOLIO CI9TRIBUTION COST MARl(JT v~u,: TOTAL ~J:N/1.0SS ANNUAL INCOMt Ytti:,o
--------------------------~----------------·-·-----·----------------------------------------------------~· ----·---
CASH, C~SH EQUIVALENTS
CASH 1.38 1,38 0.001 0.00 o.oo o.oc
BANKERS' ACCEPTANCES 2,93!1,016,6'7 2,935,016,6'7 0,99\ 0.00 o,oc 0,00
CCM,U:RCI.IU. ~A~ER -DISCOUNT 551 1H, 531.00 55,194,531,00 18,57' o.oo 0.00 0,00
lJ.S.AGtNCitS -LESS TltN lYR 3, ass, 01s.e3 J,055,075,93 l,031 0.00 c.oo 0,00
rtCERAL KOMt LOAN MORtGAGt -~E 9,Ul,382.45 91 191,382,4S 3,091 0,00 0.00 o.oo
ffiHA rssur.s -L!.!!S THN lYP. 11,895,840.00 11,us,e,0.oo •.oo, 0,00 o.oo C.00 FED HM LOAN BNK -LESS THH l~R l!,827,330,00 11,827,330.00 3.981 0,00 o.oo 0.00
!SDT RESERVE DEPOSJ:T ACCOUNTS JO&,i'!5,00 306,755,0C 0.10, o.co 12,270,20 4,00 ~~-------------------------------------------------------~--· -----------------------TOTAL Ck!IH, CASH £QUlVALtNT5 94, 40!1, IJJ2,J3 94, 40S, g32, 33 31. 76\ 0,00 12,270.20 0.01
FIX£D !NCOHt SEC1JRI'l'It5 U.S. GOViRNMtNTS 100,491i1,218.75 101,,,0,130,00 34,13\ 911,511.25 6,911,250.00 6,81
U,g, AGtNCil.S 52, no, n3.2e 53,082,738.70 17,96\ 361,825.42 3, 592, 18'. 00 6. 75
!A.~KING, rIN.a.NC~ 31,464,810, 61 n, s21, ou. as 10.GOI 56,204.24 2,208,167.00 7.01
INDVSTRIAJ. 1!,!!107,100,00 11,560,140,00 3.89' !13,040,00 988,SOO,OO e.ss
DTlitR CORPOAATE BONDS 2,554,0!0,00 2,543,675,00 0,861 -10,375.00 213 1 7;0,0C 9.40 M-·~~----~-••----------~~-------------------~~---------•----------------------------TOTAL rixtO lNCOMt StCURITitS aa,1H,m12.64 200,178,298,55 67,34' 1,432,205.91 13,904,451.00 6,95
OTHER PORTrOLIO ASSETS
PAYABLES/~r.cmIVMLtS 2,701,709,82 2,101,709.92 0,91' 0,00 o.oo 0,00 ----------·----------------·------------------------------------------------------------TOTAL OTHER PORTrOLIO ASSETS 2,701,709,82 2,701,709.82 o.gu 0,00 0.00 0.00
________ _..________ ---•---------------_____ .. ___ ------------------____ .,. ___ .,________ -------
N[T PO~TFOLIO A$StTS 295,85.3,7:U.79 zg7,2S5,940.70 100,00, 1,432,205.91 13,916,721.20 4,59
OCSG000100
011. CITY CO>ISOl,
SHAP.ES/PAR SECURITY DESCRIPTION
MtU.ON 'l'~UiT
PORTFOLIO DtT~!L BY SECTOR
31 •OC:'1'-1995
HA1'1<t't
PIUCt
, or
H.\RKtT VAI.UE TOTAii COST
PP.Gt: 1
BASt: use
H!llOO
UN~tALIZtO tSTIMATEC CURR
GAIN/LO!! ANNUAL INCC,.U: Y~D --------------------·---·•----------------------------------------------------------.. .--.. ------------------...... -·-----------------------
CASH lo CAsK £'2lJIVAl.ENTS
CASH
0 CT\SH 1,000 1.38 0.00 1.31 0,00 0.00 0.00
-----------~---------·-~-----------·------------------------------~---------... sosroTAL c1.stt 1,38 0,00 l,38 0.00 0.00 0,00
BANKERS' ACCEPTANC!:S
3,000,000 REPUBLIC NtW YORK B/A DISC 97,834 2,935,016.67 0.99 2,935,016, G'7 0,00 o.co 0.00
02/01/UH
------------------------------------------------------------------------~----SUBTOTAL BANKERS' ACCEPTAMCt9 2,935,016,67 0,99 2, 5135, 016. 67 o.oc o.co 0,00
Cot-c-fERCIAL PAPER -DISCOUNT
11,800,000 AMERICAN TEL & TL Dtsc U.380 11,726,879.l• 3,U 11,i26,879,34 C,00 o.oo 0.00
11/03/1995
3,000,000 MSOCIAT!.S C~ NA DISC 98,62'7 2,!i!S8,820,00 1.00 21 958 1 B20.00 0,00 o.oo o.oo
12/(14/1995
11,500,000 P.SSOCIATES C~ NA DISC 99.596 11,338,SH,44 3,81 11,339,514.44 o.oo 0,00 o.oo
12/06/1995
300,000 Knf INTL TIN !NC DlSC 08.3~3 295,060.00 0.10 295,060.00 0,00 0.00 0.00
01/17/1996
5,S00,ooo NtW s. ~ts TRSY DISC 99.088 S,449,846,11 1,83 5,449,846.ll 0.00 0,00 0,00
11/10/1995
400,0CO NEWS. KA.L£B T~SY DISC H.477 397,906,33 0,13 39'7, 906. 33 c.oc 0.00 0,00
11/13/1995
3,000, 000 NEW S. WALE:! TRS'f DISC 99,0U 2, 11"71, 97 5. 00 1.00 2,971, 97S,00 ,o,oo o.oo o.oo
12/11/1995
14,000,000 ONTARIO KYORO OISC 98.!,69 13,'799,698,U 4.64 13,199,698.B9 o.oo o.oo o.oo
12/08/1995
400,000 QUEENSLAND TR~ OlSC 99. 608 394,432.56 0.13 394,432.56 0.00 o.oo 0.00
12/12/1995
3,000,000 TR&ASURY CP VICT DISC 99,0516 2, 972, 877. so 1.00 2,972,87'1,SO 0.00 0.00 0,00
11/30/1995
2,900,000 U 3 ffl:ST C°""1UN DISC 99,604 2,888,520,83 o. 91 2,898,520.83 o.co o.cc o.oo
11/1-4/1995
-----------------------------------------------------------------------~-----SU~TOtAL C~ERCIAL PAPER -DISCOUNT !!,194,531,00 U,S7 ss, u4, s:n. oo 0.00 0.00 o.oo
U,S,AGENCIES -LESS THN l'fR
3,100,000 rm.MC CISC NT 98, SSl l,055,075.BJ 1.03 3, 05.S, 075, 83 o.oo 0,00 0,00
MAT 01./22/1996
---------------·-------------------------------------------------------------SU!TOTM. U.S.AGWCits -Lta5 THN lYR 3,0S5,075,83 1,03 3,055,075.83 o.oo o.oo o.oo
tEOtRAr.. HOMt LOAN MORTGAGE •LtSS TH»/ 1 rR
1,300,000 fEO HOME LN HTG CORP DISC NTS 99,59.l 1,294,704.ti7 0.4,f 1,294,'704,67 o.oo 0,00 o.oo
MAT ll/20/19515
a,000,000 rtDtRAl., ~CNE ~N MTG CORP DISC 98. 708 i,996,67'1,78 2. fi6 7, 996, 6'77, 79 c.oo o.oo 0,00
MA.T 12/15/1995
------------------------------------------------------------------·----------
OCSG000100
OP. C rTY CON.SOL
SKARtS/PAR $£CU~ITY 01:SC~?PTtON
HtLLON TRUST
PORTFOLIO DiTAIL BY 8ZCTOR
ll-OC:T-l9U
MARKET
PIUCt
, or
lo{A~l<tT VALUE tOTAL COST
PAGE: 2
BASE: USD
HBllOO
UNREAL:zto tS?IMl'TtO CURR
GAIN/LOSS ANNUAL INCOHl YLO
--------------------------~------------~---------------------------------~---------------------------------------------------------SUBTOTAL FtD~AAL HOHE LOAN MORTGAGE
rNHA ISSUES• LES! THN 1YR
12,000,000 rEDtAAL NATL MTG ASSN DISC NTS 99,132
MP.T 11/03/1995
9,191,382.45 3.09 9,191,382.45
11,e9S,940.00 4,0C 11,99S, 840, 00
0.00 0.00 o.oo
0,00 o,oc o.cc
--------------------------------------------------------------------·--------------SUBTOTAL rNMA. ISSUES~ LESS THI'! lYR
rED HM LOAN BNK -LE!5 THN lYR
12,000,000 FED HOME LN BK CONS DISC HTS
M.llT 01/24/1996
98,561
SUBTOTAL rED HM LOAN BNK -Ll!:BS THN
BSDT RESERVE DEPOSIT ~CCOUNTS
306,755 BSOT R£SE~v1: DEPOSIT ACCOUNT-100,000
PU8LlC II
SUBTOTAL BSOT RtStRVt OtPOSIT ACCOUN
TOTAL CASH, CASH EQUIVALENTS
fIXtD INCOME SECURITIES U,S, GOVt!WMtNTS
11,995,940.00 4,00 11,895,840.00 o.co 0.00 o.oo
11,827,330,00 3,98 11,827,330,00 0,00 c.oo o.oo
------------------------------------------------------·----------------------11 1 927,JJO.OO J.98 11,827,330.00 0.00 o.:;o o.oo
306,755,00 0,10 306,755,00 o.oo 12, 27 0, 2 0 4 , 00
_. _________________ . _______________________ _. ___________ ,.. ________________________ _
306,755.00 0.10 306,755,00 0.00 12,270.20 • ,00
----------------------------------------------------------·----... -----------------94,405,;32.33 31.76 94,405,932.33 o.oo 12,270.20 0.01
97,000,000 U 9 T~tASURY NOTtS 104,609 101,470,730,00 34,13 100,499,218,75 971,511,25 6,911,250.00 6.81
07.1251 09/J0/1999 DD 09/30/94
SUBTOT.-J,, U,S, GOVERNMENTS
U,S. AGtNCIES
2,355,000 rtOtJU\L He.Ht LN MTG CORP DtB 100,5~4
B.0801 02/Qg/1998
101,470,730.00 34,13 100,499,218.75 971,511.25 6,911,250.00 6.91
--362,08 190,284,CC a.OJ _)
25,000,000 FEC!lRAL HOM!: LN MTG DEB 101.105
2,369,988,70 0,80
25,2761 250.00 B.50
25,437,500,00 8,56
l!,369,350,7&
25;000,000.00
25,351,552.50
276,250.00 11 680,CCC.0O 6,65
85,937.50 1,712,500.00 6.73
6,720\ 10/02/2000 DD 10/02/95
2s,ooo,ooo rEDtAAL NATL MTG ASSN DEB lOt,7~0 6,aso, 0~12612000 oo 0S/26/95
SUBTOTA.L U.S. AGtNClts
BANKING, rINII.NCt
1,500,000 CHRYSLER.f!NL MTN TR t 00201
8,160' 01/31/1997 OD 01/11/95
40!,000 CHRl3LER FitlL MTN TR f 00224 s.oao, 01/31/1997 oo Cl/3t/9!
1,500,000 CHRYSLtR rINL MTN TR f 00258
7,380\ 03/17/1997 DO 03/03/95
2,900,COO CHRl3LER FINL MTN TR t 00306
7,270\ 04/!3/1~99 DD 04/13/95
102,329
102,319
101.634
102.248
-------------------------------------------------------~---------------------53,082,738 I 70 17,U 52,720,913,29 361,925,42 3,582,784.00 6.75
l,534,920,00 0,52 l,534,950,00 -30.00 122,400,00 7,97
475,793, 35 0, 16 475,972.51 -HIS! .26 37,572.00 7. 90
1,524t510,00 0.~1 1,522,140.00 2,370.00 110,700,00 7,25
2,965,192 .oo 1.00 2,952,996.00 l21 29S.OO 210,830,00 7.11
OCSG0C0100 Hl.LLON TRUST FP.GE 1 3
OA CITY CONSOL PORTfOLIO DETAIL BY SECTOR BASEi iJSO 31-oc'r-190! HBllOO
MA.tKr.T , or UNRtAl.IZEC tSTIMATtC CURR
SHARf!S/PAR SECURITY DESCRIPTION PRICE MARKET V.a.LUE TOT.a.I. COST GAIN/LOSS .a.NNO.-.L INCOME Yl,D -----------------~------•-uA----------~~----------------~---------------~----------------------------------------------------~-----1,000,000 CKRYSLER FIN!, MW TR f 00:335 99,907
~.2~0\ 07/20/lg9e 00 07/19/95
7,lCC,000 roRD MOTOR CR MT~ TR f 00177 98. 7 63
VA~RT 03/J0/199; DD 03/30/94
4,QOC,000 fORD MTR CR MTN TAANCMt fTR 96 Sl9,36J
rLTG/RT 11/09/19~8 OD 11/08/93
J,000,000 GM~ C MED TERM NT! 108,217
e.6251 1/10/2000 OD l/10/95
J, 700,000 GEN&AAL MTRS .A.CCEP MTN TR00324 106,142
8,3751 02/03/1999 DO O/Oj/95
1,,so,000 HOME SVGS AMtR ~ALIF r~ NT 101. ~JS
10.3001 06/12/1997
1,000,000 LtHMAN SROS :NC SR SUB NTS 100.789
7,000\ 5/15/1,91 DO 5/27/94
2,000,000 SEAM DC CORP M1N SER II 102,.!>20
9.000\ 08/0t/lg96 OD 09/01/91
1,000,000 ~tARS ROESUCK MTN f TR 00491 102.593
7.6901 02/27/199e DO 02/28/95
SU8TOT.a.L BANKING, FINANCE
INCUSTRI-'L
1,sco,000 CHRYSLER CORP D[B 106. 1'574
10,4CO~ 08/01/1999
9,GCO,OCO PHILIP MORRIS COS NT 110.667
9.2501 02/15/20CO
SVBTOT1.li INOUSTRIA.L
OTH~R CORPOAATt BONDS
2,500,000 51!:ARS RO£BUCK, CO NT 101. 747
e,fso, oe/01/199~
SUBTOTAL OTHER CORPORAU 80ND9
TOTAL F!XtD INCo-tt StCURITIZS
OT~tR ?ORTfOLID ASSETS
PAYAbttS/IU:CtIV~BLtS
0 INT~R~5T ::U:CEIVABLZ
SUBTOTAL PAYABLeS/RtCtIVABL[S
TOTAL OTHER PORTfOLIC ASSETS
1.000
999,070,00 o. 3,4 9g3, lli0,00 5,1)10.00 62,600.00 6. 27
7,012,173.00 2.35 !i, 999, ?,18. 00 ::.2, 425. 00 .347,190,00 4.'..5
), !1'74, 520,00 1.34 3,970,480.00 4,0~0.00 2 Ji, 50C, 00 5,98
3,246,510,00 1,09 3,22,,010.00 19,440,00 2?Je,no.~o , , 97
3,~2'.7,25•,00 1,)2 ), 911, uo.oo 1~,614,00 JM,815.00 ,,89
l,7H,S62,50 0,60 l,,86,1H.OO -1c,11:.5o 18~,750.00 :C.34
1,007,8110.00 0,34 l, 00'7, 520 ,00 3'70,00 70,000,0') 15.~5
~,030,•00,00 0,69 ~,050,400.00 o.co 180,000.:J:) a. 79
1,025,9JO.OO 0.35 1,031,960.00 -5,930.00 76, 90:>.oo 7.50
........ _______ -.. ----------------------... ____________ .. -----------------------------------
3'1,521,014,8.S 10,60 31,•64,810,!il 56,2C4,24 2,209,161,00 ,.01
1,600,110.00 0.54 1,603,320.CiO -3,210.00 156,000.00 9. 75
91 96C,030,00 3.35 9,9031 78C.OO 5€,250,00 032,500,00 9.JIS
-----------~---~-----------------·~-------------------~--------------·---------11,560,14¢,00 3,$9 ll.,S07,l00.00 S3,040,00 988,5CO,OO e.ss
2,S431 fi75,00 O.B!!i 2,554,050.00 -10,375.00 2'.I.J,'750.00 8.40
2,5~3,675,00 0,96 2,.55-4,050.CIO -10,375,00 213,1so.oo e.•=>
2001 1781 298.55 67.34 198,746,092.64 1,4321 205.91 13,904,,Sl.00 6.~S
2,701,709,92 0,91 2,701,709,82 0,00 0,00 o.oo
-----------------~--------------__ ""'.,.. _____ _
2,701,709.82 0,91 2,701,709,82 0,0:l o.oo o.oo
2,101,709.82 0.91 21701,70!1.82 o.oo :i.oo c.oo
-----~--~------~---------------------·-------------------------------------N~T ?ORTFOL!O k!!StTS 291,28~,940.70 100.00 29~,853,134.79 1,432,205.91 ll,916,721.20 4.69
STATE OF CALIFORNIA} } ss.
COUNTY OF ORANGE )
Pursuant to California Government Code Section 54954.2, I hereby certify that the
Notice and the Agenda for the Finance, Administration and Human Resources meeting held
on November 8, 1995, was duly posted for public inspection in the main lobby of the
Districts' offices on November 2, 1995.
Posted:
IN WITNESS WHEREOF, I have hereunto set my hand this 8th day of November, 1995.
Penny Kyle, Secreta each f he Boards of Directors of County
Sanitation Districts Nos. 1, 2, , , 6, 7, 11, 13 & 14 of Orange
County, California
-~ ______ a-__ , 1995, /D:~( A.M.
By: ~-AAJ_~--~~
J:IWPDOC\FINICRANEIFPC.MTG\FAHR.95\CERTPOST\CERTP011.95
phone:
(714) 962-2411
mailing address:
P.O. Box 8127
Fountain Valley, CA
92728-8127
street address:
10844 Ellis Avenue
Fountain Valley, CA
92708-7018
Member
Agencies •
Cities
Anaheim
Brea
Buena Park
Cypress
Fountain Valley
Fullerton
Huntington Beach
Irvine
La Habra
La Palma
Los Alamitos
Newport Beach
Orange
Placentia
Santa Ana
Seal Beach
Stanton
Tustin
Villa Park
Yorba Linda
County of Orange
Sanitary Districts
Costa Mesa
Garden Grove
Midway City
Water Districts
Irvine Ranch
COUNTY SANITATION DISTRICTS OF ORAI\JlJE COUNTY, CALIFORNIA
November 2, 1995
NOTICE OF MEETING
FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
COUNTY SANITATION DISTRICTS
NOS. 1, 2, 3, 5, 6, 7, 11, 13 AND 14
OF ORANGE COUNTY, CALIFORNIA
WEDNESDAY. NOVEMBER 8, 1995 -5:30 P.M.
DISTRICTS' ADMINISTRATIVE OFFICES
10844 ELLIS AVENUE
FOUNTAIN VALLEY, CALIFORNIA 92708
A regular meeting of the Finance, Administration and Human Resources
Committee of the Joint Boards of Directors of County Sanitation Districts Nos.
1, 2, 3, 5, 6, 7, 11, 13 and 14 of Orange County, California, will be held at the
above location, time and date.
The Executive Committee has been scheduled to meet at 7:00 p.m.,
immediately following the FAHR Committee meeting. Members of the
Executive Committee are invited to attend the FAHR Committee
meeting.
A light dinner will be served at 6:30 p.m. between the meetings.
J:IWPOOC\FINICRANEIFPC.MTGIFAHR.95\NOTICEINOTICE11.95
A Public Wastewater and Environmental Management Agency Committed to Protecting the Environment Since 1954
November 2, 1995
FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
TENTATIVELY SCHEDULED
MEETING DATES
Finance,
Administration and
Human Resources Executive Committee
Committee Meetings Meetings Joint Board Meetings
November November 8, 1995 November 8, 1995 November 15, 1995
December None Scheduled None Scheduled December 13, 1995
January January 10, 1996 January 17, 1996 January 24, 1996
February February 14, 1996 February 21, 1996 February 28, 1996
March March 13, 1996 March 20, 1996 March 27, 1996
April April 10, 1996 April 17, 1996 April 24, 1996
May May 8, 1996 May 15, 1996 May 22, 1996
June June 12, 1996 June 19, 1995 June 26, 1996
July July 10, 1996 July 17, 1996 July 24, 1996
August None Scheduled None Scheduled August 28, 1996
September September 11, 1995 September 18, 1995 September 25, 1996
October October 9, 1995 October 16, 1995 October 23, 1995
J:\WPOOC\F1N\CRANBFPC.MTG\FAHR.95\NOTICE\NOTICE11 .95
Roll Distribution After Meeting
Penny Kyle __
Lenora Crane
I
ROLL CALL SHEET
FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
MEETING DAT: November 81 1995
COMMITTEE MEMBERS
GEORGE BROWN (Chair) •••••••••.•.••••••••••
ROGER R. STANTON (Vice Chair) •••••.•...•••••
JAN DEBAY ................................. .
BURNIE DUNLAP •...•••.•.••.•••••••••....••••
JAMES H. FLORA •••••••...••••••••••••••.•••••
JOHN M. GULLIXSON ••••••••••••••••••••..••••
WALLY LINN •••••••••••.•.••••••••••••••..•••.
THOMAS SALTARELLI ••••••••••••••••••....••.
WILLIAM G. STEINER •••••••••••.••••••••.••.••
PEER A. SWAN (VJC) ••••••••••••.•.•••••..•.••
JOHN C. COX, JR. (JC)
OTHER DIRECTORS
-------······ .................... . -------......................... .
STAFF
PRESENT
DON MCINTYRE, GENERAL MANAGER •••••••••••••••••.•••...
BLAKE ANDERSON, ASST. GENERAL MANAGER •...•...••••••.
JUDY WILSON, ASST. GENERAL MANAGER .•.••..••..••••••..
NANCY WHEATLEY, DIRECTOR OF TECHNICAL SERVICES ••••••
GARY STREED, DIRECTOR OF FINANCE ••••••••••••••••••.•••
GARY HASENSTAB, DIRECTOR OF PERSONNEL •..•.••••••••••
ED HODGES, DIRECTOR OF MAINTENANCE ••••.•.••••••••••••
BOB OOTEN, DIRECTOR OF OPERATIONS ••.•••••••••••••••••
DAVID LUDWIN, DIRECTOR OF ENGINEERING •••.•••••••••••••
STEVE HOVEY, DIRECTOR OF INFORMATION SERVICES ••••••••
STEVE KOZAK, FINANCIAL MANAGER ....................... .
MIKE WHITE, CONTROLLER ••••.••••••••••.••••••••...••.•••
OTHERS
TOM WOODRUFF, GEN'L. COUNSEL .•••••••••••••.•...••••.••
--------·····································
ROU.1.95
TIME: 5:30 P .M.
ADJOURN ___ _
ABSENT
PRESENT
t
•
I
November 8, 1995
AGENDA
FINANCE, ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
COUNTY SANITATION DISTRICTS
NOS. 1, 2, 3, 5, 6, 7, 11, 13 AND 14
OF ORANGE COUNTY, CALIFORNIA
DISTRICTS' ADMINISTRATIVE OFFICES
10844 ELLIS AVENUE
FOUNTAIN VALLEY, CALIFORNIA 92708
REGULAR MEETING
WEDNESDAY. NOVEMBE:R 81 1995 -5:30 P.M.
............. .. ........................................... ~ --------~-----' ------~-·------------------· .............. · ...... ,. ............................................................... q.' ......................... , ......... • ... J •• ':
In accordance with the requirements of California Government Code Section 54954.2, this
agenda has been posted in the main lobby of the Districts' Administrative Offices not less than 72
hours prior to the meeting date and time above. All written materials relating to each agenda item are
available for public inspection in the Office of the Board Secretary.
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 that there is a need to take immediate action which need came to the attention of
the Committee subsequent to the posting of the 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.
. . .............................................. _ ......................... , ................................. ,, ...... r·· ... ,. •• __ ......................................... ··-................................. , -, ............................. "' , ....................... _ ••••
( 1 ) Roll Call
(2) Appointment of Chairman pro tern, if necessary.
(3) Public Comments: All persons wishing to address the Committee on specific
agenda items or matters of general interest should do so at this time. As
determined by the Chairman, speakers may be deferred until the specific item is
taken for discussion and remarks may be limited to five 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 ).
November 8, 1995
(4) The Committee Chairman, General Manager, Assistant General Manager(s),
Director of FinancefTreasurer, Director of Human Resources, Director of
Information Technology, and General Counsel may present verbal and/or written
reports on miscellaneous matters of general interest to the Committee Members.
These reports are for information only and require no action by the Committee
Members.
(a) Report of Committee Chair
(b) Report of General Manager
(c) (1) Report of Assistant General Manager -Administration
(2) Report of Assistant General Manager -Operations
(d) (1) Report of Director of Finance
(2) Report of Treasurer
( e) Report of Director of Human Resources
(f) Report of Director of Information Technology
(g) Report of General Counsel
(5) Approval of draft Finance, Administration and Human Resources Committee
Minutes for Meeting of October 11, 1995.
(6) Consideration of PD&C95-36 -Consideration of motion to solicit proposals for
Professional Planning, Design and Construction services for three projects as
follows:
Project No. 1 : Engineering Services for Investigation and Repair of Ocean Outfalls
Project No. 2: Management of Peak Hydraulic Discharge
Project No. 3: Determination of Financial Charges
(David Ludwin/Tom Dawes)
(7) Old Business.
FAHR95-24 Consideration of motion extending early retirement incentive
program provisions for all eligible employees:
(a) Consideration of motion to recommend a Board Ordinance
adopting the provisions of Government Code Section 31641.04
authorizing all eligible Districts' employees to receive two years
additional service credit for retirement purposes.
-2-
November 8, 1995
Old Business (Cont'd.)
FAHR95-38
(b) Consideration that the Ordinance should specify that provisions
of the Early Retirement Incentive Program would be effective
January 1 through March 30, 1995, and that the total cost-
savings of positions filled at a lower level or held vacant for a
period of time shall exceed the total actuarial cost of the
additional service credit granted and associated paid leave
payoff costs.
(c) Consideration that, for a period of five years, or until such time
as the full actuarially determined cost is paid to OCERS, the
Districts' Controller will conduct an annual post-audit to verify
that the savings exceed the actuarial and associated costs
attributable to the additional service credit, and report the
findings of that audit to the Finance, Administration and Human
Resources Committee. The first report will be presented
during the fourth quarter of fiscal year 1996.
(Gary Hasenstab)
Consideration of motion authorizing selection of a consultant and a
professional services agreement for a New Financial Information
System, Phase Ill, Selection Process for Hardware and Software;
and Phase IV, Implementation and Acceptance of the Selected
Hardware and Software Solutions.
(Gary Streed/Mike White)
(8) New Busines·s.
FAHR95-44 Consideration of Resolution No. 95-_, Revising Districts'
Procedure for Settlement of Claims Made Against the Districts;
Settlement of Claims Made by the Districts; Collection of
Delinquent Accounts Owing to the Districts; Settlement of Civil or
Administrative Actions; and Settlement of Worker's
Compensation Actions; and repealing Resolution Nos. 93-13 and
90-89. (Gary Streed)
FAHR95-45 Consideration of motion to review, approve and file Joint Works
Budget Reviews prepared by staff for the quarter ended
September 30, 1995. (Gary Streed)
-3-
November 8, 1995
FAHR95-46 Consideration of motion to receive, approve and file the Annual
Audit Report submitted by Moreland & Associates, Certified
Public Accountants, and staff; the annual Management Letter, the
Auditor's Report to the Finance, Administration and Human
Resources Committee, and the Appropriations Limit Report; and
forward the Comprehensive Annual Financial Report to the
Executive Committee.
(Gary Streed, Dir. of Finance.; Mike White, Controller;
Michael Moreland and Charles Acocello, Moreland &
Associates)
(9) Closed Session.
~ .............................. ~• .. ·••-••· •••••-•••..,·••••••-••••-•••••••••••, ................. 1 ............................................................ •••••••••••• ............................................................ • .. ••••· .. • .. ••••n••••••
Closed Session: During the course of conducting the business set forth on this
agenda as a regular meeting of the Committee, the Chairman may convene the Committee in
closed session to consider matters of pending or potential litigation, or personnel matters,
pursuant to Government Code Sections 54956.9, 54957 or 54957.6.
Reports relating to (a) purchase and sale of real property; (b) matters of pending or
potential litigation; (c) employee actions or negotiations with employee representatives; or
which are exempt from public disclosure under the California Public Records Act, may be
reviewed by the Committee during a permitted closed session and are not available for public
inspection. At such time as final actions are taken by the Committee on any of these subjects,
the minutes will reflect all required disclosures of information.
' ....................................................................................................... ~ ....................................... ' ................................................................................................... -............................................. .
(a) Convene in closed session, if necessary
(b) Reconvene in regular session.
(c) Consideration of action, if any, on matters considered in closed session.
( d Report on discussion taken in closed session, as required.
(10) Other business, if any.
(11) Matters which a Director would like staff to report on at a subsequent meeting.
(12) Matters which a Director may wish to place on a future agenda for action and a
staff report.
(13) Consideration of upcoming meeting dates and items to be discussed at those
meetings.
(14) Adjourn.
-4-
,,
,.
November 8, 1995
•·········· .......... _'"' -·•······ ....... , .. , ......................................................................................... ,, ... .., ........................................................... ,. ................. ... . . . . . . . . . . . .
• a.=,=.:a.=a....=a.:===~=== •
::_! Notice to Committee Members: :I,
If you have any questions regarding the Agenda, or wish to place items on the Finance,
~ Administration and Human Resources Agenda, Committee members should contact the :
i Committee Chair or Secretary ten days in advance of the Committee meeting. l
l ~::::: Chair. ~:;: i::: gm EHm,~501 I
•••••·• .................................................................................................................................................................... ~-•a.a••·· .................................................... ·······'
J:\WPDOC\FINICRANE\FPC.MTGIFAHR.95\AGENDAIAGENDA11.95
-5-
{4)(d){1) and {4){d){2) Director of Finance Report and
Treasurer's Report
r
Format • Written Report • Overheads • Slides
0 Flip Charts Anticipated Time 5 mins.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
(4)(d)(1)
Summary:
AGENDA FOR
NOVEMBER 8, 1995
Director of Finance Report
Since June 1995, the daily rate COP program remarketing agents have been
PaineWebber for the Series "A" and the 1993 Refunding COPs, and J.P. Morgan for the
Series "C" COPs. Most fixed rate Series "B" COPs have been refunded and the 1992
Refunding COPs have always been remarketed by PaineWebber in a weekly mode.
The attached graph shows the variable interest rates on each of the daily rate COPs
since the last report, and the effective fixed rate for the two refunding issues which are
covered by an interest rate exchange agreement commonly called a "swap."
Variable rates historically rise at the end of each calendar quarter, and especially at
year-end, because of business taxes and statements. They decline to prior levels
immediately in the following month. The average daily rate paid in 1995-96 has been
approximately 3.6%.
Staff will maintain our continuous rate monitoring and ongoing dialog with the
remarketing agents and rating agencies to keep the Committee fully informed about
developments in the program as they occur and at each meeting.
Staff Recommendation
Information only.
J:IWPOOC\FIN\CRANE\FPC.MTGIFAHR.9511TEMIOOF11.95
..... (')
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(') -I --.J m --m .....
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'-" •
~
0 Written Report
0 Overheads De
0 Slides
0 Flip Charts Anticipated Time 5 min.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
(4)(d)(2)
Summary
AGENDA FOR
NOVEMBER 8, 1995
Treasurer's Report
As previously reported, both PIMCO and Mellon signed their final contracts in time for the U.S.
Treasury Bill maturity of September 7. October will be the first full month of external money
management.
Monthly reports are available from PIMCO and Mellon on the sixth day after calendar month-
end. Thus, they are not available for the regular FAHR Committee mailing, but will be
distributed at the meeting.
Attached are a three-page Portfolio Detail by Sector report and a one-page Portfolio Summary
by Sector report which we hope to obtain on-line from Mellon Trust in the near future. These
reports include a description of our investments, our current market value, the percentage that
would be realized if fixed income securities were sold, the estimated annual income from fixed
securities, and the current yield for fixed securities. The annualized gain/loss, the estimated
annual yield, and the current yield are not reported for cash and cash equivalent investments,
which are purchased at a discount with the interest imbedded in the maturity value.
State of Calif. LAIF
Bank of America
PIMCO -Short-term Portfolio
PIMCO -Long-term Portfolio
District 11 GO Bond Fund
Debt Service Reserves @ Trustees
Staff Recommendation
$12,943,353
1,269,187
60,520,792
236,765,148
10,013
26,324,156
$337,832,649
Staff recommends the Committee receive this report and the supplemental information which
will be available at the meeting, approve and forward the reports to the Executive Committee
and the Joint Boards.
J:\WPOOC\FINICRANE\FPC.MTG\FAHR.95\ITEM\TREAS11.95
November 8, 1995
$500
$400
I!
1$300
1
ls200 -i
$100
CSDOC
TOTAL CASH & INVESTMENTS
$0 ,.... ..... .. •• ···' ······· -·····
Dec6 Dec31 Jan 31 Feb 28 Mar31 Apr30 May 31 June 30 July 31 Aug. 31 Sept 30 Oct 30
J:IWPDOC\FINICRANE\FPC.MTG\FAHR.95\JTEMITREAS11.95
OCSG000100 M1tJ.,ON f"IJ$T P,\Gt: 1
011. CI TY CON!Ot PORTFOLIO 1Ufol4.I.AY BY SECTOR 8AS!:: U9D 31-0et-1n& HBllOO
, or UNREALIZED E.!JTIMATtO CIJRR
POATrOLIO OI9TRI8UTION C:OST MARl(JT V~Ut TOTAl.t ~IN/1.0SS ANNUAL INCOMt Yttt,D
--·------------------------------------------··---------·-------------------------------------------------~--------
CMH, C.1.SH l:QUIV,1,L!NTS
CASH 1,38 1,38 0.001 0.00 o.oo o.oc
BANKERS' ACCEPTANCES 2,935,016,67 2, 935,016, 67 O,lll9' o.oo o.oc o.oo
COMME~CIA!. ~A~ER -DISCOUNT 55,194,531.00 ~5,194,531,00 18,57' 0.00 0.00 0,00
U.S.AGtNC!tS -LESS 'l'liN ll'R 31 OS5, 07S. 83 l,055,075,83 1,03, 0.00 C.00 o.oo
rtDEAAL HOH!. LOAN MO~TGAGt -Lt 9,191, 382.U g, 191,382, '! 3,09' 0,00 G.00 0.00
rNMA ISSUES -L!.SS THN l\'P. 11,895,840.00 u,egs,uo.oc 4,00\ 0,00 0.00 C.00
rED HM LOAN BNK -LtSS THN lY~ 1~, a:27, 330, 00 11,927,330.00 3.99' 0,00 o.oo 0.00
!SOT RESERVE DEPOSIT ACCOUNTS 306,755,00 306,755,0C 0.10, o.co 12,Z70,20 4,00
~·-----·-------------------------------------------------~--------------------------TOTAL CASH, CMM tQUl:VALENTS 94,40fi,SJJ2.J3 9', ,os, 932, 33 31. 76\ 0,00 12,270.20 0.01
TIX~ !NCOHt SEC1.IRititS
U.S. OOV!:RNM!:NTS 100,4Vli1,Zl8.75 101, '70, 730,00 34,131 911,511.25 6,911,250.00 6.81
U.S. AGENCIES 52, no, 913.20 53,082,738.70 17,86' 361,825.42 3,582,784.00 6. 75
8ANKING, FINANCE 31,464,810, 6l 31,521, 01'. 85 10.601 58,204,24 2,208,167.00 7.01
INCI\JS'l'RIAJ. ll,M7,100,00 11.,560,140,00 J.991 53,040,00 988, soo.oo a.ss
OT}{tR CORPOAATE BONDS 2 1554,0!0,00 2,543,675,00 0,86' -10, 375.00 2t.3, 7;0,0C 8.40 --·~~-------------------------------------------------------------------------------TOTAL rixtO lNCOMt StCVRITIES 198,746,092.64 200,178,298,55 67,30 1,432,205.91 13,904,4.Sl.OO 6,9S
OTHER PORTrOLIO ASSETS
PAYABLtS/~tCEIVABLtS 2,701,709,82 2,701,709.92 0,!>11 0,00 0.00 0,00
--------------~-----------------------------------------------------------------------TOTAL OTHER PORTrOLIO ASSETS 2,701,709,82 2,701,70!1.82 o. 91\ 0,00 0.00 o.co
-----------~--------·--------------------------------------------~-~~---------------N[! PORTFOLIO ASSET~ us, 853, 7Jt. 79 297,2B!,940,70 100,00, 1,432,2os.n 13,916, 721,20 4.69
OCSG000100
OR CITY CONSOL
S~S/PAR StCURITY DESCRIPTION
HUI.ON TRUST
PORTFOLIO DETAIL BY 9ECTOR
Jl•OCT-1995
MAl\l<t'r
PIUCt
, or
MARKtT V-'LUE TOT1.L
!,>A.Gt: l
BAS!.: USC
H81100
UN~!.ALIZtO tSTIMATEO CURR
COST GAIN/LOSS ANNUAL INCCJl,fE r~D ---------··---·------------·----------------------------------------------------------------·------------~-----------------------------------
CASH &. CAsH £QUIVALENTS
CASH
0 CASH 1,000 l. 39 0.00 1.lB 0,00 0.00 0.00
---------------------------"-----------------------~-------------------------SUBTOTAL Cl\Sli 1,38 0,00 l,38 0.00 0.00 0,00
BANKERS' ACCEPTANC~S J,000,000 REPUBLIC NEW YORK B/A DISC 97,834 2,935,016.67 o. gg 2,935,016. G7 0,00 0.00 0.00
02/01/li!i16 ------------------------------------------------------------~-----------~~---3UBTOTAL BANKERS' ACCf:PT.11.NCf!!I
Co.r-c-fE.RCIAL PAPER -DISCOUNT
11,800,000 AMlRICAN TtL, TL DISC U,380
11/03/1995
3,000,000 ASSOCIAT!:S C? NA DISC 98,627
12/04/1995
11,500,000 ASSOCIATES C~ NA DISC 9B.M6
12/0li/U95
JOO, 001) KFW INTL ru1 !NC DISC U,353
Ol/17/1H6
5,500,~00 NEWS, WP.LES TRSY DISC 99,0U
11/10/1995
400,000 Nf!~ S. WALE.S TTlS'i OI:sc !19. 477
11/13/1995
3,000, 000 NEW S. WAL~ TI\S"i DISC 99,0U
12/11/19115
14,00~,ooo ONTARIO trtORO DISC 98. ~69
12/08/1!>95
400,000 QUt!.NSLAND TRt.1\3 OtSC 99.608
l2/12/19!1S
3,000,000 TREASURY CP VICT DISC 99,0!Hi
11/30/1995
2,900,000 U 3 WEST COf11l.lN DISC 99,604
ll/lVl995
SUBTOtAL CQ1MERCI1'L PAPER -DISCOUNT
U,S,AGENCIES -LtSS THN 1YR
3,100,000 nil.MC OISC NT
MAT 01/22/199~
98,SSl
SUSTO~,U, U.3,AGtNCIES • LESS THN lYR
tEOtRJU. HCME LOAN MCRTGAG~ -Lt55 TH).N 1 rR
1,300,000 fED HOME LN MTG CORP DISC ~TS 99,59.J
MAT 11/20/HSIS
8,000,000 rtDERAl, ~CME ~N MTG CORP DISC 98.708
Ml\T 12/15/1995
2,935,016,67 0.9~ 2,935,016.67 o.oc o.co 0,00
11,726,079.34 3. 94 11,726,879,34 C,00 0.00 0.00
2,!1!18,1120,00 1.00 2,9581 820.00 0,00 0,00 c.oo
11,338, SH, 44 3,81 11, JJ8 f 514 • 44 o.oo o.oo o.oa
295,060.00 0.10 29$,060.00 0,00 0.00 0.00
s, 449,846 I 11 1, 83 ~, 449,846.11 0.00 0,00 0,00
397,906,33 0,13 397,906,33 C.00 0.00 0,00
2, 9"71, 97 S. 00 1.00 2,971, 975,00 0,00 0,00 0.00
13, '199,699. n 4.64 13,199,698.89 o.oo 0,00 0.00
394,432.56 0,13 394,432.56 0.00 o.oo o.oo
2,!172,877.50 1.00 2, ~72, 877, so 0.00 0.00 o.oo
2,888,520, 83 0.97 2,888,520.83 o.cc a.cc 0.00
---------------------·------·----------------------------------------------.--------55,194,531,00 18,S7 55, 194, s:n. oo 0.00 0.00 o.oo
J,055,075.9l 1.03 3,055,075,83 0.00 0,00 0,00
--------------------------------------------------------~--------------------3,055,075,83 1,03 3,055,075.83 o.oo 0.00 o.oc
1,294,704.67 0,4" 1,294,704,67 0.00 o.co o.oo
7,896, 67'1, 78 2.&6 1, 896, 677 I 78 C.00 0,00 o.oo
--~-------------------------------------------------------~--------~-----·---
~)
~./
OCSG000100
-:>R CrTY CON!OL
SHARES/PAA SECURITY OtsCA?PTtON
H!LLON TRUST
PORTFOLIO DCTAIL BY SECTOR
l1-0C:T-l9U
MARKET
Pl'lCE
, or
lo'.AAKtT VM.Ut tOTAL COST
-.
PAGE: 2
BASE.: USO
H8l1CO
UNRtALIZtb £STIM.l'Tto CURR
QAIN/LOSS ANNUAL INCOMt YLO ------------·------------------------------------------------------------------------------------------------------------------------SUBTOTAL r£DEAAL HOHE LOAN MORTGAGE
rNMA ISSUES• LESS THN 1YR
12,000,000 FEDtRAL NATL MTG ASSN DISC NTS 99,132
MII.T 11/03/1995
9,191,382.45 3.09
11,89S,840.00 4,0C
9,191,382.45 0.00 0.00 o.oo
ll,US,840,00 o.oo 0.00 o.cc
-----------------------------------------· ---------------------------------------SUBTOTAL rNHA ISSUtS ._ LE:SIS THN lYR
rED HM LOAN BNK -LE!S THN lYR
12,coo,000 FED HOME ~N BK CONS DISC NTS
MAT 01/24/1996
98,561
Sl1BTOTAL rED HM LOAN BNK -LESS THN
BSDT RESERVE DEPOSIT ~CCOUNTS
306,755 BSOT RESE~v1: DEPOSIT ACCOUNT-100,000 PU8LIC II
SUBTOTAL BSDT RtsERVt DEPOSIT ACCOUN
TOTAL CASH i CASH E~IVALl!NTS
F!XED INCOME SECURITIES
U,S, GOVERNMt~TS
11,895,940.00 4.00 11,895,840.00 o.co o.oo o.oo
11,827,330,00 3,98 11,tl27,330,00 0,00 c.oo o.oo
111 827 1 330.0Q J.98 11,927,330.00 0.00 o. :;o o. oo
306,755,00 0.10 3015,755.00 0,00 12,210.20 4,00
--------------------------------.. -------------------------------------------------306,755.00 0,10 306,755.00 o.oo 12,:no.20 •.oo
••w-•-•-r~•-•••••-••-•--••------------•------•--------••--•---~--•••--•••-~-• gc,,os,gJ2.33 31.76 94,1105,932.33 0.00 12,27C.20 0.01
97,000,000 U 9 T~tASURY NOTES 104,609 101,470,730,00 34,13 100,499,218,7S 971,Sll,25 6,911,ZSO.OO 6.81
07.1251 09/30/1999 DD 09/30/94
SUBTOTAL U,S, GOVERNMENTS
U,!. AGENCIES
2,355,000 rtCtJlAL Hef-it LN MTG CORP DEB 100,5~4 e.oeo, 02/09/1998
25,0001 000 FEDERAL HOME LN MTG Ota 101,105
6,720\ 10/02/2000 DD 10/02/95
25,~00,000 fEDERAL NATI. MTG MSN DEB lOl,750
6,850\ 0~/26/2000 OD OS/26/95
SUBTOTAL U.S, ~GtNCits
5ANKING, rINANCt
1,500,000 CHRYSLER FINL MTN TR t 00201
e.1so, 01131119p7 DD 01111/gs
4o!,000 CKRY$LER FI11L MTN T~ f 00224 e.oao, Ol/31/1997 oo 01/31/95
1,500,000 CHRYS~ER !INL MTN TR f 00258
7,380\ 03/17/1997 DD 03/03/PS
2,900,000 CHRl3LER FINL MTN TR f 00306
7,270' 04/!3/lgge DD 04/13/iS
102,328
102,319
101.634
102.248
101,470,730.00 34,13 100,499,218.75
2,J6a,9ae.10 o.eo
2s,21612so.oo a.so
25,437,500,00 8,56
i, 369,350, '79
25,000,000.00
2S,J51,S62.50
971,511.25 6,911,250.00 6.91
-362,08 190,284,00 a.OJ
276,250.00 11 680,COC.OO 6.65
85,937.50 1,712,500.00 6.73 ________________________________ _,_ ________________ _,_ ... ., ___ .,. .. ____ ._ __________________ _
53,082,738 I 70 17,86 52,720,913,28 361,925.42 3,582,794.00 6. 75
1,534,920,00 0,52 l,534,950,00 -30.00 122,400,00 7,97
475,783. :,5 0,l6 475,972.51 -199.26 37,572.00 7. 90
11 524~510,00 O .. H 1,522,140.00 2,370.00 110,700,00 i,Z5
2,965,192.00 1.00 21 952,B!lfi.OO 12,295.00 210,!!30,00 7,11
OCSGOCOlOO Ml.LLON TP.UST FAGE1 3 ..
OR C!TY CONSOL PORTrOLIO DETAIL BY SECTOR BP.SEt USO
.H•OC'r•19g! HB1100
MA~Kr.T , or UNRr>J.IZEO ESTIMATtC CURR
SHARES/PAR SECURITY DESCRIPTION PRIC't MARKET VJU.VE TOTJU. COST GAIN/LOSS ANl'IO.a.L UlCOME YLO -------------------•--•--w------------M-------------------M-----~-------------------4-------------~-----•--M•-------•---•-----------~--
1,000,000 CHRYSLER FIN!J MTtl TR f 00335 99,90.,
6,260\ 07/20/1998 OD 07/18/9!
7,100,000 roRD MOTOR CR MT~ TR I 00177 98.763
VAR/RT 03/30/199; OD 03/30/94
4,QOC,000 :CORD MTR CR MTN TAANCME tTR !16 99.36J
f'LTG/RT 11/09/1998 DD 11/08/93
31 000,000 GMAC MED T~RM NT! 108,217
9.625\ l/10/2000 OD 1/10/QS
3,700,000 GENERAL MTRS .A.CCEP MTN TP.00324 106.142
8,375, 02/03/199~ DO 0/03/95
1,750,000 HOME SVGS AM~R C~LIF FA NT 101. ~35
10.3001 0~/12/1997
~.000,000 LlHMAN SROS !NC SR SUB NTS 100.789
1,000, s/1s/1,91 DD 5/27/94
2,000,000 SE~RS DC CORP M1N SER II 102,$20
9.000\ oe/Ot/1g9i; DD 09/01/91
1,0001 000 StARS ROtBUCK MTN f TR 00491 102.593
7.6901 02/27/199ij DD 02/28/95
3U8TOTM. BANKING, fINANCt
INDUSTR!Al
1,sco,000 CHRYSL~R CORP oie 106. fl4
10.400, 08/01/1999
91 0CO,OCO PHILIP MORR!S COS NT 110.667
9.250\ 02/15/20CO
SVB!OTAL INDUSTRIAJ..
OTH~R COkPOAATt BONOS
2,500,000 S~RS ROtBUCK, CO NT 101. 747
e.s5o, oe/01/199~
SUBTOTAL OTHtR CORPORAtt 80ND9
TOTAL rIXtD !NCOM~ StCURITitS
DT~~R ~ORTroiI • ASSETS
PAY~BttS/FU:CtIV~BL£S
0 INTE:.REST ;ttCEI"JABLZ
SUBTOTAL PAYABLES/R£CtIVABLtS
TOTAL OTHER PORTfOLIC ASSETS
N~T ~ORTrOL!O MStTS
1.000
999,0.,0,00 o. 34 gg~,uo.oo !!i, 910.00 62,600.00 6.27
7,012,173.00 2.35 5,999,749.00 ~2, 425.00 347,190,00 4. '.;5
3,!174,S20,00 1.34 3,970,480.00 4,040.00 237, soc.co 5.98
l, 246, 51,~.oo 1.09 3,22'7,070,00 19,440,00 259,7!.0.10 , • 9'7
3,~2,,2s~.oo 1.)2 3,911,640,00 15,614,00 309,975.00 '7, 99
l,7'76,662,50 o. 60 11 1as, n4 .oo -10,11:.so 183,750.00 !C.34
1,007,890.00 0.34 l,007,520,QO no,oo 70,000,0') 6.:i!S
2,0~0,400,00 0,69 2,050,400.00 0.00 190,000.0:) a.1s
1,025,930.00 0.35 1,031,860.00 -5,930.00 ,s,900.00 "7.50
31, 521, 014 , 8 S 10,60 31,.64,81.0.61 56,2C4,2' 2,208,t67,00 '7 .01
1,600,110.00 0.54 1,603,320.vO -3,210.00 156,0CO.:rn 9.75
9,96C,030,00 3.35 9,90J,78C.OO 56,250.00 032, 50(), 00 9.36 ____________ .,,_ .. .__ ... ____________________________________________________ _._ .. ________
ll,S60,14C,OO 3,$9 11,507,lOO,OO 53,040,00 988,500,0C a.ss
2,543,675.00 0,8!5 2,554,050.00 -10,375.00 213,750.00 8.40
2,543,675,00 0.86 2,554,030.00 -10,375.00 213,750.00 8,40 )
2001 1781298.55 67.34 198,746,092.64 1,4321205.91 13,904,~Sl.OO 6.95
2,701,709,92 0,91 2,701,709.92 0,00 0,00 o.oo --•••-••w•-•-------------------------------2,701,709,82 0,91 2,701,709,52 0,0'.) 0. :lO 0.00
2,101,709.82 0.91 2t701,709,B2 0,00 0.00 c.oo
---------------------------------... -----------------------------------------------------297,285,940.70 100.00 295,8!3,734.79 1,432,205.91 13,916,721.20 4.69
(5)
Approval of Minutes
\
J
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
( 5) Consideration of motion to approve the draft Finance,
Administration and Human Resources Committee Meeting
Minutes of October 11, 1995
Summary
Attached is a draft of the Finance, Administration and Human Resources Committee
meeting Minutes of October 11, 1995, for approval by the Committee.
Staff Recommendation
It is recommended that the minutes of the October 11, 1995, Finance, Administration
and Human Resources Committee meeting be approved. These minutes were
submitted to the Executive Committee at their October 18, 1995 meeting, and no further
action is required.
J:IWPOOCIFINICRANEIFPC.MTGIFAHR.951FAHR.MINICVRMFH11.95
' . '
DRAFT
County Sanitation Districts
of Orange County, California
P.O. Box 8127 • 10844 Ellis Avenue
Fountain Valley, CA 92728-8127
Telephone: (714) 962-2411
MINUTES OF FINANCE,
ADMINISTRATION AND HUMAN RESOURCES COMMITTEE
Wednesday, October 11, 1995, 5:30 P.M.
A meeting of the Finance, Administration and Human Resources Committee of the
County Sanitation Districts Nos. 1, 2, 3, 5, 6, 7, 11, 13 and 14 of Orange County,
California was held on October 11, 1995 at 5:30 p.m., at the Districts' Administrative
Offices.
(1) ROLL CALL
The roll was called and a quorum declared present, as follows:
Committee Directors Present:
George Brown, Chair
Jan Debay
James Flora
John M. Gullixson
Wally Linn
Thomas Saltarelli
Peer Swan
Committee Directors Absent
John C. Cox, Jr., Joint Chair
Burnie Dunlap
Roger R. Stanton, Vice Chair
William G. Steiner
Staff Present:
Donald F. McIntyre, General Manager
Judith A. Wilson, Assistant General Manager
Gary G. Streed, Director of Finance
Ed Hodges, Director of Maintenance
Bob Ooten, Director of Operations
Gary Hasenstab, Director of Human Resources
Steven J. Hovey, Director of Information Tech.
Michael D. White, Controller
Stephen V. Kozak, Financial Manager
Others Present:
Terry Andrus, General Counsel
(2) APPOINTMENT OF A CHAIRMAN PRO TEM
No appointment was necessary.
(3) PUBLIC COMMENTS
No comments were made.
Minutes of Finance, J '.1in. and Human Resources Commi 3
Page2
October 11 , 1995
(4) REPORTS OF THE COMMITTEE CHAIR, GENERAL MANAGER. ASSISTANT
GENERAL MANAGER(S), DIRECTOR OF FINANCE/TREASURER.
DIRECTOR OF HUMAN RESOURCES, DIRECTOR OF INFORMATION
TECHNOLOGY AND GENERAL COUNSEL
(a) Report of the Committee Chair
The Committee Chair had no report.
(b) Report of the General Manager
The General Manager, Donald F. McIntyre, reported that he was
becoming concerned about recent policy papers from taxpayer
associations regarding user fees, asserting that the fees are taxes if they
are mandatory and not discretionary. User fees for waste water treatment
could be challenged under this theory.
(c) Report of Assistant General Manager -Operations
No report.
Report of Assistant General Manager -Administration
Judy Wilson had no report.
(d) Report of the Director of Finance/Treasurer
(1) Finance Director/Treasurer Gary Streed updated the Committee on
the status of the Districts' COP program, and the performance of
remarketing agents PaineWebber and J.P. Morgan. Mr. Streed
noted that the variable rates rose slightly at the end of September
due to historical quarter-end fluctuations. The rates declined to
prior levels at the beginning of October.
Staff will continue to keep the Committee fully informed about
developments in the program as they occur each month.
(2) Pacific Investment Management Company, "PIMCO," the Districts'
Investment Manager, and Mellon Trust Company, Custodial Bank,
both signed their final contracts on September 6, 1995, in time for
the U.S. Treasury Bill maturity on September 7. Mr. Streed advised
that $233.1 million was placed in the long-term portfolio and $60
million went into the short-term portfolio. September-was,
therefore, a transitional or structuring month. The first PIMCO
report was discussed as item FAHR 95-41.
•
'
Minutes of Finance, Adr.'l and Human Resources Committe()
Page3
October 11, 1995
(e) Report of the Director of Human Resources
Gary Hasenstab had no report.
(f) Report of the Director of Information Technology
The Director of Information Technology, Steve Hovey, had no report.
(g) Report of General Counsel
Terry Andrus had no report.
(5) APPROVAL OF MINUTES
It was moved, seconded and duly carried to approve the draft minutes of the
October 11, 1995, meeting of the Finance, Administration and Human Resources
Committee.
(6) Consideration of OMTS95-041 -Compressed Natural Gas (CNG) Refueling
Station
Ed Hodges, Director of Maintenance, gave a brief presentation detailing the costs
associated with the operation of a Compressed Natural Gas refueling station.
After discussion on this item, it was moved, seconded and duly carried to
recommend the Executive Committee approve the Compressed Natural Gas
(CNG) Refueling Station project; authorize staff to loan reserve funds to build the
station; and create an enterprise account for this project. The staff was
requested to report on the results at least annually.
(7) OLD BUSINESS
FPC95-13 Consideration of motion to approve reimbursement of
participants' deferred compensation contributions.
Assistant General Manager Judy Wilson reviewed the history of the Districts'
deferred compensation plan and the funds that were held at the Orange County
Treasury from 1975 until 1995. She noted that these funds were included in the
OCIP failure. In January 1995, the County Board of Supervisors established
pay-out limits for all participants in the OCIP. County employees were given a
90% payout of their deferred compensation balances; however, the Districts'
deferred compensation participants were only given an 80% pay-out, treating
them the same as the balance of the OCIP investors. $933,335.96 is still
outstanding for the Districts' deferred compensation participants. The CSDOC
group was the only non-County group of participants whose deferred
Minutes of Finance, I 11in. and Human Resources Commi 3
Page4
October 11, 1995
compensation plan was administered and segregated at the County at the time of
the bankruptcy.
After discussion on this matter, is it was moved, seconded and duly carried to
recommend approval to the Executive Committee of the following three-point
resolution:
A. Deposit $311,119 of the loss for the next three years with Lincoln National
Insurance Plan.
8. Do not provide an "interest earnings" adjustment.
C. Distributions from the Bankruptcy Court on behalf of the Deferred
Compensation Plan will reimburse the Districts, to the extent that they are
available.
Director Gullixson opposed the motion.
FAHR95-25 Consideration of motion to approve revision of Resolution
No. 95-54 Pertaining to Classification, Compensation, and
Other Terms. Conditions. Rules and Regulations of
Employment.
Resolution No. 95-54 was adopted by the Boards on May 24, 1995. Gary
Hasenstab, Director of Human Resources, advised that staff and General
Counsel have reviewed Resolution No. 95-54 and are proposing amendments to
reflect staffing changes in the 1995-96 approved budget, changes in legislation
and labor practice, and policy statements which more accurately portray Districts'
managements' new direction.
After a brief discussion on this matter, it was moved, seconded and duly carried
to recommend adoption of Resolution No. 95-_ on the basis that there are no
substantive changes in the level or cost of entitlements over previously adopted
resolutions, that liability insurance required of Executive Management will be
increased and a waiver provision be included to all the Districts to hire former
employees employed by outside firms within 12 months of their employment with
the Districts if it is in the best interest of the agency. The waiver would require
approval of the FAHR Committee.
(8) NEW BUSINESS
FAHR95-38 Consideration of motion approving authorization for staff
to solicit bids for Phase Ill and IV F.I.S. Consultant and
Acceptance of F.I.S. RFP prepared by Deloitte & Touche.
Mike White, Controller, advised that the Ernst & Young report of July 1995, on
the Finance Function Review, recommended a number of enhancements to the
RFP prepared by the consulting firm of Deloitte &Touche for the acquisition and
'
Minutes of Finance, Adr ! and Human Resources Committe)
Pages
October 11, 1995
installation of a new financial information system within the Districts' Finance
Department. Those enhancements included: Additional functionality
requirements in the area of Project Accounting and Cashiering; expanded
functionality in the Contracts Subsystem area; and functionality requirements for
the Human Resources application. The RFP for a new Financial Information
System (FIS) is now complete.
After discussion on this matter, it was moved, seconded and duly carried to
approve the following staff recommendations:
1. Direct staff to solicit bids for a professional consulting agreement for the
completion of Phase 111, Selection Process for Hardware and Software,
and Phase IV, Implementation and Acceptance of the Selected Hardware
and Software Solutions for the Financial Information System project
2. Approve for release the Request For Proposal for a Financial Information
System. Distribution of the RFP will be made to appropriate vendors as
identified by the selected professional consulting firm hired to complete
Phases Ill and IV.
FAHR95-39 Consideration of motion to receive and file staff report
regarding monitoring of the Local Agency Investment Fund.
Steve Kozak, Financial Manager, in response to the Committee's request at their
September meeting, reported on the Districts' investments with the California
Local Agency Investment Fund (LAIF). He reviewed LAIF's composition and
oversight committee structure, the current status of LAIF Investments; and the
reports available to the Districts for continual monitoring.
After discussion on this matter, it was moved, seconded and duly carried to
receive and file this report.
FAHR95-40 Consideration of motion to change the "Agreement for
Purchase and Sale of Capacity Rights in Treatment. Disposal
and Sewer Facilities" between County Sanitation District No.
14 and the other County Sanitation Districts of Orange
County.
Assistant General Manager Judy Wilson updated the Committee on the status of
the IRWD's Wetland Water Supply Project which proposes to divert a significant
portion of its flow to the duck ponds from October 21 through March 31. If the
Regional Water Quality Control Board approves the plan, the flow could be
diverted as early as January 1996. Removal of this flow from the CSD system
could have a significant impact on each of the Districts.
Minutes of Finance, I :1in. and Human Resources Commi 3
Page6
October 11, 1995
After discussion on this matter, it was moved, seconded and duly carried to affirm
the Executive Committee's direction to negotiate a change to the 1986
"Agreement for Purchase and Sale of Capacity Rights in Treatment, Disposal
and Sewer Facilities," so that the District No. 14 annual flow is based upon the
actual average flow per day for the four highest months, in order to provide
capacity for higher winter months flows.
Directors Swan, Saltarelli and Debay abstained from the vote.
FAHR95-41 Consideration of motion to receive and file monthly
investment report and staff report regarding performance
monitoring of Pacific Investment Management Company.
Steve Kozak reported on the performance of Pacific Investment Management
Company. He advised that during the month of September, PIMCO completed
approximately 75 transactions, purchasing and selling securities to properly
structure the Districts' two investment portfolios in accordance with the Districts'
Investment Policy Statement. He advised monthly reports will be available from
PIMCO to the Districts after the fifth business day following the end of the
preceding month. Monthly bank statements from Mellon Trust, detailing portfolio
transactions and account balances, will also be available to the Districts. The
Districts' Investment Advisor, Callan Associates will prepare and present to the
Committee Quarterly Performance Reports.
After discussion on this matter, it was moved, seconded and duly carried to
receive and file this report.
FAHR95-42 Consideration of motion to approve staff recommendations
re microcomputer acguisition issues (Specification
No. E-261).
Steve Hovey, Director of Information Technology, gave an overview of the
microcomputer acquisition issues. At the July 6, 1995 meeting of the Planning,
Design and Construction Committee, item PDC95-24 "Discussion of Plant
Automation Computer System and Consideration of Motion Authorizing Staff to
Issue Purchase Order with Pioneer-Standard Electronics for Two VAX 4000
Model 705A Computers for Plant 2 Plant Automation", was presented to the
Committee. This proposal included the purchase of 32 DEC Pentium Personal
Computers for Operations at both plants. The Committee authorized staff to
proceed with the purchase of the Two VAX 4000 Computers for Plant 2
automation, but the purchase of the Personal Computers was deferred pending a
staff evaluation to identify more cost effective options.
After discussion on this item, it was moved, seconded and duly carried to
approve the following actions:
)
Minutes of Finance, Ad,·). and Human Resources Committe,,,--..1
Page7
October 11, 1995
1. Recommend to the Joint Board that the Districts' policy with regards to
standards for PC technology shall be that all PC technology purchases be
limited to the most recent list of Tier 1 and Tier 2 vendors as defined by
GartnerGroup, for both desktop computers and mobile computers.
2. Recommend to the Joint Boards that the Districts policy state that, with
regards to the purchase of PC technology all purchasing actions utilize
California Multiple Award Schedule (CMAS) contracts for the purchase of
PC technology from among the list of Tier 1 and Tier 2 vendors as
mentioned in the previous motion. Staff will compare CMAS pricing and
choose the lowest priced Tier 1 and Tier 2 vendor's configuration
applicable to the Districts' needs.
3. Recommend consideration of motion authorizing staff to issue a purchase
order to Dell Computer, the lowest priced Gartner Tier 1 /2 vendor at this
time, in a total amount not to exceed $208,900.00, including sales tax, for
the Purchase of 60 Personal Computers and monitors and other
associated components (Specification No. E-261 ).
4. Direct staff to issue an RFP for Hardware Maintenance Services and an
RFP for Software Help Desk Services. Staff will evaluate proposals, rank
and present their recommendations to the Committee for award of a
Purchase Order for such services in an amount estimated not to exceed
$150,000.
FAHR95-43 Consideration of motion to approve staff recommendation
for the establishment of a Relief Operator bonus of S.60 per
hour for employees covered by the Operations and
Maintenance Memorandum of Understanding through a Side
Letter Agreement in order to reduce overtime costs.
Gary Hasenstab, Director of Human Resources, advised the Committee that the
annual overtime cost to operate both treatment plants is currently about
$375,000. Forty-eight percent (48%) of this total, or $180,000, is attributable to
holiday coverage and is currently controlled by operating at minimum staffing
levels on holidays. The remaining fifty-two percent (52%), or $195,000, is
caused by employees working overtime to cover for the scheduled or
unscheduled absences of other employees in an effort to meet minimum staffing
requirements. Overtime costs could be further reduced through use of a relief, or
floater, position that could be assigned to any vacant shift on a regular basis. A
Relief Operator bonus offers an inducement to work this otherwise undesirable
and unpredictable shift, which may vary from mornings one week to nights the
following week. Eight such positions at both plants have the potential of reducing
overtime costs by up to $100,000 annually.
Minutes of Finance, t \in. and Human Resources Commi, J
Page 8
October 11 , 1995
After discussion on this item, it was moved, seconded and duly carried to
recommend the Executive Committee approve staff's recommendation to
establish a Relief Operator bonus of $0.60 per hour for employees covered by
the Operations and Maintenance Memorandum of Understanding through a Side
Letter of Agreement.
(9) CLOSED SESSION
There was no closed session required.
(10) OTHER BUSINESS, IF ANY
None.
(11) MATTERS WHICH A DIRECTOR WOULD LIKE STAFF TO REPORT ON AT A
SUBSEQUENT MEETING
No reports were requested.
(12) MATTERS WHICH A DIRECTOR MAY WISH TO PLACE ON A FUTURE
AGENDA FOR ACTION AND A STAFF REPORT
None.
(13) CONSIDERATION OF UPCOMING MEETING DATES AND ITEMS TO BE
DISCUSSED AT THOSE MEETINGS
The next Committee meeting is scheduled for Wednesday, November 8, 1995.
(14) ADJOURNMENT
The meeting was adjourned at 7:40 p.m.
GGS:lc
J:\WPDOC\FIN\CRANE\FPC.MTG\FAHR.95\FAHR.MINIMFAHR10.95
..
Format
D Written Report
D Overheads
0 Slides
0 Flip Charts
Originator~
Tom Dawes
Department Head Sign Off ~
David Ludwin
Anticipated Time ___ _
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
(6)
Project No. 1:
Project No. 2:
Project No. 3:
Summary
AGENDA FOR
NOVEMBER 8, 1995
Consideration of PDC95-36 -Consideration of motion authorizing staff to
solicit proposals for Professional Planning, Design and Construction
services for three projects, as follows:
Engineering Services for Investigation and Repair of Ocean Outfalls
Management of Peak Hydraulic Discharge
Determination of Financial Charges
It is proposed to begin work on these three separate projects, and to have the work completed
under several Professional Services Agreements. Project No. 1 is the investigation, cleaning
and repair of the Districts' ocean disposal system. As part of this project, the Districts will make
permanent repairs to the outfall end gate on the operating 120-inch outfall which opened in
January 1995 when record flow passed through the plant.
Project No. 2 includes the determination of peak flows in the Districts' collection, treatment and
disposal system and to examine ways to reduce the peaks and/or find alternate ways to
discharge the treated wastewater flows culminating in an effort to delay or negate the need for a
second deep ocean outfall. Project No. 3 will examine the Districts' existing Capital Facilities
Connection Charge, annual Sanitary Sewer Use Charge and Excess Capacity Charge with a
goal of obtaining the most equitable financial plan possible. Projects 2 and 3 will share common
land use data and are planned to be completed as one project.
Staff Recommendation
Recommend that staff be authorized to request proposals on the three projects described
above.
J:\WPOOC\FINICRANBFPC.MTGIFAHR.95\ITEMIPOC95-36.WPO
Format
D Written Report
D Overheads
0 Slides
0 Flip Charts
Originator _____ _
Tom Dawes
Department Head Sign Off _____ _
David Ludwin
Anticipated Time _____ _
PLANNING, DESIGN AND CONSTRUCTION
COMMITTEE MEETING
PDC95-36:
Project No. 1:
Project No. 2:
Project No. 3:
Summary
AGENDA FOR
NOVEMBER 2, 1995
Consideration of motion authorizing staff to solicit proposals for
Professional Planning, Design and Construction services for three
projects, as follows:
Engineering Services for Investigation and Repair of Ocean Outfalls
Management of Peak Hydraulic Discharge
Determination of Financial Charges
It is proposed to begin work on these three, separate projects, and to have the work completed
under several Professional Services Agreements. Project No. 1 is the investigation, cleaning
and repair of the Districts' ocean disposal system. As part of this project, the Districts will make
permanent repairs to the outfall end gate on the operating 120-inch outfall which opened in
January 1995 when record flow passed through the plant.
Project No. 2 includes the determination of peak flows in the Districts' collection, treatment and
disposal system and examine ways to reduce the peaks and/or find alternate ways to discharge
the treated wastewater flows culminating in an effort to delay or negate the need for a second
deep ocean outfall. Project No. 3 will examine the Districts' existing Capital Facilities
Connection Charge, annual Sanitary Sewer Use Charge and Excess Capacity Charge with a
goal of obtaining the most equitable financial plan possible. Projects 2 and 3 will share common
land use data and are planned to be completed as one project.
Staff Recommendation
Recommend that staff be authorized to request proposals on the three projects described
above.
J:\WPDOCIPDC95\NOVl95-36.WPD
October 19, 1995
STAFF REPORT
COUNTY SANITATION DISTRICTS
of ORANGE COUNTY. CALIFORNIA
10844 ELLIS AVENUE
P.O. BOX 9127
FOUNTAIN VALLEY, CALIFORNIA 92729-812:'
17141962-2411
PDC95-36: Approval of Request to Issue Proposals for Professional Services for
Investigation and Repair of Ocean Outfalls, Management of Peak
Hydraulic Discharge, and Determination of Financial Charges
Summary
Staff is proposing to begin work on three separate, but related projects. The first project
is the investigation and rehabilitation of the Districts' two ocean outfalls. The second
project will determine our peak hydraulic demand and ways to both reduce that peak
demand and/or delay or eliminate the need for a second deep water ocean outfall. The
third project will review our current methods for assessing charges for the collection,
treatment and disposal services provided.
Background
The first project is the investigation, cleaning and repair of our ocean outfalls. We
propose to hire a consultant to manage several related projects on both the operating
120-inch, 5-mile outfall and the older, standby 7,000-foot, 78-inch outfall. The project
will include investigation of the condition of the interior and cleaning of the 120-inch
outfall, cleaning plugged diffuser ports in both outfalls and making a permanent repair to
the end gate on the 120-inch outfall.
Much of the proposed work is Master Plan related, and the land use data necessary for
the Management of Peak Hydraulic Discharge and Determination of Financial Charges
is nearly identical. These reports could be part of a new Master Plan, which is needed;
however, because we have not yet received the Federal and State issued Ocean
Discharge Permit applied for in 1989, it is premature to do a full Master Plan. Our 1989
Master Plan, prepared in the 1987 -1989 period, calls for construction of significant
facilities, such as a second deep water outfall, a project that could cost over $100
million. The high flows passed in January 1995 through the collection, treatment, and
disposal facilities confirmed that we either have to start work soon on these facilities, or
find other means to reduce or discharge the peak flow. Thus, starting the hydraulic
portion of the Districts' Master Plan is timely. Concurrently, staff has been reviewing the
three principle financial charges for sewer service, the one-time capital facilities
connection charge ($2,350.00 per dwelling unit, $470.00 per 1,000 square feet for other
uses, the excess capacity charge, and the annual sanitary sewer use charge. It is
proposed to study revisions which could result in recommendations to better equate use
with benefit, all on a neutral revenue change basis.
Budget
Staff estimates the total cost of the projects including Consultant, staff, repair, and
overhead charges as follows:
•
•
•
Investigation, Repair of Existing Outfalls
Management of Peak Hydraulic Discharge
Financial Analysis
$ 630,000
$1,150,000
$ 390,000
The Management of Peak Hydraulic Discharge will be an integral part of a new Master
Plan. In 1989, the total cost of our 2020 Master Plan was approximately $4.5 million.
The Districts believe the new Master Plan, which will include future volumes on
treatment, reuse and support issues, plus compliance with CEQA and public
participation, will cost approximately $3 million, including the $1,150,000 for
Management of Peak Hydraulic Discharge.
Staff Recommendation
Authorize staff to proceed with the issuance of Request for Proposal for the three (3)
projects described above.
J:IWPDOC\ENG\MGRRPTS\SR11-01.95
.E2!!!!!! • Written Report
•Overheads
•Slldes
• FllpCharts Anticipated Time
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
Gary Streed
SM
F AH R95-24: Consideration of motion extending early retirement incentive
program provisions for all eligible employees:
(a) Consideration of motion to recommend a Board Ordinance adopting the provisions of
Government Code Section 31641.04 authorizing all eligible Districts' employees to receive
two years additional service credit for retirement purposes.
(b) Consideration that the Ordinance should specify that provisions of the Early Retirement
Incentive Program would be effective January 1 through March 30, 1995, and that the total
cost-savings of positions filled at a lower level or held vacant for a period of time shall
exceed the total actuarial cost of the additional service credit granted and associated paid
leave payoff costs.
(c) Consideration that, for a period of five years, or until such time as the full actuarially
determined cost is paid to OCERS, the Districts' Controller will conduct an annual post-
audit to verify that the savings exceed the actuarial and associated costs attributable to the
additional service credit, and report the findings of that audit to the Finance, Administration
and Human Resources Committee. The first report will be presented during the fourth
quarter of fiscal year 1996.
Summary
On March 8, 1995, the Boards adopted Resolution 95-19, which implemented the early retirement
incentive provisions of Government Code Section 31641.04 for certain Maintenance Department
employees. Five employees elected to participate in the program during the period March 1, 1995
through April 30, 1995, facilitating a major reorganization of the Department.
The retirement incentive was again offered during the period May 1, 1995 through June 30, 1995.
Two employees elected to participate at that time. Again, this resulted in an enhanced ability for us
to bring about organizational change through accelerated attrition and promotion.
At least five employees have currently expressed strong interest in early retirement. A significant
benefit would once more be realized through the accelerated attrition and opportunity to introduce
new perspectives should these individuals have an opportunity to exercise the early retirement
option.
Staff Recommendation
That the Finance, Administration and Human Resources Committee approve the extension of the
early retirement incentive program.
J:IWPDOC\FINICRANEIFPC.MTGIFAHR.95\ITEMIFAHR95.24A
November 2, 1995
STAFF REPORT
EARLY RETIREMENT INCENTIVE PROGRAM
DISCUSSION
COUNTY SANITATION DISTRICTS
of ORANGE COUNTY, CALIFORNIA
10844 ELLIS AVENUE
P.O. BOX 8127
FOUNTAIN VALLEY, CALIFORNIA 92728-8127
(714) 962-2411
On March 8, 1995, the Boards adopted Resolution 95-19, which implemented the
early retirement incentive provisions of Government Code Section 31641. 04. This
resolution allowed the addition of two years service credit to certain employees in the
Maintenance Department otherwise eligible to retire who actually applied for
retirement during the period March 1, 1995 through April 30, 1995. Five employees
elected to participate in the program, allowing a major reorganization of the
Maintenance Department to occur earlier than would have otherwise been possible.
That reorganization has thus far resulted in a cost savings of $207,610 over a six
month period, or almost double the initial estimate.
The retirement incentive was again offered during the period May 1 through June 30,
1995. Two employees took advantage of that offer, which enhanced our ability to
bring about organizational change through accelerated attrition and promotion. The
cost savings to date attributable to these retirements is $45,662 due to one of the
positions remaining vacant and the other being filled at a lower level.
Staff continues to believe that District-wide encouragement of accelerated attrition will
have a positive effect on the organizational change sought by the Boards and
Districts' Management, and will provide a forceful means of achieving that objective.
The potential effect of the early retirement incentive program on motivating
organizational change, when coupled with other activities that are now occurring, is
significant. While the clear cost savings associated with the earlier Maintenance
Department reorganization may not be repeated, added cost, if any, will be mitigated
by holding positions vacant for approximately six months subsequent to the
retirement in addition to the increased organizational efficiencies that will result.
At least five employees have currently expressed strong interest in early retirement.
A significant benefit would once more be realized through the accelerated attrition
and opportunity to introduce new perspectives should these individuals have an
opportunity to exercise the early retirement option.
FINANCE, ADMINISTRATION AND HUMAN RESOURCE COMMITTEE
Page 2
November 2, 1995
STAFF RECOMMENDATION
1. Based on the above, staff recommends that the Finance, Administration and
Human Resource Committee support a Board Ordinance adopting the
provisions of Government Code Section 31641.04 authorizing all eligible
Districts employees to receive two years additional service credit for retirement
purposes.
2. The Ordinance should specify that provisions of the Early Retirement Incentive
Program would be effective January 1 through March 30, 1995 and that the
total cost savings of positions filled at a lower level or held vacant for a period
of time shall exceed the total actuarial cost of the additional service credit
granted and associated paid leave payoff costs.
3. For a period of five years, or until such time as the full actuarially determined
cost is paid to OCERS, the Districts' Controller will conduct an annual
postaudit to verify that the savings exceed the actuarial and associated costs
attributable to the additional service credit, and report the findings of that audit
to the Finance, Administration and Human Resource Committee. The first
report will will be presented during the fourth quarter of FY '96.
/gh
Originator: Gary Hasenstab
Format • Written Report • Overheads • Slides • Flip Charts
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
F AH R95-38: Consideration of motion authorizing selection of a consultant
and a professional services agreement for a New Financial
Information System, Phase Ill, Selection Process for Hardware and Software; and
Phase IV, Implementation and Acceptance of the Selected Hardware and Software
Solutions.
Summary:
In October 1994, the firm of Deloitte & Touche was selected to complete Phases I and II
for the selection of a New Financial Information System. Last month the Committee
approved the F.I.S. Request for Proposals and authorized staff to solicit proposals for
professional consulting services to complete the project.
Four proposals were received on Friday, October 28, 1995, to provide the requested
services. The proposals are briefly summarized as:
Ernst & Young, LLP
A.E.F. Consulting Systems
Intelligent Directions Consulting
Kerry Consulting Group
Staff Recommendation
830
880
TBD
598
$181,374
97,200
$95/hr.
58,263
Staff will continue to evaluate the proposals and references and will present a complete
report and recommendation to select one of the firms at the meeting.
J:IWPOOC\FINICRANEIFPC.MTGIFAHR.95\ITEMIFAHR95.38A
' "
I
Fonnat
D Written Report
D Overheads
D Slides
D Flip Charts Anticipated Time 10 mins.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
FAH R95-44: Consideration of Resolution No. 95-_, Revising Districts'
Procedure for Settlement of Claims Made Against the
Districts; Settlement of Claims Made by the Districts; Collection of Delinquent
Accounts Owing to the Districts; Settlement of Civil or Administrative Actions;
and Settlement of Worker's Compensation Actions; and repealing Resolution
Nos. 93-13 and 90-89.
Summary:
The Directors have approved Resolutions in 1990 and 1993 which establish staff's
authority to settle different types of claims by and against the Districts. The purposes of
this proposed Resolution are to combine the existing authorities into one Resolution and
to revise the dollar thresholds of the authority levels. The authority levels proposed will
parallel those recently approved for purchases and other authority delegations in
Resolution No. 95-62. A copy of the proposed resolution showing the changes and a
copy of the revised resolution are attached.
The changes which are summarized in Attachment "A" can be summarized as:
• Increase settlement authority for the Claims Committee (General Manager, General
Counsel, Director of Finance) from $25,000 to $50,000 for claims made against the
Districts.
• Increase staff (Director of Technical Services, Director of Finance, General Counsel)
authority to settle claims made by the Districts against Industrial Waste Permittees
from $25,000 to $50,000.
• Increase term of payment schedules authorized by staff for Source Control
Permittees from six months to twenty-four months.
• Increase the authority of the Director of Finance from $2,500 to $5,000 to: (a) file a
collection claim in Small Claims Court; (b) assign a claim to a collection agency; and
(c) write off debts deemed uncollectible.
i
1
J '
1
• Increase the Claims Committee authority to settle Worker's Compensation claims
from $10,000 to $25,000 exclusive of medical costs.
Had the revised limit been in place for the past three years, the amounts written off by
authority of level would have been:
Finance Director
After Collection
Agency
After Small Claims
Court
Collection Committee
Boards of Directors
Staff Recommendation
3
1
1
3
$1,485 10 $4,253 5 $2,300
$2,095 4 $10,336 3 $6,374
$6,746 1 $5,013 1 $6,748
$105,877 1 $67,771
Staff recommends approval of Resolution No. 95_, Revising Districts' Procedure for
Settlement of Claims Made Against the Districts; Settlement of Claims Made by the
Districts; Collection of Delinquent Accounts Owing to the Districts; Settlement of Civil or
Administrative Actions; and Settlement of Worker's Compensation Actions.
2
J:IWPOOC\FINICRANE\FPC.MTGIFAHR.95\ITEMIFAHR95.44
' '
( FAHR95-44
STAFF AUTHORITY LEVELS
Claims Made By or Against Districts
November 1995
ATTACHMENT "A"
:~•:::~,:, ' -. . . . .. ::-:. :,; •.. :-:· ., :-;, .. ,· ·,·,•-•:-:-:-,-.·7·"•:-:-:-·----:-·.:.:,:_:_:_:_:,:.:.:.:.:-·-·.·.: : 1;i1~Unsi .itt::i! [it}[Pr~Pd~e,.f':In
Liability Claims Against CSD:
Independent Administrator
Gen'I. Mgr., Dir. Fin., Gen'I Counsel
Debts Owed to CSD:
Director of Finance
After Collection Agency
After Small Claims Court
Gen'I. Mgr., Dir. Fin., Gen'I Counsel
Industrial Waste Fees & Charges:
Dir. Tech. Serv., Dir. Fin., Gen'I Counsel
Deferred Payment Agreement Term
Worker's Compensation Claims:*
Independent Administrator
Gen'I. Mgr., Dir. Fin., Gen'I Counsel
*Excludes medical costs.
J:IWPOOC\FIN\CRANBFPC.MTGIFAHR.95\ITEMIFAHR95.44
$ 1,000
25,000
$ 250
2,500
2,500
25,000
$25,000
6 Months
$ 1,000
10,000
$ 5,000
50,000
$ 1,000
5,000
5,000
50,000
$ 50,000
24 Months
$ 5,000
25,000
' ~J
,..,
RESOLUTION NO. 93 1 a
A JOINT RESOLUTION OF THE BOARDS OF DIRECTORS OF
COUNTY SANITATION DISTRICTS NOS. 1, 2, 3, 5, 6, 7, 11, 13 AND
14 OF ORANGE COUNTY, CALIFORNIA, ADOPTING DISTRICT
PROCEDURES FOR SETTLEMENT OF CLAIMS MADE AGAINST THE
DISTRICTS; SETTLEMENT OF CLAIMS MADE BY THE DISTRICTS;
COLLECTION OF DELINQUENT ACCOUNTS OWING TO THE
DISTRICTS; SETTLEMENT OF CIVIL OR ADMINISTRATIVE
EN. FORCEMENT A_ CTIONS; ~i,'Pf4§mtlif·'."-:~ -~RF;~_:·•-~i ' ~ ~•,•,.,;;,' 'w:<«~ N~ 0 ❖'• N.,~ ,. • J.[<11;'., . '. :Jl%/µ[Qfi~AND Rt:PEAL \,;J RE L TION NOi, 88-~;;:::,lf.... ,kwJ ''.'~ -., .. ,., .. ··n•A· <
WHEREAS, claims for damages alleging personal injuries, l,_\lJU~~-!I
including death, and Bmes~~ to real and personal property, are periodically made
against the Districts; and
WHEREAS, the Districts presently have no liability insurance in force, having
previously determined to be self-insured; and,
WHEREAS, the Districts have the need for the retention of claims administration
services and legal counsel who shall be vested within certain limited authority to
accomplish a favorable disposition of claims made against the Districts; and,
WHEREAS, the Districts have occasion to seek recovery against persons or
entities who have caused loss or damage to the Districts, who have been assessed
fines, charges or special fees relating to their use of District facilities, or who have been
1
the subject of civil or administrative enforcement proceedings for violation of the
Districts' Wastewater Discharge Regulations Ordinance; and,
WHEREAS, in the course of conducting the business affairs of the Districts,
certain accounts receivable or other obligations owing to the Districts become
delinquent, and in fact, uncollectible; and,
WHEREAS, cost efficiency relating to collection of delinquent accounts can be
greatly improved by the adoption of certain policies relating to the collection of said
t ~"'"j;&~ accoun s~h.~....&!
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~-:«'<",!i.<;i;i:l>::«t·'¾WWX~t-:'~":::--·«:i.i:•:~f~XM"zi;= J¾rftEtJ&,#rtl til!tMfl~RUs·
NOW, THEREFORE, the Boards of Directors of County Sanitation Districts Nos.
1, 2, 3, 5, 6, 7, 11, 13 and 14 of Orange County, California,
DO HEREBY DETERMINE, RESOLVE AND ORDER:
2000-00028
17488_1 2
ARTICLE I
SETTLEMENT OF LIABILITY CLAIMS
MADE AGAINST DISTRICTS
Section 1.1: A liability reserve has been established in tho amount of
$500,000.00 for the payment of claims made against the Districts. Said amoun~
shall continue to be provided-faF in each annual budget to ensure that sufficient funds
are on deposit to provide for payment of those amounts incurred as a liability loss or
expense.
Section 1.2: Each annual budget shall provide, in addition to the reserve
established by Section 1.1, for the suffioientg('~R funds to provide a sufficient
balance to meet projected expenses for loss and payment of claims during the ensuing
fiscal year.
Section 1.3: A claims administration firm is authorized to be retained, and said
firm is hereby granted authorization to make payments and settlements of claims made
against the Districts in an amount not to exceed $1,000.00!§!.~~m per claimant. Said
firm shall be retained in accordance with the terms and conditions set forth in an
agreement approved by the General Counsel.
Section 1.4: A committee comprised of the General Manager or his designee,
the Director of Finance and the General Counsel are authorized to review and make full
settlement of any claims made against the Districts for contract or liability damages not
otherwise covered by insurance by payment of a sum not to exceed$25,000.00
-_._ per claimant. In the event a claims results in litigation, which is being legally
2000-00028
17488_1 3
defended by other than the Districts' General Counsel, this committee shall review and
provide the approval to the Districts' special legal counsel within the same limits.
Section 1.5: All claims for damages resulting in a judgment or a recommended
settlement by negotiation in an amount exceeding $26,000.00~~tq~pa per claimant,
shall be submitted to and approved by the Board of Directors of the defendant District or
the Joint Boards in the event of claims made against the Joint Districts.
Section 1.6: The General Counsel is authorized to retain the services of special
legal counsel for purposes of representing the Districts in the defense of any claim or
matter of litigation, v.•herein he determine~Dl:..!Ull!:fl!IB that specialized
expertise or experience is desirable, a conflict of interest exists or could arise with the
office of General Counsel or that the workload of the office of General Counsel requires
the utilization of special counsel.
ARTICLE II
COLLECTION OF DELINQUENT OBLIGATIONS
OWING TO THE DISTRICTS
Section 2.1: The Director of Finance is authorized to write off as an uncollectible
debt any delinquent obligation owing to the Districts in excess of 90 days and not
exceeding the sum of $250.0q§~ii'EM·
Section 2.2: The Director of Finance, in his discretion, is authorized to assign for
collection to a person or firm of his choosing, any delinquent obligation owing to the
Districts in excess of 45 days and not exceeding the sum of $2,500.00!,ffi~ml~:t~l
Ninety (90) days after assigning the obligation for collection, the Director of Finance is
2000-00028
17488_1 4
'
authorized to write off as an uncollectible debt, any portion of the obligation which is still
outstanding.
Section 2.3: The Director of Finance, in his discretion, is authorized to file the
necessary proceedings in the Small Claims Court of the appropriate judicial district of
the County of Orange in order to collect any delinquent obligation owing to the Districts
in excess of 45 days and not exceeding the sum of $2,600.00§?~m~ or, v,1ith the
eoneurrenee of General Counsel, not e*eeeding the sum of $5,000.00. Upon obtaining
a judgment in favor of the Districts, the Director of Finance and General Counsel shall
take all legal measures necessary to enforce the terms of the judgment. Ninety (90)
days after receiving a final judgment in favor of the Districts, the Director of Finan~
Wl!l(ill1Elm)l1!.flil"llf-!! is authorized to write off as an uncollectible
debt, any portion of the obligation which is still outstanding.
Section 2.4: Notwithstanding the authority provided in Sections 2.2 and 2.3
above, any obligation owing to the Districts, not exceeding the sum of$26,000.00
mil9P.!~, may be compromised by acceptance of a sum lesser than the full amount
due or may be written off as uncollectible, upon that determination being made, after
investigation by a committee comprised of the General Manager, or his designee,
General Counsel and Director of Finance.
Section 2.5: The Director of Finance shall forward any delinquent obligation in
excess of $25,000.00§IWull~t• to the General Counsel for the Districts, who shall
submit his recommendation to the Boards of Directors as to the method of collection or
disposition of said account.
2000-00028
17488_1 5
Section 2.6: In addition to the above authorization, the Director of Finance is
directed to exercise all available lawful methods to ensure prompt and full recovery of all
obligations owing to the Districts.
Section 2. 7: The Director of Finance is authorized to offset against any sums
held on deposit by the Districts on behalf of any person ~iil:\1)1 who owes a delinquent
obligation to the Districts.
Section 2.8: The Director of Finance is authorized to withhold the approval of
any such permits otherwise to be issued by the Districts to any person Rf.i.llf-1 who has
an outstanding debt obligation owing to the Districts until such time as said debt
obligation is paid in full.
Section 2.9: Delinquent obligations, as used in this Resolution, shall include any
invoice submitted by the Districts for services rendered or for reimbursement of
damages caused to District property or personnel, which has not been paid within (a)
the time prescribed by the District ordinance or resolution; or (b) thirty (30)[q11fll~ll'J
days, whichever is later, from the date of invoice.
ARTICLE Ill
COLLECTION OF FEES AND CHARGES RELATING
TO INDUSTRIAL WASTE DISCHARGES
Section 3.1: In the event of any fees or charges being owed by an Industrial
\A.~aste Permittee up to the amount of $25,000.00, a oommittee comprised of tho
Director of Finance, Director of Teohnical Servioes and General Counsel are authorized
to negotiate and enter into, on behalf of the Distriots, a settlement agreement relating to
2000-00028
17488_1 6
..
ml~J!!BJ&EiJD~llliiJit~elf11t~il!~~1~m1
llllllllltl._~lillfJl~-•JDiQ~,r1JIEl!&fil!Wxl1ifl!Wltmll!I
B.lllU!}~BJOim.lW~~IP~~!!ll~BB1llll-~1Jl•l~JBtIBB
ffi.~~'lr.!il34n~ff!JlfiRm1fi~~--Q1~~qt§~~Qn~lrt.~~T~~ifl•~ ({.._<JC~~v.~,;,~:..........,..-.-.❖.« ...... -.v.-.-.. .. -.·.•····•··-.~:-.•.·.·••-·.,-............. ,-..-.·.-.v.·X·.v'~~!-.«'\❖,•,••••••• ~~._,.,,.,.,t.~=m:=~-~~~~-~ ~
Said agreement shall be based upon a showing of good cause and a reasonable
dispute between the Districts and the Permittee, and can provide for acceptance of a
sum lesse,: than the full amount claimed as due by the District. This agreement may be
entered into prior to or during the pendingffi:~~ of any litigation action filed by the
Districts to collect the amount owed.
Section 3.2: Upon written request and establishment of good cause by an
industrial waste permittee, the committee of the Director of Finance, Director of
Technical Services and General Counsel may negotiate and enter into a deferred
payment agreement with the permittee in accordance with the guidelines established
herein. Said agreement may be incorporated as part ori or separate and in addition to} :,: :,.::.
any enforcement compliance agreements authorized by the provisions of the Districts'
Wastewater Discharge Regulations Ordinance.
Section 3.2.1: The installment payment agreement shall be for a maximum
term not to exceed si* (6)~~f:if¥19bii:m:il months. The agreement shall provide for
payment of interest on the principal amount owing at a rate equal to !fli'.-111
i~'.@"l:il@Jlfl prime rate plus 2-1/2%. The prime rate shall be established as the rate
set and in effect by Bani( of America, San Francisco, Galiforniaffil[~~~tti~~~t:fll ~•,t,•,·,·,·,•u.-.-:,:;,:-.>.-.,,,,~~x.x:::=::x::.,. .... ,., .•• {~~~,:)5-.... ❖.~
2000-00028
17488_1 7
IBll;~gj, on the date of the agreement. The agreement shall provide for payment
of all costs of preparing and administering the payment agreement, including legal and
administrative costs.
Section 3.2.2: The agreement shall stipulate the penalties to which the
permittee shall be subjected in the event of nonpayment of any of the payments
specified in the agreement, including initiation of legal action or permit li~iJSIB
revocation, as recommended by the General Counsel ~~IEl2~:[f:~ltl!!~!
Section 3.3: If the delinquent obligation is greater than $25,000.00ffl~I-•
9f-any compromise settlement or any deferred payment agreement shall be submitted
to and approved by the Boards of Directors, who shall prescribe the terms and
conditions.
ARTICLE IV
SETTLEMENT OF CIVIL ADMINISTRATIVE
ENFORCEMENT ACTIONS
Section 4.1: In the event that the Districts initiate or intend to initiate any civil or
administrative enforcement actions based upon alleged violations of the Districts'
Wastewater Discharge Regulations Ordinance, a committee comprised of the fflttAm.tt .==-.-.----·-·-·.-.-. .... ❖.-.;:,•.~
@~I~J.fii"fi Director of Technical Services, the Souroe Control Manager and the
General Counsel are authorized to negotiate and enter into, on behalf of the Districts, a
settlement agreement, which may include both payment to District in an amount up to
$25,000.0D;lifiUQ@Q~-and enforcement compliance orders deemed appropriate to
ensure compliance with the Wastewater Discharge Regulations Ordinance. This
2000-00028
17488_1 8
agreement may be entered into prior to or during the pending~im of any , ........ ,. •• ,.C¥.':.»."'-:-.•.-.· ... ,.-.•-·-•--9
administrative proceeding or litigation enforcement action.
Section 4.2: The committee of the Qtt~'.fflqf~tif&ffloij~f; Director of Technical ·"h:::::::::::: ::_· -~ : ; :,:,:':· \~=-\r'r... ·(\:•,:,:•:••·\:,.I:.,~
Services, Source Control Manager and General Counsel may negotiate and enter into a
settlement agreement which includes a schedule of payments over li!Rltta time In
i"~~w,aa;~WiJ;f:61Jl21'.fi~d"~~~ by the person or entity which is the subiect of the ~~~~AWix:~?). .m.!l!xl.tlWl:;.~t J
&~Dl-flmlltltll~-\f&C~i~Kllltt~.•.
.,;!IDlmilllmfi!.J.fi[llfl.lllilll':· ::-'~:'.''.{' -=·:='.'''Y';""':-:··•:,,;,c--w:,::~,:•:-~,;:: .~?r:' ·.,~~--, -~:;aBill!
11a•t1••~ .. Bt!--1.•~1;e-
section 4.3: If the proposed settlement involves ~hi payment 1[;1;§11!!,~l
greater than $26,OOO.OO$5JU00011:0, the settlement shall be submitted for approval by • .. .;..,.;,;-;-;.:-:,:.;.........:·,:.:-:-;..v.,.;.,__
the Board of Directors of the involved District or the Joint Boards in the event of an
enforcement action involving the Joint Districts.
Uile.~I
l!111i1:1:!11i1tt1111[~J11i:!1~~,•Is111ar;;;r:~~1;;r11,;;i;11!!
~Bal'1lfm~~@B;\l-tmt.:E®i1[l1B~,,ll~l~~tgn~1ll-t!~!ll!I
!tlDs.•4,;r@;ID:~Dm~i-,B.qal1~-~~q-lll1ffitl!iifflBt~Smll!~i1U-
2000-00028
17488_1 9
B!Wffil§~-~,-!~R!ll'~l!lll~11ifB;[Ql~ami;ffilllfl!it!n[f.wmrt~,~rm
l~lll~-m!l~~lf.P..,QJl~~FtlErftl~~tt!\11::flfil!l•re'.M!~ltil!B~~i!mR~,tl~
-ilmtS:[Emll!il.lll fa.mllt!lf;iffll{~-lltlfI•.tllllIEi~rlt~lll
§!'.!!101~~~~!~11l~Jlrl"~tDIV?ltJ,i~,1liffilt§~atl[-!!1tl!'.!~Dl~filllll
llllE,Eiamll(filD!Etl:~lJB1\li:m~~Q~(-~0lii•mmm"ltt
B.!•il~\lllillll~al:alt.li~~~-!iil!illllrl-;IIU
lll!Alll•:ll!Ul~,lDB&fl~§mEJlltl~~;~ll1tml~R
flq~if:il:i}}i.~lifilirtlt;~l]IBD,1m~11ag~
-.11:111;~1m11~§!l~li:tl!iJmt121sti!1111~1-i!ilt!B.•~!lii.E.Wltl!
i!~~:m ~::i'.m.g;:i1m~~l@lilitit9.IQB~§t.9:-WJ&'9D\ti~!i!!&9l~i,2i!mt6£ti«tl!!:«!B!
IItll!i:~\!1£\ll!WJiPJii'•v.H.!llt.riliKgl!flt~J -·':ti~!@li\S.~ML .J~rte¥@0{]@1l~[m
r,,1,t1!1!1~!ill11iiln11m111t~-~!IJtilt~-!lsl1EffiliiL~~;JJJlftjilt!lirtiR'.t@!
~,Jtlll}Jl,,!&~Jemllll:1IP!'!~~@,-f;m1til~~-8~8~!itllt!~Jm~~~m,~®i~m1'=
i!lt!J!~t!l~!::mjn:::fflfft~~,111:::!:il~J!!~ii~l§~i
2000-00028
17488_1 10
Section 4:4il: +Rat-Resolution Nol. 88 s1 m mril 1@\@l§lt!tis hereby
repealed and made of no further effect.
Section 4.-e!:£ffl: This Resolution is effective immediately upon adoption.
PASSED AND ADOPTED at a regular meeting held February 10,
4993 -------,--
2000-00028
17488_1 11
__ .....
RESOLUTION NO.
REVISING DISTRICTS PROCEDURE FOR SETTLEMENT OF CLAIMS
MADE AGAINST THE DISTRICTS: SETTLEMENT OF CLAIMS MADE BY
THE DISTRICTS; COLLECTION OF DELINQUENT ACCOUNTS OWING
TO THE DISTRICTS; SETTLEMENT OF CIVIL OR ADMINISTRATIVE
ACTIONS: AND SETTLEMENT OF WORKER1S COMPENSATION
ACTIONS
A JOINT RESOLUTION OF THE BOARDS OF DIRECTORS OF
COUNTY SANITATION DISTRICTS NOS. 1, 2, 3, 5, 6, 7, 11, 13 AND
14 OF ORANGE COUNTY, CALIFORNIA. ADOPTING DISTRICT
PROCEDURES FOR SETTLEMENT OF CLAIMS MADE AGAINST THE
DISTRICTS; SETTLEMENT OF CLAIMS MADE BY THE DISTRICTS;
COLLECTION OF DELINQUENT ACCOUNTS OWING TO THE
DISTRICTS; SETTLEMENT OF CIVIL OR ADMINISTRATIVE
ENFORCEMENT ACTIONS; SETTLEMENT OF WORKER'S
COMPENSATION ACTIONS; AND REPEALING RESOLUTION NOS. 93-
13 and 90-89
WHEREAS, claims for damages alleging personal injuries, bodily injuries,
including death, and damages to real and personal property, are periodically made
against the Districts; and
WHEREAS, the Districts presently have no liability insurance in force, having
previously determined to be self-insured; and,
WHEREAS, the Districts have the need for the retention of claims administration
services and legal counsel who shall be vested within certain limited authority to
accomplish a favorable disposition of claims made against the Districts; and,
WHEREAS, the Districts have occasion to seek recovery against persons or
entities who have caused loss or damage to the Districts, who have been assessed
fines, charges or special fees relating to their use of District facilities, or who have been
the subject of civil or administrative enforcement proceedings for violation of the
1
Districts' Wastewater Discharge Regulations Ordinance; and,
WHEREAS, in the course of conducting the business affairs of the Districts,
certain accounts receivable or other obligations owing to the Districts become
delinquent, and in fact, uncollectible; and,
WHEREAS, cost efficiency relating to collection of delinquent accounts can be
greatly improved by the adoption of certain policies relating to the collection of said
accounts; and,
WHEREAS, claims for Workers' Compensation damages alleging personal
injuries, including death, are periodically made against the Districts; and,
WHEREAS, the Districts presently have no Workers' Compensation insurance in
force, having previously determined to be legally self-insured; and,
WHEREAS, the Districts have retained a claims administration service firm and
special legal counsel who shall be vested with certain limited authority to accomplish a
favorable disposition of Workers' Compensation claims made against the Districts; and,
WHEREAS, cost efficiency relating to resolution of Workers' Compensation
claims can be greatly improved by the adoption of certain policies relating to the
resolution of said claims.
NOW, THEREFORE, the Boards of Directors of County Sanitation Districts Nos.
1, 2, 3, 5, 6, 7, 11, 13 and 14 of Orange County, California,
DO HEREBY DETERMINE, RESOLVE AND ORDER:
2
.,
ARTICLE I
SETTLEMENT OF LIABILITY CLAIMS
MADE AGAINST DISTRICTS
Section 1.1: A liability reserve has been established for the payment of claims
made against the Districts. Said reserve shall continue to be provided in each annual
budget to ensure that sufficient funds are on deposit to provide for payment of those
amounts incurred as a liability loss or expense.
Section 1.2: Each annual budget shall provide, in addition to the reserve
established by Section 1. 1, for the necessary funds to provide a sufficient balance to
meet projected expenses for loss and payment of claims during the ensuing fiscal year.
Section 1.3: A claims administration firm is authorized to be retained, and said
firm is hereby granted authorization to make payments and settlements of claims made
against the Districts in an amount not to exceed $5,000.00 per claimant. Said firm shall
be retained in accordance with the terms and conditions set forth in an agreement
approved by the General Counsel.
Section 1.4: A committee comprised of the General Manager or his designee,
the Director of Finance and the General Counsel are authorized to review and make full
settlement of any claims made against the Districts for contract or liability damages not
otherwise covered by insurance by payment of a sum not to exceed $50,000.00 per
claimant. In the event a claim results in litigation, which is being legally defended by
other than the Districts' General Counsel, this committee shall review and provide the
approval to the Districts' special legal counsel within the same limits.
Section 1.5: All claims for damages resulting in a judgment or a recommended
3
settlement by negotiation in an amount exceeding $50,000.00 per claimant, shall be
submitted to and approved by the Board of Directors of the defendant District or the
Joint Boards in the event of claims made against the Joint Districts.
Section 1.6: The General Counsel is authorized to retain the services of special
legal counsel for purposes of representing the Districts in the defense of any claim or
matter of litigation, whenever it is determined that specialized expertise or experience is
desirable, a conflict of interest exists or could arise with the office of General Counsel or
that the workload of the office of General Counsel requires the utilization of special
counsel.
ARTICLE II
COLLECTION OF DELINQUENT OBLIGATIONS
OWING TO THE DISTRICTS
Section 2.1: The Director of Finance is authorized to write off as an uncollectible
debt any delinquent obligation owing to the Districts in excess of 90 days and not
exceeding the sum of $1,000.00.
Section 2.2: The Director of Finance, in his discretion, is authorized to assign for
collection to a person or firm of his choosing, any delinquent obligation owing to the
Districts in excess of 45 days and not exceeding the sum of $5,000.00. Ninety (90)
days after assigning the obligation for collection, the Director of Finance is authorized to
write off as an uncollectible debt, any portion of the obligation which is still outstanding.
Section 2.3: The Director of Finance, in his discretion, is authorized to file the
necessary proceedings in the Small Claims Court of the appropriate judicial district of
the County of Orange in order to collect any delinquent obligation owing to the Districts
4
in excess of 45 days and not exceeding the sum of $5,000.00. Upon obtaining a
judgment in favor of the Districts, the Director of Finance and General Counsel shall
take all legal measures necessary to enforce the terms of the judgment. Ninety (90)
days after receiving a final judgment in favor of the Districts, the Director of Finance,
with the concurrence of General Counsel is authorized to write off as an uncollectible
debt, any portion of the obligation which is still outstanding.
Section 2.4: Notwithstanding the authority provided in Sections 2.2 and 2.3
above, any obligation owing to the Districts, not exceeding the sum of $50,000.00, may
be compromised by acceptance of a sum less than the full amount due or may be
written off as uncollectible, upon that determination being made, after investigation by a
committee comprised of the General Manager, or his designee, General Counsel and
Director of Finance.
Section 2.5: The Director of Finance shall forward any delinquent obligation in
excess of $50,000.00 to the General Counsel for the Districts, who shall submit his
recommendation to the Boards of Directors as to the method of collection or disposition
of said account.
Section 2.6: In addition to the above authorization, the Director of Finance is
directed to exercise all available lawful methods to ensure prompt and full recovery of all
obligations owing to the Districts.
Section 2.7: The Director of Finance is authorized to offset against any sums
held on deposit by the Districts on behalf of any person or entity who owes a delinquent
obligation to the Districts.
Section 2. 8: The Director of Finance is authorized to withhold the approval of
5
any such permits otherwise to be issued by the Districts to any person or entity who has
an outstanding debt obligation owing to the Districts until such time as said debt
obligation is paid in full.
Section 2.9: Delinquent obligations, as used in this Resolution, shall include any
invoice submitted by the Districts for services rendered or for reimbursement of
damages caused to District property or personnel, which has not been paid within (a)
the time prescribed by the District ordinance or resolution; or (b) forty-five (45) days,
whichever is later, from the date of invoice.
ARTICLE Ill
COLLECTION OF FEES AND CHARGES RELATING
TO INDUSTRIAL WASTE DISCHARGES
Section 3.1: In the event any fees or charges, up to the amount of $50,000.00,
are owed by an Industrial Waste Permittee and are delinquent or in dispute between the
Permittee and District, a committee comprised of the Director of Finance, Director of
Technical Services and General Counsel are authorized to negotiate and enter into, on
behalf of the Districts, a settlement agreement relating to the financial obligation owing
to the Districts. This Section shall not apply to excess capacity charges, nor
enforcement actions which are provided for in Article IV below. Said agreement shall be
based upon a showing of good cause and a reasonable dispute between the Districts
and the Permittee, and can provide for acceptance of a sum less than the full amount
claimed as due by the District. This agreement may be entered into prior to or during
the pendency of any litigation filed by the Districts to collect the amount owed.
Section 3.2: Upon written request and establishment of good cause by an
6
industrial waste permittee, the committee of the Director of Finance, Director of
Technical Services and General Counsel may negotiate and enter into a deferred
payment agreement with the permittee in accordance with the guidelines established
herein. Said agreement may be incorporated as part of, or separate and in addition to,
any enforcement compliance agreements authorized by the provisions of the Districts'
Wastewater Discharge Regulations Ordinance.
Section 3.2.1: The installment payment agreement shall be for a maximum
term not to exceed twenty-four (24) months. The agreement shall provide for payment
of interest on the principal amount owing at a rate equal to the Federal Reserve Board
prime rate plus 2-1/2%. The prime rate shall be established as the rate set and in effect
by the Los Angeles Federal Reserve Bank, on the date of the agreement. The
agreement shall provide for payment of all costs of preparing and administering the
payment agreement, including legal and administrative costs.
Section 3.2.2: The agreement shall stipulate the penalties to which the
permittee shall be subjected in the event of nonpayment of any of the payments
specified in the agreement, including initiation of legal action or permit suspension or
revocation, as recommended by the General Counsel and the Director of Technical
Services.
Section 3.3: If the delinquent obligation is greater than $50,000.00, any
compromise settlement or any deferred payment agreement shall be submitted to and
approved by the Boards of Directors, who shall prescribe the terms and conditions.
7
ARTICLE IV
SETTLEMENT OF CIVIL ADMINISTRATIVE
ENFORCEMENT ACTIONS
Section 4.1: In the event that the Districts initiate or intend to initiate any civil or
administrative enforcement actions based upon alleged violations of the Districts'
Wastewater Discharge Regulations Ordinance, a committee comprised of the Director
of Finance, Director of Technical Services, and the General Counsel are authorized to
negotiate and enter into, on behalf of the Districts, a settlement agreement, which may
include both payment to District in an amount up to $50,000.00 and enforcement
compliance orders deemed appropriate to ensure compliance with the Wastewater
Discharge Regulations Ordinance. This agreement may be entered into prior to or
during the pendency of any administrative proceeding or litigation enforcement action.
Section 4.2: The committee of the Director of Finance, Director of Technical
Services, and General Counsel may negotiate and enter into a settlement agreement
which includes a schedule of payments over a period of time not to exceed twenty-four
(24) months, by the person or entity which is the subject of the enforcement action. The
agreement shall provide for payment of interest on the principal amount owing at a rate
equal to the Federal Reserve Board prime rate plus 2-1/2%. The prime rate shall be
established as the rate set and in effect by the Los Angeles Federal Reserve Bank on
the date of the agreement.
Section 4.3: If the proposed settlement involves the payment of an amount
greater than $50,000.00, the settlement shall be submitted for approval by the Board of
Directors of the involved District or the Joint Boards in the event of an enforcement
8
action involving the Joint Districts.
ARTICLEV
SETTLEMENT OF WORKERS' COMPENSATION
CLAIMS MADE AGAINST THE DISTRICTS
Section 5. 1. A minimum liability reserve has been established in the amount of
$250,000.00 for the payment of claims made against the Districts. Said minimum
amount shall continue to be provided for in each annual budget to ensure that sufficient
funds are on deposit to provide for payment of those amounts incurred as a liability loss
or expense; and
Section 5.2. Each annual budget shall provide, in addition to the reserve
established by Section 5. 1, for the sufficient funds to provide a sufficient balance to
meet projected expenses for payment of claims during the ensuing fiscal year; and
Section 5.3. A claims administration firm is authorized to be retained, and said
firm is hereby granted authorization to make payments and settlements of claims made
against the Districts in an amount not to exceed $5,000.00 per claimant. Said firm shall
be retained in accordance with the terms and conditions set forth in an agreement
approved by the General Counsel; and,
Section 5.4. In addition to special legal counsel selected by the Districts'
Workers' Compensation administrator, the General Counsel is authorized to retain the
services of special legal counsel for purposes of representing the Districts in the
defense of any Workers' Compensation claim, wherein he determines that specialized
expertise is desirable or that the workload requires the utilization of outside counsel;
and,
9
Section 5. 5. A committee comprised of the General Manager, or his assignee,
Director of Finance and General Counsel are authorized to review and make full
settlement of any Workers' Compensation claim made against the Districts by payment
of a sum not to exceed $25,000.00 in addition to the actual medical expenses and
temporary disability payments per claimant. In the event a claim results in litigation,
which is being legally defended by other than the Districts' General Counsel, this
committee shall review and provide the approval to the Districts' special legal counsel
within the same limits; and,
Section 5.6. All claims resulting in a recommended settlement by negotiation or
stipulation in an amount exceeding $25,000.00 in addition to the actual medical
expenses and temporary disability payments per claimant shall be submitted to and
approved by the joint Boards of Directors.
Section 5.7: Resolution Nos. 93-13 and 90-89 are hereby repealed and made of
no further effect.
Section 5.8: This Resolution is effective immediately upon adoption.
PASSED AND ADOPTED at a regular meeting held _______ _
10
Format
D Written Report
0 Overheads
• Slides
0 Flip Charts Anticipated Time 10 Mins.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
FAHR95-45:
Summary:
AGENDA FOR
NOVEMBER 8, 1995
Consideration of motion to review, approve and file Joint
Works Budget Reviews prepared by staff for the quarter
ended September 30, 1995.
Gary G. Streed, Finance Director, will present the Joint Works Budget reviews for the
quarter ended September 30, 1995. Attached are summary statements of the Joint
Works Operating Costs, the Joint Works Capital Improvement Program, and the costs
of the workers' compensation, public liability and health plan self-insurance funds for the
three months of fiscal year 1995-96 as well as some comparative graphics.
With one quarter of the year gone, 22% of the net joint operating budget has been
expended. Net costs are up $1,765,093 or 17.12%, compared with the same period last
year. This is primarily due to salaries and wages, a decrease in labor charged to CORF
projects, a change in the sulfide control program, and increased biosolids hauling costs.
Small increases and decreases in other categories make up the balance. At the same
time, flows have increased less than 1 %, resulting in an $80.65 per million gallons
increase in the unit cost to treat and dispose of sewage, to $553.64 per million gallons,
$73.66 below the approved budget.
Joint Works construction projects for the first three months are lower than originally
scheduled, running at 6% of the 1995-96 budget or $1.9 million. We continue to receive
excellent bids on new projects, reflecting the slow economy. Several projects have
recently been awarded and progress payments on these projects will increase CORF
outlay over the remainder of the year.
Overall, the self-funded insurance programs are operating within their budgets, although
Public Liability Insurance legal fees exceed the first quarter estimates.
Staff Recommendation
Staff recommends that the Committee review, approve and file these reports. Summary
reports for the Joint Works and the individual Districts will be considered by the full
Boards of Directors at their next meeting.
J:IWPDOCIFINICRANEIFPC.MTGIFAHR.95\ITEMIFAHRBS.45
November 8, 1995
FAHR95-45:
STAFF REPORT
Summary Financial Report for Three Months Ended
September 30, 1995
Transmitted herewith is the Summary Financial Report for three months ended September
30, 1995. The statements summarize the fiscal activities of the joint operations.
JOINT OPERATING
The Joint Operating fund accounts for operations, maintenance, and administrative
activities relative to the Districts' jointly-owned treatment and disposal facilities. The JO
expenditures along with the self-funded insurance program costs are monitored by the
Finance, Administration and Human Resources Committee and if some unexpected
expenditures are experienced, they are reviewed by the Committee.
Salaries and Wages -Approximately 12% of authorized positions were unfilled during the
quarter and, thus, some minor payroll savings have been realized to date as expenses are
21. 79% of the budget. These positions will not be filled until necessary, but the vacancy
rate is expected to decline in the balance of the year.
Employees' Benefits -Includes Retirement, Workers' Compensation, Unemployment
Insurance, Group Medical Insurance and Uniforms.
Chargebacks to Districts and CORF -Payroll expenses are charged back to CORF
through the cost accounting system for work on the treatment plants' capital expansion
program, and to individual Districts for work on Districts' collection facilities capital
expansion projects as well as maintenance and repair of said systems. Source Control
Division charges to respective Districts are also included in these chargebacks. The
decrease in this category reflects our reduced capital improvement program for 1995-96.
Gasoline, Oil & Fuel -Includes all fuel for motor pool. A large portion is recovered through
our equipment billing system and included in revenue below.
Insurance -Budget amount includes Board and staff out-of-county travel policy, employee
fidelity, boiler, fire, earthquake and all risk insurance policies, and pro-rata cost of the self-
funded liability insurance program. Expense is in line with increased annual budget.
Memberships -Includes the cost of membership in CASA, AMSA, SARFPA, WateReuse
and other organizations. Annual membership costs are recorded when paid.
CSDOC D P.O. Box 8127 • Fountain Valley, CA 92728-8127 • Tel. (714) 962-2411 D FAX (714) 962-3954
FAHR95-45
Page2
November 8, 1995
Office Expense -This account includes various types of office supplies, postage,
stationery, computer supplies and related items.
Odor Control Chemicals -Primarily for influent and sludge odor control at treatment plant
sites. The main chemicals used to control odors are hydrogen peroxide and ferrous
chloride. Ferric chloride is used as a supplemental odor control chemical, and caustic
soda is also used in air scrubbers throughout the plants to reduce hydrogen sulfide
emissions. Use of chlorine has essentially been eliminated at the plants.
Chemical Coagulants -Expenditures for this item are required to dewater our sludges prior
to disposal to comply with Regional Water Quality Control Board requirements.
Other Operating Supplies -Miscellaneous items such as solvents, cleaners, janitorial,
tools, lab chemicals, etc., purchased throughout the year.
Contractual Services -The major elements in this line item are payment for grit removal
and disposal and payment for removal and off-site beneficial reuse of biosolids or sludge.
These expenses which are a significant part of our total costs are right at the budget
projections.
Professional Services -Primarily consists of General Counsel's fees, other legal services,
audit fees, and miscellaneous consulting services. The decrease from 1994-95 reflects
the Ernst & Young costs of that year.
Printing and Publications -Includes all reproduction activities in-house, including copier
rental, and with outside services and recruitment advertising.
Eguipment Rental
Outside Equipment Rental -Primarily for the rental of large cranes and equipment
necessary for removing and replacing major pumps, engines and other large
equipment during the course of maintenance and repair operations.
CSDOC Eguipment Rental -Reflects the charges for District-owned equipment used
for overhead type activities. All equipment use is charged to the appropriate work
order and fund through the cost accounting system.
Repairs and Maintenance -This item includes parts and supplies for repair of plant
facilities. Escalating costs continue to have an impact on this item. Generally, this
account runs close to budget by year-end due to the unpredictability of major equipment
failures.
FAHR95-45
Page 3
November 8, 1995
Research and Monitoring -Budget includes funds for the ocean monitoring contract
required by our NPDES permit. Other projects include operational research and
evaluation of processes to develop optimum operating parameters, and also include the
Districts' annual share of participation in the Southern California Coastal Water Research
Project.
Travel, Meetings & Training -Major items are authorized by specific Board actions.
Expanding activities of regulatory agencies and the Clean Water Act reauthorization have
required additional staff and Board travel. Increased training is a focal point of this year's
budget and our annual goals. These costs are reviewed separately by the Finance,
Administration and Human Resources Committee.
Utilities -The major item in the Utilities Expense Account is for natural gas purchased for
central power generation. Some power is still purchased for parts of the plants not served
by central generation. Total utilities expenses are in line with the budget, and are down
$330,877 from last year.
Other Expenses -For items not chargeable elsewhere such as freight, safety supplies,
grounds maintenance supplies, etc.
Prior Year's Expense -This account is required by the Uniform Accounting System and
represents adjustments to an operating or non-operating account balance from the
previous year or payment of charges which could not be accrued at year end. Generally,
all expenses to this account are recorded in the first quarter.
Allocation to Districts and CORF -This is an account established in connection with the
cost accounting system and represents materials, supplies and services, overhead
chargebacks to the individual Districts and CORF.
CAPITAL OUTLAY REVOLVING FUND
This fund accounts for the costs of expanding and improving the Districts' jointly-owned
treatment and disposal facilities and represents an average of 22% (excluding reserves) of
each Districts' budget requirements for 1995-96. During the first quarter, $1. 9 million was
expended on joint works treatment and disposal facilities improvement and expansion
projects. The 1995-96 budget is $33.5 million. The pro-rata share of joint works
improvements and expansion costs is reflected in the financial statements of the
respective Districts.
GGS:lc
J:\WPDOCIFIN\CRANE\FPC.MTGIFAHR.95\STAFF.RPn5RFAHR95.45
10/30/95
1 . Net Salaries, Wages & Benefits
2. Odor Control & Chemical Coagulants
3. Contractual Services
4. Professional Services
5. Equipment Charges.
6. Repair & Maintenance
Materials & Services.
7. Research & Monitoring.
8. Utilities.
9. Other Materials, Supplies
& Outside Services.
10. Total Joint Operating Expenses
11. Revenues & Offsets.
12. NET JOINT OPERATING EXPENSE
13. Gallonage Flow (MG)
14. Gallonage Flow (MGD)
15. Gallonage Charge ($'s/MG)
FPCR1294.XLS 5:28 PM
JOINT OPERATING FUND BUDGET REVIEW & SUMMARY
COMPARISON OF BUDGETED & ACTUAL EXPENDITURES
FISCAL YEAR TO DATE 1995-96
(A) (Bl (Cl (D) (E)
Budget Expenditures Expenditures Increase % Increase
1995-96 through through or (Decrease)
9/30/95 9/30/94 (Decrease)
$28,667,000 $7,498,652 $5,930,738 $1,567,914 26.44 %
5,363,500 733,664 638,950 94,714 14.82 %
7,269,500 1,631,781 1,343,911 287,870 21.42 %
1,512,600 321,803 400,434 (78,631) (19.64)%
235,700 56,936 61,460 (4,524) (7.36)%
4,209,900 841,028 959,624 (118,596) (12.36)%
3,095,000 338,480 619,117 (280,637) (45.33)%
3,375,500 567,467 693,314 (125,847) (18.15)%
4,451 ,300 825,912 771,272 54,640 7.08 %
$58,180,000 $12,815,723 $11,418,820 $1,396,903 12.23 %
(3,800,000) (742,099) (1,110,289) (368,190) (33.16)%
$54,380,000 $12,073,624 $10,308,531 $1,765,093 17.12%
86,688.61 21,807.71 21,794.23 13.48 0.06 %
236.85 237.04 236.89 0.15 0.06 %
$627.30 $553.64 $472.99 $80.65 17.05 %
(Fl (GI
% Budget Remaining
Realized Budget
26.16 % $21,168,348
13.68 % 4,629,836
22.45 % 5,637,7H
21.27 % 1,190,797
24.16 % 178,764
19.98 % 3,368,872
10.94 % 2,756,520
16.81 % 2,808,033
18.55 % 3,625,388
22.03 % $45,364,277
)
19.53 % (3,057,901 I
22.20 % $42,306,376
I
25.16 %
10/30/95
JOINT OPERATING FUND & WORKING CAPITAL FUND
SUMMARY BUDGET REVIEW
DESCRIPTION
SALARIES, WAGES, & BENEFITS
1 SALARIES & WAGES
2 EMPLOYEE BENEFITS:
3 RETIREMENT
4 WORKERS COMP
5 UNEMPLOYMENT INS
6 GROUP INSURANCE
7 UNIFORM RENT AL
8 TOT AL BENEFITS
9 SALARIES, WAGES, & BENEFITS
10 W.0. SALARIES & BEN. ALLOC.:
11 DIRECT CHARGES-CORF/DIST
12 COST ALLOC-CORF/DIST
13 W.O. SALARIES & BENEFITS
14 NET J.O. PAYROLL
MATERIALS, SUPPLIES, & SERVICE
15 GASOLINE, DIESEL & OIL
16 INSURANCE
17 MEMBERSHIPS
18 OFFICE EXPENSE -SUPPLIES
19 OFFICE AUTOMATION
20 OFFICE EXPENSE -OTHER
21 OPERATING SUPPLIES:
22 ODOR CONTROL CHEMICALS
23 SULFIDE CONTROL CHEMICALS
24 CHEMICAL COAGULENTS
25 LAB CHEMICALS & SUPPLIES
26 TOOLS
27 SOLV, PAINTS, & JAN. SUPPLIES
28 OTHER OPERATING SUPPLIES
29 CONTRACTUAL SERVICES:
s
30 GROUNDSKEEPING & JANITORIAI.
31 OUTSIDE LAB SERVICES
32 SOLIDS REMOVAL
33 OTHER WASTE DISPOSAL
34 OXYGEN PLANT OPER & MTCE
35 OTHER CONTRACTUAL SERVICES
36 PROFESSIONAL SERVICES:
37 LEGAL SERVICES
38 AUDIT & ACCOUNTING
39 ENGINEERING
40 OTHER PROFESSIONAL SERVICES
BUDGET
1994-95
30,758,000
2,507,000
225,000
75,000
3,553,000
100,000
6,460,000
37,218,000
(7,000,000)
(3,400,000)
(] 0,400,000)
26,818,000
175,000
1,200,000
58,000
170,000
150,000
115,000
1,460,000
1,120,000
1,145,000
525,000
112,000
170,000
200,000
250,000
85,000
5,525,000
100,000
490,000
375,000
600,000
90,000
64,000
400,000
3 MONTHS ENDED 9-30-95
EXP
THRU
9-30-94
6,905,566
559,465
60,579
9,827
885,414
16,776
1,532,061
8,437,627
(1,519,341)
(987,548)
BUDGET
1995-96
32,283,000
3,077,000
225,000
75,000
4,207,000
100,000
7,684,000
39,967,000
!2
EXP
THRU
9-30-95
7,035,264
679,114
51,931
4,064
896,804
12,718
L,644,631
8,619,895
(6,875,000) (1,001,549)
(4,425.000) (179,694)
(2,S06,8&9) (11,300,000) (1,1 81 243)
5,930,738 28,667,000 7,498,652
46,620 175,000 29,353
302,091 1,250,000 363,707
25,811 58,000 28,400
16,900 203,100 28,286
8,437 157,500 30,347
13,752 102,300 18,000
256,293 2,103,500 245,769
84,314 1,715,000 246,097
298,343 1,545,000 241,798
70,760 509,000 85,109
17,723 125,400 24,439
33,252 146,000 27,842
43,212 207,500 51,780
37,354 213,000 21,705
4,505 150,000 9,364
1,099,112 5,425,000 1,373,753
282 140,000 13,009
124,516 510,000 127,764
78,142 831,500 86,186
159,208 600,000 187,414
38,598 70,000 15,844
0 289,000 27,797
202,628 553,600 90,748
FPC1294AXLS-10/30/95-5:26 PM
~ f
%EXP
THRU REMAINING
9-30-95 BUDGET
21.79 25 247,736
22.07 2,397,886
23.08 173,069
5.42 70,936
21.32 3,310,196
12.72 87,282
21.40 6,039,369
21.72 31,287,105
14.57 (5,873,451)
4.06 (4,245,306)
10.45 (10,118,757)
26.16 21,168,348
16.77 145,647
29.10 886,293
48.97 29,600
13.93 174,814
19.27 127,153
17.60 84,300
11.68 1,857,731
14.35 1,468,903
15.65 1,303,202
16.72 423,891
19.49 100,961
19.07 118,158
24.95 155,720
10.19 191,295
6.24 140,636
25.32 4,051,247
9.29 126,991
25.05 382,236
10.37 745,314
31.24 412,586
22.63 54,156
9.62 261,203
16.39 462,852
Q
INCR
(DECR)
$
129,698
119,649
(8,648)
(5,763)
11,390
(4,058)
112,570
242,268
(517,792)
(807,854)
(1,325,646)
L.567;914
(17,267)
61,616
2,589
11,386
21,910
4,248
(10,524)
161,783
(56,545)
14,349
6,716
(5,410)
8,568
(15,649)
4,859
274,641
12,727
3,248
8,044
28,206
(22,754)
27,797
(111,880)
PAGE!
!:!
INCR
(DECR)
%
1.88
21.39
(14.28)
(58.64)
1.29
(24.19)
7.35
2.87
(34.08)
(81.80)
(S2.88)
26.44
(37.04)
20.40
10.03
67.37
259.69
30.89
(4.11)
191.88
(18.95)
20.28
37.89
(16.27)
19.83
(41.89)
107.86
24.99
4,513.12
2.61
10.29
17.72
(58.95)
100.00
(55.21)
10/30/95 PAGE2
JOINT OPERATING FUND & WORKING CAPITAL FUND
SUMMARY BUDGET REVIEW
3 MONTHS ENDED 9-30-95
A _e_ ~ !! & .E Q .!:!
EXP EXP %EXP INCR INCR
BUDGET THRU BUDGET THRU THRU REMAINING (DECR) (DECR)
DESCRIPTION 1994-95 9-30-94 1995-96 9-30-95 9-30-95 BUDGET $ %
41 PRINTING & PUBLICATION:
42 REPRODUCTION-IN-HOUSE 210,000 46,923 219,100 22,367 10.21 196,733 (24,556) (52.33)
43 PRINTING-OUTSIDE 50,000 1,888 60,500 3,664 6.06 56,836 1,776 94.07
44 PHOTO PROCESSING 35,000 6,406 32,700 5,834 17.84 26,866 (572) (8.93)
45 NOTICES & ADS 35,000 4,734 29,500 10,847 36.77 18,653 6,113 129.13
46 RENTS & LEASES:
47 OlJfSIDE EQUIPMENT RENT AL 90,000 25,295 109,000 33,712 30.93 75,288 8,417 33.28
48 DISTRICT EQUIPMENT RENTAL 125,000 36,165 126,700 23,224 18.33 103,476 (12,941) (35.78)
49 REPAIRS & MAINTENANCE:
50 MATERIALS 3,200,000 758,986 3,375,900 625,349 18.52 2,750,551 (133,637) (l 7.61)
51 SERVICE CONTRACTS 475,000 200,638 834,000 215,679 25.86 618,321 15,041 7.50
52 RESEARCH & MONITORING:
53 ENVIRONMENT AL MONITORING 2,400,000 425,019 2,375,000 288,335 12.14 2,086,665 (136,684) (32.16)
54 AIR QUALITY MONITORING 200,000 75,000 155,000 0 0.00 155,000 (75,000) (100.00)
55 RESEARCH 450,000 119,098 565,000 50,145 8.88 514,855 (68,953) (57.90)
56 TRAVEL & MEETINGS 250,000 21,928 134,000 70,173 52.37 63,827 48,245 220.02
57 TRAINING 0 0 513,500 20,080 3.91 493,420 20,080 100.00
58 UNCOLLECTABLEACCOUNTS 25,000 0 15,000 131 0.87 14,869 131 100.00
59 UTILITIES:
60 DIESEL FOR EMERG GENERATOR! 95,000 5,964 25,000 0 0.00 25,000 (5,964) (100.00)
61 POWER 1,100,000 220,298 1,075,000 204,998 19.07 870,002 (15,300) (6.95)
62 NATURAL GAS 2,030,000 302,810 1,400,000 245,545 17.54 1,154,455 (57,265) (18.91)
63 TELEPHONE 140,000 7,784 125,500 26,512 21.13 98,988 18,728 240.60
64 WATER 550,000 156,458 750,000 90,412 12.05 659,588 (66,046) (42.21)
65 OTHER EXPENSES:
66 FREIGHT 75,000 9,061 79,700 10,317 12.94 69,383 1,256 13.86
67 GENERAi, 600,000 132,976 539,000 72,451 13.44 466,549 (60,525) (45.52)
68 AQMD OPERATING FEES 225,000 58,893 250,000 36,078 14.43 213,922 (22,815) (38.74)
69 PRIOR YEARS EXPENSE 25,000 0 20,000 0 0.00 20,000 0 0.00
70 OTHER NON-OPER EXPENSE 60,000 18,948 94,500 14,837 15.70 79,663 (4,111) (21.70)
71 TOTALMATLS, SUPP, & SERV 27,024,000 5,597,125 29,983,000 5,445,201 18.16 24,537,799 (151,924) (2.71)
72 COST ALLOC-CORF & OTHER (600,000) (109,043) (470,000) (128,130) 27.26 (34l,870) 19,087 17.50
73 NET J.O.-MATLS, SUPP, & SERV. 26,424,000 5,488,082 29,513,000 5,317,071 18.02 24,195,929 (171 ,011) (3.12)
74 TOTALJ. 0. REQUIREMENTS 53,242,000 LJ,418.820 58,180.000 12,815,723 22.03 45,364,277 1,396,903 12.23
75 REVENUE (3,700,000) (l, l l 0,289) (3,800,000) (742,099) 19.53 (3,057,901) (368 190) (33.16)
76 NET J.O. EXPENDITURES 49,542,000 10,308,531 54,380,000 12,073,624 22.20 42,306,376 1,765,093 17.12
FPC1294AXLS-!0/30/95-5:26 PM
10/27/95
CSDOC
JOINT OPERATING WORK ORDER SUMMARY
3 MONTHS ENDED 9/30/95
3 Months 3 Months 3 Months $
Ended Ended Ended INCR/(DECR)
%
INCR/(DECR)
Sep-93 Sep-94 Sep-95 FROM PR. YEAR FROM PR. YEAR
COLL, DIVER. & INTERPLANT 16,457 31,152 40,448 9,296 29.84%
HEADWORKS 483,998 465,642 342,677 (122,965) (26.41 %)
PRIMARY TREATMENT 1,494,569 1,061,307 1,811,356 750,049 70.67%
SECONDARY TREATMENT 650,907 643,797 873,998 230,201 35.76%
SOLIDS HANDLING 1,990,619 1,698,003 1,730,375 32,372 1.91 %
EFFLUENT CHLORINATION 34,701 5,645 44,464 38,819 687.67%
EFFLUENT DISPOSAL 180,578 128,954 199,177 70,223 54.46%
SUPERVISORY CONTROL 563,273 554,155 809,968 255,813 46.16%
UTILITY SYSTEMS 997,674 1,156,657 1,330,879 174,222 15.06%
GENERAL PLANT COMPLEX 1,368,985 1,398,738 1,175,271 (223,467) (15.98%)
ODOR CONTROL 889,652 839,474 747,717 (91,757) (10.93%)
GENERAL ENGINEERING 32,335 77,314 133,347 56,033 72.47%
INDUSTRIAL WASTE 207,048 153,867 231,728 77,861 50.60%
LA BORA TORIES & RESEARCH 1,782,177 1,923,187 2,474,208 551,021 28.65%
MOTOR POOL NET CHARGES 67,860 77,576 40,204 (37,372) (48.17%)
ELECTRIC CARTS 33,059 32,779 31,693 (1,086) (3.31%)
PORT ABLE EQUIPMENT 52,411 60,284 56,114 (4,170) (6.92%)
TOTALJ.O. EXPENSE 10,846,303 10,308,531 12,073,624 1,765,093 17.12%
WOSU995AXLS-3:05 PM
10/27/95
= CII >-0
C. E w
CII E j::
::::, u.
*
County Sanitation Districts
Staffing Trends
750 .---------------,--------------.---------------.--------------,
730 _,
710
690
-------------------------~--------------------------•--------------------------r-------------------------1 I I , ' I I
I I
I I I' _________________________ J ____________ ~-------------l __________________________ L ________________________ _
I I I
I I I
I I
I I
I I I ----------------~------~--------------------------:--------------------------: --------------------------
1 I I
I
I
I
670t _____________ :---------------------{ -----------~--------------r . . ~
650
630
I
I
I -------------------------~--------------------------1-------~------------------~-------------------------1
I
l
I I I -------•·-•--------------~--------------------------~--------------------------L -------------------------1 I
I
I
I
610 ~ ------. --------11 -_____________________ I _________ .
I
I ---------------, -------------------------
'
I
I
I I 590 -------------------------~--------------------------,--------------------------r------------------------
1 ' I I
I
I
I 570 + ---------------.------------,---------------------------• -----· ---------------------r -----·--------------------
I I I
I
550 +-----------------------------+-------------+-------------~
6/30/92 6/30/93 6/30/94 6/30/95 9/30/95
!-+-Authorized ---Actual I
2:09 PM
_)
J
10/27/95
en C .2 ii
C)
C ~
:i
*
County Sanitation Districts
Total Flows Year to Date
22,000 ~------------.-------------.-----------r------------,
1 ' 21,800 -----------------------~-----------------------~-----------------------•----------------..
21,600
I I
t
I
I
I I
,1 .. ----·--------------------I -, _ __. --------•-;----.I. --------· ---·-----
I I
I
I
I L
I
I ---~-----------------------
1
I
21,400 + -----------------------+ ------------------------, -----------------------,-----------------,-------
I
I
I
21 ,200 -+ • ----------------------------~-----------------------1
21,000
20,800
20,600
----------------... -J ---------------· I
I
' -----------------------y---------------------
'
I
I
I ---------------,----------------------
1
I
I
I -------------------'------------------------
' ~ -------~ --------------,-----------------------
I I I 2Q,4QQ + · -· ---• --, --,_ -----------i ---• ----" -------------• -4 • -----------• • --------· * I • • -----------• -• -------
I I I
20,200
20,000
I I I
I
I
I I I -. I -1 --------------------------
1 I
I I
I --------------------•--1·-----------------------1-----------------------r -----------------------
1 I I
I I I
I
19,800 1---------------+------------+-----------+-----------_J
Sep-91 Sep-92 Sep-93 Sep-94 Sep-95
Quarter Ended
2:03 PM
10/27/95
•
0 C
.2 iii C,
C ~
.§
e?
.!!
0 C
County Sanitation Districts
Joint Operating Costs Per Million Gallons
$800
I I I
I I I
$750 ~-----------------------~------------------------~-----------------------~-----------------------
$700
$650
$600
$550
$500
$450
$400
$350
'
I I :
·-----------... ------------~ -------~ --------------~ --: ---------.... ~ ----.-~ ------~ ------------------------
I 1
I
I
-----------------------~------------------------~-----------------------~------------------------1 I
I I
I t ' _, ________________________ J ________________________ ~ _______________________ ~ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ _ ,:: ~rget
I
I -----------------------~------------------------~--------------1
+ -------------~ ---• -
I -----------------------~------------------------~-----------------------~------------------------1 I ,
I I
I
f I I
---------------------J ------------------------L -----------------------I -------------------------I I I
I I
I
1
t I I -----------------------,------------------------r-----------------------,------------------------
1 ' I I
I
$300
1991-92 1992-93 1993-94 1994-95 1995-96
I -+-9/30 Cost/mg -a-6/30 Cost/mg I
2:43 PM
A. Reclamation Plant 1 New and Rebudgeted Major Projects:
1 . Electrification or Pump Drives, P 1-36-1
2. Secondary Treatment Expansion to 80 MGD. Pl-36-2
3. Primary Treatment 72 MGD Expansion, Pl-37
4. Security & Landscaping. Pl-38-1
5. Misc. Mods. Priority Elements Pl-38-2
6. Misc. Modifications to Plant 1, Pl-38-4
7. Fire Protection, Signs and Water Sys Mods., Pl-38-5
8. Elect!. Facility Modifns & Safety Upgrades ,Pl-40-1
9. Fae Modilns & Safety Upgrades, Pl-40-2
10. Prim Clarifiers 3,4 & 5 Rehab. Pl-41
11 . Seimic Retrofit ol Non-Structure Systems. Pl-43
12. Seismic Retrofit Structual Items, Pl-44-1,2,3
13. Chemical and Wastehauler Facility Modifns. Pl-46-2,3
14. 12KV Distribution System for Support Facilities, Pl-47
15. Misc Architectural & Treatment Pit lmprvmts, Pl-48
16. 40 MGD Oxygen Activated Sludge & DAF's
17. Belt Presses 14 Units)
1 B. Solids Storage 14 Bins!
19. Digesters: 2 @ 11 O' Diameter
20. 12kv Electrical Power Distribution
21. Emergency Sewage Bypass System
22. Remove Trickling FIiters 1 & 3
23. Miscellaneous Special Projects Pint. 1, Pl-49
24. Misc. Job Plan Projects (See Schedule C)
25. Other Master Plan Projects
a. Headworks No. 1 Rebuild, 2003
b. Headworks No.2 Impeller/Pump Speed, 2016
c. Remove Trickling Filters 2 & 4, 2007
d. 40 Mgd Oxygen Act'd Sludge &DAF, 2017
e. 110' ft Digesters, 2003 & 2012
f. 4 Belt Presses, 2004
g. 12 KV Power Distribution, 2001-2012
h. Standby Power Generation, 2005 & 2015
i. 72 Mgd Primary Treatment. 2004 & 2012
SUB-TOT AL -RECLAMATION PLANT 1
CAPITAL OUTLAY REVOLVING FUND
SUMMARY OF JOINT WORKS CONSTRUCTION REQUIREMENTS
FISCAL YEAR 1995-96
3 MONTHS ENDED 9/30/95
11) (21
WORK REVISED TOT AL REQUIRED ACCUMULATE
ORDER PROJECT EST BUDGET COST
1995-96 1995-96 @ 6/30/95
53717-A 1,700,000 50,000 1,066,911
53717-B 47,000,000 6,500,000 118,137
53719-0 38,125,000 1,000,000 166,613
52108-F 1,510,000 10,000 1,573,145
52108-G 4,810,000 10,000 5,007,980
52108-H 2,550,000 50,000 1,927,039
52108-J 3,060,000 900,000 463,663
52187-A 8,625,000 133,378
52187-B 2,025,000 500,000 288,370
52199-A 2,350,000 1,000,000 251,454
52229-A 4,250,000 117,194
52125-8 4,250,000 100,000 922,135
52239-A 3,020,000 401,018
52255-0 2,650,000 400,000 141,956
52268-0 835,000 400,000 107,345
65,463,000
14,300,000
10,177,000
9,100,000
2,477,000
1,922,000
1,300,000
4,385,000 50,000
22,125,000 500,000 66,054
14,950,000
2,600,000
1,300,000
34,000,000
18,200,000
10,920,000
1,099,000
4,914,000
32,500,000
378,492,000 11,470,000 12,752,392
(3) 121 + 131
CURRENT FY PROJECT
OUTLAY COST
TO 9/30/95 TO DATE
249,846 1,316,757
37,695 155,832
(265) 166,348
49,617 1,622,762
85,780 5,093,760
192,724 2,119,763
(1,185) 462.478
1,207 134,585
7,326 295,696
6,379 257,833
117,194
179 922,314
7,980 408,998
3,965 145,921
355 107,700
40,541 106,595
682,144 13,434,536
PROJECT SUMMARY
Page 1 of 4
Prepared By: Bill Aldridge
11) · 13) MEMO
UNEXPENDED COMPLETED JOBS
BUDGET TRANSFER TO
FIXED ASSETS
(199,846)
6,462,305
1,000,265
(39,617)
(75,780)
(142,724)
901,185
(1,207)
492,674
993.621
0
99,821 (155,198)
(7,980)
396,035
399,645
50,000
459,459 0
10,787,856 (155,198)
B. Plant 2 New and Rebudgeted Major Projects:
I. Support Facilities and Site Improvements
a. Operations Building, P2-23-5-1
b. Warehouse Building, P2-35-2
c. Maintenance Building • P2-35-3
d. Phase II Site & Security Imp., P2-35-5
e. Construction Management Ollice, M-044(P2-35-4I
2. Rehab 7 Dlgesters, P2-39-1.2.3
3. Primary Treatment 24 MGD Expansion, P2-41
4. Secondary Treatment Expansion, P2-42-2
5. Priority Misc. Mod .• P2-43-1
6. Misc. Modilications , P2-43-3
7. Plant 2 lnrluent Diversion
B. Fire Protection, Signs & Water Sys Modifns, P2-46
9. Electl Fae Modi Ins & Safety Upgrades , P2-4 7-1
10. Fae Modifns & Safety Upgrades, P2-47-2
11 . Primary Clarifier Rehab. P2-48
12. Seimic Retrofit of Non-Structure Systems, P2-50
13. Seismic Retrofit, Structural Items P2-53-2,3,4, 5,6
14. Chemical and Plant Water Modilns, P2-55
15. Misc Seismic Modifns & Flare Improvements, P2-56
16. Miscellaneous Projects Special Projects Plant 2
17. Solids Storage: 2 Bins
18. Additional 105 Foot Digester
19. Plant Water Pump Station
20. Reclaimed Water System Pint. 2
21. Misc. Job Plan Projects (See Schedule D)
22. Other Master Plan Projects
a. Replace Primary Basins A. B. C, 2006
b. Standby Power Generation. 2005 & 2015
c. Monitoring and Control System, 2005
SUB-TOTAL • TREATMENT PLANT 2
C. Water Reclamation Regional Expansion
Transfer to Projects Below
Reclmatlon Plant No. 1 Water Quality Management Study
OCSD/OCWD Regional Water Reclamation Plant Study
SUB-TOTAL -WATER RECLAMATION REGIONAL EXPANSI
-
-
ON
CAPITAL OUTLAY REVOLVING FUND
SUMMARY OF JOINT WORKS CONSTRUCTION REQUIREMENTS
FISCAL YEAR 1995-96
3 MONTHS ENDED 9/30/95
(1) 121 . .
WORK REVISED TOT AL REQUIRED ACCUMULATE
ORDER PROJECT EST BUDGET COST
1995-96 1995-96 @ 6/30/95
53715-0,A 3,550,000 350,000 3,39B,576
51813-H 3,820,000 1,400,000 308,5B2
51813-F 4,000,000 1,400,000 263,064
51813-E 2,475,000 176,309
51813-G 690,000 250,000 277,094
52045-0 14,225,000 250,000 529,657
53714-0 14,505,000 4,549
53718-0,B 18,000,000 1,400,000 16,273,049
52108-8 4,850,000 50,000 5,011,628
52108-E 2,510,000 10,000 2,640,696
2,500,000 200,000
52176-0 4,615,000 1,900,000 440,101
52189-A 3,450,000 113,362
52189-B 4,015,000 500,000 290,452
52199-B,E 6,800,000 500,000 474,753
52229-B 4,800,000 165,811
52108-C 8,410,000 50,000 3,262,714
52239-B 4,200,000 1,400,000 335,527
52269-0 525,000 250,000 19,648
4,550,000 50,000
5,200,000
3,900,000
1.170,000
4,820,000 75,000
22,250,000 500,000 103,950
11,700,000
10,000,000
520,000
172,050,000 10,535,000 34,089,522
75,500,000 100,000
(680,000) (47,914)
58231-0 280,000 153 1,540
52133-E 400,000 47,761 148,837
75,500,000 100,000 150,377
(3) (21 + 131
CURRENT FY PROJECT
OUTLAY COST
TO 9/30195 TO DATE
43,357 3,441,933
308,582
24,758 287,822
176,309
(94,205) 182,889
745 530,402
4,549
610,531 16,883,580
28,069 5,039,697
66,733 2,707,429
707 440,808
969 114,331
12,875 303,327
1,875 476,628
165,811
3,262,714
22,528 358,055
1,403 21,051
16,412 120,362
736,757 34,826,279
0
153 1,693
47,761 196,598
47,914 198,291
PROJECT SUMMARY
Page 2 or 4
r11 . 131 .. MEMO
UNEXPENDED COMPLETED JOBS
BUDGET TRANSFER TO
FIXED ASSETS
306,643 (2,935)
1,400,000
1,375,242
0
344,205
249,255
0
789,469
21,931
(56,733)
200,000
1,899,293
(9691
487,125
498,125
0
50,000 (2,577,369)
1,377.472
248,597
50,000
75,000
483,588 0
9,798,243 (2,580,304)
100,000
(47,914)
0
0
52,086 0
D. lnter.e_lant and Joint Facilities
1, Support Facilities and Site Improvements
a. Demolition ol Old Lab lor Offices, J-11-1
b. Central lab Expansion J-1 7-3
Transfer to Projects Below
-
Purch & lnstl ol Racks to Secure Gas Cylinders & Dewar
Office Reconfigurated lor Enviorn Mgmt Area
c. Demolition or Reuse of Old Control Center
d. Demolition of Support Bldg.@Pt2, J-27
2. Outfall & Booster Pump Stations
a. Surge Tower Replacement, J-34-1
b. Outfall Reliability & Pumping Annex OOBS "C" J-34
c. Ext & Repl 78"to Deep Water w/120" Outfall
3. Computerized Fae. Records and Dwg. Sys. J-25-1
4. Electl. Power Systems Rehab. Studies J-25-2,3&4
5. Plants 1&2 Monitor/Control Sys, J-31-1,2,3,4,5
Transfer to Projects Below
SCADA Retrofit Hardware Platform at Pits 1 & 2
Power Bldg W 1 Air Conditioning & Modifn for J-31
6. Standby Power Reliability Modifns, J-33-1,2
7. Bushard lnterplant Trunk Replacement
8. 8iosolids Disposal Projects
a. Compost Demonstration Plant
b. Land Acquisition
c. Landfill Development Phase I
d. Compost Facility
e. Biosolids Disp. Landfill Phase II 2011
f. Biosolids Disp. Equip Phase I & II 2001
g. Electrical Power Distribution, 12kv
9 .. District Information Management Network
a. Maint. & Oper Mgmnt Computer System
Transfer to D. Item 13 (Schedule El
b. Lab Information Management System Upgrades
Transfer to D. Item 13 (Schedule El
c. Financial Information System
d. Network System Integration
e. CD-Optical Data Archiving
CAPITAL OUTLAY REVOLVING FUND
SUMMARY OF JOINT WORKS CONSTRUCTION REQUIREMENTS
FISCAL YEAR 1995-96
3 MONTHS ENDED 9/30/95
( 1 I (21
WORK REVISED TOT Al REQUIRED ACCUMULATE
ORDER PROJECT EST BUDGET COST
1995-96 1995-96 @ 6/30/95
52083-A 230,000 200,000 27,858
910,000 160,000
(69,767) (42,300)
52293-0 27.467 0 15,749
52351-0 42,300 42,300
245,000
52084-0 190,000 109,504
52241-0 6,500,000 1,185,000 768,699
31,085,000
92,050,000
58216-0 4,710,000 500,000 209.406
58216-A 1,225,000 200,000 14,961
52215-0,B 11,050,000 1,900,000 2,127,616
(2,225,600) (75,248)
52215-A 2,200,000 49,648 423,684
52342-0 25,600 25,600
52240-0,A 14,575,000 1,050,000 445,593
31,000,000
9,000,000
58242-0 22,000,000
28,600,000
50,000,000
15,600,000
11,500,000
2,707,000
52149-A 1,050,000 100,000 896,593
(25,000)
52149-B 505,000 125,000 47,773
(108, 1071
52149-C 970,000 600,000 209,073
52149-E 820,000 340,000 1,786
125,000 50,000
(3) (2) + 13)
CURRENT FY PROJECT
OUTLAY COST
TO 9/30/95 TO DATE
27,858
15,749
0
109,504
768,699
10,411 219,817
26,171 41,132
80,471 2,208,0B7
49,648 473,332
0
22,532 468,125
14,708 14,708
896,593
47,773
209,073
679 2,465
PROJECT SUMMARY
Page 3 of 4
(11 -(3) MEMO
UNEXPENDED COMPLETED JOBS
BUDGET TRANSFER TO
FIXED ASSETS
200,000
160,000
(42,300)
0
42,300
0
1, 1B5.000
4B9,589
173,829
1,819,529 (30,811)
(75,248)
0 (41,4251
25,600
1,027,468
(14,708)
100,000 (149,267)
(25,000)
125,000
(108,107)
600,000 (12,190)
339,321
50,000
10. In-Plant Sampling System Modifn
Transfer to Project Below
Final Sampler System Upgrades
11. Improvements to Central Generation
Transfer to Projects Below
Boiler Chemical Dosing System
Piping Insulation Addition
Steam System Modifn
12. Cable Tray Improvements
13. Misc Job Plan Projects (See Schedule E)
Transfer from D. Items 10 a & b Projects Above
SUB-TOTAL • INTERPLANT & JOINT
SUB-TOTAL • MAJOR PROJECTS
E. Specjaf Projects, Studies & Research
1. Master Planning Issues
a. Pers/Admin. Support Fae @ Pit 1 J-26,J,30
b. Peak Hydraulic Discharge/Outran Studies
Transfer to Project Below
Determination of Peak Hydraulic Discharge
c. Coll, Trtmnt llt Disp Fae. Strategic Study
d. NPDES Permit Support
2. Air Quality Control Program
a. Toxics and ROG Control: Biotrickling filter R & D
b. Air Emissions: Source Control Feasibility Study/Metal
c. Air Quality Management Implementation Plan
d. Biofilter for Pump Stations
e. A.O. Database Development
r. Central Gen Parameter Monitoring
SUB-TOT AL -SPECIAL PROJECTS
F. E911ipment Items
SUB•TOTAL • JOINT WORKS CAPITAL REQUIREMENTS
CONSTRUCTION IN PROGRESS COMPLETED AT 6/30/95
TOT AL JOINT WORKS CAPITAL REQUIREMENTS
-
CAPITAL OUTLAY REVOLVING FUND
SUMMARY OF JOINT WORKS CONSTRUCTION REQUIREMENTS
FISCAL YEAR 1995-96
3 MONTHS ENDED 9/30/95
!11 . . (21 .--.
WORK REVISED TOT Al REQUIRED ACCUMULATE
ORDER PROJECT EST BUDGET COST
1995-96 1995-96 @ 6/30/95
220,000 100,000
(30,2601 (5671
52331-0 30,260 567 447
650,000 300,000
(42,2001 (42,2001
52348-0 2,800 2,800
52349-0 4,800 4,BOO
52350-0 34,600 34,600
2,400,000 100,000
16,525,000 500,000 313,520
133,107
356,442,000 7,410,000 5,612.262
982,484,000 29,515,000 52,604,553
5 3 716-0/5 208 3-0 298,000 75,000 274,935
2,850,000 400,000
I 1, 151,000)
58241-0 1,151,000
4,225,000 200,000
58209,F 1,175,000 100,000 427,445
58227-0 440,000 90,000 304,697
75,000 25,000
58232-0 150,000 21,640
50,000 25,000
75,000 25,000
58235-0 350,000 75,000 3,519
9,688,000 1,015,000 1,032,236
52,725,000 3,000,000 1,666,785 -1,044,897,000 33,530,000 55,303,574
SCHEDULE F 95,017,660
1,044.897,000 33,530,000 150,321,234
131 . . (21 + (31
CURRENT FY PROJECT
OUTLAY COST
TO 9/30195 TO DATE
567 1,014
0
0
0
32,517 346,037
237,704 5,849,966
1,704,519 54,309,072
56 274,991
0
273 427,718
24,850 329,547
21,640
3,519
25,179 1,057,415
271,178 1,937,963
2,000,876 57,304,450
(47,698) 94,969,962
1,953,178 152,274,412
PROJECT SUMMARY
Page 4 of 4
(11 -(3) MEMO
UNEXPENDED COMPLETED JOBS
BUDGET TRANSFER TO
FIXED ASSETS
100,000
(5671
0
300,000
(42,200)
2,800
4,800
34,600
100,000
467,483 (187,4681
133.107
7,172.296 1421. 1611
27,810,481 (3, 156,6631
74,944
400,000
0
200,000
99,727
65,150
25,000
0
25,000
25,000
75,000
989,821 0
2,728.822 ( 1,544,4071
31,529,124 (4, 701,0701
47,698 (90,525,448)
31,576,822 (95,226.518)
)
1
2
3
4
5
6
7
7
8
9
10
11
12
13
14
15
16
17
18
11 /2/95
QUARTERLY
SELF-FUNDED HEAL TH PLAN BUDGET REVIEW
A
1995-96
BUDGET
EXPENDITURES
Claims -Medical 0
-Dental 387,000
-Disability* 0
Sub-Total 387,000
Contractural Services 50,000
Stop Loss Insurance 0
Transfer Out 0
Total Expenditures 437,000
REVENUE & RESERVES
In-Lieu Prem. -CSDOC 400,000
-Employees 75,000
Sub-Total 475.000
Reimburse from Stop Loss Ins 0
Supplemental CSDOC Funding 0
Other 0
Total Revenues 475,000
Excess Revenue (Expense) 38,000
Cash and Carry-over Reserves 15,000
Transfers 0
Ending Reserves 53,000
• Disability insurance has been purchased rather
than self-funded since December 1989
SFMQ995.XLS
3 MONTHS ENDED 9-30-95
§ £ Q.
ACTUAL % OF BUDGET REMAINING
THROUGH THROUGH 1995-96
9-30-95 9-30-95 BUDGET
0 0.00 0
60,988 15.76 326,012
0 0.00 0
60,988 15.76 326,012
9,592 19.18 40,408
0 0.00 0
0 0.00 0
70,580 16.15 366.420
85,246 21.31 314,754
10,700 14.27 64,300
95,946 20.20 379,054
554 (554)
0 0.00 0
0 0
96,500 20.32 378,500
25,920 12,080
0
25,920
£ f g_
ACTUAL TO DATE
THROUGH INCREASE FROM
9-30-94 !DECREASE) 7/1 /79
34,294 (34,294) 12,688,986
31,906 29,082 2,582,390
0 0 173.457
66,200 (5,212) 15.444,833
4,984 4,608 637,979
0 0 973,347
0 0 113,161
71,184 (604) 17,169,320
58,185 27,061 9,131,234
6,390 4,310 1,911,639
64,575 31,371 11,042,873
208 346 231,430
0 0 5,194,730
0 0 726,207
64,783 31,717 17,195,240
(6,401) 32,321 25,920
85,952
0 0
79,551 25,920
11 /2/95
QUARTERLY
PUBLIC LIABILITY SELF-INSURED FUND BUDGET REVIEW
3 MONTHS ENDED 9-30-95
~ .!! f Q §. E Q
ACTUAL % OF BUDGET REMAINING ACTUAL TO DATE
1995-96 THROUGH THROUGH 1995-96 THROUGH INCREASE FROM
BUDGET 9-30-95 9-30-95 BUDGET 9-30-94 !DECREASE) 7-1-79
EXPENDITURES
1 Salaries 1,000 0 0.00% 1,000 0 0 1,715
2 Claims 90,000 (4,405) -4.89% 94,405 282 (4,687) 847,712
3 Contractual Services 20,000 300 1.50% 19,700 1,118 (8181 97,881
4 Legal Services 150,000 53,699 35.80% 96,301 0 53,699 1,535,607
5 Professional Services 10,000 462 4.62% 9,538 497 (35) 133,839
6 Supplies & Other 1,000 35 3.50% 965 0 35 35
7 Sub Total 272,000 50,091 18.42% 221,909 1,897 48.194 2,616,789
8 Excess Loss Policy• 0 0 0 0 0 405,217
9 Total Expenditures 272,000 50,091 18.42% 221,909 1,897 48,194 3,022,006
REVENUES & RESERVES
10 In-Lieu Premiums 100,000 0 0.00% 100,000 0 0 2,541,509
11 Interest & Other 200,000 45,224 22.61 % 154,776 60,461 (15,237) 3,184,046
12 Allocation to Other Funds 0 0 0.00% 0 0 0 204,630
13 Reimbursement from Stop Loss 0 0 0.00% 0 0 152,449
14 Total Revenues 300,000 45,224 15.07% 254,776 60,461 (15,237) 6,082,634
15 Excess Revenue (Expense) 28,000 (4,867) 32,867 58,564 (63,431) 3,060,628
16 Beginning Cash Reserves"• 3,356,000 3,315,495 3,392,913
17 Transfers 0 0 250,000
18 Ending Cash Reserves 3,384,000 3 ,310,628 3,451,477 3,310,628
. Districts have been entirely self-insured for liability exposures since 1986 .
This policy is reviewed by the Directors annually.
Includes $720,208 long-term receivable due from the County of Orange.
PLOB995.XLS
11 /2/95
QUARTERLY
WORKERS' COMP SELF-INSURED FUND BUDGET REVIEW
3 MONTHS ENDED 9-30-95
~ !! £ Q .5 £ .§
ACTUAL % OF BUDGET REMAINING ACTUAL TO DATE
1995-96 THROUGH THROUGH 1995-96 THROUGH INCREASE FROM
BUDGET 9-30-95 9-30-95 BUDGET 9-30-94 (DECREASE) 7-1-79
EXPENDITURES
1 Salaries 10,000 0 0.00% 10,000 0 0 160,149
2 Claims 165,000 35,221 21.35% 129,779 28,947 6,274 1,903,237
3 Contractual Services 35,000 6,250 17.86% 28,750 6,360 (110) 222,333
4 Legal Services 5,000 0 0.00% 5,000 0 0 0
5 Professional Services 35,000 5,340 15.26% 29,660 4,727 613 300,636
6 Supplies & Other 12,000 0 0.00% 12,000 0 0 21,215
7 Sub Total 262,000 46,811 17.87% 215,189 40,034 6,777 2,607,570
8 Excess Loss Policy 45,000 0 0.00% 45,000 0 0 467,693
9 Total Expenditures 307,000 46,811 15.25% 260,189 40,034 6,777 3,075,263
REVENUES & RESERVES
10 In-Lieu Premiums 225,000 51,923 23.08% 173,077 60,577 (8,654) 2,509,011
11 Interest & Other 43,000 9,836 22.87% 33,164 12,682 (2,846) 979,441
12 Total Revenues 268,000 61,759 23.04% 206,241 73,259 (11,500) 3,488,452
13 Excess Revenue (Expense) (39,000) 14,948 (53,948) 33,225 (18,277) 413,189
14 Beginning/Ending Cash• 795,000 648,241 748,810
15 Transfers 0 0 250,000
16 Ending Reserves 756,000 663,189 782,035 663,189
• Includes $151 , 7 54 long-term receivable due from the County of Orange
WCOB995.XLS
"" I Measurement Tracking
100
90
80
70
J!l .._ C 0 a, 60 .. E 1l I!! 50 E ::::i ::I Ill z :g 40 :::E
30
20
10
0
Ahead
Districts-Wide Measurement Tracking
102 Measurement Projects
On Track Done Behind Not Started On Hold Canceled
As part of the fiscal year 1995-96 budget process, performance measurement projects were
established for all departments/divisions within the organization. The chart above shows a status
summary, as of the end of the first quarter, of all the performance measurement projects approved in
the 1995-96 budget document. Below is a tabular summary of this chart:
Ahead
13
On Track
60
Done
5
Behind
8
Not Started
8
On Hold
8
Canceled
0
The following pages present a status of each departments/divisions performance measures as of the
end of the first quarter.
Page 1
Measurement Tracking
Executive Management
9 Measurement Projects
9
8
7
6
.!I -C: 0 QI 5 ._ E 1l ! E :::i 4 :::i en z m
:Iii
3
2
Ahead On Track Done
Measurement Title % Complete
Complete Consolidation Study. (1) 10%
Improve management skills of managers and supervisors. 20%
Support Boards consideration of committee structure change. (2) 0%
Represent Districts' interests in Orange County bankruptcy. 75%
Improve agency communication. (3) 25%
Direct work on Districts' Strategic Plan. 5%
Create climate that promotes change. 10%
Establish clear goals for the departments and all subordinate units. 100%
Renew NPDES ocean discharge pemiit. 20%
Behind On Hold
Status Start
On Track 7/1/95
On Track 7/1/95
On Hold 7/1/95
On Track 7/1/95
On Track 7/1/95
On Track 7/1/95
On Track 7/1/95
Done 7/1/95
On Track 7/1/95
(1)-Feasibility analysis for Consolidation is underway and will be presented to the Executive Committee in February, 1996.
(2)-Board consideration of Committee structure is scheduled for December meeting.
(3)-Communications manager has been hired and will begin work November 13.
Page2
End
12/31/95
..
Measurement Tracking
Board Secretary
2 Measurement Projects
J!l
-C 0 QI ~ ~ .D .. E::, ::, Ill z m ::E
Ahead
Measurement Title
On Track Done
Streamline procedures for preparing agenda and minutes.
Behind
Provide regular updates of Director info. to mgmt. and Committee seer.
Not Started On Hold
% Complete Status
25% On Track
25% On Track
Communications
4 Measurement Projects
4
J!l 3 .... C 0 QI ._ E
GI QI 2 .D ... E ::, ::, Ill z m 1 ::E
0
Ahead On Track Done
Measurement Title
Establish and organize Communications Office.
Define Communications Office Mission & develop work plan.
Prepare Communications Office Procedures Manual.
Behind Not Started On Hold
% Complete Status
95% On Track
100% On Track
0% On Hold
Start
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
Develop a biannual publication for public officials and comm. leaders. 0% On Hold 12/31/09
Page 3
Canceled
End
12/31/95
12/31/95
Canceled
End
9/1/95
12/31/95
2/1/96
12/31/95
Measurement Tracking
Finance Administration
4 Measurement Projects
Ahead On Track Done Behind Not Started
Measurement Title
Replace variable rate borrowing remarketing agent to reduce costs.
Complete implementation of treasury management functions.
Provide safe, liquid and productive cash and investment program.
Improve comprehensive budget process started in 1994-95.
% Complete
100%
100%
100%
5%
Status
Done
Done
Done
Behind
Accounting
3 Measurement Projects
Ahead On Track Done Behind Not Started
Measurement Title % Complete Status
On Hold
On Hold
Oversee installation of a new integrated Financial Info. System.
Develop Districts'-wide Finance policy & procedure manual.
Develop Districts'-wide comprehensive budget manual.
15% On Track
15% On Track
5% On Track
Page4
Start
7/1/95
7/1/95
1/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
Canceled
End
12/31/95
12/31/95
9/30/95
6/30/96
Canceled
End
12/31/96
4/30/96
12/31/95
Measurement Tracking
4
J!l 3 -C 0 Cl) ._ E
Cl) Cl) 2 .c ... E ::, ::, .,, z:::
:ii:
0
Ahead
Measurement Title
On Track
Purchasing & Warehousing
4 Measurement Projects
Done Behind Not Started
% Complete Status
On Hold
Compete revision of bidders list applic. to tie to commodity code listing.
Establish annual contracts to reduce need for in-house inventory.
Establish ABC analysis for classifying and analyzing inventory.
Develop policy on removal of misc. low cost hardware from inventory.
60% On Track
10% On Track
15% On Track
75% Ahead
Information Technology Administration
4 Measurement Projects
Start
7/1/95
7/1/95
1/1/95
7/1/95
Canceled
End
1/31/96
3/31/96
3/31/96
12/31/95
J!l 0~3 --------------------------------------
Z~2 -----------------------E ::, ::, .,, z:::
:ii:
Ahead
Measurement Title
On Track
Develop Information Systems Master Plan
Done Behind
Develop Performance Measurement survey for IT Department users.
Obtain adequate working space for IT Department staff.
Create formal Policies and Procedures Manual for IT Department.
Page 5
Not Started On Hold
% Complete Status
0% On Hold
0% Not Started
5% On Track
0% Not Started
Start
7/1/95
7/1/95
7/1/95
7/1/95
Canceled
End
Measurement Tracking
Hardware Support
3 Measurement Projects
3
J!.I -C: 0 GI 2 ._ E
GI GI .c ... E :::i :I (II z :::
:::E
0
Ahead On Track Done Behind
Measurement Title
Install auxiliary PBX for Plant 2 to provide added telephone capabilities.
Establish annual contracts to reduce need for in-house inventory.
Establish ABC analysis for classifying and analyzing inventory.
Not Started On Hold
% Complete Status
10% On Track
5% On Track
0% Not Started
Software & Plant Automation
4 Measurement Projects
4
J!.I 3 -C: 0 GI ._ E
GI GI 2 .c ... E :::i :I (II z :::
:::E
0
Ahead On Track Done Behind
Measurement Title
Extend CMMS application to include data for Warehouse & Auto Shop.
Provide software support for installation of new FIS.
Replace Plant Automation System at Plant 2 with new technology.
Install Districts-wide integrated network.
Page6
Not Started On Hold
% Complete Status
0% On Hold
0% Not Started
33% On Track
0% Not Started
Start
7/1/95
7/1/95
1/1/95
Start
7/1/95
7/1/95
7/1/95
7/1/95
Canceled
End
12/31/95
1/31/96
6/30/96
Canceled
End
1996-97
3/31/96
6/30/96
... Measurement Tracking
J!! 3~--------,
0 ;; 2 ti;~-+---------<
.ll • E :::i :::I Ill z ::l ~ 0 --+------1--'
Human Resources Administration
3 Measurement Projects
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Develop and implement a Districts-wide training program.
Develop and publish an Employee Handbook.
Improve the quality of the Management Performance Review Program.
% Complete
5%
95%
5%
Status
On Track
On Track
On Track
Human Resources & Training
3 Measurement Projects
J!! .... C:
o s 2 +-------~ !!! E :::i :::I Ill z ::l
~ 0 +------+--
Ahead
Measurement Title
On Track Done
Develop and implement training opportunities and programs.
Improve and refine management and professional staff evaluations.
Conduct Districts-wide attitude survey.
Behind Not Started On Hold
% Complete Status
25% On Track
5% On Track
0% On Track
Safety & Emergency Response
3 Measurement Projects
J!! .... C:
o s 2 ---------~ !!! E :::i :::I Ill z m ~ 0 +-------
Ahead
Measurement Title
On Track Done
Develop safety training programs based on needs assessment.
Develop and implement an integrated Emergency Response Plan.
Conduct industrial hygiene evaluations to determine hazards.
Page7
Behind Not Started On Hold
% Complete Status
100% Done
5% On Track
1% On Track
Start
7/1/95
7/1/95
7/2/95
Start
7/1/95
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
Canceled
End
Canceled
End
Canceled
End
Measurement Tracking
Maintenance Administration
3 Measurement Projects
Ahead On Track Done
Measurement Title
Emphasize preventive maintenance tasks to reduce life cycle costs.
Implement remaining Ernst & Young O&M recommendations.
Continue building the computer database for the CMMS.
Behind Not Started On Hold
% Complete
80%
80%
80%
Status
On Track
Ahead
On Track
Maintenance Scheduling
2 Measurement Projects
J!l o a;
.! ~ 1 -1-------E :::i :::i (II z g:
==
Ahead
Measurement Title
On Track Done
Identify optimum preventive maintenance rates to reduce costs.
Benchmark equipment down time and establish acceptable targets.
Pages
Behind Not Started On Hold
% Complete Status
3% Behind
10% On Track
Start
7/1/95
7/1/95
1/1/95
Start
7/1/95
7/1/95
Canceled
End
12/31/95
Canceled
End
Measurement Tracking
!I
-C 3 +-------0 cu ~ ~ 2 +-------E :::i :::i en z :g
::!:
Plant Maintenance
4 Measurement Projects
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Develop a valve exercising plant maintenance program.
Develop a valve change plant maintenance program for critical areas.
Investigate applicable certification programs for the various crafts.
Develop an area assignment sys. to leverage field crew resources.
% Complete Status
5% On Track
8% On Track
10% On Track
12% On Track
Collection Facilities Maintenance
4 Measurement Projects
4
!I 3 -C 0 cu .. E cu cu 2 .c .. E :::i :::, en z :g
::!:
0
Ahead On Track Done Behind
Measurement Title
Develop a CMMS data base for pump stations & a plant maint. listing.
Continue to investigate alternate chemicals for cheaper order control.
Contract for line cleaning in some of the Districts' Assmt. Districts.
Expand a root control program for District No. 7 sewer system.
Page 9
Not Started On Hold
% Complete Status
60% Ahead
50% On Track
60% On Track
40% On Track
Start
7/1/95
7/1/95
7/1/95
7/1/95
Start
7/1 /95
7/1/95
7/1/95
7/1 /95
Canceled
End
6/30/96
6/30/96
6/30/96
6/30/96
Canceled
End
6/30/96
6/30/96
1/31/96
Measurement Tracking
Mechanical Maintenance
3 Measurement Projects
3
J!l -C 0 GI 2 ._ E a, GI .0 .. E ::i ::i Ill z: :!l
0
Ahead On Track Done Behind
Measurement Title
Initiate tracking program for repetitive breakdowns of digester pumps.
Reduce costs by expanding central generation engines maintenance.
Start cross training of personnel between plants.
Not Started On Hold
% Complete
100%
50%
75%
Status
Ahead
On Track
Ahead
Electrical Maintenance
4 Measurement Projects
J!l 0 li; 3
.. E 1l I!! 2 E ::i :I Ill z:
:!l
0
Ahead
Measurement Title
On Track Done
Complete CMMS database with regard to A/C systems.
Develop a predictive maint. program for electric equipment.
Develop a 12-Kilovolt meter and relay database.
Privatize Central Generation Generator Maintenace to reduce costs.
Page 10
Behind Not Started On Hold
% Complete Status
90% Ahead
25% On Track
70% Ahead
90% Ahead
Start
7/1/95
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
7/1/95
Canceled
End
6/30/96
Canceled
End
2/28/96
3/31/96
6/30/96
11/30/95
1
Measurement Tracking
Instrumentation Maintenance
3 Measurement Projects
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Develop activity code within CMMS to track staff efforts.
Privatize maintenance services for the 13 influent flow meters.
Develop a charting process for recording preventative maint. backlog.
% Complete Status
10% On Track
90% Ahead
75% Ahead
Technical Services Administration
4 Measurement Projects
4
.!! 3 -C: 0 Q) .. E Q) Q) 2 .c .. E ::i :I Ill z :g
~
0
Ahead On Track Done Behind
Measurement Title
Improve coverage of legislation & improve assmt. of compliance regs.
Develop imprvmnt. teams & begin implementing EY recommendations.
Develop compliance assmt. on discharges from treatment plants.
Standardize biosolids inspection protocals & optimize staff usage.
Page 11
Not Started On Hold
% Complete Status
50% On Track
75% On Track
15% On Track
5% Behind
Start
7/1/95
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
7/1/95
Canceled
End
6/30/96
3/31/96
1/31/96
Canceled
End
12/31/95
6/30/96
6/30/96
3/31/96
Measurement Tracking
Ahead On Track
Measurement Title
Environmental Management
3 Measurement Projects
Done Behind Not Started
% Complete Status
On Hold
Develop a 10-year synthesis of ocean monitoring program findings.
Conduct a study of biotrickling filters for the removal of pollutants.
Prepare a 1995 Air Toxics Emssion Inventory Plan and Report.
5% On Track
80% Ahead
60% Ahead
Environmental Sciences Laboratory
3 Measurement Projects
Ahead On Track Done
Measurement Title
Develop expanded air analysis capabilities
Reduce labor costs for metals analyses of wastewater.
Reduce labor costs for organic analyses of wastewater.
Page 12
Behind Not Started On Hold
% Complete Status
20% Behind
0% Not Started
0% Not Started
Start
7/1/95
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
Canceled
End
2/28/96
2/28/96
2/28/96
Canceled
End
i' Measurement Tracking
Source Control
3 Measurement Projects
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Evaluate the EPA Effluent Guidelines for regulating industrial users.
Finalize the results of the non-industrial source sampling.
Develop a program to regulate small-quantity dischargers.
% Complete Status
40% On Track
20% On Track
20% On Hold
Operations Administration
3 Measurement Projects
Ahead
Measurement Title
Reduced natural gas cost.
Increase staff training.
On Track
Improve employee communications.
Done
Page 13
Behind Not Started On Hold
% Complete Status
20% On Track
30% Ahead
20% On Track
Start
7/1/95
7/1/95
7/1/95
Start
7/1/95
7/1/95
7/1/95
Canceled
End
6/30/96
6/30/96
6/30/96
Canceled
End
6/30/96
6/30/96
6/30/96
Measurement Tracking
Plant Operations
4 Measurement Projects
4
J!I 3 -C 0 CII '" E ell CII 2 .0 ... E ::i :, en z:
:E
0
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Study staffing productivity per Ernst & Young review.
Reduce overtime.
Run Treatment plant cost-effectively.
Reduce biosolids disposal cost.
% Complete
0%
25%
25%
10%
Engineering Administration
2 Measurement Projects
Status
Not Started
On Track
On Track
Behind
Ahead On Track Done Behind Not Started On Hold
Measurement Title
Modify Planning & Design organization for E & Y recommendations
Implement all 14 recommendations in CIP Report
Page 14
% Complete
50%
30%
Status
Behind
Behind
Start
7/1/95
7/1/95
7/1/95
7/2/95
Start
7/1/95
7/1/95
Canceled
End
Canceled
End
6/30/96
Measurement Tracking
Design Engineering
5 Measurement Projects
5
.!I 4 .... C: 0 a, ... E 3 a, a, .a ... E ::i 2 :I Ill z i
==
0
Ahead On Track Done
Measurement Title
Complete 75% of conn permits in 1day, 90% in 3 days, 100% in 5
Design facilities which satisfy customer
Track and manage $33.5 million CORF project budget
Comply with adopted Master Plan
Improve submittal process on all new design projects
Behind Not Started On Hold
% Complete Status
NIA On Tracie
NIA On Track
NIA On Track
NIA Behind
NIA On Track
Engineering Planning
3 Measurement Projects
Ahead On Track
Measurement Title
Comply with adopted Master Plan
Track and manage budget and schedule
Update "as-built" information
Done
Page 15
Behind Not Started On Hold
% Complete Status
NIA On Track
N/A On Track
5% On Track
Start
711/95
7/1/95
7/1/95
7/1195
711/95
Start
711195
711/95
711/95
Canceled
End
6130/96
6/30196
6130/96
6/30/96
6/30/96
Canceled
End
6/30/96
6/30/96
6/30/96
Measurement Tracking
Construction Management
3 Measurement Projects
Ahead On Track Done
Measurement Title
Revise record drawing process on all new construction projects
Improve shop drawing and submittal process on new projects
Construction personnel to keep current on codes and standards
Page 16
Behind Not Started On Hold
% Complete Status
50% On Hold
50% On Hold
25% On Track
Start
7/1/95
7/1/95
7/1/95
Canceled
End
6/30/96
6/30/96
6/30/96
{
Fonnat Ori ...... 6/-~(r}{} • Written Report
•Overheads
• Slides
~IT:J:7~:~ Department Head Sign Off~(:{;
• Flip Charts Anticipated Time 25 mins.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
F AH R95-46: Consideration of motion to receive, approve and file the
Annual Audit Report submitted by Moreland & Associates,
Certified Public Accountants, and staff; the annual Management Letter, the
Auditor's Report to the Finance, Administration and Human Resources
Committee, and the Appropriations Limit Report; and forward the Comprehensive
Annual Financial Report to the Executive Committee.
Summary:
The Districts' independent auditors, Moreland & Associates, have completed their
examination for 1994-95. Each year, the FAHR Committee reviews the results of the
audit and the corresponding management letter. Michael Moreland, Partner and
Charles Acocella, Senior Manager, will attend the meeting to respond to any questions
of Directors.
This year, staff has again prepared the report as a Comprehensive Annual Financial
Report (CAFR), and has completely prepared the statements in-house for the first time.
The CAFR will be submitted to the Government Finance Officers' Association (GFOA)
for their review in anticipation of another award. Last year's CAFR, the first ever
submitted by the Districts, did earn the GFOA award.
The audit report, management letter and staffs brief comments are enclosed. If you
should have any questions prior to the meeting, please call Gary Streed at
(714) 962-2411, ext. 2500; or Mike White, ext. 2520.
Staff and the auditors will make a brief presentation at the meeting.
Staff Recommendation
Staff recommends the Committee receive, approve and file the 1994-95 Comprehensive
Annual Financial Report and forward it to the Executive Committee and the Joint
Boards.
J:IWPDOC\FIN\CRANEIFPC.MTGIFAHR.9511TEMIFAHR95.46
November 8, 1995
MEMORANDUM
TO: Finance, Administration and Human Resources Committee
FROM: Gary G. Streed, Director of Finance
SUBJECT: 1994-95 Management Letter Comments (FAHR95-46)
As a part of their engagement, Moreland & Associates was asked to prepare a
management letter for your review. The purpose of a management letter is to comment
upon, and to make recommendations that may improve internal controls or other
phases of financial operations. The letter has been completed and is enclosed. This
memo will supplement the comments with staff's understanding of the
recommendations and will advise the Committee of any actions taken or being taken to
implement the recommendations where appropriate. Staff is pleased to report tht the
auditors noted no matters they considered to be a material weakness.
Cash Disbursements Process
1. The auditors observed that in seven of the fifty cash disbursements they tested,
the initials of the accounts payable clerk were not on the invoice.
The accounts payable staff has been reminded that in addition to checking the
math and writing the general ledger posting instructions on each invoice, they are
required to initial each invoice to indicate their review of math and purchasing
authority.
2. In one of the seven cash disbursements requiring informal bids which were
tested by Moreland & Associates, the Purchasing Division had no documentation
to explain the lack of any bids.
The purchase reported was for two pieces of electronic instrumentation used at
the primary basins and in the headworks for a total of $1,300, ordered from two
separate requisitions and combined into one purchase order. The combined
order amount would have required informal bids, if the items were available from
more than one supplier. In this case, the electronic parts were to replace parts in
equipment we can only purchase from one supplier; the manufacturers'
representative. The facts surrounding this "sole source" purchase should have
been noted on the purchase requisition.
CSDOC • P.0.Box8127 • FountainValley,CA92728-8127 •Tel. (714)962-2411 •FAX(714)962-3954
1994-95 Management Letter Comments
Page2
November 8, 1995
Purchasing Division staff has been reminded of the informal bid requirements
and processes, as well as those to document sole source procurements.
Internal Control Policies
1. The auditors noted that the Districts do not have a mandatory vacation policy
whereby another employee performs the vacationing employee's duties to
ensure the propriety of procedures being performed.
This comment applies primarily to Accounting and Finance Division employees
all of whom have been away from the office for at least a week in the past year.
In order to prepare for these planned absences, as well as unplanned illnesses,
staff is cross-trained and allowed to perform the duties of another during training
and peak loads. Many duties are also rotated during the year to allow a fresh
perspective and to maintain enthusiasm.
The FAHR Committee has reviewed and approved the written internal control
policies and procedures for the Finance Department within the past year. While
these policies do not require vacations, they emphasize separation of duties and
responsibilities. In this way, one employee's work product is constantly reviewed
by another. One purpose of this review is to ensure that procedures are
followed.
2. Moreland & Associates noted that access to the room which contains the
financial system computer is not restricted, creating the potential for tampering.
The computer room is within the Accounting Division office area and access is
clearly visible to all employees. The door latch to the computer room has been
repaired to enable compliance with the suggestion that the door be locked.
Investments
1 . The auditors noted that the monthly investment report for June did not include all
of the items required by the Districts' Investment Policy.
The Committee may recall that an Interim Investment Policy with reporting
requirements was adopted in February 1995 and replaced in May 24, 1995, by
the permanent and current Investment Policy.
The reports submitted to the FAHR Committee through August 1995, while staff
was administering the investments, were in accordance with the Interim
Investment Policy. When the permanent policy was adopted, the Directors and
staff expected to retain the services of registered external investment advisers
and money managers. This process was completed in September 1995.
...
1994-95 Management Letter Comments
Page 3
November 8, 1995
Between the adoption of the final Investment Policy at the end of May, and the
engagement of PIMCO at the beginning of September, staff continued to
maintain the Districts' investments in very short-term U.S. Treasury Bills and
LAIF in accordance with the interim policy and in expectation that PIMCO would
be retained within the month. Therefore, the monthly investment reports for
June, July and August were prepared in accordance with the Interim Investment
Policy. The report for September was the first report prepared in accordance
with the final Investment Policy and the first with investments other than U.S.
Treasury Bills and LAIF. Staff will continue to comply with the Investment Policy.
General Accounting
1. The auditors report that the Accounting staff identified and made several
adjustments to the books subsequent to the initial close of the year and suggest
a pre-closing review to reduce the number of entries.
Staff concurs with the observation. This year was a special one with the OCIP
bankruptcy, bringing cash and investment management in-house, making all of
the prior year's audit adjustments to the books and preparing our own statements
for the first time. Now that all of these one-time events are behind us, staff will
do what is needed to reduce or eliminate adjusting entries.
GGS:lc
J:\WPDOC\FINICRANEIFPC.MTGIFAHR.95\STAFF.RPl\MGMLTRCM.95
Attachment
Moreland&~
CERTIFIED PUBLIC ACCOUNTANTS
September 22, 1995
The Board of Directors
of the County Sanitation
Districts of Orange County
The Board of Directors:
610 NEWPORT CENTER DRIVE, SUITE 840
NEWPORT BEACH, CALIFORNIA 92660
(714) 760-9788
2111 PALOMAR AIRPORT ROAD, SUITE 150
CARLSBAD, CALIFORNIA 92009
(619) 431-8476
We have audited the combined financial statements of the County Sanitation Districts
of Orange County (Districts) as of and for the year ended June 30, 1995, and have
issued our report thereon dated September 22, 1995.
We conducted our audit in accordance with generally accepted auditing standards.
Those standards require that we plan and perform the audit to obtain reasonable
assurance about whether the combined financial statements are free of material
misstatement.
In planning and performing our audit of the combined financial statements of the
Districts for the year ended June 30, 1995, we considered its internal control structure
in order to determine our auditing procedures for the purpose of expressing our opinion
on the combined financial statements and not to provide assurance on the internal
control structure.
The management of the Districts is responsible for establishing and maintaining an
internal control structure. In fulfilling this responsibility, estimates and judgments by
management are required to assess the expected benefits and related costs of internal
control structure policies and procedures. The objectives of an internal control structure
are to provide management with reasonable, but not absolute, assurance that assets are
safeguarded against loss from unauthorized use or disposition, and that transactions are
executed in accordance with management's authorization and recorded properly to
permit the preparation of combined financial statements in accordance with generally
accepted accounting principles. Because of inherent limitations in any internal control
structure, errors or irregularities may nevertheless occur and not be detected. Also,
projection of any evaluation of the structure to future periods is subject to the risk that
procedures may become inadequate because of changes in conditions or that the
effectiveness of the design and operation of policies and procedures may deteriorate.
The Board of Directors
of the County Sanitation
Districts of Orange County
September 22, 1995
Page 2
Our consideration of the internal control structure would not necessarily disclose all
matters in the internal control structure that might be material weaknesses under the
standards established by the American Institute of Certified Public Accountants. A
material weakness is a reportable condition in which the design or operation of one or
more of the specific internal control structure elements does not reduce to a relatively
low level the risk that errors or irregularities in amounts that would be material in
relation to the combined financial statements being audited may occur and not be
detected within a timely period by employees in the normal course of performing their
assigned functions. We noted no matters involving the internal control structure and its
operation that we consider to be material weaknesses as defined above. However, we
noted the following matters of less significance involving the internal control structure.
CASH DISBURSEMENTS PROCESS
During our testwork on the controls over the cash disbursements process, we noted the
following instances where the Districts' prescribed procedures were not followed:
1. In seven of fifty cash disbursements tested, the initials of the accounts
payable clerk were not on the vendor's invoice. The purpose of the
clerk's initials is to indicate that a review of the invoice has been
performed.
2. In one of the seven cash disbursements tested which required informal
bids, the Purchasing Department did not retain documentation of the
informal bids obtained or documentation of why informal bids might not
have been obtained. The informal bid process is used to ensure that the
Districts are receiving goods and services at competitive prices.
We recommend the Districts take more care in processing cash disbursements
transactions to ensure the prescribed internal control procedures are being followed.
INTERNAL CONTROL POLICIES
While obtaining an understanding of the Districts' general internal control policies, we
noted the following weaknesses:
1. The Districts do not have a mandatory vacation policy whereby another
employee performs the vacationing employee's duties to ensure the
propriety of procedures being performed. We recommend the Districts
implement either a mandatory vacation policy or a periodic rotation of
duties.
The Board of Directors
of the County Sanitation
Districts of Orange County
September 22, 1995
Page 3
2. The Districts do not restrict access to the computer room which contains
the financial system computer. We recommend the Districts restrict
entrance to only specified personnel to minimize the potential of
tampering with the financial system software and hardware.
INVESTMENTS
We noted certain conditions related to the internal control system and the June 30, 1995
monthly investment report that did not comply with prescribed procedures. We
understand the prescribed procedures were developed shortly before year end with the
intent that investments would be managed by an external investment manager; however,
an external investment manager had not been engaged as of year end. Therefore,
management continued to follow the interim procedures intended for the period from
the time the Districts began administering their investment portfolio (rather than
investing in the Orange County Investment Pool) to the time of contracting with an
external investment manager.
GENERAL ACCOUNTING
Many adjustments were required subsequent to the Districts' initial close, most of which
were identified by the Districts' personnel. The majority of these entries were related
to the allocation of joint costs and to the capitalization of expenditures for construction
in progress. We recommend the Districts perform their year-end account analysis prior
to the initial close of the general ledger in order to facilitate the closing process.
This report is intended for the information of management and the Board of Directors
of the Districts. This restriction is not intended to limit the distribution of this report,
which is a matter of public record.
We would like to express our appreciation for the courtesy and assistance extended to
us during our audit by all of your staff.
We would be pleased to discuss with you at your convenience the matters contained in
this letter or any other matters which you would like to discuss.
Moreland&~
CERTIFIED PUBLIC ACCOUNTANTS
September 22, 1995
The Finance, Administration and
Human Resources Committee
of the County Sanitation
Districts of Orange County
10844 Ellis Avenue
Fountain Valley, CA 92827-8127
610 NEWPORT CENTER DRIVE, SUITE 840
NEWPORT BEACH, CALIFORNIA 92660
(714) 760-9788
2111 PALOMAR AIRPORT ROAD, SUITE 150
CARLSBAD, CALIFORNIA 92009
(619) 431-8476
The Finance, Administration and Human Resources Committee:
We have audited the combined financial statements of the County Sanitation Districts
of Orange County, California (Districts) for the year ended June 30, 1995, and have
issued our report thereon dated September 22, 1995. Under generally accepted auditing
standards, we are providing you the attached information related to the conduct of our
audit.
Our responsibility under generally accepted auditing standards is to express an opinion
on the financial statements of the Districts based on our audit. In carrying out this
responsibility, we assessed the risk that the financial statements may contain a material
misstatement, either intentional or unintentional, and designed and conducted our audit
to provide reasonable, but not absolute, assurance that misstatements material to the
financial statements would be detected. In addition, we considered the internal control
structure of the Districts to gain a basic understanding of the internal control policies
and procedures in order to design an effective and efficient audit approach, not for the
purpose of providing assurance on the internal control structure.
Significant Accounting Poticies
The significant accounting policies of the Districts are described in Nate 1 to the
combined financial statements. No new accounting policies were adopted and the
application of existing policies was not changed during the year.
We noted no significant, unusual transactions during the year, or transactions for which
there is a lack of authoritative guidance or consensus.
Management Judgments and Accounting Estimates
Accounting estimates are an integral part of the financial statements prepared by
management and are based upon management's current judgments. The allowance for
doubtful accounts and reported liability for outstanding claims is based on estimates at
the balance sheet date. These estimates are subject to change as more information is
obtained.
\.
The Finance, Administration and
Human Resources Committee
of the County Sanitation
Districts of Orange County
September 22, 1995
Page 2
Significant Audit Adjustments
As a result of our audit related testwork, we proposed no corrections of the financial
statements that, in our judgment, either individually or in the aggregate, had a significant
effect on the Districts' financial reporting process.
Other Information in Documents Containing Audited Financial Statements
Our responsibility for other information in documents containing the Districts' combined
financial statements and our report thereon does not extend beyond financial
information identified in our report, and we have no obligation to perform any
procedures to corroborate other information contained in these documents. We have,
however, read the other information included in the Districts' comprehensive annual
financial report; and no matters came to our attention that cause us to believe that
such information, or its manner of presentation, is materially inconsistent with the
information, or its manner of presentation, appearing in the financial statements.
Disagreements With Management
There were no disagreements with management on financial accounting and reporting
matters that, if not satisfactorily resolved, would have caused a modification to our
report on the Districts' 1995 financial statements.
Consultation With Other Accountants
We are not aware of any instances where management has consulted with or obtained
opinions, written or oral, from other independent accountants during the past year that
were subject to the requirements of Statement on Auditing Standards No. 50, Reports
on the Application of Accounting Principles.
Major Issues Discussed With Management Prior to Retention
We generally discuss a variety of matters, including the application of accounting
principles and auditing standards, with management each year prior to retention as the
Districts' auditors. These discussions occurred in the normal course of our professional
relationship.
This information is intended solely for the use of the Finance, Administration and
Human Resources Committee and should not be used for any other purpose. However,
we understand that this document may be public information.
Moreland&~
CERTIFIED PUBLIC ACCOUNTANTS
TO: The Board of Directors of the
County Sanitation Districts
of Orange County, California:
610 NEWPORT CENTER DRIVE, SUITE 840
NEWPORT BEACH, CALIFORNIA 92660
(714) 760-9788
2111 PALOMAR AIRPORT ROAD, SUITE 150
CARLSBAD, CALIFORNIA 92009
(619) 431-8476
We have applied the procedures enumerated below to the accompanying Appropriations
Limit worksheets #6 of the County Sanitation Districts #1,2,3,5,6,7 and 11 of Orange
County (Districts) for the year ended June 30, 1995. These procedures, which were
agreed to by the League of California Cities and presented in their Article XIIIB
Appropriations Limitation Uniform Guidelines, were performed solely to assist you in
meeting the requirements of Section 1.5 of Article XIIIB of the California Constitution.
This report is intended for the information of management and the Board of Directors.
This restriction is not intended to limit the distribution of this report, which is a matter
of public record.
The procedures performed and our findings were as follows:
1. We obtained the completed worksheets ( #1 through #7) presented in the Article
XIIIB Appropriations Limitation Uniform Guidelines and determined that the
limit and annual adjustment factors were adopted by resolution of the Board of
Directors. We also determined that the population and inflation options were
selected by a recorded vote of the Board of Directors.
2. For the accompanying Appropriations Limit worksheet # 6, we added line A, last
year's limit, to line E, total adjustments, and agreed the resulting amount to line
F, this year's limit.
3. We agreed the current year information presented in the accompanying
Appropriations Limit worksheet #6 to the other worksheets described in #1
above.
4. We agreed the prior year appropriations limit presented in the accompanying
Appropriations Limit worksheet #6 to the prior year appropriations limit
adopted by the Board of Directors.
These agreed upon procedures are substantially less in scope than an audit, the
objective of which is the expression of an opinion on the accompanying Appropriations
Limit worksheets #6. Accordingly, we do not express such an opinion.
Based on the application of the procedures referred to above, nothing came to our
attention that caused us to believe that the accompanying Appropriations Limit
worksheets #6 referred to above were not computed in accordance with Article XIIIB
of the California Constitution. Had we performed additional procedures or had we
made an audit of the accompanying Appropriations Limit worksheets #6 and the other
completed worksheets described in #1 above, matters might have come to our attention
that would have been reported to you. ~~ f /id.d,1r'C1-~
A.
B.
C.
D.
E.
F.
)
COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #1
APPROPRIATIONS LIMIT WORKSHEET #6
FY 1994-95
BUDGET
AMOUNT
LAST YEAR'S LIMIT $2,592,508 I
ADJUSTMENT FACTORS
1. Population% .66%1 2. Inflation% .71%
Total Adjustment % 1.37%1
ANNUAL ADJUSTMENT$ $35,639 I
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS $35,639 I
CURRENT YEAR LIMIT $2,628,147 I
A.
B.
C.
D.
E.
F.
COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #2
APPROPRIATIONS LIMIT WORKSHEET #6
FY 1994-95
BUDGET
AMOUNT
LAST YEAR'S LIMIT $9,671,899 I
ADJUSTMENT FACTORS
1. Population% 1.61%1
2. Inflation% .71%
Total Adjustment % 2.33%1
ANNUAL ADJUSTMENT$ $225,493 I
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS $225,493 I
CURRENT YEAR LIMIT $9,897,392 I
A.
B.
C.
D.
E.
F.
COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #3
APPROPRIATIONS LIMIT WORKSHEET #6
LAST YEAR'S LIMIT
ADJUSTMENT FACTORS
1. Population %
2. Inflation%
Total Adjustment %
ANNUAL ADJUSTMENT$
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS
CURRENT YEAR LIMIT
FY 1994-95
BUDGET
AMOUNT
1 s13,266,966 I
1.83%1
.71%
2.55%1
$338,705 I
$338,705 j
1 sn,605,671 I
A.
B.
C.
D.
E.
F.
COUNfY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #5
APPROPRIATIONS LlMIT WORKSHEET #6
FY 1994-95
BUDGET
AMOUNT
LAST YEAR'S LlMIT $2.424,793 1
ADJUSTMENT FACTORS
1. Population % .75%1 2. Inflation% .71%
Total Adjustment % 1.46%1
ANNUAL ADJUSTMENT$ $35,531 j
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS $35,531 j
CURRENT YEAR LlMIT s2,460,324 1
A.
B.
C.
D.
E.
F.
COUNTY SANITATION DISTRICTS OF ORANGE COUNfY, DISTRICT #6
APPROPRIATIONS LIMIT WORKSHEET #6
IAST YEAR'S LIMIT
ADJUSTMENT FACTORS
1. Population%
2. Inflation%
Total Adjustment %
ANNUAL ADJUSTMENT$
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS
CURRENT YEAR LIMIT
FY 1994-95
BUDGET
AMOUNT
$1,557,621 I
1.37%1
.71%
2.09%1
$32,sso 1
$32,sso 1
$1,590,171 I
A.
B.
C.
D.
E.
F.
)
COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #7
APPROPRIATIONS LIMIT WORKSHEET #6
LAST YEAR'S LIMIT
ADJUSThIBNT FACTORS
1. Population%
2. Inflation%
Total Adjustment %
ANNUAL ADJUSTMENT$
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS
CURRENT YEAR LIMIT
FY 1994-95
BUDGET
AMOUNT
$4,163,006 I
4.15%1
.71%
4.89%1
$203,549 J
$203,549 I
$4,366,555 I
A.
B.
C.
D.
E.
F.
'\ I
COUNTY SANITATION DISTRICTS OF ORANGE COUNTY, DISTRICT #11
APPROPRIATIONS UMIT WORKSHEET #6
!AST YEAR'S UMIT
ADJUSTMENT FACTORS
1. Population %
2. Inflation%
Total Adjustment %
ANNUAL ADJUSTMENT$
OTHER ADJUSTMENTS:
Assumed Responsibility
(Lost Responsibility)
(Transfer to Private)
(Transfer to Fees)
Sub-total
TOTAL ADJUSTMENTS
CURRENT YEAR UMIT
FY 1994-95
BUDGET
AMOUNT
$2,935,215 I
1.23%1 .71%
1.95% 1
$57,199 I
$57,199 I
$2,992,414 I
Format • Written Report
• Overheads
• Slides
• Flip Charts
(13)
Summary
Anticipated Time 6 mins.
FINANCE, ADMINISTRATION AND HUMAN
RESOURCES COMMITTEE
AGENDA FOR
NOVEMBER 8, 1995
Consideration of upcoming meetings and items to be discussed at
those meetings.
The calendar of future meetings is on the back of the Notice of Meeting each month. The next Finance,
Administration and Human Resources Committee meeting is scheduled for Wednesday, January 10,
1996, preceding the Executive Committee Meeting.
Some of the potential major non-routine items the Committee will be reviewing, considering and acting on
over the next few months follow. Some items will carry forward to future months, but are listed only once
at the start of a process.
As there is no Executive Committee meeting scheduled in December, the FAHR
Committee is likewise not scheduled.
Hardware Maintenance Contract for Personal Computers
Help Desk Services Contract for Personal Computers
Purchase Hardware for Windows NT Computer Network
Review of Legal Service Options
Review of Total Compensation Package
Consideration of Financial Advisor Services
Review Commercial Bank Selection
Review Responses to F.I.S. RFP Process
Revised Employee Handbook
Industrial Hygiene Consultant Selection
Proposed Agenda Process Improvements
Quarterly Training Program Update
Quarterly Communication Program Update
Quarterly EY Recommendations Status Report
Annual Review of Investment Policy
Fiscal Policy Assumptions for 1996-97 Budget
Quarterly JO and CORF Budget Review
Quarterly Travel & Training Report
Initiate Long-term Financial Plan Review
Initiate Financial Team Selection RFP
Staff Recommendation
Information only item.
J:IWPDOC\FINICRANEIFPC.MTGIFAHR.95VTEMICALEN11.95